Disciplinary Procedure for Employees

15. Disciplinary Proceedings

1. Every employee must maintain absolute integrity, show devotion to duty, and do nothing unbecoming of a University employee.
2. Breach of bye-laws/regulations, negligence, inefficiency, indolence, acting against University interests or instructions, breach of discipline, or misconduct is punishable.
3. The Tamil Nadu Civil Services (Discipline & Appeal) Rules apply mutatis mutandis for guidance.
4. Disciplinary authority powers rest with the appointing authority; Appellate Authority powers with the next higher authority — in order of precedence: BoM, Vice-Chancellor, Registrar.
5. For teachers/staff above Assistant Registrar cadre: VC is disciplinary authority, BoM is appellate authority.
6. For technical/other non-teaching staff: Registrar is disciplinary authority, VC is appellate authority.
7. Tamil Nadu Civil Services (Discipline & Appeal) Rules apply as amended from time to time.
8. Communicating University matters directly to higher authorities (bypassing channels) is subject to disciplinary action.

15.1 Misconduct

Acts/omissions constituting misconduct include (non-exhaustive):

1. Willful insubordination/disobedience of lawful orders.
2. Participation in illegal/unjustified strikes.
3. Willful work slowdown.
4. Theft, fraud, or dishonesty regarding SRMIST/employee property.
5. Bribery or illegal gratification.
6. Habitual absence, or unauthorized absence >3 consecutive working days.
7. Frequent/habitual late attendance.
8. Habitual breach of standing orders/applicable laws/rules.
9. Unauthorized collection of contributions.
10. Unauthorized trade within the establishment.
11. Drunkenness, disorderly/indecent behavior, abusive language, threats, intimidation, assault, or subversive conduct.
12. Acts subversive of SRMIST discipline (within or outside premises, connected to work).
13. Habitual negligence.
14. Habitual breach of maintenance/cleanliness rules.
15. Willful or negligent damage to work/property.
16. Unauthorized meetings within the establishment.
17. Unauthorized disclosure of confidential processes/interests.
18. Gambling within SRMIST.
19. Smoking within SRMIST.
20. Failure to observe safety instructions/precautions; interference with safety devices.
21. Unauthorized other employment while employed at SRMIST.
22. Sleeping during working hours.
23. Loitering/idling/wasting time; unauthorized presence after hours.
24. Marking another's attendance (proxy).
25. Marking attendance/marks for monetary benefit.
26. Police "bad character" record or criminal conviction involving moral turpitude.
27. Unauthorized private work using Institute tools/materials.
28. Unauthorized distribution/display of handbills, posters, signs.
29. False, vicious, malicious statements against the Institute/members/employees.
30. Willful falsification/defacement/destruction of records.
31. False/misleading statements or misrepresentation at time of employment.
32. Unauthorized possession of weapons.
33. Failure to report machinery/equipment damage or defects.
34. Refusal to undergo required medical examination (infectious disease context).
35. False leave applications/absence ratification.
36. Running chit funds/loan schemes within the establishment.
37. Squatting/remaining to intimidate/coerce/threaten Management or fellow workers.
38. Shouting slogans within the establishment.
39. Spitting in the establishment.
40. Refusal to leave premises at end of duty hours.
41. Refusal to wear/show the identity card.
42. Willful wastage of water/electricity.
43. Threatening any employee (alone or with others/outside agency).
44. Willful misuse of amenities.
45. Gaining premises access by impersonation or fake ID/certificates.
46. Conduct endangering life/safety of others.
47. Habitual overstaying of sanctioned leave, or leaving premises when leave is refused.
48. Refusal to receive charge sheet/lawful communications.
49. Malicious statements against the Institute/Officers via any medium (verbal, print, electronic, online).
50. Lending/collecting money or canvassing loans.
51. Sexual harassment.
52. Contesting local-body elections or engaging in political activities.
53. Consumption/possession of alcohol/narcotics.
54. Bringing disrepute to SRMIST directly or indirectly.

15.2 Procedure to be Followed in Conducting Enquiries

1. Introduction

These provisions don't apply to Internal Complaints Committee proceedings under the Sexual Harassment Act, 2013, except where specifically stated.

2. Misconduct

• Any deviation from the Code of Conduct in the HR Manual is misconduct, punishable per the manual.
• Misconduct within/at the precincts of the Institute is actioned; misconduct outside premises with a direct nexus to employment is also actioned.

