Discipline concept in management and behavior

Discipline management

1. Discipline & Disciplinary action

2. Discipline and Disciplinary Action
Discipline means orderliness. It is the primary
responsibility of the management to maintain
discipline.
No matter how careful the selection, recruitment
and training of employees has been, there will
still be cases where reprimanding is necessary;
almost very supervisor and executive has to
take disciplinary action at one time or other.

3. The primary purpose of disciplinary
measures is to influence the future
behavior of
–(a) the offending employee; and
–(b) other employees.

4. A favorable effect on future behavior will be
obtained only if the disciplinary action is
regarded as fair.
Fairness, in turn, requires, that there be a full
knowledge of the rules of conduct and penalties
for breaking it.
Full considerations should be given to the
provocation for the undesirable action and also
the attitude, previous conduct and personality of
the individual concerned.

5. Negative incentives provided through
disciplinary action have, no doubt, a
salutary effect. However, for better results,
they must be combined with personal
leadership, positive incentives and indirect
motivation.

6. As orderly behavior is essential for attaining
the organization’s objectives, all
employees must be disciplined.
Discipline should be administered by the
management without favoritism and
partiality.
Successful executives direct discipline
against an act of misconduct and not
against any person.

8. Complaint procedureComplaint procedure
All complaints arising out of employment, All complaints arising out of employment,
including those relating to unfair treatment including those relating to unfair treatment
on the part of the management, should on the part of the management, should
preferably be referred to the head of the preferably be referred to the head of the
department in which the employee is department in which the employee is
working.working.

9. In the event that the employee is not satisfied with the
department head’s decision or if the latter so wishes, the
complaint should be referred to the Chief Executive (MO)
of the hospital.
The Chief Executive may, at his discretion, appoint an
officer or a committee to investigate the complaint; or
after a formal enquiry by the HR Manager, communicate
his decision to the employee through the head of the
department.

10. Similarly, if a superior has any complaint
against his subordinate for not carrying out
his instructions, the management must
obtain the complaint in writing and should
avoid taking action on an oral complaint.
Secondly, this sort of complaint should
always be addressed to the Chief
Executive of the hospital who has hiring
and firing authority.

11. Preliminary Enquiry
In cases of misconduct, before the chief executive
decides to issue a formal charge sheet and
holds a regular enquiry, he should try to
determine whether there is prima facie case
against the accused employee by ordering a
preliminary enquiry.

12. If it is found that the allegation against him is
of a minor nature not warranting
disciplinary action, he should let off with a
warning.
But if the misconduct appears to be of grave
nature, a regular enquiry should be
initiated on the basis of the evidence
available at the preliminary enquiry.

13. Holding of a preliminary enquiry is always
desirable because holding a regular
enquiry is a serious matter, which can
cause unrest or have other undesirable
effects.
But a preliminary enquiry has its limitations.
No employee can be punished on the
finding of a preliminary enquiry. An
employee can be exonerated or punished
only on the result of a regular enquiry.

14. Disciplinary Action
Disciplinary action is generally confined to the
punishment of the erring employee to prevent
his undesirable behavior in the future.
Though the majority of employees conforms to
orders, policies, and rules and regulations,
the erring minority does require disciplinary
action.
One of the most difficult tasks of an executive
is the effective administration of disciplinary
action.

15. Essence of good Disciplinary Procedure.
1.There should be a written statement of the policy
of the organization with regard to discipline, and
this statement should be part and parcel of the
personnel policies.
2.The rules and the reason for each rule should be
clearly stated.
3.The exact authority and responsibility for each
step should be explicitly defined in unambiguous
language so that it is understood by all
concerned.
4.All cases of misconduct must be dealt with
promptly and firmly because delayed action in
such cases would encourage indiscipline
amongst the employees.

16. 5. All employees, whether holding high posts or lower
ones, should receive equal punishment for the
same misconduct. At the same time, disciplinary
action should be handled in a constructive manner
so that harmonious relations are not impaired.
6. Disciplinary proceedings should be held in
camera. In particular, supervisor should never be
questioned in the presence of his immediate
subordinates.
7. There should be always be a provision for appeal
in any disciplinary cases.

17. Misconduct
Misconduct is a act of omission or commission
mentioned in the personnel policies.
The cases of misconduct that are most common
hospitals are: tardiness, habitual late attendance,
going off duty before scheduled time,
unauthorized leave from work, absence from
place of duty, use of bad language, deliberate
damage to machines and materials, theft fraud,
dishonesty, taking or giving bribes, etc.
Apart from these acts and the omissions which
amount to misconduct, ‘go slow policy’ has also
been regarded as misconduct.

