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  • Employee misconduct can be anything from small rule violations to theft. This graphic suggests two categories of employee misconduct and gives examples for each category.
  • The most commonly used form of discipline, progressive discipline, consists of a series of management interventions that gives employees opportunities to correct their behavior before being discharged.
  • A four-step progressive discipline system is the most common. Minor violations of company policy involve using all the steps in the progressive discipline procedure. Serious violations, sometimes referred to as gross misconduct, can result in the elimination of several steps and sometimes even begin at the last step, which is discharge.
  • A different discipline procedure, one which encourages a more self-monitoring approach, is positive discipline.
  • Listed here are three basic procedures that all disciplinary actions should include.
  • Managers and supervisors can influence their companies’ climate of fairness and ethical behavior by the tone they set for employees in their work units. These next two illustrations itemize specific actions managers can take to foster a climate of fairness.
  • In the United States, management rights are supported by property laws, common law, and the values of a capitalistic society that accepts the concepts of private enterprise and the profit motive. Some of the more important rights that management has are listed here.
  • Though it is not without limitation, employment at will is a very important right that management has. It can be a particularly important management right in small business, where a low-performing employee can make the difference between a healthy profit and an unhealthy loss.
  • Electronic monitoring of employees by management is as controversial as random drug testing. In spite of that, as many as 80% of employees in industries like telecommunications, banking, and insurance are subject to some form of electronic monitoring.
  • These next two illustrations list seven questions which must be considered in determining whether or not an employee was discharged for just cause. Because the just cause standard is fairly stringent and can prove unwieldy in cases of minor infractions that require immediate supervisory attention, nonunion employers who believe that their employees work under employment at will may choose a less demanding discipline standard.
  • Listed here are 4 common mistakes to try to avoid when administering discipline.

Session 9 Session 9 Presentation Transcript

  • Session 7 Disciplinary Actions Kailash Jaiswal
  • Employee Grievances and Disciplinary Actions
  • EMPLOYEE GRIEVANCE
    • Every employee has certain expectations, which he thinks must be fulfilled by the organization he is working for. When the organization failed to do this, he develops a feeling of dissatisfaction. When an employee feels that something is unfair in the organization. He is said to have a grievance.
  • CAUSES
    • 1.    Economic
    • Wage fixation
    • Overtime
    • Wage revision
    • 2.    Work Environment
    • Poor physical condition of workplace
    • Tight production norms
    • Defective tools and equipment
    • Poor quality of material
    • Unfair rules
    • Lack of reorganization etc.
    • 3.    Supervision
    • Relates to the attitude of the supervisor towards the employee such as
    • perceived notions of bias, favoritism, regional feelings etc.
  • CAUSES
    •   4.    Work Group
    • Employee is unable to adjust with his colleagues, suffers from feelings of neglect, victimization and becomes an object of ridicule and humiliation etc.
    • 5. Miscellaneous
    • Issues relating to certain violations in respect of promotions Safety methods
    • Transfer
    • Disciplinary rules
    • Fines
    • Granting leaves
    • Over stay after the expiry of leaves
    • Medical facilities etc.
  •   PRINCIPLE OF NATURAL JUSTICE
    •      
    • A man cannot be a judge in his own case.
    • A person should be given an opportunity of being heard.
    • The punishment should commensurate with the gravity of offence.
    • Justice should be done in a way that it should seem that justice has been done.
  • CONSTRUCTIVE DISCIPLINE IMPLEMENTATION BY HODs / MANAGERS / HR
    • “ Disciplinary Record Register” of each department will be held/Maintained by HOD / Managers.
    • Following steps to be followed while implementing Constructive discipline:
      • Counseling – 1 st time-ORAL
      • Counseling – 2 nd time-ORAL
      • Issue Counseling Letter- 3 rd time( In Writing)
    • Note: Issue “Counseling Letter” (confidence building letter). Department
    • Manager will discuss the misconduct with HR Manager while issuing this letter.
    • 3. 4th time-HODs / Managers to discuss the misconduct with HR Manager to issue “Show cause letter” to the employee who has violated the rule. 
    • After 48 hrs / two days, HR will review the explanation which was submitted by the employee. 
    • 5. HR Dept. will issue “Warning letter” to the Staff.
    • Cont. 2
    • 6. Managers/HODs of that particular department will be informed by HR & a copy will be maintained in employees record file. 
    • 7. 5 th time- If particular employee still do not improve and violate rules, HR Dept./ Managers / HODs would talk to him and explain about the seriousness of the Misconduct.
    • 8. HR will issue “Stern- warning letter” to the individual employee and a copy will be maintained in employees record file.
    • 9. After the above warning letters has gone unheeded then the particular employee may be asked to submit resignation letter and finally leave the company or be terminated.
