Discipline

Contents:

Definition Types of disciplinary situations Disciplinary Action Relationship management in disciplinary situations Disciplinary interviews The content of the disciplinary interview The ACAS Code of Practice Symptoms of Indiscipline Principle of Natural Justice Essentials of Good Disciplinary Procedure

Learning Objective in this Lesson By the end of this lesson, you should be able to learn: Ø What is Discipline Ø Nature of Discipline Ø How can the management maintain Discipline Ø Essentials of a Good Disciplinary Procedure

Another definition of ‘positive’ and ‘negative’ discipline makes the distinction between methods of maintaining sensible conduct and orderliness which are technically co-operative, and those based on warnings, threats and punishments. (a) Positive (or constructive) discipline relates to procedures, systems and equipment in the work place which have been designed specifically so that the employee has no option but to act in the desired manner to complete a task safely and successfully. A machine may, for example, shut off automatically if its safety guard is not in place. (b) Negative discipline is then the promise of sanctions designed to make people choose to behave in a desirable way. Disciplinary action may be punitive (punishing an offence), deterrent (warning people not to behave in that way) or reformative (calling attention to the nature of the offence, so that it will not happen again). The best discipline is self-discipline. Even before they start to work, most mature people accept the idea that following instructions and fair rules of conduct are normal responsibilities that are part of any job. Most team members can therefore be counted on to exercise self-discipline. As you will observe that this lesson has been discussed in not much detail. The reason being that you would have covered this in your earlier courses. And I assumed you have ample knowledge on the lesson already (?). Therefore dear students, happy revision! Types of Disciplinary Situations There are many types of disciplinary situations which require attention by the manager. Internally, the most frequently occurring are these. •

Excessive absenteeism Poor timekeeping

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Defective and/or inadequate work performance

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Poor attitudes which influence the work of others or reflect on the image of the firm

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Breaking rules regarding rest periods and other time schedules

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Improper personal appearance

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Breaking safety rules

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Other violations of rules, regulations and procedures Open insubordination such as the refusal to carry out a work assignment.

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MS 22B - Eddie Corbin, Lecturer

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Dear students, you must have heard this word being used all through school and college life. This won’t leave you even when you leave college and join a business organization. Discipline means adherence to rules, regulations, procedures, and standards is the discipline, orderliness, and obedience. Definition: Discipline can be considered as: ‘a condition in an enterprise in which there is orderliness in which the members of the enterprise behave sensibly and conduct themselves according to the standards of acceptable behaviour as related to the goals of the organisation’. 11.236

•

Just for laughs: Company Memo To: All Employees From: Director, Administrative Services Subject: Excessive Absences

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LESSON 36: DISCIPLINE

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Due to the excessive number of absences from the office, the following rules and procedures will be put into effect as of this date: SICKNESS: No excuse. We will no longer accept your doctor’s statement as proof, as we believe that if you are able to go to the doctor YOU are able to come to work. DEATH: (Other than your own) This is no excuse. There is nothing you can do for them, and we are sure that someone else with lesser position can attend to the arrangements. However, if the funeral can be held in the late afternoon, we will be glad to let you off one hour early, provided that your share of the work is ahead enough to keep the job going in your absence. LEAVE OF ABSENCE: (Surgery) We are no longer allowing this practice. We wish to discourage any thoughts that you need an operation, as we believe as long as you are an employee here, you will need all of whatever you have and you should not consider having anything removed. We hired you as you are and to have anything removed would certainly make you less than we bargained for. DEATH: (Your own) This will be accepted as an excuse but we would like a two-week notice, as we feel it is your duty to train your successor. ALSO: Entirely too much time is being spent in the restroom. In the future, we will follow the practice of going in alphabetical order. For instance, those whose names begin with “A” will go from 8 to 8:15, “B” will go from 8:15 to 8:30, and so on. If you are unable to go at your appointed time, it will be necessary to wait until the next day when your turn comes again. Signed: The Management Reasons instigating Disciplinary Action •

Breach of Rule

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Act of indiscipline committed by somebody

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To correct a person disciplinary action is taken

Progressive Disciplinary Action The purpose of discipline is not punishment or retribution. Disciplinary action must have as its goal the improvement of the future behaviour of the employee and other members of the organisation. The purpose obviously is the avoidance of similar occurrences in the future. Let us end by understanding the important elements in the disciplinary system with the help of a diagram Elements in a Disciplinary System Employ er

