Lesson: 44

Title: Watch that out! : Employee Discipline Topics to be covered:

• Meaning and Nature of Discipline • Causes of Indiscipline • Disciplinary procedure • Principles of Industrial discipline • Contents of Code of Discipline • Constructive approach towards discipline • The Hot Stove Rule • Article: Having Employee Problem? • Case study: Something is not right”

Today we would be studying something very interesting!! Employee discipline. Before I begin sharing my thoughts with you on what is discipline, let me know your idea of discipline. Is it order, maintaining decorum, proper behaviour or a code of conduct? Let us examine the definition of discipline.

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

Therefore discipline means securing consistent behaviour in accordance with the accepted norms of behaviour. I am sure you will agree that discipline is essential in every aspect of life. It is equally essential in industrial undertakings. Simply stated, discipline means orderliness. It implies the absence of chaos, irregularity and confusion in the behaviour of workers. Let us examine another definition by Ordway Tead, “Discipline is the orderly conduct of affairs by the members of an organization who adhere to its necessary regulations because they desire to cooperate harmoniously in forwarding the end which the group has in view, and willingly recognize that, to do this, their wishes must be brought into a reasonable unison with the requirements of the group in action.” Nature of discipline:

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

Food for Thought: The highest form of discipline is self-discipline. After all everything is a matter of realisation! No amount of pressure can succeed in the long

run unless one is committed to improve or learn. True discipline is educational because it changes the very attitude of the workers towards their work and workplace. It must, therefore, be understood that discipline must be developed from within.

Another important point that you should note here is that discipline has to be reformative and

not punitive. We should aim at development rather than punishing. I am sure that you will adhere to something that is explained to you in a calm and matured way rather than that is ordered!

According to Megginson, discipline involves the following three things.

(I) Self-discipline. (II) Orderly behaviour. (III) Punishment

Let us examine these terms: Self-discipline implies that a person brings the discipline in himself with a determination to achieve the goals that he has set for himself in life. Orderly behaviour refers to discipline as a condition that must exist for an orderly behaviour in the organization. Punishment is used to prevent indiscipline. When a worker goes astray in his conduct, he has to be punished for the same and the recurrences of it must be prevented. Discipline can either be positive or negative. Discipline Positive Negative Positive Discipline Positive discipline involves creation of an atmosphere in the organisation whereby employees willingly conform to the established rules and regulations. Positive discipline can be achieved through rewards and effective leadership.

According to Spiegel, “Positive discipline does not replace reason but applies reason to the achievement of a common objective. Positive Discipline does not restrict the individual freedom but enables him to have a greater degree of self-expression in striving to achieve the group objective, which he identifies as his own.” Do you find that a little confusing? Let me simplify this for you. It means that positive Discipline is not that ideal that it can’t be achieved. It also does not imply that an individual’s freedom is restricted. Rather it provides better chances to an individual for expressing himself. The individual in this process, is able to bridge the gap between his and the group goals. It is also to be noted that positive discipline promotes cooperating and coordination with a minimum of formal organization. It reduces the need for strict supervision required to maintain standards and observe rules and regulations. Everyone is answerable to oneself and therefore one is not answerable to anyone else. (The constructive approach to discipline will be explained later) Negative Discipline Under negative discipline, penalties are used to force the workers to obey rules and regulations. In other words, workers try to adhere to rules and regulations out of fear of warnings, penalties and other forms of punishment. This approach to discipline is called negative or punitive approach. This is an unfavorable state that subjects the employees to frustration, and consequently results in low morale. Let me ask you a question, how will you react if you are punished for a wrong act of yours? Will you welcome it? I am sure it would be much better that an environment is created where one does not commit any wrongful act. If at all there is some indiscipline, tit has to be handled in a calm and matured way. There is another drawback related to negative discipline. An employee goes astray in his behaviour whenever there is a slightest possibility of escaping the punishment or when he believes that his action will go unnoticed. Progressive and development oriented managers adopt a positive approach to discipline rather than negative approach. In the positive approach, attempts are made to educate the workers the values of discipline. The workers should be taught self-discipline. Disciplinary action should be taken only in exceptional circumstances where no other alternative is left. Disciplinary action should always incorporate consideration of just cause and due process. Having talked about the meaning, nature and the positive and negative discipline, let us now understand the reasons of indiscipline. Some of the symptoms of general indiscipline can be: Change in the normal behaviour Absenteeism Increased grievances Lack of concern for performance