    • Note: Before Termination to any employee an enquiry must be conducted by competent authority.
    CONSTRUCTIVE DISCIPLINE IMPLEMENTATION BY HODs / MANAGERS / HR
  • a. Consistent Irregular / Late Attendance. b. Consistent occurrences of leaving work area prior to closing time without permission. c. Leaving work area in working hours for personal work. d. Remaining absent frequently. e. Remaining absent for more than 10 days at a time without intimation / permission. f. Continue to remain absent without intimation / permission after sanctioned leave is over. g. Submitting wrong / fraudulent documents in support of leave. I. Examples for wrong behaviour relating to leave.
  • a. Failure or refusal to punch card while coming or leaving work premises. b. Failure or refusal to punch attendance while leaving work area in between works timings. c. Consistent irregular / late attendance. d. Submitting wrong / fraudulent document in support of attendance II. Examples of wrong behaviour relating to attendance.
  • III. Work a. Refusal to follow / carry out lawful orders or instructions of the superior. b. Ignore orders or failure to carry out instructions.  c. Leave job incomplete or unfinished.  d. Failure to give quantum / output / productivity as required in the job and advised by the superior. e. Failure to observe quality standards or requirements leading to faulty output.  f. Indulge in waste of time while at work. g. Evidence of inefficiency in work due to personal habits / problems/ issues/ and not fulfilling company’s / job requirement or objectives.  h. Failure to heed advise / guidance / instruction to improve performance at work or disregard attempts at improvements. i. Neglecting work.  j. Failure or refusal to observe safety guidelines.  k. Breach of any rules / instructions in maintaining or running the Department.
  • IV. Work Discipline a. Non co-operation to others.  b. Spreading incorrect and / or harmful information / data / rumors within or outside the company.  c. Indulge in verbal / physical fights with co-workers or outside person within or outside the work area / bad language.  d. Conduct / Participate in activities harmful to the company / co-workers / customers etc.  e. Indulge in a job / work / activities which are in conflict with the interest of the company within or outside office hours.  f. Undertake personal job/ work within or outside office hours without permission.  g. Willful insubordination of disobedience of any lawful / reasonable orders of superior.  Cont. – 2
  • h. Drunkenness / fighting or rioting, disorderly / indecent behavior while on duty. i. Causing willful damage to work in progress or to the property.  j. Sleeping while on duty.  k. Malingering or slowing down work.  l. Threatening, abusing or assaulting co-workers, peers or seniors.  m. Preaching or inciting others to violence.  n. Non-wearing of dress and slippers.  o. Bringing personal belongings / not keeping the same in lockers. IV. Work Discipline
  • V. Personal / Information a. Spread wrong information / rumors about the integrity and character of a person.  b. Get involved in criminal offence / activity or conviction in any court of law.  c. Refusal to accept and / or sign any official document or communication.  d. Provide wrong / incorrect information at the time of entry in the company.  e. Divulge confidential data / documents / processes acquired during the course of work to unauthorized persons of agencies.  f. Submit wrong / fraudulent expense claims or supportive / bills / cash memos in support of one’s claims.  g. Indulge in theft, fraud, dishonesty, pilferage in connection with the company’s co-workers / customers of personnel’s property, goods, belongings, documents.  h. Damage or maltreat company’s / co-worker’s / customer’s / personnel’s property, documents, interest.  i. Failure to give proper documents / evidence in support of claiming tax benefits.  j. Take / give bribes, illegal gratification, presents to get work done, accept presents / give away from customers / personnel or other parties for personal gratification, accept gifts from subordinates.
  • Categories of Employee Misconduct
    • Absenteeism
    • Dress code violation
    • Smoking rule violation
    • Incompetence
    • Safety rule violation
    • Sleeping on the job
    • Horseplay
    • Tardiness
    Serious Violations Minor Violations
    • Drug use at work
    • Theft
    • Dishonesty
    • Physical assault(small fight)upon a supervisor
    • Sabotage(damage) of company operations
  • Progressive Discipline
    • Progressive discipline procedures are warning steps, each of which involves a punishment that increases in severity the longer the undesirable behaviors persist.
    • Progressive discipline systems usually have three to five steps. Serious violations, sometimes referred to as gross misconduct , can result in the elimination of several steps and sometimes even begin at the last step, which is discharge.
  • Four Steps in a Progressive Discipline Procedure 1. Oral Warning The employee has an unexcused ab- sence from work. He received a ver- bal warning from the supervisor and is told that if he takes another un- excused absence within the next month, harsher punishment will follow. 2. Written Warning 3. Suspension 4. Discharge Two weeks after the verbal warning from his super- visor, the employee takes another un- excused absence. He now receives a written warning that if he fails to correct his ab- senteeism problem within the next two months more severe treatment will follow. This warning goes into his personnel file. Two weeks after his return from suspension, the employee does not show up for work. Upon his return to work the following day, he is discharged. Six weeks later the employee fails to show up for work for two consecutive days. This time he is suspended from work without pay for one week. He also received a final warning from his supervisor that if he has another un- excused absence within three months after his return from suspension, he will be terminated.
