Disciplinary Procedure

Module 4

Discipline

Meaning Definition Aspects Objectives Constructive programme Red hot stove rule

Discipline

Objective To increase and maintain business efficiency ( Most economical and optimum utilisation of various resources including human resources) Need for Disciplinary measures To maintain peace To prevent anarchy To regulate behavior of people (in an organisation) To hold the pieces together Ensure equal treatment to all employees Efficient two way communication Encourage cooperation and build team pride

Meaning - Discipline

Orderliness Strict and technical observance of rigid rules and regulations Working, cooperating and behaving in a normal and orderly way From Websters dictionary It is training that corrects, moulds, strengthens or perfects It is control gained by enforcing obedience It is punishment or chastisement

Definition -1

Defined as a force that prompts individuals or groups to observe the rules and regulations and procedures which are deemed to be necessary for the effective functioning of an organisation

Definition -2

Discipline is the orderly conduct of affairs by the members of an organisation, who adhere to do necessary regulations because they desire to cooperate harmoniously in forwarding the end which the group has in view, and willingly recognise that. To do this their wishes must be brought into a reasonable unions with the requirements of groups in action Ordway Tead

Aspects of Discipline

Positive Aspect

Constructive Discipline or Self Discipline Takes place whenever organisation climate is good (Adequate payment, Career advancement, Appreciation, recognition) Motivating environment

Aspects of Discipline

Negative aspect

Corrective approach or punitive approach

Autocratic approach ( Subordinates have no role in framing rules) Employees are forced to observe rules and regulations on account of fear or reprimand, fine, demotion or transfer

Demotivating climate - Not helpful for the accomplishment of group goals and for enhancing the morale on employees

Objectives

To obtain a willing acceptance of the rules and regulations and procedures of an organisation so that organisation goals may be attained To impart an element of certainty despite several difference in informal behaviour patterns and other related changes in the organisation To develop among the employees a spirit of tolerance and a desire to make adjustments To give and seek direction and responsibility To create an atmosphere of respect for the human personality and human relations To increase the working efficiency and morale of the employees so that their productivity is stepped up the cost of production improved

Constructive programme of discipline

To promote harmonious industrial relations Essential elements

Formulation of set of clear and reasonable rules, carefully publicised and administered Impartial enforcement of these rules by means of announced warnings and penalties, corrective in purpose, proportionate and uniform in their application Supervisory leadership that is uniformed on disciplinary rules and procedures, but firm in the handling of disciplinary matters, and itself, a good example for employee behaviour An impartial and uniform procedure for investigation of apparent infractions, whose procedure is subject to review by higher levels of management and includes a system of appeal against disciplinary decisions that are considered just

The Red Hot Stove Rule

By Douglas McGregor When one touches a hot stove

The burn is immediate He had warning. When the stove was red hot, he knew what would happen if he touched it The effect is consistent. Everyone who touches a red hot stove gets burned The effect is impersonal. A person is burned not because of who he is but because he touched the hot stove

Indiscipline

Means disorderliness, insubordination and not following the rules and regulations Symptoms

Change in the normal behaviour, absenteeism, apathy, go slow at work, increase in number and severity of grievances, persistent and continuous demand for overtime allowance, lack of concern for performance etc.

Causes of Indiscipline

Parties responsible for indiscipline TU and management Trade unions

Politicised TU leadership Intra union rivalry and inter union rivalry Deliberate delay in discipline procedure Concealed penalties such as transfer to an inconvenient place at a short notice Maintenance of confidential reports Withholding of pay and level of Level of sincerity, honesty and commitment of superiors

Management tactics

Approaches to Discipline

Human Relations Approach

Dealt with the view point of values, aspirations, problems, needs, goals etc. Helped to correct his deviations
Dealt by considering the failure in the areas of development, maintenance and utilisation of human resources Sets the standards for discipline and punishments for deviations Every superior administers the rules of discipline and guides, trains and controls the subordinates regarding disciplinary rules Dealt on the basis of legislation and court decisions

Human Resources approach

Group discipline approach

The leadership approach

The judicial approach

Principles of a Natural Justice

The principles indicated by the Supreme Court for proceeding against a delinquent employee These include

The delinquent employee must be indicated in unambiguous terms about the charge leveled against him The delinquent employee must be given an opportunity for conducting his defence i.e., by cross examination of the witnesses The enquiry should be fair and the enquiry officer should be impartial The evidence should be put forward in the presence of the employee charged Punishment should be proportionate to the misconduct committed