3. Charge Memo

• Disciplinary action begins with a Charge Memorandum outlining the misconduct.
• Provided in vernacular if the employee isn't conversant in English; issued by the Registrar, Dean, or duly authorized officer.
• If charges aren't admitted or the reply is unsatisfactory, an enquiry is conducted; the employee is notified in writing of the Enquiry Officer/Committee, date, and venue (normally within Institute premises).
• Right of representation: Employees generally don't have the right to legal counsel or a co-employee/outsider representative, except in exceptional (recorded) circumstances.

4. Enquiry Officer/Committee

• Disciplinary Authority appoints an Enquiry Officer senior in rank to the delinquent employee.
• Principles followed: no one judges their own cause; no one condemned unheard; the one who hears must decide.
• The Enquiry Officer's role is fact-finding — determining whether charges are proved, not judging like a court.

5. Presenting Officer

• Authorized by the Disciplinary Authority; produces witnesses/documents for the Institute.
• If the Presenting Officer is legally qualified, the accused employee may also engage a lawyer.

6. Evidence

• Involves chief examination and cross-examination of Management witnesses, and examination of the accused's witnesses (including self-examination by the Presenting Officer).
• Presenting Officer furnishes a document/witness list before the enquiry begins (additional lists as needed).
• Presenting Officer examines witnesses first; the accused may cross-examine.
• Strict Indian Evidence Act rules don't apply, but logically probative material is admissible; basic evidence principles still hold. Witnesses examined in the accused's presence.
• Statement copies furnished to the delinquent on the enquiry day itself.
• Enquiry Officer's conclusions must be based on material presented.

7. Ex-parte Proceedings

• If Charge Memo/enquiry notices are refused, disciplinary action proceeds ex parte.
• Notices sent by registered/speed post to last known address; postal endorsements like "refused to receive" or "intimation given — not collected" count as sufficient service; "left without notice" alone doesn't.
• Notice also pasted at a conspicuous place and published in a daily newspaper (preferably vernacular too) circulating in the delinquent's last known area.
• If still no response, enquiry proceeds ex-parte; sufficient adjournment opportunities given if the delinquent goes "incognito."

8. Enquiry Report

1. The Enquiry Officer submits findings on charges/evidence; doesn't suggest punishments.
2. The disciplinary authority may reach a different conclusion (if evidence supports it, even if overlooked by the Enquiry Officer) with sound, documented reasoning in the show-cause notice.

9. Multiple Proceedings

For habitual misconduct across multiple instances, proceedings may run simultaneously.

10. Show Cause Notice

1. After the Report & Findings, a show-cause notice is issued with a copy of the report furnished to the delinquent (non-furnishing violates natural justice and voids the final order).
2. Furnished even if not requested.

11. Domestic Enquiry & Criminal Trial

1. Where misconduct is also a penal offense, criminal action may proceed alongside.
2. Disciplinary and criminal action shouldn't run simultaneously.
3. Domestic enquiry may be deferred pending criminal proceedings (different proof standards apply); criminal acquittal doesn't bar departmental proceedings.

12. Suspension

1. Registrar (or authorized officer) may suspend an employee in writing when disciplinary/criminal proceedings are contemplated/pending, with reasons supplied; subsistence allowance paid per the Tamil Nadu Payment of Subsistence Allowance Act, 1981.
2. If found guilty after enquiry, punishment order passed after reasonable opportunity to represent on the proposed penalty.
3. Dismissal/termination orders deem the suspension period as loss of pay (subsistence allowance already paid isn't recovered).
4. Registrar (appointing authority) is competent to initiate disciplinary action.
5. If not guilty, the suspension period is deemed on-duty with full wages/salary.
6. Registrar considers gravity and extenuating/aggravating circumstances when awarding punishment.
7. Registrar's order communicated by RPAD.
8. Registrar is the punishing authority for minor/major punishments; may vary Enquiry Officer's findings based on evidence.
9. VC is the appellate authority for Registrar's punishments.
10. Registrar may place any employee under suspension if deemed fit.
11. Employees may make representations before penalty imposition; a show-cause notice precedes major penalties.

13. Punishments

Minor: (i) Censure (ii) Fine (iii) Stoppage of increment (with or without cumulative effect)

Major: (iv) Withholding of promotion (v) Demotion to a lower post/pay scale/stage (vi) Dismissal from service (vii) Removal from service