Disciplinary ActionDisciplinary Action

DisciplineDiscipline

““Discipline is the force that prompts an Discipline is the force that prompts an

individual or a group to observe the individual or a group to observe the

rules, regulations, & procedures which rules, regulations, & procedures which

are deemed to be necessary to the are deemed to be necessary to the

attainment of an objective”attainment of an objective”

Aims & ObjectivesAims & Objectives

– To obtain willing acceptance of rules, To obtain willing acceptance of rules,

regulations & procedures so that goals regulations & procedures so that goals

are achievedare achieved

– To impart an element of certainty despite To impart an element of certainty despite

different behavioral patternsdifferent behavioral patterns

– Develop spirit of toleranceDevelop spirit of tolerance

– To provide directionTo provide direction

– To create an atmosphere of respectTo create an atmosphere of respect

– To increase working efficiencyTo increase working efficiency

Disciplinary ActionDisciplinary Action

““The means by which various procedures & The means by which various procedures &

techniques are used to bring about a controlled techniques are used to bring about a controlled

state of affairs”state of affairs”

Forms & Types of Disciplinary ActionForms & Types of Disciplinary Action

Self imposed/ Positive DisciplineSelf imposed/ Positive Discipline

Enforced/Negative DisciplineEnforced/Negative Discipline

Positive DisciplinePositive Discipline

– Involves creation of an attitude of mind & Involves creation of an attitude of mind &

organizational climate in which employees organizational climate in which employees

willingly conform to rules & regulationswillingly conform to rules & regulations

– Also known as co-operative, determinative or Also known as co-operative, determinative or

self discipline self discipline

– Principle of positive motivation Principle of positive motivation

Positive DisciplinePositive Discipline

– Leads to mutual respect, team spirit, respect Leads to mutual respect, team spirit, respect

for supervisors, willingness to cooperate …..for supervisors, willingness to cooperate …..

– Refers to rewards, appreciation, constructive Refers to rewards, appreciation, constructive

support, reinforcement of approved support, reinforcement of approved

personnel actions & behavior, incentive personnel actions & behavior, incentive

payments, promotions to motivate payments, promotions to motivate

employees to extend their cooperation to the employees to extend their cooperation to the

management & work willingly, effectively & management & work willingly, effectively &

competentlycompetently

Negative DisciplineNegative Discipline

– People forced or constrained to People forced or constrained to obey orders failing which they obey orders failing which they have to suffer penalties.have to suffer penalties.

– Also known as enforced, Also known as enforced, punitive, corrective, or punitive, corrective, or autocratic disciplineautocratic discipline

– Used when disregard orders, Used when disregard orders, indulge in anti social activities, indulge in anti social activities, or are negligent and do not or are negligent and do not respond to positive motivational respond to positive motivational techniquestechniques

Negative DisciplineNegative Discipline

– Involves use of techniques such asInvolves use of techniques such as

– ReprimandReprimand

– FinesFines

– Lay offsLay offs

– DemotionsDemotions

– TransfersTransfers

Positive & Negative disciplinePositive & Negative discipline

PointPoint Negative DisciplineNegative Discipline Positive DisciplinePositive Discipline

Concept It is adherence to established norms & regulations out of fear of punishment

It is the creation of a conducive climate in an organization so that employees willingly confirm to the established rules

Conflict Employees do not perceive the corporate goals as their own

There is no conflict between individual & organizational goals

Supervision Requires intense supervisory control

Employees exercise self control to meet organizational objectives

Approaches to DisciplineApproaches to Discipline

IncorrectIncorrect

PreventivePreventive

PositivePositive

Incorrect DisciplineIncorrect Discipline

Incorrect techniques used by Incorrect techniques used by

managersmanagers

– Punitive DisciplinePunitive Discipline

– Negative FeedbackNegative Feedback

– Late InterventionLate Intervention

– Labeling employees not behaviorLabeling employees not behavior

– Misplaced ResponsibilityMisplaced Responsibility

Preventive DisciplinePreventive Discipline

– Proactive approachProactive approach

– Selection – Congruence between employee goals Selection – Congruence between employee goals

& organizational goals& organizational goals

– Training & Development - To ensure good Training & Development - To ensure good

performance performance

– Communication – Of policies & proceduresCommunication – Of policies & procedures

– Constructive feedbackConstructive feedback

– Grievance redressal mechanismGrievance redressal mechanism

Positive DisciplinePositive Discipline

– Problem solving approachProblem solving approach– StepsSteps

1.1. Fixing responsibility for ensuring disciplineFixing responsibility for ensuring discipline

2.2. Communicating organizational policies, Communicating organizational policies,

procedures & rulesprocedures & rules

3.3. Communicate performance expectations & Communicate performance expectations &

penalties for violationpenalties for violation

4.4. Collect data about disciplinary violationCollect data about disciplinary violation

5.5. Administer Progressive disciplineAdminister Progressive discipline

6.6. Administer Corrective Counseling Administer Corrective Counseling

Acts of Indiscipline/ MisconductActs of Indiscipline/ Misconduct

– A misconduct is a transgression of some established & A misconduct is a transgression of some established &

definite rule which does not leave any discretion of definite rule which does not leave any discretion of

action to the employees.action to the employees.

