Employee misconduct & disciplinary procedure

 discipline is systematic instruction
 intended to train a person
 to follow a particular code of conduct or rule
2Krishantha Jayasundara

Preventive, Positive or
Constructive Discipline
(Proactive Measure)
Corrective or Punitive
Discipline
(Reactive Measure)

 Self Discipline

Hot Stove Theory

Hot Stove Theory
1. Warning
2. Instant Reaction
3. Punishment Relevant to the gravity of the
offence
4. Impersonality

Corrective
Discipline
Positive
Approach
Negative
Approach

Positive Approach
1. Sandwich Model
2. Progressive Discipline-Reformation
Approach

Positive Approach
Sandwich Model
 An undesirable behaviour is explained/
criticized to the employee in between two
good behavioral manners

Positive Approach
Progressive Discipline-Reformation Approach
 Reforming the offender through punishment
 The offender will not be given harsh
punishments at the first instance

Positive Approach
Progressive Discipline-Reformation Approach
 Reformation will be done with oral warnings
 When the offence is repeated, harsh
punishments will be given

 Principles of Natural Justice (Listening to the
other side of the story)

 Fairness to all parties

 Parity-punishment should be equal to the
offence

 Bona-fide – disciplinary actions should be
taken in good faith

 Mala-fide (disciplinary actions shouldn’t be
initiated with ulterior motives)

 Requirement to avoid delays

 Equity

 To correct the behaviour of employees.

 To maintain peace and order in the
organization.

 Set an examples to other by taking actions
against wrong doers.

 For smooth functioning of the
organization

 For productivity, effectiveness, efficiency,
existence, growth, and success of the
organization.

 Violation of the expected behaviour of the
employee.

 Going against the accepted norms and
behavioural rules.

 Violation of expressed or implied terms of
employment.
 Going against the accepted norms and
behavioural rules.

 Terms clearly stated in the letter of
appointment
 Rules and regulations
 Duties and responsibilities

 Terms that are not clearly stated
 The employees are supposed to know these
terms.

 Faithfulness and honesty

 Good performance at work

 Obedience

 Attendance to work and punctuality

 Respecting the employer

 Refraining from taking liquor and drugs while
at work (treated as a major misconduct)

 Cleanliness

 Transferability

Depends on
the tasks
The position held
by the person
Nature of the
business

Misconducts
Minor
Misconducts
Major
Misconducts

 Acts of indiscipline which are not serious in
nature
 Result in simple disciplinary actions

 Absence without prior permission

 Being found straying from workplace without
a reason

 Breaching any rule of instruction to be
followed for the establishment of order and
cleanliness

 Disregarding any notice in connection to
smoking in a prohibited area

 Exceeding the stipulated time for meal
intervals

 Failure to wear uniforms being on duty

 Late attendance

 Deserting workplace without permission

 Malingering - Avoiding duty or work by
pretending to be incapacitated

 Wearing untidy or dirty uniforms

 Acts of misconducts which are of serious
nature
 The gravity of punishment is really high

 Abuse of power or authority for personal
gains

 Harming the reputation of the organization

 Acting in collusion with competitors,
suppliers, customers.

 Assaulting, threatening, or causing bodily
harm to anyone while on duty within the
premises of the company

 Insubordination
 Insubordination is the act of
willfully disobeying your superior.
 Refusing to perform an action that is unethical or
illegal is not insubordination.
 Refusing to perform an action that is not within
the scope of authority is not insubordination.

 False allegations against superiors (False and
groundless accusations)

 Being found drunk and behaving disorderly in
work place

 Causing willful damage or sabotage to the
work in progress or to the work place

 Committing any criminal offence

 Forgery and falsification of documents

 Indecent behavior in the work place

 Issue of unlawful instructions or orders to
the subordinates

 Theft

 Fraud

 Dishonesty

 Misappropriation -The fraudulent
(deceiving) appropriation of funds or
property entrusted to your care but actually
owned by someone else

 Refusal to carry out essential or urgent work

 Repetition of any minor offence

 Sleeping while duty (watchers, security
guards…etc)

 Taking or giving bribes or gratification in
the performance of duties

 Go slow

 Negligence of the responsibilities officers

For major misconducts-
proper disciplinary
inquiry procedure
For minor misconducts-
verbal or written
warnings
Based on the
gravity of the
offence

Fact finding
process.
The purpose is to
determine whether a
crime was really
committed

There are no accused
at this stages but
there may be
suspects
Management
appoints an impartial
officer to carry out
the investigation

 A letter or noticed issued by the
management to the employee based on the
preliminary investigation.
 Charges against the employee

 Brief description of the charge, date, time,
place, incident…etc

 Specify the time limit to reply

 The charges to which the employee should
provide written explanations

 Opportunity for the employee to examine any
documents

 Actions to be taken, if no reply is received
within the specific time period.

 Employees reply to the show cause notice

 Management can either accept it or reject it

 If the response is not satisfactory, the
employer will move to the more formal
domestic inquiry

 Should be carried out as soon as possible
following accusations of misconduct
 All activities should be formalized and
recorded in full.

 The investigating officers should be
unconnected to the incident

 The employee should be given full
opportunity to state their own case and
present evidence in their favor.

 Union representatives or colleagues should
be allowed to sit in during the process if the
employer requests their presence

 Domestic inquiry is purely an information-
gathering exercise

 The panel’s task is gathering the evidence
(not making decisions over guilt or
punishment)

 Their final report is sent to the relevant
parties, often senior leaders, who then decide
on the appropriate course of action.

 Punishment without an inquiry implies an
arbitrary order.

 The principle of Natural Justice (informing
the person of the charges and giving him an
opportunity to explain.

 To record the available evidence against the
accused to prevent him from changing the
story before a labor tribunal
10

 Recorded evidence can be presented before the
labour tribunal when the witness is out of reach
10

 The final report submitted to the
management by the inquiring officer
mentioning conclusions against each charge
10

 Findings must be based on evidence led at
the inquiry
10

 The findings should specifically state whether
the employee is guilty or not guilty
10

 Recommending punishment is not the role of
the inquiring officer
10

Accused
If found guilty Punishment
If not found
guilty
reinstatement
10

 Oral Warnings-how to prevent the recurrence
of committed misconduct in future.
10

 Written Warnings
 When oral warnings fails to achieve the
desired behaviour.
 First step in progressive discipline
10

 Fines
 Recovery of fines should be limited to 5% of
the wage earned
 The amount recovered should be credited
to a “Fund” for welfare facilities
11

 Transfers
 Change of the location of work place
11

 Suspension from Duty
 Prohibiting the employee to enter the
workplace and perform his tasks over a
period of time
Suspension
With Pay
Without Pay
11

 Withholding of Increments
 Refraining from granting the due
increments
Withholding
of Increments
Stoppage of
Increments
Deferring of
Increment
11

 Denial of Promotions for a specified Period
11

 Dismissal or Termination of Service
 The highest punishment
11

All the punishments should be
communicated to the employee in
writing
11

Employee misconduct & disciplinary procedure

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Employee misconduct & disciplinary procedure