Establish rules and goals

Communic ate rules and goals

Modify undesirable behavior

Step 1. The informal talk If the infraction is of a relatively minor nature and if the employee’s record has no previous marks of disciplinary action, an informal, friendly talk will clear up the situation in many cases. Here the manager discusses with the employee his or her behaviour in relation to standards which prevail within the enterprise. Step 2. Oral warning or reprimand In this type of interview between employee and manager, the latter emphasizes the undesirability of the subordinate’s repeated violation, and that ultimately it could lead to serious disciplinary action. Step 3. Written or official warning These are part of the ACAS code of practice. A written warning is of a formal nature insofar as it becomes a permanent part of the employee’s record. Written warnings, not surprisingly, are particularly necessary in unionized situations, so that the document can serve as evidence in case of grievance procedures. Step 4. Disciplinary layoffs, or suspension This course of action would be next in order if the employee has committed repeated offences and previous steps were of no avail. Disciplinary lay-offs usually extend over several days or weeks. Some employees may not be very impressed with oral or written warnings, but they will find a disciplinary layoff without pay a rude awakening. Step 5. Demotion This course of action is likely to bring about dissatisfaction and discouragement, since losing pay and status over an extended period of time is a form of constant punishment. This dissatisfaction of the demoted employee may easily spread to co-workers, so most enterprises avoid downgrading as a disciplinary measure. Step 6. Discharge Discharge is a drastic form of disciplinary action, and should be reserved for the most serious offences. For the organisation, it involves waste of a labor resource, the expense of training a new employee, and disruption caused by changing the make-up of the work team. There also may be damage to the morale of the group. Activity 6 (15 minutes) How (a) accessible and (b) clear are the rules and policies of your organisation/office: do people really know what they are and are not supposed to do. Have a look at the rule book or procedures manual in your office. How easy is it see - or did you get referred elsewhere? is the rule book well-indexed and cross-referenced, and in language that all employees will understand? How (a) accessible and (b) clear are the disciplinary procedures in your office? Are the employees’ rights of investigation and appeal clearly set out, with ACAS guidelines? Who is responsible for discipline?

Employees

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Assess behavior

The suggested steps of progressive disciplinary action follow ACAS guidelines.

Relationship Management in Disciplinary Situations Even if the manager uses sensitivity and judgement, imposing disciplinary action tends to generate resentment because it is an © Copy Right: Rai University

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Step 4. The organisation’s expectations with regard to future behaviour/performance should be made clear.

(a) Immediacy Immediacy means that after noticing the offence, the manager proceeds to take disciplinary action as speedily as possible, subject to investigations while at the same time avoiding haste and on-the-spot emotions which might lead to unwarranted actions.

Step 5. The employee should be given the opportunity to comment, explain, justify or deny. If he is to approach the following stage of the interview in a positive way, he must not be made to feel ‘hounded’ or hard done by.

(b) Advance warning Employees should know in advance (eg in a Staff Handbook) what is expected of them and what the rules and regulations are.

(i)

(c) Consistency Consistency of discipline means that each time an infraction occurs appropriate disciplinary action is taken. Inconsistency in application of discipline lowers the morale of employees and diminishes their respect for the manager. (d) Impersonality Penalties should be connected with the act and not based upon the personality involved, and once disciplinary action has been taken, no’ grudges should be borne. (e) Privacy As a general rule (unless the manager’s authority is challenged directly and in public) disciplinary action should be taken in private, to avoid the spread of conflict and the humiliation or martyrdom of the employee concerned. Disciplinary interviews Preparation for the disciplinary interview (a) Gathering the facts about the alleged infringement (b) Determination of the organisation’s position: how valuable is the employee, potentially? How serious are his offences/lack of progress? How far is the organisation prepared to go to help him improve or discipline him further? (c) Identification of the aims of the interview: punishment? deterrent to others? improvement? Specific standards of future behaviour/performance required need to be determined. (d) Ensure that the organisation’s disciplinary procedures have been followed (i) Informal oral warnings (at least) have been given. (ii) The employee has been given adequate notice of the interview for his own preparation. (iii) The employee has been informed of the complaint against his right to be accompanied by a colleague or representative and so on.

Step 6. The organisation’s expectations should be reiterated, or new standards of behaviour set for the employee. They should be specific and quantifiable, performance related and realistic.

