MANAGING PEOPLE

LESSON 36:
DISCIPLINE

Contents: Definition Another definition of ‘positive’ and ‘negative’ discipline makes

Types of disciplinary the distinction between methods of maintaining sensible
situations conduct and orderliness which are technically co-operative, and
those based on warnings, threats and punishments.
Disciplinary Action (a) Positive (or constructive) discipline relates to procedures,
Relationship management in systems and equipment in the work place which have been
disciplinary situations designed specifically so that the employee has no option but to
Disciplinary interviews act in the desired manner to complete a task safely and success-
fully. A machine may, for example, shut off automatically if its
The content of the safety guard is not in place.
disciplinary interview (b) Negative discipline is then the promise of sanctions
The ACAS Code of Practice designed to make people choose to behave in a desirable way.
Symptoms of Indiscipline Disciplinary action may be punitive (punishing an offence),
deterrent (warning people not to behave in that way) or
Principle of Natural Justice reformative (calling attention to the nature of the offence, so
Essentials of Good that it will not happen again).
Disciplinary Procedure 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.
Learning Objective in this Lesson 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 knowl-
By the end of this lesson, you should be able to learn: edge on the lesson already (?). Therefore dear students, happy
Ø What is Discipline revision!
Ø Nature of Discipline
Ø How can the management maintain Discipline Types of Disciplinary Situations
Ø Essentials of a Good Disciplinary Procedure There are many types of disciplinary situations which require
attention by the manager. Internally, the most frequently
occurring are these.
• Excessive absenteeism
• Poor timekeeping
MS 22B - Eddie Corbin, Lecturer 2 • Defective and/or inadequate work performance
• Poor attitudes which influence the work of others or reflect
on the image of the firm
• Breaking rules regarding rest periods and other time
Dear students, you must have heard this word being used schedules
all through school and college life. This won’t leave you • Improper personal appearance
even when you leave college and join a business
• Breaking safety rules
organization. Discipline means adherence to rules,
• Other violations of rules, regulations and procedures
regulations, procedures, and standards is the discipline,
• Open insubordination such as the refusal to carry out a
orderliness, and obedience. work assignment.
Definition: Just for laughs:
Discipline can be considered as: ‘a condition in an enterprise in Company Memo
which there is orderliness in which the members of the
enterprise behave sensibly and conduct themselves according to To: All Employees
the standards of acceptable behaviour as related to the goals of From: Director, Administrative Services
the organisation’. Subject: Excessive Absences

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 Due to the excessive number of absences from the office, the
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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
• Act of indiscipline committed by somebody
• 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 Establish Communic
Assess
Modify
er rules and ate rules undesirable
and goals
behavior
behavior
goals
Employees
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The suggested steps of progressive disciplinary action follow
ACAS guidelines.
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 respon-
sible for discipline?
Relationship Management in Disciplinary Situations
Even if the manager uses sensitivity and judgement, imposing
disciplinary action tends to generate resentment because it is an
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unpleasant experience. The challenge is to apply the necessary
disciplinary action so that it will be least resented.
(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.
(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.
(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.
The Content of The Disciplinary Interview
Step 1. The manager will explain the purpose of the interview.
Step 2. The charges against the employee will be delivered,
clearly, unambiguously and without personal emotion.
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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Step 4. The organisation’s expectations with regard to future
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behaviour/performance should be made clear.
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.
Step 6. The organisation’s expectations should be reiterated, or
new standards of behaviour set for the employee.
(i) 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 under-
stands 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.
ACAS Code of PracticeDisciplinary and grievance procedures
should:· be in written form’
• specify to whom they apply (all, or only some of the
employees?)
• be capable of dealing speedily with disciplinary matters
• indicate the forms of disciplinary action which may be
taken (such as dismissal, suspension or warning)
• specify the appropriate levels of authority for the exercise
of disciplinary actions
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 • provide for individuals to be informed of the nature of Parties Responsible
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their alleged misconduct • Management