18. Procedures for Disciplinary Action
The management starts the procedure of disciplinary
action against an employee by issuing a charge-
sheet. It gives an opportunity to an employee to
explain his conduct. Therefore, it is sometimes
called a ‘show cause notice’.
If the charges are of a very serious nature, the
employee should be suspended as well, so that he
may not tamper with the records and mislead
witnesses.
Thus, a domestic enquiry first requires the framing of
the charges with details of the offence in the form of
charge-sheet requiring the employee to show
cause as to why appropriate action should not be
taken against him.

19. Charge – sheet Charge – sheet
  A charge-sheet is a document
 which sets out
A charge-sheet is a document
 which sets out
the allegations of misconduct, misbehaviour, the allegations of misconduct, misbehaviour,
indiscipline, lack of interest, negligence etc. on indiscipline, lack of interest, negligence etc. on
the part of the employee which he should not the part of the employee which he should not
have committed in contravention of existing have committed in contravention of existing
rules of the organization. It is a document which rules of the organization. It is a document which
should form the basis for subsequent enquiry should form the basis for subsequent enquiry
proceedings.proceedings.

20. After the charge-sheeted employee has
given his written explanation, it should be
examined.
In case the explanation given by the
employee is not satisfactory, an enquiry
letter should be issued, giving him
reasonable time [say 72 hours] to prepare
his case and to arrange witnesses, if any.
A person who conduct an inquiry is called an
enquiry officer. He should be impartial and
qualified to act in that capacity.

21. When the enquiry officer commences enquiry, he
should mark the presence of the management’s
representative and the charge-sheeted employee
and his representative, if any.
He should the read out the charges as contained in
the charge-sheet.
After that he should ask the charge-sheeted employee
whether he confesses to or denies the charges.
If the charge-sheeted employee confesses to the
charges, the enquiry officer should record his
statement, obtain the signature of the charge-
sheeted employee and the management’s
representative, and submit his report to the chief
executive of the organization.

22. An enquiry officer can be disqualified on any
of the following grounds.
1.If he is personally involved in the
concerned incident which is being
enquired into.
2.If he has personal knowledge of the
incident.
3.If he has collected evidence on behalf of
the management for the very enquiry
being conducted by him.

23. If the charge-sheeted employee denies the
charges, the enquiry officer should direct
the management’s representative to
present the case of the management.
At this stage, the management’s
representative should file documents and
examine all witnesses of management,
one by one to prove the charges.
The enquiry officer should allow the charge-
sheeted employee to cross examine every
witness of the management after recording
the statement of each witness.

24. Once the management’s representative has completed the
presentation of the case on behalf of the management
by filling documents and presenting all witnesses one y
one, the enquiry officer should call upon the charge-
sheeted employee to present his defense by filing
documents, if any, by giving his own statement and
producing his witnesses.
After recording the statement of every witness produced by
the charge-sheeted employee, he should ask the
management’s representative to cross-examine them.
Then the enquiry officer writes an enquiry report and
submit it along with the enquiry proceedings to the chief
executive of the institution.
In his report, he concludes whether the charges are proved
or disproved.
The decision about the enquiry or penalty rests with the
chief executive.

25. Disciplinary ProcessDisciplinary Process
DisciplineDiscipline
Actions taken by supervisors to Actions taken by supervisors to
enforce an organization’s standards enforce an organization’s standards
and regulations.and regulations.
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26. Disciplinary ProcessDisciplinary Process
Verbal WarningVerbal Warning
The mildest form of discipline. The mildest form of discipline.
It is a temporary record of a reprimand which It is a temporary record of a reprimand which
is placed in the supervisor’s file.is placed in the supervisor’s file.
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27. Disciplinary ProcessDisciplinary Process
Written WarningWritten Warning
The first formal stage of the The first formal stage of the
disciplinary procedure; disciplinary procedure;
the warning becomes part of an the warning becomes part of an
employee’s official personnel file.employee’s official personnel file.
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28. Disciplinary ProcessDisciplinary Process
DismissalDismissal
Termination of ones employment.Termination of ones employment.
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29. Positive DisciplinePositive Discipline
A technique that attempts to reinforce A technique that attempts to reinforce
the good work behaviors of an the good work behaviors of an
employee, while simultaneously employee, while simultaneously
emphasizing to the employee the emphasizing to the employee the
problems created by undesirable problems created by undesirable
performance.performance.
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30. Basic Tenets of DisciplineBasic Tenets of Discipline
* * Do your homeworkDo your homework
* Provide ample warning* Provide ample warning
* Act in a timely manner* Act in a timely manner
* Conduct discipline in private* Conduct discipline in private
* Be calm and serious* Be calm and serious
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31. Basic Tenets of DisciplineBasic Tenets of Discipline
* * Be specific about the problemBe specific about the problem
* Keep it impersonal* Keep it impersonal
* Get the employee’s side * Get the employee’s side
* Keep control of the discussion* Keep control of the discussion
* Agree on how mistakes can be* Agree on how mistakes can be
prevented next time.prevented next time.
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32. Basic Tenets of DisciplineBasic Tenets of Discipline
* Select progressive disciplinary * Select progressive disciplinary
action and consider mitigating action and consider mitigating
circumstances.circumstances.
* Fully document the disciplinary * Fully document the disciplinary
session.session.

