TOPIC:

Disciplinary measures
against misconducts

R E G I O N A L C O L L E G ESANGEETA SWAIN
OF MANAGEMENT
ROLL NO: 0906247200

SEC:’C’

MBA 2ND YEAR

3/16/2011
DISCPLINE

 A condition or attitude, prevailing among the employees, with respect to rules and
regulations of an organization.
 It simply means working, co-operating and behaving in a normal and orderly way, as an
responsible person would expect an employee to do.
 Discipline ensures smooth functioning of any organization. It facilitates efficiency and
streamlines the operation. An organization devoid of discipline would be a mess of resources and
nothing more. Discipline helps quick and correct dissemination of information, the highest order
discipline is displayed in army but the corporate sector too has its disciplinary and ethical charters

OBJECTIVES

 Increase and maintain business efficiency.

 To give and seek direction and responsibility.
 Develop a spirit of tolerance and a desire to make adjustment , among employees.
 Create an atmosphere of respect for the human personality and human relation.
 Effective discipline is a sign of sound human and industrial relations and organizational
health.
 To obtain a willing acceptance of the rules, regulations and procedures of an organization
so that organizational goals may be attained.
 To increase the working efficiency and moral of the employees so that their productivity
is stepped up and the cost of production improves.

ASPECTS OF DISCIPLINE
  POSITIVE ASPECT- employee believe and support discipline and work on the rules,
regulations and desired standard of behavior.
Also known as self discipline.
These disciplines take place whenever the organization climate is judged by following
aspects:-
1. Adequate remuneration and incentives
2. Appropriate avenue for career advancement
3. Appreciation for proper performance

 NEGETIVE ASPECT- sometimes employees do not believe in rules, regulations and

disciplines.
4. Organizations have to set disciplines through warning, penalty and other form of
punishments.
5. Employees are forced to obey the order and functions according to the set of rules and
regulations.
6. This is also called autocratic approach.
Subordinates are not having any role in formulation of rules and regulation. They
even don’t know why they are punished.

NEED FOR DISCIPLINARY MEASURE

 Rules and regulations are essential to:-

Maintain peace
Prevent anarchy
Regulate behavior of people
Provide customer satisfaction
 Most of the employees prefer to work under disciplined environment as fair rules protect
the individuals and the organization and enable the team work.
 Disciplinary measures ensures :-
Just and equal treatment to all employees.
Efficient two-way communication
 Encourage co-operation
Build team pride
 Disciplinary rules regulate the behavior of the employees in an organization as the law
regulates the behavior of the people in the society.

COMMON ERRORS IN DISCIPLINE

 Allowing problems to continue

 Failure to communicate rules and requirements(awareness)
 Inconsistent enforcement
 Transferring the problem
 Incomplete investigation
 Inconsistent penalties

DISCIPLINARY PROCEDURE
It is anticipated that informal discussions between professional colleagues will normally resolve
any minor difficulties and prevent the use of a formal disciplinary procedure. The objective of
the procedure, however, is to ensure the fair and consistent treatment of employees and to aid and
encourage all employees to maintain standards of conduct and attendance. Issues relating to job
performance are dealt with by means of the capability procedure.

Principles of the disciplinary procedure

No disciplinary action will be taken against any employee until the case has been fully
investigated
At every stage in the procedure the employee will be advised of the nature of the
complaint against him and will be given an opportunity to state his case before any
decision is made. Except in exceptional circumstances, the employee will be given
reasonable prior warning that he is required to attend a disciplinary interview and
wherever possible will be given an indication of the reason for the interview
 The employee will have the right of access to evidence being brought against him and the
right to produce evidence of his own.
At all stages the employee will have the right to be accompanied by a fellow employee of
the organisation or staff or trade union representative who may be present during the
disciplinary interview.
No employee will be dismissed for a first breach of discipline except in the case of gross
misconduct, when the penalty will be dismissal without notice or payment in lieu of
notice.
An employee will have the right to appeal against any disciplinary penalty imposed.
The procedure may be implemented at any stage if the employee’s alleged misconduct
warrants such action.