• allow individuals to state their case, and to be accompanied • Trade Union
by a fellow employee (or union representative)
The Code of Discipline is written in three parts. The first part
• ensure that every case is properly investigated before any lays down a common set of rules for the management and the
disciplinary action is taken union. The second set of rules applies to the management and
• ensure that employees are informed of the reasons for any the third set of rules applies to the union.
penalty they receive Essentials of Good Disciplinary Procedure
• state that no employee win be dismissed for a first offence, • Well drafted (it is a part of S. O. S)
except in cases of gross misconduct
• Known to all
• provide for a right of appeal against any disciplinary action,
• Prompt & Fair Action
and specify the appeals procedure* The ACAS code of
practice does not extend to informal ‘first warnings’, but Domestic Enquiry
these are an important part of the organisation’s policy: • Domestic enquiry should be held before awarding
don’t forget them! punishment
Symptoms of Indiscipline • Domestic enquiry should be based on the principles of
natural justice.
• Absenteeism
Steps involved in Domestic Enquiry
• Go Slow
a. Written Complaint
• Disorderly behavior.
• Lack of concern for job b. Preliminary Enquiry B.1 Calling of Explanation
c. Issue of Charge Sheet B.2 preparation of Charge Sheet
• Demand for OT
• Assault
d. Submit Explanation D.1 Consideration of
• Late Coming
Explanation
Principle of Natural Justice: Before taking disciplinary action
e. Holding of Enquiry D.2 Selection of Enquiry
against a worker, management must hold a domestic enquiry,
Officer
following the principles of natural justice. This states that no
man should be held guilty without getting an opportunity to D.3 Issue of Enquiry
explain his point of view. Notice & ITS Service
Tell the person what he has done f. Report prepared by the F.1 Consideration of
Report by the Enquiry Officer
Hear Him
Punishing Authority.
Give Him a Chance to defend himself
F.2 Awarding of
“RED HOT STOVE” Rules of Discipline (Douglas Mc Punishment/
Gregor) preparation of
This rule draws an analogy between touching a hot stove Dismissal Letter
and undergoing discipline F.3 Service of Letter
• Don’t touch (warning people not to touch a Red Stove.): Conveying the Decision
Give advance warning that punishment will follow Before starting the process of discipline, it is essential to hold a
unacceptable behaviour. preliminary inquiry to know if a prima facie case of indiscipline
• Immediacy (Instant ‘BURN’ if you touch it.) and misconduct exist. After this, the following steps should be
• Consistent: (Punishment is always consistent) This means followed:
that everyone who performs the same act will be punished 1. Issue of charge sheet: Once the prima facie case of miscon-
accordingly. duct is established, the management should proceed to issue a
• Impersonal: Disciplinary action should be impersonal. charge sheet to the employee. Charge sheet is merely a notice of
the charge and provides the employee an opportunity to explain
• Problems with Hot Stove Rules and Progressive Discipline his conduct. Therefore, charge sheet is generally known as a slow
• They focus on past behavior cause notice. In the charge sheet, each charge should be clearly
• There is the possibility that employees are disciplined in a specified. There should be a separate charge for each allegation
punitive way: and charge should not relate to any matter, which has already
• Will not build commitment into their jobs 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
• Will not feel better about the job or the company the next class.

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2. Consideration of Explanation. On getting the answer for Summary:

