SOP for Disciplinary Actions

Discipline is the backbone of healthy organizational relations. The promotion and maintenance of
employee discipline is essential for smooth functioning of an organization. Discipline is the orderly
conduct by an employee in an expected manner. It is the force or fear of a force that deters an
individual or a group from doing things that are detrimental to the accomplishment of group objectives.
In other words, discipline is the orderly conduct by the members of an organization who adhere to its
rules and regulations because they desire to cooperate harmoniously in forwarding the end which the
group has in view.

In the Organization ‘Discipline’ refers to the State of employee’s self-control and effectiveness in his
work. It indicates the development of genuine team work. Discipline implies a state of order in an
organization. It means proper appreciation of the hierarchical superior subordinate relationship. The
willing cooperation for and the observance of the rules of the organization constitutes the essence of
discipline.

AIM

The aim is to examine what discipline is, what the various aspects of employee discipline are and how
positive discipline can be achieved. We shall also examine the steps involved in the disciplinary
process and how to deal with indiscipline. Discipline in its positive meaning i.e. ‘Training of mind that
develops self-control character, orderliness and efficiency’. It also means punishment. But there is a
general impression that obedience to rules and punishment for their breach constitute the main aspects
of discipline in an organization.

OBJECTIVES

There are main 05 important objectives for effective discipline:

(a) To obtain a willing acceptance of the rules and regulations or procedures of an organization so that
organizational goals may be attained.
(b) To develop among the employee a spirit of tolerance and a desire to make adjustments.
(c) To give direction or responsibility.
(d) To increase the working efficiency or morale of the employees so that their productivity is stepped
up and the cost of production brought down and the quality of production improved.
(e) To create an atmosphere of respect for the human personality or human relations.

7 Major Factors to Consider in Discipline

When all the employees follow the rules and regulations of the company, the question of indiscipline
does not arise. Some employees fail to accept the norms of responsible-employee behavior, thus
calling for disciplinary action.
To be fair and equitable the following factors need to be analyzed:

1. Seriousness of the Problem:

The authority must assess how serious is the indiscipline. For example, sexual harassment is more
serious than late coming.
2. Duration of the Problem:
It must be known for how long the problem continues or how often this happens. First time offence may
be less serious than subsequent offences of longer duration.
3. Nature of the Problem:
The pattern of the problem calls for more attention. It must be known whether it is a part of emerging
problem or a continual problem. Continual problem is a serious one.
4. External Influence:
Sometimes a disciplinary problem may arise which is external to the employee. For example, an
employee may fail to appear for an important meeting or performance appraisal due to some accident.
5. Degree of Familiarity:
The organization with formal written rules governing the employee conduct is more justified in strictly
enforcing disciplinary action taken than the organization where the rules of conduct are informal or
vague.
6. Disciplinary Practices:
There must be well laid out procedure in assessing disciplinary problems. Equitable treatment must
take into consideration the previous actions taken against the employees for similar type of disciplinary
violations.
7. Management Support:
When the affected employee takes the issue to higher authorities, the manager must be having
adequate reasons/data to defend his actions. The disciplinary action is not likely to carry weight if the
violators believe that they can challenge the manager’s decisions.
 The Flow Chart for Disciplinary actions must be followed as Under :

Complaints of Habitual in nature

(Repetitive same misconducts for more the three times)

If no substantial matter drop

Formal Written Preliminary Issue Memo asking Receive If explanation is not

1st investigation/ On
Complaint/ explanation within explanation/ satisfactory, issue
Time record evidence
Observation 72 hours. reply Warning letter
If Satisfactory, issue letter
of exoneration

Formal Written
2nd Complaint/
Time Observation
(Repetitive)

Formal Written
3rd Complaint/
Time Observation
(Repetitive)

Formal Written Issue 1st Show cause Letter

Preliminary Receive If explanation is not
4th Complaint/ investigation/ On mentioning all above
previous misconducts as
explanation/ satisfactory, issue
Time Observation record evidence
habitual reply Stern Warning letter
(Repetitive)

Formal Written Issue 2nd Show cause

Preliminary
Letter mentioning all Receive Send all documents to
5th Complaint/ investigation/ On explanation/ HR for legal opinion.
Observation record evidence above previous
Time misconducts & 1st show reply
(Repetitive)
cause as habitual
If matter is strong enough, proceed
with departmental inquiry

*Habitual – means being guilty of omission or commission of any act including dereliction of any assigned duty for
at least three times within a period of three months or as may be decided by the competent authority from time to
time.

