Issuing Administrative Warning - Procedure
A warning is an administrative measure, and can be tendered by the administrative authority to whom the employee reports or any higer-level authority. It is an implied message to alert the employee and to point out that what he has committed (the improper act or under-performance for which he has been warned) is looked down with concern and displeasure and if he were not to improve and avoid such deficiency in attitude or performance, sterner measures would follow. A warning thus carries a two-fold message. It is a rebuke, but a milder one, initially accompanied with a stern signal that harsher measures would follow if the mistake were to be repeated again. The purpose is not to serve as a forerunner for subsequent punishments, but to act as a preventive measure to set right negative growth in the employee. The test for the efficacy of a warning is that after its issue there must result a perceptible improvement in the employee's performance.Warning should thoug ht of as a tool of correction with the inbuilt element of a shock treatment. It is not a punishment or intended to condemn the employee.
Warning should not be given to very sensitive employees, who are in their own level have to control still junior employees. For this cadre, a mere message conveying disappointment or displeasure will serve the same purpose. For employees entrusted with more responsible work depending on their knowledge and expertise, warning should not be tendered, but an advice to "be more careful in future" or a note of "Caution" to be given. Overall warning in whatever form it is conveyed should be aimed as a correctional measure intended to wean away and reverse the movement of the employee towards an imminent deterioration in performance or attitude. On the other hand in respect of incorrigible employees warning is the initiation as a long rope for eventual follow-up of more harsh punishments.
How to draft such letters. Address the employee mention the specific lapse stating date, time and place. Point out that he has deviated from the code of regulations. Mention that as a lenient measure he is being warned this time. Advice him to improve his performance. It should be brief and confined to the subject matter, but the employee must clearly know his lapse. He must be asked to acknowledge.
But before issuing such a letter the employees point of view must be considered. It should not be one-sided. It will be called "Objective" if we first conveying the lapse of the employee in writing or orally and seek his explanation/comments and then issue the warning.
For more information please refer to my website, the particular web page dealing with CVC Guidelines - Administrative Warning listing thed guidelines of CVC about issuing "Administrative Warning" and "Displeasure of Government (albeit Management)" and about "issuing Caution or advice to be more careful" in place of Censure".
Censure is the same but by way of a formal punishment. It is a quasi-judicial process. It is tendered only by the authority designated as "Disciplinary Authority" for the particular cadre of employees.
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Can Disciplinary Proceedings be Instituted against Retired Officers of Government/PSB?
CCS (CCA) Rules or DA Regulations of PSBs are applicable only in respect of officers while in service. They cease to be applicable once an officer retires from service either on reaching the age of superannuation or otherwise. However Departmental Proceedings can be instituted before retirement (just a few days prior to retirement) by serving the charge sheet and oral inquiry proceedings can be continued and completed after retirement.
Provisions of the prevention of corruption act, 1988 can be invoked by CBI/CVC in the case of officers after their retirement, and they could be prosecuted for detected offences committed by them, provided the alleged offence was committed by them while in service.
Though CCS(CCA), PNB (DA)Regulations etc. are not applicable to retired officers, they are governed by respective Pension Rules/Regulations applicable to them. Specific provisions in these Rules/Regulations enable the employer to institute disciplinary proceedings following the procedure outlined in CCS(CCA) Rules or Banks' DA Regulations, as the case may be. Such an action against Government civil servants can be instituted under Rule 9 of Central Civil Services (Pension) Rules in respect of "grave misconduct". The text of Rule 9 is quoted as under:-
Central Civil Services (Pension) Rules, 1972 (Rule No.9)
Right of President to withhold or withdraw pension:
The President reserves to himself the right of withholding or withdrawing pension or part thereof, whether permanently or for a specified period, and of ordering recovery from pension of the whole or part of any pecuniary loss caused to the Government, if, in any departmental or judicial proceedings, the pensioner is found guilty of grave misconduct or negligence during the period of his service, including service rendered upon re-employment after retirement:
Provided that the Union Public Service Commission shall be consulted before any final orders are passed:
Provided further that where a part of pension is withheld or withdrawn, the amount of such pension shall not be reduced below the amount of rupees sixty per mensem.
The departmental proceedings referred to in sub-rule (1), if instituted while the Government servant was in service whether before his retirement or during his re-employment, shall, after the final retirement of the Government servant, be deemed to be proceedings under this rule and shall be continued and concluded by the authority by which they were commenced in the same manner as if the Government servant had continued in service: Provided that where the departmental proceedings are instituted by an authority subordinate to the President, that authority shall submit a report recording its findings to the President.