Go slow Disorderly behaviour Lack of concern for job Late coming etc Causes Of Indiscipline: The indiscipline in Indian industries can be attributed to causes like politicized trade union leadership, intra-union and inter-union rivalry and also management tactics like deliberate delay in disciplinary procedure, imposition of penalties such as transfer to an inconvenient place at a short notice, withholding of pay, maintenance of confidential reports, insincerity and dishonesty of superiors, etc. We will be discussing the causes in details shortly. Put on your thinking caps and tell me what do you think can lead to indiscipline in the organisations? The reasons could range anything from poor wages to, poor management and the communication gaps between the union and management. The common causes of indiscipline are as follows:

(i) Unfair Management Practices: Management sometimes indulges in unfair practices like:

• Wage discrimination • Non-compliance with promotional policies and transfer policies • Discrimination in allotment of work • Defective handling of grievances • Payment of low wages • Delay in payment of wages • Creating low quality work life etc.

These unfair management practices gradually result in indiscipline. (ii) Absence of Effective Leadership: Absence of effective leadership

results in poor management in the areas of direction, guidance, instructions etc. This in turn, results in indiscipline. I am sure you remember the importance of leadership as studied in the last semester. If you do (which I suppose you do), you can relate the importance of effective leadership with handling indiscipline.

(iii) Communication Barriers: Communication barriers and absence of

humane approach on the part of superiors result in frustration and indiscipline among the workers. The management should clearly formulate the policies regarding discipline. These policies should be communicated and the policies should be consistently followed in the organisations. The management should also be empathetic towards the employees.

(iv) Inadequate attention to personnel Problems: Delay in solving personnel problems develops frustration among individual workers. The management should be proactive so that there is no discontent among the workers. It should adopt a parental attitude towards its employees.

However it should be noted that no relationship can continue for long if it is one sided. What I am implying here is that the workers should also live up to their commitments. They should be reasonable in their demands.

(v) Victimisation: Victimisation of subordinate also results in indiscipline.

The management should not exploit the workers. It is also in the long-term interest of the management to take care of its internal customers (Remember we have discussed this term in class before!)

(vi) Absence of Code of Conduct. This creates confusion and also provides

chance for discrimination while taking disciplinary action. We will be discussing Code of Discipline in details etc.

This list is not exhaustive .You can add on to these points.

Having discussed the causes of indiscipline let us now talk about the forms of Indiscipline Different forms of indiscipline include:

(i) Inconsistent behaviour of an employee and deviation from the standard behaviour.

(ii) Unsafe behaviour of the employee. (iii) Immoral action of the employee. (iv) When employee is abusive, disturbs the peace and is negligent towards

his duties. If there has been an act of indiscipline, what is the way to sort it out? The procedure that is followed in the organisations is as follows: DISCIPLINARY PROCEDURE 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.

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.)

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.

The principles of natural justice can be summarised as follows: Principle of Natural Justice Tell the person what he has done Hear Him Give Him a Chance to defend himself 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 summarised as Issue of charge sheet Consideration of Explanation Suspension pending Enquiry Holding of Enquiry Order of Punishment

Coming on to the principles of industrial discipline:

In order-to bring and maintain discipline in industry, the following principles should be kept in mind: (i) Discipline is intimately linked with relations within the organisation and is

affected by such factors as background, social environment and emotional outlook of the workers concerned. Discipline is also closely related with personal feelings or sentiments. The sentiments are non-logical emotional factors that influence the behaviour of average worker. Therefore, the effective application of discipline depends primarily on understanding the behaviour of human beings and of one self.

(ii) The Code of Discipline must be laid down in consultation with those who are

under its jurisdiction and are concerned with its application.

(iii) Code of Discipline should be evaluated and appraised from time to time so as to remove anomalies. If any.

(iv) Code of Discipline must be reasonable and simple. It should not contain rules for

the sake of rules only.

(v) The discipline policy should lay greater emphasis on the prevention of the breach

of discipline than on the administration of venalities. The approach to discipline should be positive and constructive.

(vi) Judicious machinery preferably internal to the organisation should be provided for

appeals against, and review of, all disciplinary actions. (vii) The management should ensure that its own conduct and policies do not

encourage breach of discipline. This will promote self-discipline among the workers.

(viii) The managers should try to remove the cause responsible for indiscipline. (ix) A disciplinary committee consisting of the representatives of the workers and the

management should be set up to look into the cases of indiscipline and suggest remedial measures.