Procedure

In order to ensure the fair treatment of an employee who becomes liable to disciplinary action
because of his failure to meet the standards prescribed by the Organisation with regard to conduct
or attendance, the following procedure has been adopted.

Stage one: verbal warning

In the first instance of an employee’s failure to reach a required standard of performance, failure
to observe Rules or due to unacceptable conduct, a verbal warning will be given by the Line
Manager. The following are a few examples of the type of occurrence which would merit a
verbal warning:

Absenteeism
Persistent lateness
Insubordination

The list is not exclusive or exhaustive and is by way of example only. The Organisation reserves
the right to consider other acts as falling within this category.
A verbal warning constitutes the first stage of the disciplinary procedure. Details of the verbal
warning will be held on file, and will be spent within a period of 3 months and will be subject to
satisfactory conduct and performance.

Stage two: formal written warning

A repetition of the offence or if there is no improvement or if an individual offence is considered

sufficiently serious to warrant it, a formal written warning will be issued. A detailed account of
the incident and action to which the employee will be liable will be written. A copy of this
account will be issued to the employee together with the improvement required and the time
scale. A further copy will be held on the individual’s personnel file.

In addition to the above the following are a few examples of the type of occurrence which would
merit a written warning:

Persistent insubordination
Gross incompetence
Misuse of the organisation’s equipment
Smoking in prohibited areas
Unauthorised absence from work
Any behaviour likely to bring the Organisation’s reputation into disrepute

The list is not exclusive or exhaustive and is by way of example only. The Organisation reserves
the right to consider other acts as falling within this category.

A formal written warning constitutes the second stage of the disciplinary procedure. Details of
the written warning will be held on file and will be spent within a period of time defined by the
Manager, to be not longer than 6 months, and this will be subject to satisfactory conduct and
performance.

Stage three: final written warning

A repetition of a previous offence or similar failure to meet standards will justify a final written
warning. At this stage a detailed written account of the incident and the action to which the
employee will be liable for a subsequent failure. A copy will be issued to the employee together
with the improvement required and the time scale. A member of the HR team or a Director will
be present when the warning is given. No final warning shall be issued without the express
authority of the appropriate Director.

In addition to the above the following are a few examples of the type of occurrence which would
merit a final written warning:

Being unfit to work due to the influence of alcohol or unprescribed drugs.

Rude or offensive behaviour to customers, external contacts or fellow employees.
Acts of sexual harassment.
Acts of racial harassment.
Persistent insubordination.

This list is not exclusive or exhaustive and is by way of an example only. The Organisation
reserves the right to consider other acts as falling into this category.

A final written warning constitutes the third stage of the disciplinary procedure. Details of the
final written warning will be held on file for a period defined by the Manager. In any event this
period will not be longer than 12 months and will be subject to satisfactory conduct and
performance.

Stage four: dismissal gross misconduct

In cases of gross misconduct, an employee may be summarily dismissed (without notice in

writing). No employee may be summarily dismissed without prior reference to the Chief
Executive but in the event of his not being available and to allow appropriate investigation, an
employee may be suspended on full pay for up to 5 days pending a decision. The decision will be
confirmed to the employee in writing together with details of the appeal procedure.

In addition to those mentioned, the following are examples of the type of occurrence which merit
summary dismissal:
 Theft or attempted theft from fellow employees while on the Organisation’s premises; of
the organisation’s property or of any goods or property resulting in conviction before
a court.
Fraud or attempted fraud by way of unauthorised transaction of records resulting in the
fraudulent manipulation of the Organisation’s assets and materials.
Verbal abuse likely to provoke a breach of good relations between the Organisation and
its external contacts; or likely to provoke a breach of normal office discipline and
behaviour.
Disclosure of Personal and Business Information to persons other than the Organisation’s
duly authorised officers and auditors.
Fighting or attempting to injure another person.
Serious incapability though alcohol or being under the influence of illegal drugs.

This list is not exclusive or exhaustive and is by way of an example only. The Organisation
reserves the right to consider other acts as falling into this category.

During the investigation of any alleged disciplinary offence, the Organisation may suspend the
employee on full pay until such time as the investigation is complete.