Complaints of different in nature

 (different misconducts for more the three times)

If no substantial matter drop

Formal Written Preliminary Issue Memo asking Receive If explanation is not

1st investigation/ On
Complaint/ explanation within explanation/ satisfactory, issue
Time record evidence
Observation 72 hours. reply Warning letter
If Satisfactory, issue letter
of exoneration

Formal Written
2nd Complaint/
Time Observation
(Different)

Formal Written
3rd Complaint/
Time Observation
(Different)

Formal Written Issue 1st Show cause Letter

Preliminary Receive If explanation is not
4th Complaint/ investigation/ On mentioning all above
previous different
explanation/ satisfactory, issue
Time Observation record evidence
misconducts* reply Stern Warning letter
(Different)

Formal Written Issue 2nd Show cause

Preliminary
Letter mentioning all Receive Send all documents to
5th Complaint/ investigation/ On explanation/ HR for legal opinion.
Observation record evidence above previous
Time misconducts & 1st show reply
(Repetitive)
cause
If matter is strong enough, proceed
with departmental inquiry

* The different misconducts can be clubbed under following misconduct and breach of service rules:

a) No employee shall commit an act in contravention of or in derogation of any of the provisions of

these service rules and any other enabling provision of relevant statutory rules or instructions.
b) Habitual breach of the service rules or any other statutory rules and regulations in force in the
institute or institution.
c) Repeated or habitual omission & commission of any act prejudicial to the laid down procedure
or administrative system.
Steps for Departmental Inquiry:

1. Once it is decided to conduct the departmental inquiry, final show cause notice to be issued calling upon
the employee to show cause as to why enquiry be not initiated against him/her for her acts/deeds, etc,
particulars of which should be mentioned in the said notice.
2. Thereafter, reply of the employee to be received and considered and order be passed by the competent
Authority, mentioning that explanation of the said employee was not found to be satisfactory and that it
has been decided to hold an enquiry against him/her. Competent Authority can mention the name of the
Enquiry Officer appointed. Competent Authority may also decide, as to whether the said employee needs
to be suspended, during the enquiry, and pass necessary order, to that extent, if required.
3. Issue Charge sheet along with a) imputation of Charges b) List of Documents c) List of Witnesses d)
copies of all the above documentation asking his/her explanation that why departmental inquiry should
not initiated against him/her.
4. Receive reply/ explanation.
5. If explanation is not satisfactory, issue letter informing him/her about initiation of inquiry along with the
name of the inquiry officer and Management Representative (Presenting Officer)
6. Issue Appointment Letter to Inquiry officer along with copy of charge sheet, imputation of charges, list of
witnesses, list of documents & relevant documents as annexure to appointment letter. Copy of the
appointment letter to be given to delinquent employee (DE).
7. Issue Appointment letter to presenting officer along with copy of appointment letter of inquiry officer. Copy
of the appointment letter to be given to DE.
8. Later on the inquiry officer shall conduct the inquiry & submit the inquiry report to the disciplinary
authority.
9. If none of the charges are proved, the disciplinary authority shall issue an order of exoneration.
10. If all or partial charges are proved then the competent authority shall decide the quantum of punishment
as per the charges proved and the appropriate punishment provided in the service rules.
11. Post completion of the enquiry, copy of the report be supplied to the employee, by the Disciplinary
Authority, calling upon the employee to explain as to why the said enquiry report be not accepted and
punishment, as may be attracted in the case, be not imposed on him/her.
12. On receipt of reply, the competent authority shall consider the say and issue the appropriate order.
13. The disciplinary authority shall issue the order of punishment to the DE.
14. The DE has right to appeal to the appellate authority against the order of punishment for reconsideration.
The appellate authority for non-teaching staff shall be Vice Chancellor, DMIMS (DU) and for teaching staff
it shall be Board of Management.
15. The appellate authority shall hear the say of the DE and take appropriate decision either to uphold the
decision of the competent authority or to set aside the decision and reduce/ waive off the punishment.