– An act or conduct which is prejudicial to the interests of An act or conduct which is prejudicial to the interests of

the employerthe employer

– Disciplinary problems classified on the basis of the Disciplinary problems classified on the basis of the

severity of consequences which flow from themseverity of consequences which flow from them

– Minor infractionsMinor infractions

– Major infractionsMajor infractions

– Intolerable offencesIntolerable offences

Disciplinary problemsDisciplinary problems

– Minor infractionsMinor infractions

Cause little harm, in isolation has no serious consequence but may Cause little harm, in isolation has no serious consequence but may

become serious. Ex – Negligence, Alcohol while at work, Attendance become serious. Ex – Negligence, Alcohol while at work, Attendance

issues, carelessnessissues, carelessness

– Major infractionsMajor infractions

Acts which substantially interfere with the orderly operations of an Acts which substantially interfere with the orderly operations of an

organization, which damage morale or are an accumulation of minor organization, which damage morale or are an accumulation of minor

offences. Ex – Refusal to carry out orders, cheating, stealing, violating offences. Ex – Refusal to carry out orders, cheating, stealing, violating

rulesrules

– Intolerable offencesIntolerable offences

Offences of illegal & drastic nature that they severely strain or Offences of illegal & drastic nature that they severely strain or

endanger employment relationships & are full of threat & menace to endanger employment relationships & are full of threat & menace to

most people. Ex- Possession or use of weapons, smoking in hazardous most people. Ex- Possession or use of weapons, smoking in hazardous

places, use of hard drugs on the jobplaces, use of hard drugs on the job

Causes of Indiscipline or MisconductCauses of Indiscipline or Misconduct

– Non placement of right person at right jobNon placement of right person at right job

– Undesirable behavior of senior officialsUndesirable behavior of senior officials

– Faulty evaluations by executives, discrimination, favoritismFaulty evaluations by executives, discrimination, favoritism

– Lack of upward communicationLack of upward communication

– Lack of proper rules & regulationsLack of proper rules & regulations

– Absence of good supervisionAbsence of good supervision

– Weak, flexible leadershipWeak, flexible leadership

– Rigidity, multiplicity of rulesRigidity, multiplicity of rules

– Bad working conditionsBad working conditions

– Inborn tendencies to flout rulesInborn tendencies to flout rules

– Workers personal problemsWorkers personal problems

– Misunderstanding, distrust among workersMisunderstanding, distrust among workers

Principles for Maintaining DisciplinePrinciples for Maintaining Discipline

– Location of responsibilityLocation of responsibility

– Proper formulation & communication of rulesProper formulation & communication of rules

– Rules & regulations should be reasonableRules & regulations should be reasonable

– Equal treatmentEqual treatment

– Disciplinary actions should be taken in privateDisciplinary actions should be taken in private

– PromptnessPromptness

– Disciplinary policy should be preventive rather Disciplinary policy should be preventive rather

than punitivethan punitive

– Provisions for appeal & review should be in placeProvisions for appeal & review should be in place

Just Cause Standard of DisciplineJust Cause Standard of Discipline

– NotificationNotification Was employee forewarned of Was employee forewarned of

disciplinary consequences of his or her disciplinary consequences of his or her

conduct?conduct?

– Reasonable RuleReasonable Rule Was the rule the employee Was the rule the employee

violated reasonably related to safe and violated reasonably related to safe and

efficient operations?efficient operations?

– Investigation Before the DisciplineInvestigation Before the Discipline Did Did

managers conduct an investigation into managers conduct an investigation into

misconduct before administering discipline?misconduct before administering discipline?

Failure to answer “yes” to one or more of these questions suggests that discipline may have been arbitrary or unwarranted.

– Fair InvestigationFair Investigation Was investigation fair and Was investigation fair and

impartial?impartial?

– Proof of GuiltProof of Guilt Did investigation provide Did investigation provide

substantial evidence or proof of guilt?substantial evidence or proof of guilt?

– Absence of DiscriminationAbsence of Discrimination Were rules, orders Were rules, orders

and penalties of disciplinary action applied and penalties of disciplinary action applied

without discrimination?without discrimination?

– Reasonable PenaltyReasonable Penalty Was disciplinary penalty Was disciplinary penalty

reasonably related to seriousness of rule reasonably related to seriousness of rule

violation?violation?