The appeal procedure

Appeals will not be heard until the foregoing procedures have been exhausted. An appeal against
a disciplinary action must be made in writing within 7 days of the disciplinary action.

The appeal should be made to the Director of the employee’s function, stating the reasons for
non-acceptance of the action. The Director will then carry out a full review of the facts which
may involve a further meeting with the employee and their Line Manager. The Director will
reply in writing within 7 days of the appeal.
The employee shall have the right to appeal to either the Director to whom the function is
responsible or to the Chief Executive.

In the case of an appeal against dismissal this should be made to the Chief Executive who will
carry out a full review of the facts and will reply in writing as soon as the review is completed.
The employee will remain dismissed until the appeal procedure is completed. However, if the
employee is re-instated then the period of service will also be reinstated and the basic salary paid
for the period between dismissal and reinstatement.

Any appeal made out of the 7 days time limit will, unless there are exceptional reasons for the
delay, fail and the original decision stand.

POSITIVE DISCIPLINE, NEGETIVE DISCIPLINE AND RED

HOT STOVE RULE

The word discipline has a negative sound as we immediately think of authority and punishment.
However, there is another more constructive way to think about this, which we can call -
POSITIVE DISCIPLINE.

Positive discipline is all about creating an orderly environment where people can conduct
themselves to agreed standards of behavior to the benefit of everyone. In this way we avoid
unnecessary conflict and potential accidents.

Most family groups establish an atmosphere of Positive Discipline, which protects individual's
rights but also develops harmony in the family. Positive Discipline is also an excellent learning
medium for our children, which allows them to develop in a safe environment.

NEGATIVE DISCIPLINE is conflictive by nature and is damaging to group harmony. A

potential negative discipline situation occurs when rules are disobeyed or when they are clearly
accepted reluctantly.

Discipline line The first step is to establish and maintain a reasonable, but firm discipline line.

TOO HIGH - People are insulted. Productivity drops.

TOO LOW - People take liberties. Productivity drops.

This line must be a well-defined set of behavior standards that you expect all employees to abide
by and support. It is also important to ensure that these standards, rules or regulations are well-
communicated and everyone is fully aware of them. This will tell an employee what is expected
and what is not permitted.
It is essential to set a discipline line that is achievable and effective in the real world. The key
success factors are:

Consistent

Well communicated

Reasonable and justifiable

Flexible

Immediacy

There are many aspects to positive discipline and the following is an interesting one.

The "Hot Stove Rule"

However well you handle discipline it remains an unpleasant task that often causes resentment.
The challenge to the supervisor is to apply the necessary disciplinary action so that it minimizes
damage to individuals and to the manager himself.

A really effective way to incorporate all the rules that are described above is to adopt the hot
stove rule. When you touch a hot stove, the reaction is immediate, with warning, consistent, and
impersonal.
For example:

The burn is immediate; there is no doubt about the cause and effect
There was advance communication, since everyone knows what happens if you touch a stove
when it's red hot

The result is consistent; whoever touches a hot stove will always get burned

The result is impersonal because whoever touches a hot stove is burned. The burn was caused by
the act of touching the stove, not because of who the person is. Discipline should be directed
against the act and not against the person.

The comparison between the "hot stove rule" and disciplinary action is obvious.

WHAT IS MISCONDUCT?

Any act or omission on the part of an employee which is a breach of any duty, obligation or
assignment arising under or flowing from any law or contract of employment or service rules or
standing orders, settlements or awards or improper conduct or wrongful behavior is a
misconduct.

TYPE OF MISCONDUCTS

Minor Misconducts
The following acts or omission on the part of an employee shall amount to minor misconduct:
1. Late coming
2. Absence from duty without leaves for a period of less than six days
3. Loitering, gossiping in department during working hours
4. Failure to ware tight clothes/specified uniform.
5. Negligence of duties or neglect of work.