The departmental proceedings, if not instituted while the Government servant was in service, whether before his retirement or during his reemployment-
shall not be instituted save with the sanction of the President, shall not be in respect of any event which took place more than four years before such institution, and shall be conducted by such authority and in such place as the President may direct and in accordance with the procedure applicable to departmental proceedings in which an order of dismissal from Government service could be made in relation to the Government servant during his service. No judicial proceedings, if not instituted while the Government servant was in service, whether before his retirement or during his reemployment, shall be instituted in respect of a cause of action, which arose, or in respect of an event which took place, more than four years before such institution. In case of Government Servant who has retired on attaining the age of superannuation or otherwise and against whom any departmental or judicial proceedings are instituted or whose departmental proceedings are continued under sub-rule (2) a provisional pension as provided in Rule 69, shall be sanctioned. Where the President decides not to withhold or withdraw pension but orders recovery of pecuniary loss from pension, the recovery shall not ordinarily be made at a rate exceeding one-third of the pension admissible on the date of retirement of a Government servant for the purpose of this rule, -
departmental proceedings be deemed to be instituted on the date on which the statement of charges is issued to the Government servant or pensioner, or if the Government servant has been placed under suspension from an earlier date; and judicial proceedings be deemed to be instituted-
in the case of criminal proceedings, on the date on which the complaint or report of police officer, of which the Magistrate takes cognisance, is made and in the case of civil proceedings, on the date the plaint is presented in the Court.
Parallel Provisions in P.N.B.(Employees') Pension Regulations, 1995
Regulations 42 to 49
Chapter IX - General Conditions
Pension subject to future good conduct (Rule 42):
Future good conduct shall be an implied condition at every grant of pension and its continuance under these regulations. Withholding or withdrawal of pension:
The competent authority may, by order in writing, withhold or withdraw pension or a part thereof, whether permanently or for a specified period, if the pensioner is convicted of a serious crime or criminal breach of trust or forgery or acting fraudulently or is found guilty of grave misconduct.
Provided that where a part of the pension is withheld or withdrawn, the amount of such pension shall not be reduced below the minimum pension per mensem payable under these regulations. Conviction by Court:
Where a pensioner is convicted of a serious crime by a Court of Law, action shall be taken in the light of the judgement of the court relating to such conviction. Pensioner guilty of grave misconduct:
In a case not falling under regulation 44 if the Competent Authority considers that the pensioner is prima facie guilty of grave misconduct, it shall, before passing of order, follow the procedure specified in Punjab National Bank Officer Employees'(Discipline and Appeal) Regulations, 1977 or in Settlement as the case may be. Provisional Pension
An employee who has retired on attaining the age of superannuation or otherwise and against whom any departmental or judicial proceedings are instituted or where departmental proceedings are continued, a provisional pension equal to the maximum pension which would have been admissible to him, would be allowed subject to adjustment against final retirement benefits sanctioned to him, upon conclusion of the proceedings but no recovery shall be made where the pension finally sanctioned is less than the provisional pension or the pension is reduced or withheld etc either permanently or for a specified period. In such cases the gratuity shall not be paid to such an employee until the conclusion of the proceedings against him. The gratuity shall be paid to him on conclusion of the proceedings subject to the decision of the proceedings. Any recoveries to be made from an employee shall be adjusted against the amount of gratuity payable.
Explanatioon. In this chapter,
the expression 'serious crime' includes a crime involving an offence under the Official Secrets Act, 1923 (19 of 1923); the expression "grave misconduct" includes the communication or disclosure of any secret official code or password or any sketch, plan, model, article, note, document, or information, such as is mentioned in Section 5 of the Official Secrets Act, 1923 (19 of 1923) which was obtained while holding office in the Bank so as to prejudicially affect the interests of the general public or the security of the State; the expression "fraudulently" shall have the meaning assigned to it under section 25 of the Indian Penal Code, 1860(45 of 1860); the expression "criminal breach of trust" shall have the meaning assigned to it under Section 405 of the Indian Penal Code, 1860 (45 of 1860); the expression "forgery" shall have the meaning assigned to it under Section 463 of the Indian Penal Code, 1860 (45 of 1860). Commutation of pension during departmental or judicial proceedings:
An employee against whom departmental or judicial proceedings have been instituted before the date of his retirement or a person against whom such proceedings are instituted after the date of his retirement shall not be eligible to commute a fraction of his provisional pension, or pension, as the case may be, authorized under these regulations during the pendency of such proceedings. Recovery of Pecuniary Loss caused to the Bank
The Competent Authority may withhold or withdraw a pension or a part thereof, whether permanently or for a specified period and order recovery from the pension of the whole or part of any pecuniary loss caused to the Bank if in any departmental or judicial proceedings the pensioner is found guilty of grave misconduct or negligence or criminal breach of trust or forgery or acts done fraudulently during the period of his service; Provided that the Board shall be consulted before any final orders are passed;
Provided also that no departmental or judicial proceedings, if initiated while the employee was in service, shall, after the retirement of the employee, be deemed to be proceedings under these regulations and shall be continued and concluded by the authority by which they were commenced in the same manner as if the employee had continued in service;
Provided also that no departmental or judicial proceedings, if not initiated while the employee was in service, shall be instituted in respect of a cause of action which arose or in respect of an event which took place more than four years before such institution.
Where the competent authority orders recovery of pecuniary loss from the pension, the recovery shall not ordinarily be made at a rate exceeding one-third of the pension admissible on the date of retirement of the employee;
Provided that where a part of the pension is withheld or withdrawn, the amount of pension drawn by a pensioner shall not be less than the minimum pension payable under these regulations Recovery of Bank's dues:
The Bank shall be entitled to recover the dues to the Bank on account of housing loans, advances, licence fees, other recoveries and recoveries due to staff cooperative credit society from the commutation value of the pension or the pension or the family pension.
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