Just Cause Standard of DisciplineJust Cause Standard of Discipline

McGregor’s Red Hot Stove RuleMcGregor’s Red Hot Stove Rule

Disciplinary action should follow ‘Red hot Disciplinary action should follow ‘Red hot

stove rule’, i.e., corrective actions should be stove rule’, i.e., corrective actions should be

like the results of touching a red hot stovelike the results of touching a red hot stove

Immediate

Consistent

Impersonal

Foreseeable

Types of Disciplinary Action Types of Disciplinary Action

– Verbal warningVerbal warning

– Written warningWritten warning

– SuspensionSuspension

– DemotionDemotion

– TransfersTransfers

– Pay CutPay Cut

– DismissalDismissal

Disciplinary ProcedureDisciplinary Procedure

– Discipline is progressive, since it progresses Discipline is progressive, since it progresses

sequentially, chronologically & systematically sequentially, chronologically & systematically

through a prescribed series of steps or eventsthrough a prescribed series of steps or events

– Steps in Progressive Disciplinary ActionSteps in Progressive Disciplinary Action

– Verbal warningVerbal warning

– Written warningWritten warning

– SuspensionSuspension

– DischargeDischarge

Typical Program of disciplinary Actions for Typical Program of disciplinary Actions for various Offencesvarious Offences

Type of Offence First Offence

Second Offence

Third Offence

Fourth Offence

Unexcused Absence Warning Warning Suspension Discharge

Carelessness Warning Warning Suspension Discharge

Leaving work without permission

Warning Suspension Discharge -

Slowdown on Production

Warning Suspension Discharge -

Insubordination Warning Discharge - -

Theft Discharge - - -

Willful damage to property

Discharge - - -

Disciplinary ProcedureDisciplinary Procedure

– Charge Sheet is Framed & IssuedCharge Sheet is Framed & Issued

– Receipt of ExplanationReceipt of Explanation

– Issue of Notice of EnquiryIssue of Notice of Enquiry

– Holding enquiryHolding enquiry

– The FindingsThe Findings

– DecisionDecision

– Communication of the OrderCommunication of the Order

Code of Discipline Code of Discipline in the Indian Industryin the Indian Industry

– Formed on the recommendations of the Indian Formed on the recommendations of the Indian

Labor Conference, 1957Labor Conference, 1957

– It required employers & workers to utilize the It required employers & workers to utilize the

existing machinery for the settlement of existing machinery for the settlement of

disputes.disputes.

– Laid down principles of discipline governing Laid down principles of discipline governing

Indian IndustriesIndian Industries

Principles of DisciplinePrinciples of Discipline

– No lock out or strike without due noticeNo lock out or strike without due notice

– No recourse to go-slow tacticsNo recourse to go-slow tactics

– No deliberate damage to plant or propertyNo deliberate damage to plant or property

– No indulgence in acts of violence, coercion, No indulgence in acts of violence, coercion,

intimidation intimidation

– No unilateral action in connection with any industrial No unilateral action in connection with any industrial

mattermatter

– Use of existing machinery for settlement of disputesUse of existing machinery for settlement of disputes

– Speedy implementation of awards & agreementsSpeedy implementation of awards & agreements

– Avoid agreements likely to destroy cordial industrial Avoid agreements likely to destroy cordial industrial

relationsrelations

Industrial Employment (Standing Orders) Act, Industrial Employment (Standing Orders) Act, 19461946

– An Act that requires employers in industrial establishments An Act that requires employers in industrial establishments

to formally define conditions of employment under themto formally define conditions of employment under them

– Scope: It applies to every industrial establishment wherein Scope: It applies to every industrial establishment wherein

100 or more workmen are employed, or were employed on 100 or more workmen are employed, or were employed on

any day of the preceding 12 months.any day of the preceding 12 months.

– Model Standing Orders prescribed by governmentModel Standing Orders prescribed by government

– Provisions in the ActProvisions in the Act

– Submission of draft standing ordersSubmission of draft standing orders

– Certification of standing orders Certification of standing orders

– Appeals Appeals

– Register of Standing OrdersRegister of Standing Orders

Matters to be provided in Standing Matters to be provided in Standing Orders under this ActOrders under this Act

1.1. Classification of workmen, Classification of workmen, e.g., e.g., whether permanent, whether permanent,

temporary, apprentices, probationers, temporary, apprentices, probationers, or badlis.or badlis.

2.2. Manner of intimating to workmen periods & hours of Manner of intimating to workmen periods & hours of

work, holidays, pay-days & wage rates.work, holidays, pay-days & wage rates.

3.3. Shift working.Shift working.

4.4. Attendance & late coming.Attendance & late coming.

5.5. Conditions of, procedure in applying for, & the Conditions of, procedure in applying for, & the

authority which may grant leave & holidays.authority which may grant leave & holidays.

6.6. Requirement to enter premises by certain gates, & Requirement to enter premises by certain gates, &

liability to search.liability to search.

Matters to be provided in Standing Orders Matters to be provided in Standing Orders

under this Act…….under this Act…….

7.7. Closing & reporting of sections of the industrial Closing & reporting of sections of the industrial

establishment, temporary stoppages of work and the establishment, temporary stoppages of work and the

rights & liabilities of the employer & workmen arising rights & liabilities of the employer & workmen arising

there from.there from.

8.8. Termination of employment, & the notice thereof to Termination of employment, & the notice thereof to

be given by employer & workmen.be given by employer & workmen.

9.9. Suspension or dismissal for misconduct, & acts or Suspension or dismissal for misconduct, & acts or

omissions which constitute misconduct.omissions which constitute misconduct.

10.10. Means of redress for workmen against unfair Means of redress for workmen against unfair

treatment or wrongful actions by the employer or his treatment or wrongful actions by the employer or his

agents or servants.agents or servants.

11.11. Any other matter which may be prescribed. Any other matter which may be prescribed.