Human Resource Management Notes 12

7/28/2019 Human Resource Management Notes 12

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Unit 12: Discipline and Disciplinary Procedure

12.1 Introduction

Objectives

12.2 Meaning and Objectives of Discipline

SAQs

12.3 Principles for Maintenance of Discipline

SAQs

12.4 Basic Ingredients or Guidelines of a Disciplinary Action

SAQs

12.5 Disciplinary - Action Penalties

SAQs

12.6 Procedure for Disciplinary Action

SAQs

12.7 Dismissal and Discharge of an Employee

12.8 Summary

12.9 TQs

12.10 Answers to SAQs and TQs

12.1 Introduction

During the last decade, the growth of industries has been hampered by indiscipline.

Maintenance of discipline in an organization is of paramount importance for its smooth

running and survival.

During the early stages of industrialisation, labour was exploited i.e., child employment,

longer working hours, inhuman and unhealthy working conditions, low wages, absence of

safety and welfare measures were quite common.

The labour, majority being illiterate had to seek outside help to solve their problems. The

trade unions, instead of helping in some cases, tried to fulfil their own needs. This led to

unlawful activities (strikes, gheraos) and indiscipline in industries.

Further with the emergence of unions, inter-union rivalry is prevalent in most of the public

and private sector industries. These factors lead to indiscipline among workmen. The rapid

industrial growth in the country resulted in many problems arising out of social changes,

displacement from familiar environments, lack of adjustment to industrial atmosphere,


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changes in living conditions, new stresses and strains of industrial disputes, indiscipline and

violence etc. are responsible for about 10% of the total number of disputes and as a

consequence, number of man-days lost by such disputes are quite substantial.

Principles for Maintenance of Discipline

This unit deals with the principles of maintenance of discipline and basic ingredients or

guidelines of a disciplinary action.

Objectives:

After studying this unit you will be able to:

Understanding the concept of Discipline at the workplace

Understand how discipline is implemented and measured.

Analyze the techniques to ensuring discipline

12.2 Meaning and Objective of Discipline

Discipline is the observance of principles, rules or any other laid down procedures, practices,

written or otherwise in the organization by the employees or group of employees, to whom

these apply, for smooth and effective functioning of the organization.

In the words of Dr.Spriegal, "discipline is the force that prompts an individual or a group to

observe the rules, regulations and procedures which are deemed to be necessary to the

attainment of an objective it is force or fear of force which restrains an individual or a group

from doing things which are deemed to be destructive of group objectives. It is also the

exercise of restraint or the enforcement of penalties for the violation of group regulations".

Bremblett, Earl R says that, "discipline in the broad sense means orderliness-the opposite of

confusion..." It does not mean a strict and technical observance of rigid rules and

regulations. It simply means working, co-operating, and behaving in a normal and orderly

way, as any responsible person would expect an employee to do. According to Calhoon.

Richard. D., "discipline may be considered as a force that prompts individuals or groups to

observe the rules, regulations and procedures which are deemed to be necessary for the

effective functioning of an organization.

Webster's Dictionary gives the meanings of the word discipline as follows:

"First, it is the training that corrects moulds, strengthens or perfects. Second, it is the control

gained by enforcing obedience. The third meaning is punishment or chastisement".


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The aims and objectives of discipline are:

1. To obtain a willing acceptance of the rules, regulations and procedures of an

organization, so that organizational goals may be attained.

2. To impact an element of certainty despite several differences in informal behaviour

patterns and other related changes in an organization.

3. To develop among the employees a spirit of tolerance and a desire to make adjustments.

4. To give and seek direction, and responsibility.

5. To create an atmosphere of respect for the human personality and human relations.

6. To increase the working efficiency and moral of the employees, so that their productivity

is stepped up, the cost of production brought down and the quality of production

improved.

Good discipline might be described as orderly conduct based on definite standards catalyzed

by effective leadership. When good discipline prevails within an organization, employees

willingly follow the applicable policies, rules and procedures. They accept the original

framework as operating to their advantage.

Conversely, when poor discipline exists, employees fail to observe the rules of the

organization or the orders of their supervisors. Conditions contributing to poor discipline

can be caused by weaknesses within the organizational structure or by external factors .