(ii) They should be related to a practical but reasonably short time period.. A date should be set to review his progress. (iii) The manager agrees on measures to help the employee should that be necessary. It would demonstrate a positive approach if, for example, a mentor were appointed from his work group to help him check his work. If his poor performance is genuinely the result of some difficulty or distress outside work, other help (temporary leave, counseling or financial aid) may be appropriate. Step 7. The manager should explain the reasons behind any penalties imposed on the employee, including the entry in his personnel record of the formal warning. He should also explain how the warning ‘can be removed from the record, and what standards must be achieved within a specified timescale. There should be a clear warning of the consequences of failure to meet improvement targets. Step 8. The manager should explain the organisation’s appeals procedures: if the employee feels he has been unfairly treated_ there should be a right of appeal to a higher manager. Step 9. Once it has been established that the employee understands all the above, the manager should summarize the proceedings briefly. Records of the interview will be kept for the employee’s personnel file, and for the formal follow-up review and any further action necessary. Activity 7 (20 minutes) Outline the steps involved in a formal disciplinary procedure (for an organisation with unionized employees) and show how the procedure would cerate in a case of: (a) Persistent absenteeism (b) Theft of envelopes from the organisation’s offices The ACAS Code of Practice This highlights the features of a good disciplinary system.

The Content of The Disciplinary Interview

ACAS Code of PracticeDisciplinary and grievance procedures should:· be in written form’

Step 1. The manager will explain the purpose of the interview.

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Step 2. The charges against the employee will be delivered, clearly, unambiguously and without personal emotion.

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Step 3. The manager will explain the organisation’s position with regard to the issues involved: disappointment, concern, need for improvement, impact on others. This can be done frankly - but tactfully, with as positive an emphasis as possible on the employee’s capacity and responsibility to improve.

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specify to whom they apply (all, or only some of the employees?) be capable of dealing speedily with disciplinary matters

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indicate the forms of disciplinary action which may be taken (such as dismissal, suspension or warning)

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specify the appropriate levels of authority for the exercise of disciplinary actions

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unpleasant experience. The challenge is to apply the necessary disciplinary action so that it will be least resented.

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provide for individuals to be informed of the nature of their alleged misconduct

Parties Responsible •

Management

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allow individuals to state their case, and to be accompanied by a fellow employee (or union representative)

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Trade Union

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ensure that every case is properly investigated before any disciplinary action is taken

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ensure that employees are informed of the reasons for any penalty they receive state that no employee win be dismissed for a first offence, except in cases of gross misconduct

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provide for a right of appeal against any disciplinary action, and specify the appeals procedure* The ACAS code of practice does not extend to informal ‘first warnings’, but these are an important part of the organisation’s policy: don’t forget them!

Symptoms of Indiscipline •

Absenteeism

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Go Slow

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Disorderly behavior. Lack of concern for job

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Demand for OT

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Assault

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Late Coming

The Code of Discipline is written in three parts. The first part lays down a common set of rules for the management and the union. The second set of rules applies to the management and the third set of rules applies to the union. Essentials of Good Disciplinary Procedure • Well drafted (it is a part of S. O. S) •

Known to all

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Prompt & Fair Action

Domestic Enquiry •

Domestic enquiry should be held before awarding punishment

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Domestic enquiry should be based on the principles of natural justice.

Steps involved in Domestic Enquiry

Principle of Natural Justice: Before taking disciplinary action against a worker, management must hold a domestic enquiry, following the principles of natural justice. This states that no man should be held guilty without getting an opportunity to explain his point of view.

a.

Written Complaint

b. c.

Preliminary Enquiry Issue of Charge Sheet

d.

Submit Explanation

D.1 Consideration of Explanation

e.

Holding of Enquiry

D.2 Selection of Enquiry Officer D.3 Issue of Enquiry Notice & ITS Service

f.

Tell the person what he has done Hear Him Give Him a Chance to defend himself

Report prepared by the Report by the Enquiry Officer Punishing Authority.

This rule draws an analogy between touching a hot stove and undergoing discipline

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Don’t touch (warning people not to touch a Red Stove.): Give advance warning that punishment will follow unacceptable behaviour. Immediacy (Instant ‘BURN’ if you touch it.)

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Consistent: (Punishment is always consistent) This means that everyone who performs the same act will be punished accordingly.

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Impersonal: Disciplinary action should be impersonal.