Major Misconducts
The following acts or omission on the part of an employee shall amount to major misconduct:
1. Willful insubordination or disobedience of any lawful and reasonable order of a superior.
2. Going on legal strike or abetting, inciting, instigation.
3. Willful slowing down in performance in work or instigation there of.
4. Theft, fraud or dishonesty in connection with the employer’s business or property.
5. Taking or giving bribes or any illegal gratification.
6. Habitual absenteeism without leave for more than 10 consecutive days or over staying the
sanctioned leave without sufficient grounds.
7. Habitual breach of any standing order or any law applicable to establishment.
8. Collection without the permission of the manager or any money within the premises of
establishment.
9. Engaging in trade within the premises of establishment.
10. Drunkenness, Riotous, Disorderly or indecent behavior on the premises of the establishment.
11. Commission of any acts subversive of discipline or rude behavior on the premises of the
establishment.
12. Habitual neglect of work or habitual negligence.
13. Canvassing for union membership or collection of union funds within the premises of the
establishment.
14. Willful damage to work in process or any property of the establishment.
15. Holding meetings inside the premises of establishment without the permission of the
manager.
16. Disclosing to any unauthorized person any information in regard to the processes of the
establishment.
17. Gambling within the premises of establishment.
18. Smoking or spitting on the premises of the establishment, where it is prohibited.
19. Failure to observe safety instructions notified by the employer or interference with the safety
devices.
20. Distributing or exhibiting within the premises of establishment and bills, pamphlets and
posters.
21. Refusal to accept a charge sheet order or other communication served in accordance with
the standing orders.
22. Unauthorized possession of lethal weapon in the establishment.
PENALTIES FOR MINOR MISCONDUCT

Warning, fine, passing adverse entry in service records, recovery of loss of goods for which the
concerned workman is accountable, recovery from wages of the whole or part of any loss caused
by the workman through negligence.

PENALTIES FOR MAJOR MISCONDUCTS

The following penalties may be imposed for good and sufficient reasons if an employee found
guilty of major misconduct.
Warning or censure, withholding of increment, fine, stopping promotion, demotion, suspension,
discharge, dismissal, vacation of company quarter or any other punishment which the manager
may deem fit.

PROCEDURE FOR AWARDING PENALTIES FOR ACTS OF

MINOR MISCONDUCT

Where allegations of misconduct against the workman are of minor nature, he is called upon the
position verbally or otherwise. The manager or his authorized representative after hearing the
concerned workman will decide if the workman deserves any punishment and if so pass orders
accordingly. It is not necessary to hold enquiry in such cases.

PROCEDURE AND CONDUCT OF ENQUIRY

1. The I.D Act or any other law does not prescribe any procedure to be followed by the
employer in domestic inquiry.
2. In the absence of any statutory provision, the domestic enquiry do need not confirm to all the
requirements of judicial proceedings, they however, must satisfy the essentials of principle of
natural justice.
3. The guiding principle therefore, is that domestic enquiry should be conducted without bias
and by giving the delinquent employee an opportunity for adequately presenting his case.
4. Apart for compliance with the rules and principles of natural justice, the domestic enquiry
must be held honestly.

COMPLIANCE WITH RULES

1. In holding enquiry standing order in industrial employment should be followed as the standing
orders have force of law and constitute statutory terms of employment.
2. In holding enquiry statutory rules framed for the purpose should also be followed.
3. The enquiry must be conducted by an authorized person.

SUSPENSION PENDING ENQUIRY

A workman who committed a major misconduct may be placed under suspension by the
manager. A workman under suspension shall not leave the town during the period of suspension
without prior permission of the manager. A workman who placed under suspension pending
enquiry shall be entitled during the period of such suspension to subsistence allowance in the
following manner:
(a) From the date of suspension till the date he replies to the charge sheet is received by the
manager (nil.)
(b) For the first 30 days from the date of receipt of reply of the charge sheet—50% of the normal
wages and dearness allowance.
(c) For the next 30 days--- @ 60% of the normal wages and dearness allowance
(d) From the 91st day onwards--- @ 75% of normal wages and dearness allowance.
The workman shall not be entitled to subsistence allowance in case he takes up employment
during the period of suspension.