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Self Assessment Questions I

12.3 Principles for Maintenance of Discipline

Disciplinary measures have serious repercussions on employees they should, therefore, be

based on certain principles so that they must be fair, just and acceptable to employees and

their union the most important principles to be observed in the maintenance of discipline

have been outlined by Yoder. Heneman, Turnball and Harold Stone. These are:

a) As far as possible, all the rules should be framed in co-operation and collaboration with

the representatives of employees. If the latter have a share in formulating them, will be

much more likely to observe them.

b) All the rules shou ld be app raised at frequ ent and regular intervals to ensure that they

are, and continue to be, appropriate sensible and useful.

c) Rules should vary with changes in the working conditions of employees. Those framed

for office employees, for example, may very well be different from those that are

formulated for workers in an industrial concern.

d) Rules should be uniformly enforced if they are to be effective. They must be applied

without exception and without bending them or ignoring them in favour of any one

worker.

e) Penalties for any violation of any rule should be clearly stated in advance. Employees

have the right to know what to expect in the event of any infringement of a rule or

regulation. For this purpose, it is better to publish them in the employees' handbook.

1. ________________is the observance of principles, rules or any other laid down

procedures, practices, written or otherwise in the organization by the employees or

group of employees, to whom these apply, for smooth and effective functioning of the

organization.

2. According to____________________, "discipline may be considered as a force that

prompts individuals or groups to observe the rules, regulations and procedures which

are deemed to be necessary for the effective functioning of an organization.

3. Conditions contributing to ________________________can are caused by

weaknesses within the organizational structure or by external factors.


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f) A disciplinary policy should have as its objective the prevention of any infringement

rather than the simple administration of penalties, however just: it should be

preventive rath er than punitive.

g) Extreme caution should be exercised to ensure that infringements are not encouraged.

This should be done as a matter of policy.

h) If violations of a particular rule are fairly frequent, the circum stances surrounding

them should be carefully investigated and studied in order to discover the cause or

causes of such violations.

i) Recidivism must be expected. Some offenders would almost certainly violate rules

more often than others. These cases should be carefully considered so that their causes

may be discovered.

j) Definite and precise provisions for appeal and review of all disciplinary actions should

be expressly mentioned in the employees' handbook for collective agreements.

Self Assessment Questions II

12.4 Basic Ingredients or Guidelines of a Disciplinary Action

The principal ingredients of a sound disciplinary system are:

1. Location of responsibility: The responsibility for maintaining discipline should be

entrusted to a responsible person (e.g., a line executive), though it is the Personnel

Officer who should be entrusted with the responsibility of offering advice and

assistance. The Line Executive should issue only verbal and written warnings. In

serious cases, which warrant discharge or suspension, the Industrial Relations Officer

should be consulted.

2. Proper formulation and communication of rules: Since employees are expected to

conform to rules and regulations and behave in a responsible manner, it is essential that

these rules and regulations are properly and carefully formulated and communicated to

1. As far as possible, all the rules should be framed in co-operation and collaboratio n with

the......................2. ___________should be uniformly enforced if they are to be effective

3. A disciplinary policy should have as its objective the prevention of any infringement

rather than the simple administration of penalties, however just:


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them. It would be preferable if a copy of these regulations, together with any

explanations there of, is included in their handbook at any rate, they should be put up

on notice boards and bulletin boards. While finalising the rules, everyone should be

given the opportunity to express freely his views thereon.

3. Rules and regulations should be reasonable: Plant conditions and the management

climate should be such as would be conducive to the observance of rules and

regulations. The workload should be such as is practicable in normal working

conditions for an average employee.

4. Equal treatment: All defaulters should be treated alike, depending on the nature of their

offence. Identical punishment should be awarded for identical offences, irrespective of

the position or seniority of the employee.

5. Disciplinary action should be taken in private: This is essential because the main

objective of a disciplinary is to ensure that a wrong behaviour is corrected and not that

the wrong-doer should be punished, or held up to ridicule. If a disciplinary action is

taken in the presence of other employees, it may offend the sense of the employee and

impair his social standing with his colleagues. Such an action may rouse resentment in

the employee and his fellow-workers, and make for a disturbed climate in the

organization.

6. Importance of promptness in taking disciplinary action: Justice delayed is justice

denied. If the penalty is imposed long after a violation of rules has been committed, itloses its positive and corrective influence, and may even induce resentment, which

may not have developed if the penalty had been imposed in time. Care should,

therefore, be exercised to ensure that a penalty is imposed soon after an infringement

of a rule has occurred, and that the punishment is not unfair. If decision has been justly

taken for termination of an employee, it should be implemented soon.