NOTE :Care needs to be taken that all the show cause notices and orders are passed by the
Disciplinary Authority, otherwise, it can be successfully challenged by the employee before the courts.

SAMPLE FORMAT
Ref : JNMC/20-21/…….. Date :____________

To,
Mr./Mrs./Ms/_____________
__________________(desgn.)

J. N. Medical College, Sawangi (M), Wardha

MEMO

You are working as _____________________ at JNMC. You are responsible for

________________________________

It was brought to my notice that, _________________________(specific incidence to be mentioned)

Whereas, you have not taken any cognizance of the orders of the superior and exhibited disobedience,
negligence, carelessness & insubordination to the higher authority. (specific misconduct as per service
rule to be mentioned)

Such careless & negligence act as stated above is of serious nature and, when proved, will make you
liable for severe disciplinary action.(consequences to be mentioned)

You are hereby directed to submit your explanation within 48 hrs. from the receipt of this letter as to
why an appropriate action should not be taken against you. Should you fail to submit your explanation
within the stipulated time, it will be presumed that you admit the charges and have no explanation to
offer and further disciplinary action as deemed appropriate will be taken against you in accordance with
law.

Dean
J.N. Medical College
Sawangi (M), Wardha

SAMPLE FORMAT
Ref : MGACHRC/20-21/…….. Date :_________

To,
Mr. ____________________
___________________(Desgn.),
M.G. Ayurved College, Hospital & R.C.,
Salod (H), Wardha

Warning Letter

You are working as ____________________ at MGACH & RC. You were issued with memo
dated______ and subsequently your reply/explanation was received on ______.

The reply/ explanation submitted by you is not satisfactory. The gravity of misconduct committed
by you is such that it warrants severe punishment. However, ongoing through your past record and
considering the nature of the misconduct committed by you, it has been decided as a generous gesture
not to inflict upon you any severe punishment, but to let you off with a Warning.

You are, hereby, warned that should you be found guilty of similar or any other misconduct in
future, we will not hesitate from inflicting upon you the major punishment, if so warranted by the facts
and circumstances of the case.

Principal

Cc to:

1. The Registrar, DMIMS(DU), Nagpur

2. The Chief Co-ordinator, DMIMS
3. OSD, DMIMS

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SAMPLE FORMAT

Ref : DMIMS/20-21/…….. Date :_________

To,
Mr./Ms._______________________
Desg.____________________
S.R.M.M. College of Nursing,
Sawangi (M), Wardha

STERN WARNING LETTER

With reference to Show-cause Notice Ref. No. DMIMS/20-21/____ dated ____ issued to you
and your subsequent explanation dated _____________, accepting the mistake & negligence on your
part.
You have committed an act of deliberate deceptiveness, fallaciousness and wilfulmisleading of
authorities.The gravity of misconduct committed by you is such that it warrants severe punishment.
However, ongoing through your past record and considering the nature of the misconduct committed by
you, and also in consideration of the fact that you have apologized and assured that you will not act in
any way prejudicial to the interest of discipline, it has been decided as a generous gesture not to inflict
upon you any severe punishment, but to let you off with a Stern Warning.
We hope that you will appreciate the generosity shown to you by displaying better conduct on
your part in future.
We must, however, strictly warn you that, should you be found guilty of similar or any other
misconduct in future, we will not hesitate from inflicting upon you the major punishment, if so warranted
by the facts and circumstances of the case.
Chief Co-ordinator
DMIMS, Sawangi (M)

Copy to :
1. Principal, SRMMCN

SAMPLE FORMAT

CONFIDENTIAL

Ref : DMIMS/20-21/…….. Date : _______

To,
Mr./ Ms. __________________
(Desgn.)_________________
JNMC
Sawangi (M), Wardha

CAUTION LETTER

You have been assigned the overall responsibility to look after the functioning of ________ You
need to supervise the ____________ and other aspects related to __________________.