CHARGE SHEET AND ENQUIRY

A) A workman against wage misconduct is alleged and is placed under suspension shall be
served with a charge sheet within a week from the date of suspension. The charge sheet
should be specific and give full details for the charges leveled against him. The date, time
and place of incident should be mentioned in the charge sheet. When the misconduct
depends on offending language, then actual words used should be specified in the charge
sheet. The workman shall be called upon to submit his explanation within 48 hours, which
may be extended for 6 days for sufficient reason on request in writing from the workman
concerned.
B) If the workman admits the charges against him, no enquiry need to be held and it shall be
open to the manager to award punishment as he deems proper without holding the enquiry.
C) If the workman does not submit his written explanation or explanation submitted by him are
not found to be satisfactory or if he denies the charges alleged against him, an enquiry shall
be held.
D) The workman concerned in enquiry shall sign at the end of each statement recorded in his
presence. Such workman may be assisted by another workman of his choice but he must be
working in the company.
E) The enquiry may be conducted either by the manager or any officer or person appointed by
him for the purpose.
F) The manager shall appoint an enquiry officer and management representative for the
purpose of conducting domestic enquiry.
G) Copy of the charge sheet along with all relevant documents should be handed over to the
enquiry officer.

NOTICE OF ENQUIRY

a) It is very necessary to convey to the charge sheeted workman the name of the officer before
whom he is to appear. The time, date and place of enquiry should also be communicated in
the notice of enquiry.
b) The management should give its evidence first to prove the charges alleged against the
workman.
c) The enquiry officer can ask the management to serve the notice of enquiry.
d) The enquiry officer should decide in the beginning as to which procedure for major
misconduct should be followed.
e) If the charges rest on documents alone, it is not necessary to adduce oral evidence.

EX-PARTE PROCEEDINGS
1. If the employee does not attend on the date of enquiry fixed and communicated then ex-parte
proceedings can be taken against him.
2. When the worker insists that he must be allowed to be represented by his council and on
refusal of the same he boycotts the enquiry then such enquiry could be held ex-parte.
3. When the worker knows the date of enquiry and does not co-operate with the enquiry officer
or does not attend the proceedings, he cannot complaint if the proceedings are ex-parte.
4. If the worker intentionally refuses to participate in the enquiry, enquiry can be held ex-parte.
5. If the worker withdraws from the enquiry, it does not mean that he admits the charges alleged
against him. The enquiry officer has to record evidence of the management in support of the
charges.

JUSTIFICATION OF NON-ATTENDANCE BY WORKERS

1. Absence on account of protest is not justified. Even if some facility is denied the worker is not
justified to withdraw from the enquiry.
2. If certain documents or copies are not supplied to the workman and he withdraw from the
enquiry, it is not justified and enquiry could proceed ex -parte.
3. When a request of worker for being represented by an outsider or an advocate is disallowed,
he cannot walk out and if he does so, ex-parte proceeding is valid.
4. If absence is on account of genuine illness and he has asked an adjournment on death
grounds, it must be granted.
5. If an employee is on sanctioned leave and seeks adjournment on that ground, it must be
granted.
6. If an employee is on hunger strike and it is not possible for him to defend himself,
adjournment must be granted.
7. Adjournment is sought on the plea that the workman fears physical assault, the adjournment
may not be granted.
8. Enquiry can be held on a holiday also and in the absence an application of adjournment, the
enquiry officer is competent to proceed ex-parte.
9. Enquiry can be held even at night in case the concerned works day and night.
Grant of adjournment s discretion of the enquiry officer, but as such a discretion must be
exercised in a judicial and reasonable manner. An employee cannot be compelled to attend
enquiry. If an employee does not attend an enquiry, then it can be held ex-parte but he cannot be
charged for disobedience of orders.

ROLE OF THE MANGEMENT REPRESENTATIVE

1. In departmental enquiries, the punishing authorities play a dual role. The said authority or its
nominee conducts the enquiry on behalf of the management and judges the action of the
delinquent employee.
2. The role of management representative is similar to the case of public prosecutor as he also
conducts and pleads the case of management.
3. The role of MR is to conduct the case fairly and with full sense of responsibility.
4. It is not the duty of the MR to suggest any falsehood or suppress any facts.
5. The MR is also not expected to produce evidence, which stands to demolish his own case.
6. The role of MR can only be discharged properly if he sis equipped with the full knowledge of
the case. The MR should also have the basic knowledge or procedure and process of
domestic enquiry as well as to carry out the cross-examination of the charge sheeted
employee as well of his defense witnesses.