7. Innocence is presumed: An individual is presumed to be innocent until he is proven to

be guilty. The burden of profits is on the employer and not on the employee. It is for

the management to prove beyond a reasonable doubt, that a violation or an offence has

been committed before any punishment is awarded. The kind of proof that would be

needed for this purpose would depend on the gravity of the offence that has been

committed.

8. Get the facts: Before taking any disciplinary action, it should be made sure to get and

keep adequate records of offences and warnings. It is always better to let the


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subordinate fully explain what happened and why it happened. It may then be

discovered that there were mitigating circumstances, or that he was not aware of the

rules or that the person had conflicting orders or even permission to break the rule for

some reason. Getting facts is a good management practice, especially when defending

the decision, to superiors, union arbitrators and others.

9. Action should be taken in cool atmosphere: The action should be taken, not when one is

angry but when the anger has "cooled off" a bit so that rational and sensible judgement

could be taken.

10. Natural justice: A punitive action must satisfy the condition of natural justice. The

management must act without bias and without vindictiveness it should always

indicate that its disciplinary action against an employee is based on justice and fair

play. The punishment should be commensurate with the grav it y of the offe nce and

it should be corrective or reformative rather than retributive. The employee should

be taught to behave better he should be "rehabilitated", and not "injured".

11. After a disciplinary action has been taken by the supervisor, he should treat his

subordinate in a normal manner: The employee has paid the penalty for his violation of

a rule. He should, therefore, be treated as he would have been, had there been no

violation and no punishment. The attitude of the supervisor should be: "Forgive and

Forget."

12. Don't back down when you are right: When the supervisor knows he is right-that the rulewas broken, that adequate warning is given, that the penalty is not too severe-he

should not back down or compromise on penalty-especially once the decision is

announced. In most cases "being soft" is not viewed as a virtue. Instead, employees

either assume that the rule itself is frivolous, or that the rules and penalties are being

applied inconsistently. In either case, backing down is not advisable.

13. Negative motivation should be handled in a positive manner: The philosophy behind

administering a disciplinary action is that a negative motivation should be handled in a

positive manner, that is, it should be brought home to the employee that a negative

approach does not pay. Positively-oriented managers generally feel that discipline

should not punish but instead be corrective and constructive. As far as possible,

disciplinary action should deal with specific rule in question, rather than with the

employee in general. The saying "let the punishment fit the crime" is appropriate

when disciplining the employee.


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Self Assessment Questions III

12.5 Disciplinary Action Penalties

There are varying penalties for first, second, and third offences of the same rule. Among the

penalties available in business are:

1. Oral reprimand

2. Written reprimand

3. Loss of privileges

4. Fines

5. Lay off

6. Demotion

7. Discharge

The penalties are listed in the general order of severity, from mild to severe. For most cases, an

oral reprimand is sufficient to achieve the desired result. The supervisor must know his or her

personnel in determining how to give a reprimand. For one person, a severe "chewing out"

may be necessary in order to get attention and co-operation another person may require only

a casual mention of a deficiency. If the offence is more serious, the reprimand may be put in

written form.

Since a written reprimand is more permanent than an oral one, it is considered a more severe

penalty.

For such offences as tardiness or leaving work without permission, fines or loss of various

privileges can be used. The fines usually have some relationship to the work time actually

lost. The loss of privileges includes such items as good job assignments, right to select

machine or other equipment, and freedom of movement about the workplace or company.

The more severe penalties of layoff, demotion, and discharge are usually outside the grant of

authority to the immediate supervisor. Disciplinary layoffs can vary in severity from one to

1. The ___________________should issue only verbal and written warnings.

2. While finalising the rules, _________________should be given the opportunity toexpress freely his views thereon

3. All _______________should be treated alike, depending on the nature of their offence.Identical punishment should be awarded for identical offences, irrespective of the

position or seniority of the employee.


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several days' loss of work without pay. The use of demotions as a penalty is highly

questionable. If the employee is properly qualified for the present assignment, he or she will

be improperly placed on a lower job. Discharge is the most severe penalt y that a business

organization can give and constitutes "industrial capital punishment".