During the recent MIS dated ______, the information presented to the higher authority by the
_________ section, was completely wrong & misguiding. You as a monitoring authority should have
verified the information/data prior to presenting before the higher authority.

It was also brought to my notice that you have changed the established system
______________________. This is in contradiction to the laid down procedure. Due to which,
institution has incurred lots of financial loss.

The act stated above is indicating that you have misleaded &deceived the authorities by your
act of negligence, casual approach & irresponsible attitude.

This is an informal, non-disciplinary letter issued to you todocument a verbal warning or to

caution you from engaging in a specific, undesirable behavior as stated above, the repetition of which
could lead to formal disciplinary action.
 Ibelieve the nature of your unacceptable performance is sufficient to cause me toconclude that
you did not meet a reasonable standard of conduct as an employee of DMIMS (DU), thus warranting
this written reprimand.

Chief Co-ordinator

SAMPLE FORMAT

Ref. No. AVBRH/2010-11/ Date : _______________

To,
______________________
X-Ray Technician
AVBRH, Sawangi (M)

SHOW CAUSE NOTICE

You are working as a X-Ray Technician in the department of Radio-diagnosis & Imaging at Acharya
Vinoba Bhave Rural Hospital, Sawangi (M), Wardha.

On 02/12/2010 at about 3.00 p.m. one female patient Ms. ________________ Aged 30 years was
referred for Lumber Spine Radiography from Orthopedic Out Patient Department (OPD). You were on duty
during that shift and Mr. ________________, a first year B.Sc.M.I.T. student was posted for radiography training
under your supervision. As a senior and trained technician, it was your duty to do the radiography of the patient.
Whereas on enquiry it was found that instead of performing your duty, you have asked Mr. ________________,
1st year B.Sc.M.I.T. student to do the radiography independently. 1 st year B.Sc.M.I.T. student is not expected to
do the radiography independently and he is not trained to do the radiography of spine in flexion & extension
position.

Ms. ________________ & her relatives have made a written complaint about the molestation of the
female patient by Mr. __________________, a first year B.Sc.M.I.T. student, while doing the radiography.

The above act of molestation of female patient by the student working under your supervision and his
outrageous behavior towards the modesty of woman, has happened due to your negligence & carelessness, as
you have thrown your responsibilities on untrained & unskilled student independently.
 You have shown gross negligence and carelessness towards your professional duties and
responsibilities.

As per the repetitive instruction of the departmental head, radiography of a female patient must be
done in presence of a female attendant or relative of the patient. You have not ensured the same and have
shown insubordination, disobedience & intentional contemptuous attitude toward good orders of the
superior and non compliance of the professional ethical code.

You have willfully and intentionally shouldered off your responsibility to the untrained & unskilled
student.

You were absent from the place of duties namely X-Ray room at the time of radiography of the above
patient.

Your such indiscipline, negligent and intentional behavior has defamed the hospital reputation.

The above mentioned charges are of very serious nature and, when proved, will make you liable for
severe disciplinary action including dismissal from service. You are hereby called upon to show cause within 72
hours from the receipt of this charge-sheet as to –

 Why an appropriate action should not be taken against you?

 Why criminal case should not be logged against you for creating harmful situation of
molestation of a woman?

Should you fail to submit your explanation within the stipulated period, it will be presumed that you
admit the charges and have no explanation to offer and further disciplinary action as deemed appropriate will be
taken against you in accordance with law.

Chief Medical Superintendent

Acharya Vinoba Bhave Rural Hospital
Sawangi (M), Wardha