Let us now understand what is Code of Discipline: Let me make it clear that the Code of Discipline is entirely voluntary in nature and is not required by law. Do you remember a word that we used for this? It is non-statutory. 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. CONTENTS OF CODE OF DISCIPLINE

1. Management and Union agree:

(i) That no unilateral action should be taken in connection with any industrial matter and that disputes should be settled at appropriate levels.

(ii) That the existing machinery for settlement of disputes should be utilized

with the utmost expedition.

(iii) That there should be no strike or lockout without notice.

(iv) That affirming their faith in democrat principles, they bind themselves to settle all future differences. Disputes, and grievances by mutual negotiation, conciliation and voluntary arbitration

(v) That neither party will have recourse

• Coercion • Intimidation • Victimization • Go-slow

(vi) That they will promote constructive co-operation between their

representatives at all levels and as between workers themselves and abide by the spirit or agreements mutually entered into.

(vii) That they will establish, upon a mutually agreed basis, a grievance

procedure, which will ensure a speedy and full investigation leading to settlement.

(viii) That they will abide by various stage sin the grievance procedure

(ix) That they will educate the management personnel and workers regarding

their obligations to each other. II. Management agrees:

(i) Not to increase work-loads unless agreed upon or settled otherwise (ii) Not to support or encourage any unfair labour practice such as:

• Interference with the right of employees to enroll or continue as union members.

• Discrimination, restraint or coercion against any employee because of recognized activity of trade unions and

• Victimization of an employee and abuse of authority in any form.

(iii) To take prompt action for settlement of grievances and implementation of settlements, awards, decisions and orders.

(iv) To display in conspicuous places in the undertaking the provisions of

this code in the local language(s). (v) To distinguish between actions justifying immediate discharge and those

where discharge must be preceded by a warning, reprimand, suspension or some form of disciplinary action and to arrange that all such disciplinary actions should be subject to an appeal through normal grievance procedures.

(vi) To take appropriate disciplinary action against any officers and

managers in cases where enquiries reveal that they were responsible for precipitating action by workers leading to indiscipline

(vii) To recognize the union in accordance with the criteria evolved at the

16th session of the Indian Labour Conference held in March 1958. III. Unions agree

(i) Not to engage in any form of physical duress.

(ii) Not to permit demonstrations which are not peaceful and not to permit rowdyism in demonstrations

(iii) That their members will not engage or cause other employees to engage

in any union activity during working hours, unless as provide for by law agreement or practice

(iv) To discourage unfair labour practices such as:

• Negligence of duty • Careless operation • Insubordination

(v) To take prompt action to implement awards, agreements, settlements and decisions

(vi) To display at conspicuous places in the union offices, the provisions of

this code in the local language (s); and

(vii) To express disapproval and to take appropriate action against office-bearers and members of the union for indulging in action against the spirit of this code.

The code symbolises the policy of the Government to build up an industrial democracy on voluntary basis. It tries to preserve industrial peace with the help of the employers and the employees. The Code of Discipline is the basis of non-violent relations between the union and the management. It should be followed in letter and spirit. AA CCoonnssttrruuccttiivvee AApppprrooaacchh sshhoouulldd bbee ffoolllloowweedd ttoowwaarrddss DDiisscciipplliinnee 1. Root out the causes 2. Analyze the reasons for poor performance 3. Prepare for the disciplinary interview 4. Conduct the interview with care and professionalism 5. Prescribe the disciplinary steps to be taken in specific terms and with a specific

timetable 6. Do not expect to win a popularity contest WWee wwiillll eenndd ttooddaayy’’ss sseessssiioonn wwiitthh ddiissccuussssiinngg tthhee HHoott SSttoovvee RRuullee ooff DDiisscciipplliinnee You must be wondering that why is it called the hot stove rule. These rules can be compared to a hot stove. Let us discuss in detail!

1. Warning system � Before any behavior has occurred; a good manager has communicated what the

consequences of the undesirable behavior are 2. Immediate burn � If discipline is required, it must occur immediately after the undesirable act is

observed � The person must see the connection between the act and the discipline 3. Consistency � There are no favorites – stoves burn everyone alike � Any employee who performs the same undesirable act will be disciplined similarly 4. Impersonality � Disciplinary action is not pointed toward a person � It is meant to eliminate undesirable behaviors

PPrroobblleemmss wwiitthh HHoott SSttoovvee RRuulleess aanndd PPrrooggrreessssiivvee DDiisscciipplliinnee

• They focus on past behavior • There is the possibility that employees are disciplined in a punitive way:

o Will not build commitment into their jobs o Will not feel better about the job or the company

Let us end by understanding the important elements in the disciplinary system with the help of a diagram

EElleemmeennttss iinn aa DDiisscciipplliinnaarryy SSyysstteemm

Communicate rules and goals

Assess behavior

Establish rules and

goals Employer

Modify undesirable behavior

Employees Article From Website http://www.successsolutionsgroup.com/employee_discipline.htm

Having Employee Problems?

