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Employee Misconduct &
Disciplinary Procedure
Krishantha Jayasundara
discipline is systematic instruction intended to train a person to follow a particular code of conduct or rule
What is discipline?
Preventive, Positive or Constructive Discipline (Proactive Measure)
Corrective or Punitive Discipline (Reactive Measure)
Types of Discipline
Self Discipline
Preventive or Constructive Discipline
Hot Stove Theory
Corrective or Punitive Discipline
Hot Stove Theory1. Warning 2. Instant Reaction3. Punishment Relevant to the gravity of the
offence4. Impersonality
Corrective or Punitive Discipline
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Corrective Discipline
Positive Approach
Negative Approach
Types of Corrective Discipline
Positive Approach
1. Sandwich Model2. Progressive Discipline-Reformation
Approach
Types of Corrective Discipline
Positive Approach
Sandwich Model
An undesirable behaviour is explained/ criticized to the employee in between two good behavioral manners
Types of Corrective Discipline
Types of Corrective Discipline
Your punctuality is good
However your work is not in arrears
But, Your absence without informing creates serious issues
Positive Approach
Progressive Discipline-Reformation Approach
Reforming the offender through punishment
The offender will not be given harsh punishments at the first instance
Types of Corrective Discipline
Positive Approach
Progressive Discipline-Reformation Approach
Reformation will be done with oral warnings
When the offence is repeated, harsh punishments will be given
Types of Corrective Discipline
Negative Approach
Punishment is focused on the employee Punishment is personal Based on the assumption that employees
shouldn’t make mistakes
Types of Corrective Discipline
Principles of Natural Justice (Listening to the other side of the story)
Principles of Discipline
Fairness to all parties
Principles of Discipline
Parity-punishment should be equal to the offence
Principles of Discipline
Bona-fide – disciplinary actions should be taken in good faith
Principles of Discipline
Mala-fide (disciplinary actions shouldn’t be initiated with ulterior motives)
Principles of Discipline
Requirement to avoid delays
Principles of Discipline
Equity
Principles of Discipline
To correct the behaviour of employees.
Why is discipline necessary?
To maintain peace and order in the organization.
Why is discipline necessary?
Set an examples to other by taking actions against wrong doers.
Why is discipline necessary?
For smooth functioning of the organization
Why is discipline necessary?
For productivity, effectiveness, efficiency, existence, growth, and success of the organization.
Why is discipline necessary?
Violation of the expected behaviour of the employee.
What is Misconduct?
Going against the accepted norms and behavioural rules.
What is Misconduct?
Violation of expressed or implied terms of employment.
Going against the accepted norms and behavioural rules.
What is Misconduct?
Terms clearly stated in the letter of appointment
Rules and regulations Duties and responsibilities
Expressed Terms
Terms that are not clearly stated The employees are supposed to know these
terms.
Implied Terms
Faithfulness and honesty
Implied Terms
Good performance at work
Implied Terms
Obedience
Implied Terms
Attendance to work and punctuality
Implied Terms
Respecting the employer
Implied Terms
Refraining from taking liquor and drugs while at work (treated as a major misconduct)
Implied Terms
Cleanliness
Implied Terms
Transferability
Implied Terms
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Types of Misconducts
Depends on
the tasks
The position held by the person
Nature of the business
Misconducts
Minor Misconducts
Major Misconducts
Types of Misconducts
Minor Misconducts
Acts of indiscipline which are not serious in nature
Result in simple disciplinary actions
Minor Misconducts
Absence without prior permission
Minor Misconducts
Being found straying from workplace without a reason
Minor Misconducts
Breaching any rule of instruction to be followed for the establishment of order and cleanliness
Minor Misconducts
Disregarding any notice in connection to smoking in a prohibited area
Minor Misconducts
Exceeding the stipulated time for meal intervals
Minor Misconducts
Failure to wear uniforms being on duty
Minor Misconducts
Late attendance
Minor Misconducts
Deserting workplace without permission
Minor Misconducts
Malingering - Avoiding duty or work by pretending to be incapacitated
Minor Misconducts
Wearing untidy or dirty uniforms
Major Misconducts
Acts of misconducts which are of serious nature
The gravity of punishment is really high
Major Misconducts
Abuse of power or authority for personal gains
Major Misconducts
Harming the reputation of the organization
Major Misconducts
Acting in collusion with competitors, suppliers, customers.
Major Misconducts
Assaulting, threatening, or causing bodily harm to anyone while on duty within the premises of the company
Major Misconducts
Insubordination Insubordination is the act of
willfully disobeying your superior. Refusing to perform an action that is
unethical or illegal is not insubordination. Refusing to perform an action that is not
within the scope of authority is not insubordination.
