Disciplinary Procedures &

Domestic Enquiry

Discipline

• Discipline means orderly behaviour - It means voluntary and willing compliance of rules and regulations and instructions and also development of right habits of conduct in work with others at the work-place.

How does Indiscipline arise?

In most of the cases, indiscipline of a worker is the expression of his reaction to his environment. Usually the causes of indiscipline are :

• (a) Lack of awareness of Company’s rules and regulations;

• (b) False promises made by superiors;• (c) Absence of any procedure to handle

grievances;• (d) No action taken when required;• (e) Personal frustrations and misunderstandings.

There could be many other different reasons for indiscipline depending upon individual differences.

Misconduct or Indiscipline

Attendance – related problems•Unexcused absenteeism• Leaving without permission• Excessive tardinessDishonesty & related problems• Theft, unsafe acts• Falsifying employment application•Willfully damaging assets• Falsifying work recordsPerformance related problems• Failure to complete assigned work• Producing products• Failure to meet production norms

Off the job behavior problems

• Insubordination• Smoking• Fighting with colleagues• Gambling, beating

• Carelessness• Sleeping while at work• Using abusive language

against supervisor• Sexual harassment• Accepting bribes, gifts

Approaches to Discipline

• There are two approaches to discipline

– Positive Discipline– Progressive discipline

Positive Discipline• This approach Builds on the philosophy that violations are actions that

usually can be corrected without penalty. • In this approach the focus is on fact finding and guidance to encourage

desirable behaviours instead of using penalties to discourage undesirable behaviour. There are 3 steps in +ve discipline. – An oral reminer

• Conference between employee and supervisor. The word of ‘warning’ is removed. It is supported by written documentation, serves as initial formal phase of the process to identify to the employee what work problems he/she is having. This reminder is designed to identify what is causing the problem and attempts to correct it before it becomes larger

– A written reminder• If the oral reminder was unsuccessful, a more formalised version is

implemented. This written reminder once again reinforces what the problems are and what corrective actions is necessery. Furthermore, specific tie tables that the employees must accept and abide by, and the consequences for failing to comply, are often included.

– A decision making leave» Here the employees are given a decision making leave – time off

from the work, usually with pay – to think about what they are doing anf whether or not they desire to continue work with the company : This deciding day is designed to allow the employee an opportunity to make a choice – correct the behaviour or face the separation from the company

Progressive Discipline approach

• In this approach discipline is imposed in progressive manner, giving an opportunity to employee to correct his or her misconduct voluntarily.

• The technique aims at nipping the problem in the bud, using only enough corrective action to remedy shortcoming.

• The sequence and severity of the disciplinary action vary with the type of offence and the circumstances surrounding it.

• However +ve discipline replaces the punishment used in progressive discipline with counseling sessions between employee and supervisor.

• The concept of progressive discipline states that penalties should be appropriate to the violation.

• If inappropriate behaviour is minor and has not occurred before an oral warning may be sufficient.

• If the violation requires written warning it must be done according to the procedure. After written warning if the conduct of the employee is still not along the desired lines, serious punitive steps could be initiated.

The Red Hot Stove Rule

• Without the continues support of subordinates, no manager can get thins done.

• But disciplinary action against a delinquent employee is painful and generates resentment on his part.

• Hence, a question arises as to how to impose discipline without generating resentment?

• This is possible through what Douglas McGregor called the “Red Hot Stove Rule”, which draws an analogy between touching a hot stove and undergoing discipline.

• Burns immediately: If disciplinary action is to be taken, it must occur immediately so the individuals will understand the reason for it. With the passage of time, people have the tendency to convince themselves that they are not fault.

• Provides warning: It is very important to provide advance warning that punishment will follow unacceptable behaviour. As you move closer to red stove you are warned by its heat that will be burned if you touch it.

• Gives consistent punishment: Disciplinary action should also be consistent that everyone who performs the same act will be punished accordingly. As with a hot stove, each person who touches it is burned the same.

• Burns impersonally: Disciplinary action should be impersonal. There are no favorites when this approach is followed.

Judicial approach to Discipline in India

• The industrial Employment (standing order )act 1946

• The Industrial Disputes Act 1947 (as amended in 1982)

• Payment of Wages Act

Disciplinary Procedures

• Issuing a letter of charge– When an emloyee commits an act of misconduct that

requires disciplinary action, the employee should be issued a charge sheet. Charges of misconduct or indiscipline should be clearly and precisely stated in charge sheet. It should also ask for the explanation for the said delinquent act and employee should be given sufficient time for answering this.

• Consideration of explanation– On getting the answer for the letter of charges served,

the explanation furnished be considered and if it is satisfactory , no disciplinery action would be taken.on the contrary if the management is not convinced with the explanation there is a need for serving of a show – cause notice

• Show – cause noticec– It is issued by the manager when he belives that there

is sufficient prima facie evidence of employee’s misconduct. However, this gives the employee another chance to account for his misconduct and reject the charges against him. Enquiry should also be initiated by first serving him a notice of enquiry indicating clearly the name of enqiry the name of the enquiring officer, time, date and place of enquiry.

• Holding a full – fledged enquiry– This must be in confirmity with the principle of natural

justice , that is• Making a final order of punishment

– The misconduct should be proved.– Look into the previous rcords, effects of action etc

• Follow up

Principles of Natural Justice & Domestic

Enquiry• The principle of natural justice states that no

man should be held guilty without getting an opportunity to explain his point of view. It states that a worker should be given a fair chance:

To present evidence of his own choiceTo cross examine the management's

evidenceTo explain his point of view without nay

pressure or fear.

Domestic Enquiry• The enquiry should be conducted by an impartial person

who is fully conversant with the intricacies and procedures of domestic enquires.

• Then a notice of enquiry has to be issued to the worker, giving time, date and place of enquiry and the name of the person holding the enquiry.

• The worker is supposed to come to the place of enquiry with supportive evidence and witness of his choice at the appointed time and date.

• The charges made by the employer against the employee are examine to the worker.

• If the worker agrees with the charges made against him, the enquiry is dropped.

• If he pleads innocent, the proceedings continue in the presence of the accused.

• During the course of enquiry, examination and cross examination should be free and proper and all documents are open and to be seen by the parties.

Conti…• If the worker does not turn up at the appointed

date and time, the proceedings are held ex-parte. • The finding of the enquiry are then conveyed to the

management in writing.• Before taking any punitive action the management

should look into the gravity of the misconduct• The punishment awarded should not be out of

proportion of misconduct of the employee.• The order of the punishment has to be handed over

to the worker immediately.• If the punishment dosed not seem to be fair, the

worker can go to the labour court or industrial tribunal.

PunishmentDismissalDischarge simpliciterSuspensionDemotion to lower gradeWith holding incrementsFine and Warning/ censure

Of these, suspension, discharge or dismissal may classified as major punishments.Fine, warning or censure