  • Positive Discipline
    • The emphasis on punishment in progressive discipline may encourage employees to deceive their supervisors rather than correct their actions. To avoid this outcome, some companies have replaced progressive discipline with positive discipline, which encourages employees to monitor their own behaviors and assume responsibility for their actions.
    • Rather than depending on threats and punishments, the supervisor uses counseling skills to motivate the employee to change.
    • To ensure that supervisors are adequately prepared to counsel employees, companies that use positive discipline must see that they receive appropriate training .
  • Basic Standards for Discipline
    • Some basic standards of discipline should apply to all rule violations, whether major or minor. All disciplinary actions should include the following procedures at a minimum:
      • Communication of rules and performance criteria
      • Documentation of the facts
      • Consistent response to rule violations
  • COUNSELLING LETTER Mr. / Ms _________________________________ Date: ________________ Employee Code No.:________________ Through: HOD / Manager Following incident has been reported: ________________________________________________________________________ ________________________________________________________________________ The above incident reflects improper behavior which can spoil the working, environment in the Department / Company. After discussing the implication of this incident with you and me, it has been decided to advise you to be cautions in future and not repeat such an act – Thereby, ask you to maintain discipline in the department. We sincerely hope you will reciprocate this gesture. For Comart Lithographers Ltd.   HOD / Manager Copy to: Head- HR Received By:………………
  • SHOW CAUSE NOTICE
    • Mr. / Ms _________________________________ Date: ________________
    • Employee Code No.:________________
    • An incident has been reported against you as under:
    • On_____________at_______________you____________________________________
    • _______________________________________________________________________
    • The act (s) as above alleged to have been committed by you amount to misconduct.
    • Accordingly, you are hereby called upon to submit your written explanation and show cause why disciplinary action should not be taken against you.
    • Your explanation must reach the undersigned by _______________________should you fail to submit your explanation as required, the matter will be disposed of without any further references to you.
    • For Comart Lithographers Ltd.
    •  
    • Head - HR Received By:………………
  • WARNING LETTER Mr. / Ms _________________________________ Date: ______________ Employee Code No.:________________ Your explanation dated ____________ in reply to show cause notice dated ___________ as found to be unsatisfactory. You are accordingly hereby warned. You are further advised in your own interest to be cautious and not repeat such an act in future.   For Comart Lithographers Ltd.   Head - HR Received By:………………
  • Mr. / Ms _________________________________ Date: ________________ Employee Code No.:________________   Your explanation dated_______________in reply to show cause notice / letter of charge dated_______________as found to be unsatisfactory.   The gravity of misconduct committed by you is such that it warrants severe punishment. However, we are taking a lenient view this time and have decided to award you this stern warning.   Should you repeat any such thing in future or commit any other misconduct we will not hesitate to take strict disciplinary action against you.   For Comart Lithographers Ltd. Head - HR Received By:……………… STERN WARNING LETTER
  • CHARGE SHEET
    • Mr. / Ms _________________________________ Date: ________________
    • Employee Code No.:________________
    •  
    • It has been reported against you as under:
    • On _______________ at _______________ you_________________________________
    • _______________________________________________________________________
    •  
    • The above act (s) on your part constitute serious misconduct’s as indicated hereunder.
    • __________________________________________________________________
    • __________________________________________________________________
    • Accordingly you are hereby called upon to submit your written explanation for the above misconduct.
    • Your explanation must reach the undersigned by ________________ since the charge(s) leveled against you is / are of grave and serious nature, you are hereby suspended pending further proceedings.
    •  
    •  
    • For Comart Lithographers Ltd.
    • Head - HR Received By:……………
  • Charge sheet- absenting without intimation
    • To Date:
    • -------------
    • Sub: Absenting without intimation-
    • You have been absent since_____ (date)/ overstaying leave granted since_____ (date)
    • Absenting without leave/ overstaying of leave is an offence as per rule ___ of our Standing Orders and as such your act of absenting without intimation is a misconduct which attracts such punishment including termination of service.
    • Accordingly you are hereby called upon to explain in writing within 48 hours as to why appropriate action should not be taken against you.
    • Sd/-
    • Appropriate Authority/ Authorised Signatory
    MADHU.T.K
  • Charge sheet- misbehavior
    • To
    • -------
    • It is reported that on ____(date) at _____(time) you misbehaved with Mr./Ms._____ (name), ____ (designation) in the presence of ______ (as witnesses)
    • Disobeying orders and misbehaving are serious misconduct as per rule____ of our Standing Orders which attract punishment including dismissal from service.
