Employee misconduct & disciplinary procedure

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

Krishantha Jayasundara 7

Corrective Discipline

Positive Approach

Negative Approach

Types of Corrective Discipline

Positive Approach

1. Sandwich Model2. Progressive Discipline-Reformation

Approach


Positive Approach

Sandwich Model

An undesirable behaviour is explained/ criticized to the employee in between two good behavioral manners



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


Positive Approach

Progressive Discipline-Reformation Approach

Reformation will be done with oral warnings

When the offence is repeated, harsh punishments will be given


Negative Approach

Punishment is focused on the employee Punishment is personal Based on the assumption that employees

shouldn’t make mistakes


Principles of Natural Justice (Listening to the other side of the story)

Principles of Discipline

Fairness to all parties


Parity-punishment should be equal to the offence


Bona-fide – disciplinary actions should be taken in good faith


Mala-fide (disciplinary actions shouldn’t be initiated with ulterior motives)


Requirement to avoid delays


Equity


To correct the behaviour of employees.

Why is discipline necessary?

To maintain peace and order in the organization.


Set an examples to other by taking actions against wrong doers.


For smooth functioning of the organization


For productivity, effectiveness, efficiency, existence, growth, and success of the organization.


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


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




Based on the gravity of the offence

For minor misconducts-verbal or written warnings

For major misconducts-proper disciplinary inquiry procedure



1.Preliminary Investigation



Fact finding process.

The purpose is to determine whether a crime was really

committed



There are no accused at this

stages but there may be suspects

Management appoints an impartial

officer to carry out the investigation


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



Brief description of the charge, date, time, place, incident…etc



Specify the time limit to reply



The charges to which the employee should provide written explanations



Opportunity for the employee to examine any documents



Actions to be taken, if no reply is received within the specific time period.


3. Letter of Explaination

Employees reply to the show cause notice


3. Letter of Explaination

Management can either accept it or reject it


4. Domestic Inquiry

If the response is not satisfactory, the employer will move to the more formal domestic inquiry


4. Domestic Inquiry


4. Domestic Inquiry

Should be carried out as soon as possible following accusations of misconduct

All activities should be formalized and recorded in full.


4. Domestic Inquiry

The investigating officers should be unconnected to the incident


4. Domestic Inquiry

The employee should be given full opportunity to state their own case and present evidence in their favor.


4. Domestic Inquiry

Union representatives or colleagues should be allowed to sit in during the process if the employer requests their presence


4. Domestic Inquiry

Domestic inquiry is purely an information-gathering exercise


4. Domestic Inquiry

The panel’s task is gathering the evidence (not making decisions over guilt or punishment)


4. Domestic Inquiry

Their final report is sent to the relevant parties, often senior leaders, who then decide on the appropriate course of action.


The Importance of Domestic Inquiry Procedure

Punishment without an inquiry implies an arbitrary order.



The principle of Natural Justice (informing the person of the charges and giving him an opportunity to explain.



To record the available evidence against the accused to prevent him from changing the story before a labor tribunal



Recorded evidence can be presented before the labour tribunal when the witness is out of reach



To maintain healthy industrial relations in the workplace


5. Findings/Inquiry Report

The final report submitted to the management by the inquiring officer mentioning conclusions against each charge



Findings must be based on evidence led at the inquiry



The findings should specifically state whether the employee is guilty or not guilty



Recommending punishment is not the role of the inquiring officer


Accused

If found guilty

Punishment

If not found guilty

reinstatement

6. Decision of the Management


6. Decision of the Management -Punishments

Oral Warnings-how to prevent the recurrence of committed misconduct in future.



Written WarningsWhen oral warnings fails to achieve the

desired behaviour.First step in progressive discipline



FinesRecovery of fines should be limited to 5%

of the wage earnedThe amount recovered should be credited

to a “Fund” for welfare facilities



TransfersChange of the location of work place



Suspension from DutyProhibiting the employee to enter the

workplace and perform his tasks over a period of time

Suspension

With Pay

Without Pay



Withholding of IncrementsRefraining from granting the due

incrementsWithholding of Increments

Stoppage of Increments

Deferring of Increment



Denial of Promotions for a specified Period



Dismissal or Termination of Service The highest punishment


All the punishments should be communicated to the employee in

writing

THANK YOU FOR YOUR INTEREST!

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Employee misconduct & disciplinary procedure