Major Misconducts
False allegations against superiors (False and groundless accusations)
Major Misconducts
Being found drunk and behaving disorderly in work place
Major Misconducts
Causing willful damage or sabotage to the work in progress or to the work place
Major Misconducts
Committing any criminal offence
Major Misconducts
Forgery and falsification of documents
Major Misconducts
Indecent behavior in the work place
Major Misconducts
Issue of unlawful instructions or orders to the subordinates
Major Misconducts
Theft
Major Misconducts
Fraud
Major Misconducts
Dishonesty
Major Misconducts
Misappropriation -The fraudulent (deceiving) appropriation of funds or property entrusted to your care but actually owned by someone else
Major Misconducts
Refusal to carry out essential or urgent work
Major Misconducts
Repetition of any minor offence
Major Misconducts
Sleeping while duty (watchers, security guards…etc)
Major Misconducts
Taking or giving bribes or gratification in the performance of duties
Major Misconducts
Go slow
Major Misconducts
Negligence of the responsibilities officers
Krishantha Jayasundara 76
Disciplinary Procedure
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Based on the gravity of the offence
For minor misconducts-verbal or written warnings
For major misconducts-proper disciplinary inquiry procedure
Disciplinary Procedure
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1.Preliminary Investigation
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1.Preliminary Investigation
Fact finding process.
The purpose is to determine whether a crime was really
committed
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1.Preliminary Investigation
There are no accused at this
stages but there may be suspects
Management appoints an impartial
officer to carry out the investigation
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2. Charge Sheet/Show Cause Notice
A letter or noticed issued by the management to the employee based on the preliminary investigation.
Charges against the employee
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2. Charge Sheet/Show Cause Notice
Brief description of the charge, date, time, place, incident…etc
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2. Charge Sheet/Show Cause Notice
Specify the time limit to reply
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2. Charge Sheet/Show Cause Notice
The charges to which the employee should provide written explanations
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2. Charge Sheet/Show Cause Notice
Opportunity for the employee to examine any documents
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2. Charge Sheet/Show Cause Notice
Actions to be taken, if no reply is received within the specific time period.
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3. Letter of Explaination
Employees reply to the show cause notice
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3. Letter of Explaination
Management can either accept it or reject it
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4. Domestic Inquiry
If the response is not satisfactory, the employer will move to the more formal domestic inquiry
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4. Domestic Inquiry
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4. Domestic Inquiry
Should be carried out as soon as possible following accusations of misconduct
All activities should be formalized and recorded in full.
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4. Domestic Inquiry
The investigating officers should be unconnected to the incident
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4. Domestic Inquiry
The employee should be given full opportunity to state their own case and present evidence in their favor.
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4. Domestic Inquiry
Union representatives or colleagues should be allowed to sit in during the process if the employer requests their presence
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4. Domestic Inquiry
Domestic inquiry is purely an information-gathering exercise
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4. Domestic Inquiry
The panel’s task is gathering the evidence (not making decisions over guilt or punishment)
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4. Domestic Inquiry
Their final report is sent to the relevant parties, often senior leaders, who then decide on the appropriate course of action.
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The Importance of Domestic Inquiry Procedure
Punishment without an inquiry implies an arbitrary order.
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The Importance of Domestic Inquiry Procedure
The principle of Natural Justice (informing the person of the charges and giving him an opportunity to explain.
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The Importance of Domestic Inquiry Procedure
To record the available evidence against the accused to prevent him from changing the story before a labor tribunal
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The Importance of Domestic Inquiry Procedure
Recorded evidence can be presented before the labour tribunal when the witness is out of reach
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The Importance of Domestic Inquiry Procedure
To maintain healthy industrial relations in the workplace
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5. Findings/Inquiry Report
The final report submitted to the management by the inquiring officer mentioning conclusions against each charge
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5. Findings/Inquiry Report
Findings must be based on evidence led at the inquiry
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5. Findings/Inquiry Report
The findings should specifically state whether the employee is guilty or not guilty
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5. Findings/Inquiry Report
Recommending punishment is not the role of the inquiring officer
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Accused
If found guilty
Punishment
If not found guilty
reinstatement
6. Decision of the Management
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6. Decision of the Management -Punishments
Oral Warnings-how to prevent the recurrence of committed misconduct in future.
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6. Decision of the Management -Punishments
Written WarningsWhen oral warnings fails to achieve the
desired behaviour.First step in progressive discipline
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6. Decision of the Management -Punishments
FinesRecovery of fines should be limited to 5%
of the wage earnedThe amount recovered should be credited
to a “Fund” for welfare facilities
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6. Decision of the Management -Punishments
TransfersChange of the location of work place
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6. Decision of the Management -Punishments
Suspension from DutyProhibiting the employee to enter the
workplace and perform his tasks over a period of time
Suspension
With Pay
Without Pay
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6. Decision of the Management -Punishments
Withholding of IncrementsRefraining from granting the due
incrementsWithholding of Increments
Stoppage of Increments
Deferring of Increment
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6. Decision of the Management -Punishments
Denial of Promotions for a specified Period
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6. Decision of the Management -Punishments
Dismissal or Termination of Service The highest punishment
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All the punishments should be communicated to the employee in
writing
THANK YOU FOR YOUR INTEREST!