PRODUCTION AND INSPECTON OF DOCUMENTS

When the charge sheeted employee thinks that certain document is likely to be useful for his
defense and is in the possession of the management when he can apply for its production.
1. When a document is used against an employee, it should be disclosed to him.
2. Records of preliminary investigation if relied upon the management should be disclosed to
the employee.
3. Documents having no evidentiary value need not be disclosed.
4. If no reliance is placed on a document during enquiry then it need not to be disclosed.
5. Documents necessary for cross-examination or defense should be made available if asked
for.
6. If no prejudice is caused to the delinquent employee by non-production of documents,
enquiry is not vitiated.
7. Inspection of documents can be given as an alternative to production of documents.

BIAS IN DEPARTMENTAL ENQUIRIES

A domestic enquiry must be held by an unbiased person. The bias in its proper significance is
departure from the standard of even-handed justice which the law requires from those who
occupy judicial office the doctrine of bias:
1. No man shall be judge in his own case.
2. Justice shall not only be done but manifestly and undoubtedly seem to be done.

APPRECIATION OF EVIDENCE

1. Even though the onus of proving the guilt rest on the management, the probability or
otherwise of the version of incident put forth by he workman has to be taken into
consideration in determining his guilt and it cannot be altogether ignored.
2. The E.O. while appreciating the evidence should take care that the charges against the
delinquent workman should no deemed to be proved merely on the facts that the worker
could not put up strong defense.
3. If the employee has not produced any defense during enquiry, it cannot give rise to any
presumption that whatever the employer witness states is correct. Disposition of the
witnesses has to be judged on their merits.
4. It is not necessary to prove motives behind the act of misconduct.
5. While appreciating the evidence the E.O. should be extra careful for the disposition of chance
witnesses.
6. The E.O. should not simply disbelief the witness or think unreliable, as the witnesses are a
close relation of either party. Similarly, merely that middle and senior level officer depose for
the management and the workers for the delinquent employee is no reason to disbelief them.
7. The E.O. while appreciating the evidence should be conscious of the fact that the credit of a
witness does not depend upon his status. Truthfulness is not the monopoly of persons who
are rich and who hold high status.
8. It is not necessary that there should always be one witness to prove any charge. The reason
is that the evidence weighed and not counted.
9. The E.O. should not consider the events subsequent to incidence for which an employee was
charge sheeted.
10. In domestic enquiry the Doctrine of Benefit of Doubt is not applicable. Therefore, an E.O. is
under obligation to arrive at conclusion of facts.
11. It is not the concern of the E.O. as to whether the act mentioned in the charge sheet has
been proved or not.
12. E.O. is not interested with the power of imposing the punishment. His duty ends with the
finding of facts.
13. While drafting enquiry report, specific findings should be given on each charge and in case of
each person.
14. The finding should be specific and E.O. should come to conclusive findings of guilt.

FINDINGS OF ENQUIRY

1. The whole object of holding a domestic enquiry against a delinquent workman is to enable
EO to decide upon the merits of charges leveled against the employee. It is therefore,
essential that the EO should submit the enquiry report indicating clearly his conclusion and
reasons in support thereof.
2. The EO should not hold anyone guilty of the charges on suspicion. Suspicion, however
reasonable, is not sufficient to punish the employee.
3. EO should not give the findings on assumption of facts and circumstances not supported by
evidence on record.
4. The findings of the enquiry should be based upon the enquiry records and the EO should not
impose his own knowledge of things while writing the report.
5. The EO is not justified in parting extraneous consideration while writing the enquiry report.
6. While writing the findings, EO cannot omit from considering any material on record. When
EO
disbelieves the worker and his witnesses he should give sufficient reasons.
7. The EO should bear in mind that the interpretation of document is a question of law.
Admission of document thereof should be distinguished from the admission of the contents of
the document.
8. EO should not give findings outside the scope of the enquiry. The scope of the enquiry is
limited to the charges as mentioned in the charge sheet.