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the charge sheet served, the explanation furnished should be • Discipline is the force that prompts individuals or groups
considered and if it is satisfactory, no disciplinary action needs to observe rules, regulations, standards and procedures
to be taken. On the contrary when the management is not deemed necessary for an organization.”
satisfied with the employee’s explanation, it can proceed with
• Maintenance of discipline is a prerequisite to the
full-fledged enquiry. (However, if the worker admits the charge,
attainment of maximum productivity, not only of the firm
the employer can warn him or award him punishment without
but also for the entire nation.
further enquiry.)
• Discipline involves the following three things.
3. Suspension pending Enquiry. In case the charge is grave
that is serious, a suspension order may be served on the (I) Self-discipline.
employee along with the charge sheet. According to the (II) Orderly behaviour.
Industrial Employment (Standing Order) Act, 1946, the (III ) Punishment
suspended worker is to be paid a subsistence allowance equal to
• Discipline can either be positive or negative.
one-half of his wages for the first ninety days of suspension
and three-fourths of wages for the remaining period of • The common causes of indiscipline are Unfair
suspension if the delay in the completion of disciplinary Management Practices, Absence of Effective Leadership,
proceedings is not due to the worker’s conduct. Communication Barriers, and Inadequate attention to
personnel Problems, Victimization, Absence of Code of
What is grave will depend on the discretion of the manage-
Conduct.
ment. It has to be decided in accordance with the Code Of
Discipline. • Before starting the process of discipline, it is essential to
hold a preliminary inquiry to know if a prima facie case of
4. Holding of Enquiry. An enquiry officer should be ap-
indiscipline and misconduct exist.
pointed to hold the enquiry and a notice to this effect should be
given to the concerned worker. Principle of natural justice must • The Code of Discipline is entirely voluntary in nature and
be followed. The worker should not be denied the chance of is not required by law.
explaining himself. The enquiry officer should give sufficient Exercises:
notice to the worker so that he may prepare to represent his case 1) Why is discipline necessary?
and make submission in his defense. The enquiry officer should
2) Bring out the differences between positive and negative
proceed in a proper manner and examine witnesses. Fair
discipline.
opportunity should be given to the worker to cross-examine
the management witnesses. 3) Outline the various forms of indiscipline and examine the
factors leading to indiscipline.
On the conclusion of the enquiry, the enquiry officer should
record his findings and the reasons thereof. He should refrain 4) Explain what do you mean by the principle of Natural
from recommending punishment and leave it to the decision Justice.
of the appropriate authority. After all he is just an enquiry 5) Write short notes on:
officer!! • Suspension
5. Order of Punishment. Disciplinary action can be taken when • Dismissal
the misconduct of the employee is proved. While deciding the
• Red Hot Stove rule
nature of disciplinary action, the employee’s previous record,
precedents, effects of the action on other employees, etc, have to 6) What types of discipline problems are most prevalent?
be considered. 7) What type of discipline problem traditionally results in the
When the employee feels that the enquiry conducted was not most severe disciplinary action?
proper and the action taken unjustified, he must be given a 8) In what conditions should dismissal be used as a penalty?
chance to make appeal. 9) Should an organisation adopt a uniform hierarchy of
The Disciplinary Procedure can be summarized as penalties for all offences? Discuss.
Issue of charge sheet 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.
Consideration of Explanation 11) What should be the rights of an employee who has been
charged with a rules violation by his or her supervisor?

Suspension pending Enquiry 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
Holding of Enquiry 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
Order of Punishment a spotless record. As their supervisor, what would you do?

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 Case Study: Questions:
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1) What is your position in regard to this case? Is everything

“Its not easy to punish in order? Who is at fault?
tardiness” 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 Disciplinary and grievance
service station in Mumbai. Babbir was to do routine preventive procedures
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. Discipline
What can I do to help you come on time?”
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 acknowl-
edge 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 Discipline
followed. In August 10, 1996 Rajinder informed Babbir that he
had been fired for his tardiness. He also mentioned that every “….can be considered as: 'a condition in
word of law has been scrupulously observed before taking the
an enterprise in which there is orderliness in
harsh step. Babbir then recollected having signed some letter
which the members of the enterprise behave
issued by Rajinder previously.
sensibly and conduct themselves according
On August 19, 1996, Babbir came with his union representa-
to the standards of acceptable behavior as
tives and demanded that he got his job back. Babbir this time
related to the goals of the organization.”
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 represen-
tative 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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 MANAGING PEOPLE
Disciplinary Action
Discipline

Ø The informal talk

Ø Oral warning or reprimand
Ø Written or official warning
Ø Disciplinary layoffs, or suspension
Positive Discipline Self Discipline Ø Demotion
Negative Discipline
Ø Discharge

Types of disciplinary
situations Disciplinary interviews
Ø Excessive absenteeism
Ø Poor timekeeping Ø Gathering the facts about the alleged
Ø Defective and/or inadequate work performance infringement
Ø Poor attitudes which influence the work of others Ø Determination of the organization's position
or reflect on the image of the firm Ø Identification of the aims of the interview
Ø Improper personal appearance Ø Ensure that the organization's disciplinary
Ø Breaking safety rules procedures have been followed
Ø violations of rules, regulations and procedures

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MANAGING PEOPLE

Relationship management in “RED HOT STOVE”

disciplinary situations
•Rules of Discipline given by Douglas Mc Gregor

Ø Immediacy •This rule draws an analogy between touching a

Ø Advance warning hot stove and undergoing discipline
Ø Consistency
Ø Impersonality
Ø Privacy

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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