Procedures to take disciplinary action
I am of the opinion that a good administrator will not give an opportunity for a disciplinary action to be taken against his employee. I don’t mean he will ignore the unacceptable behaviour of his employee. What I mean is he will make sure that corrective measures are taken at the appropriate time before the problem can escalate. Not only that; he will also create an ambience for the employee to take the necessary correction and fall in line with the rest. Thus, the administrator takes recourse to disciplinary action only as a last resort.
Any disciplinary action is taken based on the service conditions, which enumerate what will constitute indiscipline. Hence, every institution has to communicate the service conditions (discipline and other matters) to all its employees, in writing, with a copy received from them. This is done so that the employees know what they can and should do and what they cannot and should not do. A periodic feedback or performance appraisal, and in writing, if something is serious, is given to each employee at least once in a year and a copy of the same is kept in the files of the respective employees.
Minor and Major Misconduct:
Any breach of the normal, expected way of behavior of an employee is known as indiscipline or misconduct. An indisciplinary behavior or misconduct is of two types: minor and major. Minor offences are those that may not be harmful to anyone, but if uncorrected may become serious. Major offences are serious in nature. They are those that are harmful to the authority, fellow workers or to the institution or its smooth functioning. Normally the service conditions mention what is minor and what is major.
Actions such as reporting late for work, leave without permission, negligence, failure to be present when needed, carelessness, gossip on duty, dozing off on duty, quarrel with fellow workers, dishonesty or cheating in small matters, stealing small things, minor violation of the rules, spreading rumours, etc., are acts of minor indiscipline. The employer may have to communicate a verbal warning and give an oral counselling, if need be. A written warning is given if the same mistake is done the second time (memo). The employer may proceed with the disciplinary action if the same mistake is done the third time.
But actions such as dereliction of duty, willful insubordination or disobedience to the authorities or their directives, false allegation against the authorities or fellow workers that brings disrepute to the concerned person, coming drunk to duty, unauthorized absence from duty for more than a week at a stretch, causing willful harm to fellow workers, authorities or properties of the employer, indecent behavior and sexual abuse, extortion of money or bribery or corruption, theft, fraud or dishonesty in a big way, repeated willful violation of the rules that affect the smooth functioning of the institution, inciting the fellow workers, refusal to accept a charge sheet or other communication served, etc., are acts of major indiscipline.
Awarding punishment for acts of minor misconduct:
Where allegations of the misconduct against the employee are of a minor nature, he is called for clarification. The administrator or his authorized representative, after hearing the concerned employee, will decide if the employee deserves any punishment and if so pass orders accordingly. It is not necessary to hold enquiry in such cases. Penalties for minor misconduct can be warning, fine, passing adverse entry in service records, recovery of loss of goods, etc.
Disciplinary action for a major misconduct:
Before taking any disciplinary action, especially for major offences, against an employee, the administrator has to make sure that he has a full understanding of the issue with accurate and impartial data supporting the allegation. If the issue is related to alleged wrongdoing in the workplace, the administrator has a responsibility to conduct a prompt, thorough, and impartial investigation into the allegations. No action can be taken based on biased perceptions (prejudices), allegations or rumors. The disciplinary action procedure involves the following steps:
a) Preliminary Investigation: First of all, a preliminary inquiry should be held to find out whether a prima facie case of misconduct exists. Information may be collected from the employee himself, fellow-employees, witnesses, the aggrieved party, etc.
b) Issue of a Charge-sheet: Once the prima facie case of misconduct is established, a charge sheet is issued to the employee. A charge sheet is a notice of the charges levelled against the employee. It gives the employee an opportunity to explain his conduct. Therefore, a charge sheet is generally known as a show cause notice, given in writing and the employee too will give an explanation in writing. In the charge sheet, each charge should be clearly specified. There should be a separate charge for each allegation and charge should not relate to any matter which has already been decided upon.
c) Suspension Pending Enquiry: Depending on the gravity of charges, an employee may be suspended along with serving him the charge sheet. The various circumstances which may warrant suspension of an individual are:
When disciplinary proceeding is pending or contemplated, when engaged in the activities prejudicial to the interest or security of the institution, where a case in respect of any criminal offence is under investigation, inquiry or trial, where continuance in office will prejudice investigation/ inquiry/trial, when the presence of the employee in office is likely to affect discipline, when his continuous presence in office is against the wider interest of the institution, where a prima face case has been established as a result of criminal or departmental proceedings leading to the conviction, revival, dismissal, etc.
According to the Industrial Employment (Standing Orders) Act, 1946, the suspended worker is to be paid subsistence allowance equal to one-half of his wages for the first ninety days of suspension and three-fourths of the wages for the remaining period of suspensions, if the delay in the completion of disciplinary proceedings is not due to the worker’s own conduct.
d) Notice of Enquiry: In case the worker admits the charge, in his reply to the charge sheet, without any qualification, the employer can go ahead in awarding punishment without further inquiry. But if the worker does not admit the charge and the charge merits major penalty, the employer must hold an enquiry to investigate into the charges. Proper and sufficient advance notice should be given to the employee indicating the date, time and venue of the enquiry so that the worker may prepare his case.
e) Conduct of Enquiry: The enquiry should be conducted by an impartial and responsible officer. He should proceed in a proper manner and examine witnesses. Fair opportunity should be given to the worker to cross-examine the management witnesses.
f) Recording the Findings: On the conclusion of the enquiry, the enquiry officer must record his findings and the reasons thereof.Normally, he refrains from recommending punishment and leaves it to the decision of the appropriate authority.
g) Awarding Punishment: The management should decide the punishment purely on the basis of findings of the enquiry, past record of the worker and gravity of the misconduct.
h) Communicating Punishment: The punishment awarded to the worker should be communicated to him in written at the earliest available opportunity. The letter of communication should contain reference to the charge sheet, the enquiry and the findings. The date from which the punishment is to be effective should also be mentioned.The following penalties may be imposed if the employee is found guilty of major misconduct: serious warning or censure (severe disapproval of the act), withholding increment, fine, stopping promotion, demotion, suspension without pay, discharge, dismissal, vacation of staff quarter, etc., but all given in writing and the received copy to be kept in the concerned employee’s file.
Thus, in summary, we practice Jesus’ words – “Judge not and you will not be judged.” However serious the case may be, we have to give sufficient opportunity for the employee to be heard and to defend himself. Here we follow the principle that one is innocent until proved guilty.
In the next issue we shall discuss “the qualities needed in an administrator”.
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