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33. Progressive DisciplineProgressive Discipline
Action that begins with a verbal Action that begins with a verbal
warning, and then proceeds warning, and then proceeds
through written reprimands, through written reprimands,
suspension, and finally, in the suspension, and finally, in the
most serious cases, dismissal.most serious cases, dismissal.

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34. Hot Stove RuleHot Stove Rule
A set of principles that can guide an A set of principles that can guide an
individual in effectively disciplining an individual in effectively disciplining an
employee by demonstrating the analogy employee by demonstrating the analogy
between touching a hot stove and between touching a hot stove and
administering discipline.administering discipline.
Painful - Immediate – Impartial - Consistent Painful - Immediate – Impartial - Consistent

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36. Disciplinary FactorsDisciplinary Factors
* * Seriousness of the problemSeriousness of the problem
* Duration of the problem* Duration of the problem
* Frequency and nature of * Frequency and nature of
the problem.the problem.
* Employee’s work history* Employee’s work history
* Extenuating circumstances* Extenuating circumstances
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37. Disciplinary FactorsDisciplinary Factors
* * Degree of warningDegree of warning
* History of the organization’s * History of the organization’s
disciplinary practices.disciplinary practices.
* Implications for other* Implications for other
employees. employees.
* Upper management support* Upper management support

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38. Discipline and the LawDiscipline and the Law
* * Employment-At-WillEmployment-At-Will
* Wrongful Discharge* Wrongful Discharge
* Due Process* Due Process
* Union Contracts* Union Contracts

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39. Forms of Punishment
Generally, the forms of punishment as laid down in
the personnel polices are as follows:
Warning
This is a bad remark in the personnel file of an
employee and is a sort of stigma in his service
record.

40. Forms of Punishment
Fine
In certain cases, an employee is fined for his
misconduct. Fine should be imposed in the
manner and to the extent laid down in the
Payment of Wages Act, 1936.
The maximum fine permitted to be deduced
according to this act is 3 paisa in a rupee from
the employee’s salary.

41. Suspension
An employee may be suspended pending
enquiry.
He could also be suspended as a punishment.
The personnel policies of every institution should
specifically prescribe the number of days for
which such punishment can be imposed.

42. Termination
Similarly, there can be a provision in the personnel
policies for termination of services of an employee by
giving one month's notice or one month’s pay in lieu
thereof.
Since the Supreme Court has held that every termination
of service of an employee should be treated as a case of
retrenchment, the management should simultaneously
offer service compensation at the rate of 15 days salary
for every completed year of service to the terminated
employee.

43. However, if the services of an employee are
terminated on account of continued ill-health or
on attaining the age of superannuation or due to
unauthorized absence without any sufficient
cause or on account of non-renewal of contract
or non-confirmation on completion of the
probation period, then such termination will not
amount to retrenchment and no retrenchment
compensation will be payable in such cases.

46. Dismissal
HR policies generally provide that no order of
dismissal will be made unless the employee
concerned is informed in writing of the alleged
misconduct, domestic inquiry is held, charges
are proved, a copy of enquiry report is sent to
the charge-sheeted employee and comments
received from him.
This outline of disciplinary procedure and forms of
punishment have been sketched very briefly as
an indication of the application of the rules of
natural justice.

48. DocumentationDocumentation
Documentation Documentation
–A written record, in this case of the A written record, in this case of the
disciplinary actions taken.disciplinary actions taken.
Anecdotal Information Anecdotal Information
–Optional informal notes that are Optional informal notes that are
sometimes kept by a manager as a sometimes kept by a manager as a
reminder of things that have occurred.reminder of things that have occurred.