Industrial Employment Act (Standing Orders) Act 1946

The establishment covered by the act can have their own standing orders certified by the state Labour commissioner or certifying officer These standing orders define acts and omissions which amount to misconduct are required to be in conformity with the model Standing Orders framed by the respective State Governments The Model Standing Orders under the Bombay Industrial Employment Rules 1959, specify the acts and omissions as misconduct for which the charged employee can be punished

Omission and Misconduct

Willful insubordination or disobedience of any lawful and reasonable order of the superior Going to illegal strike Willful slowing down of the work Theft, fraud or dishonesty in connection with the employers business or property or theft of the property of another worker within factory premises Taking or giving bribes Habitual absence without leave for more than 10 consecutive days or overstaying the sanctioned leave without adequate grounds or satisfactory explanation Late attendance

Omission and Misconduct

Habitual breach of any standing order or any law applicable to the establishment Collection with the consent of the manager any money within the premises of the establishment except as sanctioned by law for the time being in force Engaging in trade within the premises of the establishment Habitual neglect of the work Canvassing for union membership except in accordance with any law or with the permission of manager Wilful damage to work in process or to any property of the establishment Disclosing about the process of the establishment to any unauthorised person

Omissions and Misconduct

Gambling within the establishment Smoking or spitting on the premises of the establishment Failure to observe the safety instructions notified by the employer Refusal to accept a charge sheet Order to other communication served in accordance with these standing orders Unauthorised posession of any lethal weapon in the establishment

No act or misconduct committed less than 3 occasions within a period of one year shall be treated as habitual

Disciplinary Procedure

Issuing a letter of charge to the employee calling upon him for explanation Consideration of the explanation Show cause notice Holding of a full fledged enquiry Considering the enquiry proceedings and findings and making final order of punishment Followup

Disciplinary procedure

Where an industrial dispute relating to the discharge or dismissal of a workman has been referred to a labour court, tribunal as the case may be, is satisfied that the order of discharge or dismissal as the circumstances of the case may require, provided that in any proceedings under the section the labour court, tribunal or national tribunal as the case may be , shall rely only on the materials on record and shall not take any fresh ordinance in relation to the matter - Section 11-A of Industrial Disputes Act 1947, Amendment in 1971

Intervention by a Tribunal

When there is a want of good faith When there is victimisation or unfair labour practices are used When management has been guilty of a basic error or violation of a principle of natural justice When findings are baseless and perverse

The tribunal can exercise the right to consider the case

Types of Punishment

Oral warnings Written warnings Loss of privileges and fines Punitive suspension Withholding of increments Demotion Termination

Discharge and Dismissal

Dismissal

When the conduct of an employee is deemed to be incompatible with the faithful discharge of his duties and undesirable or against the interest of the employer to continue him in employment Extreme Kind of Punishment An employer terminates the employment either by giving agreed advance notice or by paying money in lieu of such notice

Discharge

Discharge simpliciter

Termination of service of an employee may not be on account of his misconduct but may be for certain other reasonswhich do not cast or slur on him In sucha case, if the employee challenges the employers bonafides, the employer must prove them

The Role of Personnel Manager/ Supervisor

Advising and assisting top and line management in determining and developing an appropriate disciplinary procedure Assisting in communication the same to all employees of the organisation Seeing that the disciplinary policy conforms to the legal provisions of the state Looking after the procedures laid down Looking after the disciplinary action as fair and conforms with appropriate principles of personnel management

Role of personnel Manager/ Supervisor

Training the supervisors and executives in dealing with disciplinary cases and problems Involving the TU and the employees in determining and implementing disciplinary procedures Development of self-discipline and self-control on the part of the employees and winning over the confidence of employees in disciplinary procedures and policies

Guidelines for creating a Climate for Discipline

Clearly laid down rules, Regulations and procedures Impartial decisions and consistent enforcement of rules Select and award right punishment Verify the past records of the offender consider the precedents Make sure that action corrects but not punishes Be sure that reprimand is necessary Be sure that the principle of just cause are observed

Principles of Effective Discipline

Personnel manager/ Supervisor should Have interest in the welfare of each employee View discipline as corrective measure Not take disciplinary action unless it is a must Not administer discipline on routine basis Have all the facts and circumstances Give a fair chance to the worker to defend himself Discover the employees mind Maintain consistency in disciplinary actions Admit his mistake willingly Resume normal attitude and behaviour towards the employee Have the audit over the entire action and situation to correct the employee