Self Assessment Questions IV

12.6 Procedure for Disciplinary Action

Though there is no specific procedure to be followed, the following steps should be taken into

consideration:

a) An accurate statement of the disciplinary problem.

b) Collection of data or facts bearing on the case.

c) Selection of tentative penalties to be imposed.

d) Choice of the penalty.

e) Application of the penalty.

f) Follow-up on the disciplinary action.

a. Accurate Statement of the Problem: The first step is to ascertain the problem by seeking

answers to the following questions:

1. Does this case call for a disciplinary action?

2. What, exactly, is the nature of the violation or offence?

3. Under what-conditions did it occur?

4. Which individual or individuals were involved in it?

5. When, or how often, did the violation occur?

In other words, an executive must first find out that a violation has occurred and that is

entirely the fault, or at least partially the fault, of one or more subordinates. The next

step is to determine and state the nature of the alleged violation of a rule, a regulation, a

polic y to det ermine whe the r a req uest or ord er has been ignored or broken, and

assess the seriousness of the specific offence which has been committed. It is also

1. The supervisor must know his or her personnel in determining how to......................

2. Since a written reprimand is more permanent than______________, it is considered a

more severe penalty.

3. The use of ______________as a penalty is highly questionable.


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necessary to know exactly who and what was involved in the violation-whether a

particular individual or group. Finally, it is desirable to know when and/or how often the

violation occurred.

b. Collecting facts having a bearing on the case: Before any action is taken in a case, it is

essential to gather all the facts about it. A thorough examination of the case should be

made within the stipulated time limit. The facts gathered should be such as can be

produced before a higher authority, if and when needed.

c. Selection of Tentative Penalties: The kind of penalty to be imposed for an offence should

be determined before hand. Should it be simple reprimand, a financial or non-financial

penalty? Or should it be demotion, temporary lay-off or outright discharge?

d. Choice of Penalty: When a decision has been taken to impose a penalty, the punishment

to be awarded should be such as would prevent a recurrence of the offence. If the

punishment is lighter than it should be, it may encourage the violation of the same rule or

another if it is greater than it should be, it may lead to a grievance.

e. Application of the Penalty: The application of the penalty involves a positive and assured

attitude on the part of the management. "If the disciplinary action is a simple reprimand,

the executive should calmly and quickly dispose of the matter. But when severe action

is called for, a fortnight, serious and determined attitude is highly desirable.

f. Follow-up on Disciplinary Action: The ultimate purpose of a disciplinary action is to

maintain discipline, to ensure productivity, and avoid a repetition of the offence. A

disciplinary action should, therefore, be evaluated in terms of its effectiveness after it

has been taken. In other words, there should be a more careful supervision of the

persons against whom a disciplinary action has been taken.

Self Assessment Questions V

12.7 Dismissal and Discharge of an Employee

1. ____________________________________is the first step is to ascertain the

problem

2. Before any action is taken in a case, it is essential to...............................

3. When a decision has been taken to impose a penalty, the punishment to be awardedshould be such as will.........................


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According to Article 311 of the Indian Constitution, which says that no person shall be

dismissed or removed from service until he has been given a reasonable opportunity to show

cause as to why the proposed action should not be taken against him?"

The Model Standing Orders, too, lay-down that, "before an employee is dismissed, he should

be given an opportunity to explain the circumstances against him."

The following steps are followed for dismissal of an employee:

a) Charge Sheet is Framed and Issued:

The first step in the procedure is to frame a written charge sheet which is based upon a

written complaint against the employee in question, and which contains details of the offence

with which he is charged and the allegation of misconduct made against him, and indicating

the time limit within which a reply to the charge sheet should be submitted to the authorities.

The employee is called upon to show because why a disciplinary action should not be takenagainst him.

The contents and implications of the charge sheet may be explained to him in his own

language and in the presence of some reputable witness, before a copy of it is handed over to

him. If he refuses to accept it, it should be sent to his residential address "registered post with

acknowledgement due". If the employee refuses to take delivery of the registered letter, or

when it has been returned undelivered, it should be published in a local paper to ensure its

wide publicity.

b) Receipt of Explanation:

The employee may submit his explanation within the prescribed period of time, or he may ask

for an extension of time for its submission. In the latter case, the request should be

considered in good faith in accordance with the rules of natural justice.

c) Issue of Notice of Enquiry:

If the explanation is received from the employee is found to be unsatisfactory, a notice of

enquiry, mentioning the time, date and place, has to be given to him in which the name of the

person or officer who would conduct the enquiry would also be mentioned. The employee is

required to be present at the appointed time and place, together with his witness, if he has any.

d) The Holding of Enquiry:

On the appointed day and at the appointed place and time, the enquiry is held by the

Enquiry Officer in the presence of the employee. The contents of the charge sheet and an

explanation of the procedure to be followed at the enquiry are communicated to the worker. If


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he pleads his innocence, the enquiry proceeds but if he pleads guilty, unconditionally and in

writing, the enquiry is dropped.