49. Guidelines for anecdotal information:Guidelines for anecdotal information:
–System should be applied uniformly to all System should be applied uniformly to all
employeesemployees
–Notes should be factual and non-judgmentalNotes should be factual and non-judgmental
–Notes are more useful if datedNotes are more useful if dated
–Notes may be discarded when no longer Notes may be discarded when no longer
needed, or when important information is needed, or when important information is
transferred to official documentstransferred to official documents

50. Official documentationOfficial documentation
–Documents dealing with progressive discipline Documents dealing with progressive discipline
should include:should include:
The employee’s identifying information The employee’s identifying information
The manager’s identifying informationThe manager’s identifying information
Behavioral or performance problem for which Behavioral or performance problem for which
the action is being takenthe action is being taken
Description of events and discussions Description of events and discussions
preceding this actionpreceding this action
Description of the specific events leading to this Description of the specific events leading to this
actionaction

51. Official documentationOfficial documentation
–Documents dealing with progressive discipline Documents dealing with progressive discipline
should include:should include:
Possible consequences if this behavioral or Possible consequences if this behavioral or
performance problem is not correctedperformance problem is not corrected
Duration of the warningDuration of the warning
Signature of the managerSignature of the manager
Signature of the employee, with a Signature of the employee, with a
disclaimer regarding agreementdisclaimer regarding agreement
–ex: written warning for a diet clerk...ex: written warning for a diet clerk...

53. Employee Assistance ProgramsEmployee Assistance Programs
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54. Employee Assistance Programs (EAPs)Employee Assistance Programs (EAPs)
- Plans that provide employees with - Plans that provide employees with
support in dealing with personal crises support in dealing with personal crises
(such as substance abuse, stress, or (such as substance abuse, stress, or
grief) that could negatively impact work grief) that could negatively impact work
performanceperformance

55. Employee Assistance ProgramsEmployee Assistance Programs
Commonly used for employees identified as Commonly used for employees identified as
having or at risk for a substance abuse problemhaving or at risk for a substance abuse problem
–Drug tests are routinely conducted for workers in Drug tests are routinely conducted for workers in
certain fieldscertain fields
Participation in an EAP may be required as part Participation in an EAP may be required as part
of a discipline processof a discipline process
EAPs may be self-operated or contracted from EAPs may be self-operated or contracted from
outside providersoutside providers
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56. Employee Assistance ProgramsEmployee Assistance Programs
Benefits:Benefits:
–Restoration of productivityRestoration of productivity
–Avoidance of time/energy needed for Avoidance of time/energy needed for
progressive disciplineprogressive discipline
–Cost savings (new employee need not be Cost savings (new employee need not be
hired/trained)hired/trained)
–Employee is assisted in dealing with a Employee is assisted in dealing with a
potentially devastating personal crisispotentially devastating personal crisis
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57. Employee GrievancesEmployee Grievances
Employee Grievances Employee Grievances
–A method for employees to use to resolve A method for employees to use to resolve
conflicts when they feel they have been conflicts when they feel they have been
treated unfairly by management.treated unfairly by management.
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58. © © 2006 Thomson-Wadsworth2006 Thomson-Wadsworth

59. Employee GrievancesEmployee Grievances
Grievance P&P has the same format as Grievance P&P has the same format as
discipline P&Pdiscipline P&P
Typical procedure:Typical procedure:
–Discuss problem with managerDiscuss problem with manager
–Discuss problem with manager's superiorDiscuss problem with manager's superior
–Superior may refer problem to grievance Superior may refer problem to grievance
committee or CEOcommittee or CEO
Union employee grievances are handled Union employee grievances are handled
differently...differently...
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60. Union Employee GrievancesUnion Employee Grievances
Procedure from contract rather than P&P is Procedure from contract rather than P&P is
followedfollowed
Grievances specific to union employees:Grievances specific to union employees:
–Union employee asked to do non-union workUnion employee asked to do non-union work
–Non-union workers perform union workNon-union workers perform union work
–Union contract violationsUnion contract violations
© © 2006 Thomson-Wadsworth2006 Thomson-Wadsworth

61. Conclusion:
After the disciplinary action, the supervisor
should assume a normal attitude towards
the employee treating the chapter as
closed. If the supervisor continues to
regard the employee with suspicion, the
employee will feel uneasy while working;
distrust between the supervisor and
employee should be avoided at all cost.

62. One thing to remember while taking disciplinary
action is that the procedure for disciplinary
action should be based on principles of natural
justice: an opportunity must be given to the
employee to show cause; no decision should
be taken by someone who is biased; no
decision impairing any person's rights should
be based on inaccurate facts; and the
employee is entitled to know the reason for any
decision.

63. However, the attitude of the supervisor
should be one of counseling and
understanding rather than ‘police and
punish’.