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Problems with Hot Stove Rules and Progressive Discipline

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They focus on past behavior

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There is the possibility that employees are disciplined in a punitive way:

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Will not build commitment into their jobs

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Will not feel better about the job or the company

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F.1 Consideration of

F.2 Awarding of Punishment/ preparation of Dismissal Letter F.3 Service of Letter Conveying the Decision

“RED HOT STOVE” Rules of Discipline (Douglas Mc Gregor)

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B.1 Calling of Explanation B.2 preparation of Charge Sheet

Before starting the process of discipline, it is essential to hold a preliminary inquiry to know if a prima facie case of indiscipline and misconduct exist. After this, the following steps should be followed: 1. Issue of charge sheet: Once the prima facie case of misconduct is established, the management should proceed to issue a charge sheet to the employee. Charge sheet is merely a notice of the charge and provides the employee an opportunity to explain his conduct. Therefore, charge sheet is generally known as a slow cause notice. In the charge sheet, each charge should be clearly specified. There should be a separate charge for each allegation and charge should not relate to any matter, which has already been decided upon. I would suggest each one of you to talk to find out how is a charge sheet prepared. We will discuss that in the next class.

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3. Suspension pending Enquiry. In case the charge is grave that is serious, a suspension order may be served on the employee along with the charge sheet. According to the Industrial Employment (Standing Order) Act, 1946, the suspended worker is to be paid a subsistence allowance equal to one-half of his wages for the first ninety days of suspension and three-fourths of wages for the remaining period of suspension if the delay in the completion of disciplinary proceedings is not due to the worker’s conduct. What is grave will depend on the discretion of the management. It has to be decided in accordance with the Code Of Discipline. 4. Holding of Enquiry. An enquiry officer should be appointed to hold the enquiry and a notice to this effect should be given to the concerned worker. Principle of natural justice must be followed. The worker should not be denied the chance of explaining himself. The enquiry officer should give sufficient notice to the worker so that he may prepare to represent his case and make submission in his defense. The enquiry officer should proceed in a proper manner and examine witnesses. Fair opportunity should be given to the worker to cross-examine the management witnesses. On the conclusion of the enquiry, the enquiry officer should record his findings and the reasons thereof. He should refrain from recommending punishment and leave it to the decision of the appropriate authority. After all he is just an enquiry officer!! 5. Order of Punishment. Disciplinary action can be taken when the misconduct of the employee is proved. While deciding the nature of disciplinary action, the employee’s previous record, precedents, effects of the action on other employees, etc, have to be considered. When the employee feels that the enquiry conducted was not proper and the action taken unjustified, he must be given a chance to make appeal. The Disciplinary Procedure can be summarized as Issue of charge sheet

Consideration of Explanation

Suspension pending Enquiry

Holding of Enquiry

Order of Punishment 11.236

Summary: •

Discipline is the force that prompts individuals or groups to observe rules, regulations, standards and procedures deemed necessary for an organization.”

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Maintenance of discipline is a prerequisite to the attainment of maximum productivity, not only of the firm but also for the entire nation.

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Discipline involves the following three things. (I) Self-discipline. (II) Orderly behaviour. (III ) Punishment

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Discipline can either be positive or negative.

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The common causes of indiscipline are Unfair Management Practices, Absence of Effective Leadership, Communication Barriers, and Inadequate attention to personnel Problems, Victimization, Absence of Code of Conduct.

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Before starting the process of discipline, it is essential to hold a preliminary inquiry to know if a prima facie case of indiscipline and misconduct exist.

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The Code of Discipline is entirely voluntary in nature and is not required by law.

Exercises: 1)

Why is discipline necessary?

2)

Bring out the differences between positive and negative discipline.

3)

Outline the various forms of indiscipline and examine the factors leading to indiscipline.

4)

Explain what do you mean by the principle of Natural Justice.

5)

Write short notes on:

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Suspension Dismissal

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Red Hot Stove rule

6)

What types of discipline problems are most prevalent?

7)

What type of discipline problem traditionally results in the most severe disciplinary action?

8)

In what conditions should dismissal be used as a penalty?

9)

Should an organisation adopt a uniform hierarchy of penalties for all offences? Discuss.