e) The Findings:

Once the enquiry is over, the Enquiry Officer has to give his findings, which should

invariably contain the procedure which was followed, the partys statements, the documents

produced and examined, the charges made and the explanations given and the evidence

produced. The officer should then record his own findings on each of the charges and the

grounds on which he has come to a particular conclusion. He should specifically mention

which charges have been proved and which have not been proved. He then submits his

findings to the authorities empowered to- take a disciplinary action against the employee. He,

however, is not required to make any recommendations.

a) On receiving the report, the executive authorized to take a decision thereon passes an

order of punishment.

b) Communication of the order:

A copy of the orders is then handed over to the employee.

Discharge of an Employee

The following conditions must necessarily be satisfied before an employee is discharged from

service by way of punishment for misconduct.

a) The misconduct of the emplo yee is of such a nature as to indicate that his dischargeor dismissal would be an appropriate punishment and that this kind of punishment has been

provided in the Standing Orders.

b) An enquiry must be held by the employer into the misconduct which an emplo yee has

been charged with. This enquir y should be held only after a charge sheet has been

preferred against him, and he has been given due notice of the time, place and date of

enquiry.

c) The officer should be held in such a manner as to ensure that it would be fair and proper

and in conformity with the principles of natural justice. The worker must be given an

adequate opportunity to defend himself and to present witness in support of his

contention or case.

d) The officer holding the enquiry should not be one who may be disqualified on the

ground of bias, personal interest, or on the ground of his having been on eye witness to

the misconduct with which the employee is charged.


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e) At the co nclus ion of the enq uir y, the find ings, based o n recorded evidence, should

be recorded by the enquiry officer.

f) The findings must necessarily be based on recorded evidence and should not be perverse.

g) The order of di smissal or disc harge against the emplo yee must be passed in good

faith.

h) The order must be duly communicated to the employee against who it has been passed.


State whether the following statements are true or false:

1. The Line Executive should issue only verbal and written warnings.

2. It is essential that the rules and regulations regarding discipline are properly and carefully

formulated and communicated to the employees.

3. Punishment for offence should take into account the position or seniority of the

employee.

4. The main objective of a disciplinary is to ensure that the wrong-doer is punished, or

held up to ridicule and not that a wrong behaviour is corrected.

5. Discha rge is the most se vere pe nalt y that a business organization can give and

constitutes "industrial capital punishment".

12.8. Summary

Good discipline might be described as orderly conduct based on definite standards catalyzed by

effective leadership.

Disciplinary measures have serious repercussions on employees. Hence they should be based on

certain principles so that they must be fair, just and acceptable to employees and their union.

As far as possible, all the rules should be framed in co-operation and collaboration with the

representatives of employees.

All the rules should be appraised at frequent and regular intervals

Rules should be uniformly enforced if they are to be effective.

A disciplinary policy should be preventive rather than punitive.

It is essential that these rules and regulations are properly and carefully formulated and

communicated to employees.

Identical punishment should be awarded for identical offences, irrespective of the position or

seniority of the employee.

If the penalty is imposed long after a violation of rules has been committed, it loses its positive

and corrective influence.


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The ultimate purpose of a disciplinary action is to maintain discipline, to ensure productivity, and

avoid a repetition of the offence.

A disciplinary action should be evaluated in terms of its effectiveness after it has been taken.

12.9 Terminal Questions1. Define Discipline. What are its Objectives?

2. What are the basic principles to maintain discipline?

3. Enumerate the steps for disciplinary procedure.

4. State the principal ingredients of a sound disciplinary system.

5. What conditions must necessarily be satisfied before an employee is discharged from service by

way of punishment for misconduct?

12.10. Answers to SAQs and TQs

Self Assessment Questions I

1- Discipline, 2- Calhoon. Richard. D., 3- poor discipline


1- Representatives of employees, 2- Rules, 3- it should be preventive rather than punitive

Self Assessment Questions III

1- Line Executive, 2- everyone, 3- defaulters

Self Assessment Questions IV

1- Give a reprimand, 2- an oral one, 3- demotions

Self Assessment Questions V

1- Accurate Statement of the Problem, 2- gather all the facts about It., 3- prevent a recurrence

of the offence

Answers to TQs:

1. Refer to 12.2

2. Refer to 12.3

3. Refer to 12.4

4. Refer to 12.5 &12.6

5. Refer to 12.7

Documents

Human Resource Management Notes 12