Creative Action That’s what I started calling it some years ago. I am sure you can relate, but I’ll create a scenario for you. Bob walks through the door, late as usual, only to walk past the, “invisible” three-foot by five-foot sign stating that, “Protective glasses must be worn beyond this point.” Bob’s seniority and skill level give him a sense of invincibility. Since you took the supervisory position a week ago, he has reminded you three times that he, “has been here longer than you.” What are you going to do with Bob? Take appropriate action! Obviously some action must be taken. I have heard phrases like constructive criticism, disciplinary action, and, corrective action. Then I heard the phrase, creative action. Creative action begins with stepping back from a problem or conflict and asking yourself probing questions in search of answers. A few simple steps will help us creatively confront employees, resulting in more favorable response. We will use Bob as an example as we step through four creative action steps that will give your more control, save time, and establish trust and rapport. Deal with the problem not symptoms! Step one is analyse. Ask yourself a question that sounds something like this, “What is my problem? What needs to be fixed?” It is really quite easy to get caught up in the emotion of a moment and startle to action only to find later that you didn’t address the relevant issue. Let’s examine Bob together. What is my problem with Bob? You might answer, “He’s a late arriver,” or “He ignores safety policies.” While both answers are right, we should delve deeper into Bob’s motives to insure that we take clear and efficient action. I have found in many or most cases that behaviors stem from deep-rooted feelings or belief systems. The real problem with Bob is simple: he doesn’t value, or understand the value of, company policies, because he does not see anything in it for him. Know where you are going!

Step two is plan. I like to create a written agenda before I confront an employee about behavior or performance problems. I do this for four reasons. The most important reason I do this is that writing gives me a chance to think through what I want to say, so that I can say it tactfully. An agenda also helps me to keep the conversation steered in the direction I want it to go. The third benefit is that I am less likely to leave out important details if I have written my agenda. Finally, thorough documentation will make future action or potential termination easier to carry out. While the written agenda may be time consuming, you will find that the benefits outweigh the expense. Watch how analyzing and planning helps minimize and maximize (Minimize the amount of time while maximizing the return on the time invested.) the time I spend with Bob. Tact and finesse I could stomp out to Bob’s work station, look him in the eye and say something like, “Bob, you were late again this morning, and you’re not wearing your safety glasses…” This statement leaves the conversation open to Bob’s arguments. A more tactful approach with Bob’s base motive (What’s in it for me.) in mind might sound like this, “Bob, if we could identify a few simple ways that the company could cut spending and use the money to better compensate and reward our long term employees, would you be willing to contribute? Great! Well we already have a few policies in place for this reason. The insurance company does occasional, surprise inspections of our work environment and gives us a score based on safety conditions and employee compliance. If the score is high because of non-compliance, then we pay out more for insurance. Do you see where I’m going with his Bob?” Hopefully he does. He should be less likely to become defensive. I’ve made it more practical for him to conform because I have shown him how he can benefit by complying.

Remember this: when you plan your dialogue before a confrontation, you empower yourself to communicate more clearly, more confidently and more efficiently. You will find that you repeat yourself less and are more likely to be understood.

Choose the playing field!

After analysing and planning you need to take a third important step, choosing your playing field. Consider the temperament and attitude of the employee you are confronting. If the employee is compliant, cooperative and friendly then a non-formal setting may be best. A non-formal setting says, “relax, everything is ok.” If the employee has a reputation for being hot headed and aggressive you would be advised to choose a very formal setting with a third party present. If you have a lot to say or need to discuss details, choose a setting free of distractions. If a casual comment or friendly reminder is in order, then it will probably be best to simply drop in, make your comments, and let the employee get on with business. Consider this scenario. I am walking briskly past Bob’s work station in a hurry to an important meeting, I come to a rolling stop to reprimand Bob for being late this morning and close my hasty comment with, “Bob, this is really important!” What did Bob hear? My words said that the arrival policy was important. My body language said that something else was more important. My body language always screams louder than my words. I can maximize my communication efforts by making what I say and what I do congruent and choosing an

appropriate setting. Build trust through commitment.