10) “You can’t discipline employees today as you could a generation ago.” Discuss with your grandparents and parents and find out. Discuss the findings in the class. 11) What should be the rights of an employee who has been charged with a rules violation by his or her supervisor? 12) 2 shipping clerks come to office following lunch, heavily intoxicated. One has been employed for three months and is undergoing the usual 6 months probation that all new employees undergo. The other has been with the company for 16 years, is a good worker and except for a 2-day suspension for telling off his old boss a few years ago, has a spotless record. As their supervisor, what would you do? © Copy Right: Rai University

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2. Consideration of Explanation. On getting the answer for the charge sheet served, the explanation furnished should be considered and if it is satisfactory, no disciplinary action needs to be taken. On the contrary when the management is not satisfied with the employee’s explanation, it can proceed with full-fledged enquiry. (However, if the worker admits the charge, the employer can warn him or award him punishment without further enquiry.)

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Case Study:

Questions:

“Its not easy to punish tardiness”

1)

What is your position in regard to this case? Is everything in order? Who is at fault?

2)

What would you do if you were to decide the case? Would you punish Babbir or let him go off the hook.

On January 20, 1994 Babbir Singh was hired as a mechanic for a large national automatic service station in Mumbai. Babbir was to do routine preventive maintenance on cars that are leased out to various local firms from time to time. When he first commenced his job, he was scheduled to check on the time clock at 7 am. On July 25, 1995 Babbir’s supervisor Rajinder called him to his office and said, “ Babbir, I have noticed that during July you have been late for work several times. You were on time for the past 6 months. What can I do to help you come on time?”

Disciplinary and grievance procedures

Discipline

Babbir replied that” It would be awfully nice if you permit me to come at 8 am instead of 7 am as I have to travel more than 60 kms to report to work daily.” Rajinder then said “ Babbir, I am highly pleased with your overall work performance, so it does not matter much if your work day begins at 8 am.” During the month of august 1995, Babbir was late 8 times. Another meeting followed between the 2 and as a result his reporting time was changed to 9 am. On Jan 10, 1996, Rajinder pasted the following notice on the display board- “ Any employee late for work for more than thrice in any one particular month is subject to termination.” On Feb 20, 1996, Rajinder called Babbir into his cabin and gave him a letter that read- “ During Feb, 1996, you have been late for work more than 3 times. If this behaviour continues, you are subject to termination”. Babbir signed the letter to acknowledge that he had received it. In April 1996, Babbir was again late 8 times offering various excuses as usual. In May and June, the same behaviour followed. In August 10, 1996 Rajinder informed Babbir that he had been fired for his tardiness. He also mentioned that every word of law has been scrupulously observed before taking the harsh step. Babbir then recollected having signed some letter issued by Rajinder previously. On August 19, 1996, Babbir came with his union representatives and demanded that he got his job back. Babbir this time raised his violent demand on the information that another woman radhika by name working in the stores division was late as many times as he was or more. Babbir further alleged that Rajinder was punching the time clock for this woman because he was having an affair with this woman. The union representative intervened that and said that nearly 6 people in the company had agreed to testify to this effect- under oath. The union representative then said “ Rajinder, rules are for everyone, you cant let one person break the rule and penalize another person for breaking the same rule. You haven’t followed the rules mentioned in the Act. You have not informed the union before firing Babbir. We will be fighting the issue on other grounds as well. Its better , you agree to take back Babbir.

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Discipline “….can be considered as: 'a condition in an enterprise in which there is orderliness in which the members of the enterprise behave sensibly and conduct themselves according to the standards of acceptable behavior as related to the goals of the organization.”

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Ø Ø Ø Ø

Positive Discipline

Self Discipline Negative Discipline

Ø Ø

The informal talk Oral warning or reprimand Written or official warning Disciplinary layoffs, or suspension Demotion Discharge

Types of disciplinary situations Ø Ø Ø Ø Ø Ø Ø

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Disciplinary Action

Discipline

Disciplinary interviews

Excessive absenteeism Poor timekeeping Defective and/or inadequate work performance Poor attitudes which influence the work of others or reflect on the image of the firm Improper personal appearance Breaking safety rules violations of rules, regulations and procedures

Ø Ø Ø Ø

Gathering the facts about the alleged infringement Determination of the organization's position Identification of the aims of the interview Ensure that the organization's disciplinary procedures have been followed

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Relationship management in disciplinary situations

“RED HOT STOVE” •Rules of Discipline given by Douglas Mc Gregor

Ø

Immediacy Advance warning Ø Consistency Ø Impersonality Ø Privacy

•This rule draws an analogy between touching a hot stove and undergoing discipline

Ø

Principle of Natural Justice This states that no man should be held guilty without getting an opportunity to explain his point of view.

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