Our final step requires commitment and integrity. I often remind managers, leaders, and supervisors consistently, “follow-up and follow-through!” To start with, follow through with your agenda. When the employee tries to steer the conversation in another direction by blaming or complaining simply take control with a statement like, “That’s interesting, but I asked you to come so we could talk about…” Stay with your agenda. Set a follow-up date and let the employee know that you will check with him or her later to insure that things are going according to plan. When you make this or any other commitment, be certain that you follow through. Broken promises are detrimental to leadership – employee relationships. Always do what you say you will do. Follow-up and follow-through.

Summary

The idea is to respond creatively and tactfully. These four steps help you to do just that. I suggest writing them on an index card and keep them with you to review occasionally. You won’t be perfect and old habits will die hard. When you drop the ball go back, pick it up and start again. So, get started right now, by making your list. It should look something like this:

1.Analyze the problem. Be sure you are dealing with the right issues.

2. Create and put a plan of action in writing.

3. Choose a playing field that will be good for everyone.

4. Follow-up and follow-through

Author: Charles Carpenter

Something Is Not Right

As Norman Blankership came into the office at consolidated coal companies Rowland Mine, near clear Creek, West Virginia, he told the mine dispatcher not to tell anyone of his presence. Norman was the General Superintendent of the Rowland office. He had been with consolidated for more than 23 years, having started out as a coal digger. Norman had heard that one of his section bosses Tom Serinsky had been sleeping on the job. Tom had been hired two months earlier and assigned to the Rowland Mine by the Regional Human Resource Office. He went to work as section boss, working the midnight to 8 am shift. Because of his age and experience, he was the senior person in the mine on his shift.

Norman took one of the battery-operated jeeps used to transport workers and supplies in and out of the mine and proceeded to the area where Tom was assigned. Upon arriving he saw Tom lying on an emergency stretcher. Norman stopped a few yards away from where Tom was sleeping and approached him. “Hey, you asleep?” Norman asked. Tom awakened with a start and said, “No, I wasn’t sleeping” Norman waited for a moment for Tom to collect his senses and then said, “I could tell that you were sleeping. But that’s beside the point. You weren’t at your workstation. You know that I have no choice but to fire you.” After Tom had left, Norman called his mine supervisor, who had accompanied him to the dispatcher’s office, and asked him to complete the remainder of Tom’s shift. The next morning, Norman had mine human resource officer officially terminate Tom. As part of the standard procedure, the mine human resource officer notified the regional director that Tom had been fired and gave the reasons for firing him. The regional human resource director asked the mine human resource officer to put Norman on the line. When he did so, Norman was told, “You know that Tom is the brother-in-law of our regional Vice-President, Bill Frederick?” “No, I didn’t know that”, replied Norman, but it doesn’t matter. The rules are clear, and I wouldn’t care if he was the regional Vice President’s son.” The next day, the regional human resource director showed up at the mine just as Norman was getting ready to make a routine tour of the mine. “I guess you know that what I am here for,” said the human resource director. “Yeah, you’re here to take away my authority,” replied Norman. “No, I am just here to investigate,” said the human resource director. When Norman returned to the mine office after his tour, the human resource director had finished his interviews. He told Norman, “I think we’re going to have to put Tom back to work. If we decided to do that, you can let him work for you?” “No, absolutely not,” said Norman. “In fact, if he works here, I go.” A week later, Norman learned that Tom had gone back to work as section boss at another consolidated mine in the region. Questions

Question 1) What would you do if you were Norman?

Question 2) Do you believe that the human resource director handled the matter in an ethical manner? Explain

According to Richard D. Calhoon

According to Richard D. Calhoon, “Discipline is the force that prompts individuals of groups to observe rules, regulations, standards and procedures deemed necessary for an organization.”

Types of Discipline

• Positive• Negative

Causes of Indiscipline

• Unfair Management Practices• Absence of Effective Leadership• Communication Barriers• Inadequate attention to personal problems.• Victimisation• Absence of code of conduct

Disciplinary Procedure

• Issue of Charge Sheet• Consideration of Explanation• Suspension Pending Enquiry• Holding Enquiry• Order of Punishment

Contents of code of Discipline

• Management & Union Agree• Management Agrees• Union Agrees.• Constructive Approach towards Discipline• Hot store Rules

– Warning– Immediate turn– Consistency– Impersonality