    • Accordingly you are hereby called upon to explain in writing within 48 hours as to why appropriate action should not be taken against you.
    • Sd/-
    • Appropriate Authority/ Authorised Signatory
    MADHU.T.K
  • Notice of enquiry
    • To Date:
    • --------
    • Sub: Enquiry u/r ___ of Standing Orders
    • Ref: Charge sheet No.____ dated______
    • Your explanation dated____
    • Since the explanation given by you as cited above is found unsatisfactory, a domestic enquiry u/r ____ of the Standing Orders has been initiated to decide on the charges.
    • The enquiry will commence at 9.30 am on ___ (date) at _____ (venue)
    • You are hereby required to present in person with or without a helper to give any clarification to defend the charges against you.
    • Mr./Ms. ____ will be the Enquiry Officer.
    • Sd/-
    • Authorised Signatory
    MADHU.T.K
  • Show Cause Notice
    • To Date
    • ---------
    • Sub: Show Cause Notice
    • WHEREAS you were charge sheeted for an offence as stated.
    • AND WHEREAS you were granted an opportunity to defend the charges by way of Domestic enquiry which commenced on ____ and ended on ___ (dates)
    • AND WHEREAS you have failed to prove your innocence before the Enquiry Officer.
    • NOW THEREFORE, the management is constrained to take disciplinary action against you.
    • Without prejudice and following the Enquiry Officer’s report your act of omission/ commission has been proved to be a serious misconduct which attracts punishment which may extend to dismissal from service.
    • THEREFORE, you are hereby called upon to show cause why disciplinary action including dismissal should not be taken against you/ why you should not be removed from service. A copy of the findings of the Enquiry Officer is enclosed herewith for your perusal.
    • Your written reply should reach the undersigned within____ days.
    • Sd/-
    • Authorised Signatory
    MADHU.T.K
  • Termination Order
    • To Date
    • --------
    • Sub: Order of Termination of Service
    • Ref: Charge sheet No____ dated____
    • Pursuant to the charge sheet above referred and findings of enquiry report dated____, the management has come to the conclusion that the charges leveled against you have been proved categorically.
    • As you have been found guilty of serious misconduct, the management has decided to dismiss you from service. However, on compassionate grounds, we have decided to take a lenient step by imposing a lesser punishment by discharging you from service with effect from/ with immediate effect.
    • You are, therefore, directed to settle your dues including salary dues and handover the charges to Mr________ during office hours on_________
    • Sd/-
    • Authorised Signatory
    MADHU.T.K
  • DISCIPLINARY ACTION
    • What is Misconduct?
    •  
    • Any act, which is subversive of a good conduct, is misconduct.
    • Misconducts are defined in Standing Orders
    •  
    •  
    • How to Report Misconduct.
    • Shift
    • Date
    • Time
    • Name
    • Dept
    • ID No
    • Venue
    • Accurate Incidence
    • Witnesses
    • Signature
  • Preliminary Enquiry
    • Who will conduct Preliminary Enquiry?
    • Where it is to be conducted?
    • How it is to be conducted?
    • Enquiry Report
  • Domestic Enquiry
    • Charge Sheet
    • Written Explanation
    • Enquiry Officer
    • Management Representative
    • Witnesses from both side
    • Examination / Cross – Examination / Examination –in –chief
    • Enquiry Report
    • Second Show cause Notice
    • Punishment /Acquittal
  • Ways Managers and Supervisors Can Influence Their Companies’ Climate of Fairness and Behavior
    • Take actions that develop trust, such as sharing useful information and making good on commitments.
    • Act consistently so that employees are not surprised by unexpected management actions or decision.
    • Be truthful and avoid white lies and actions designed to manipulate others by giving a certain (false) impression.
    • Demonstrate integrity by keeping confidences and showing concern for others.
  • Ways Managers and Supervisors Can Influence Their Companies’ Climate of Fairness and Behavior (cont.)
    • Meet with employees to discuss and define what is expected of them.
    • Ensure that employees are treated equitably, giving equivalent rewards for similar performance and avoiding actual or apparent special treatment of favorites.
    • Adhere to clear standards that are seen as just and reasonable.
    • Demonstrate respect toward employees, showing openly that they care about employees and recognize their strengths and contributions.
  • Management Rights
    • The rights of the employer, usually called management rights , can be summed up as the rights to run the business and to retain any profits that result.
    • Management rights include the right to manage the workforce and the rights to hire, promote, assign, discipline, and discharge employees.
    • Management rights are influenced by the rights of groups who have an interest in decisions made in the workplace.
    • One of the most important employer rights is employment at will.
  • Employment at Will
    • Employers have long used employment at will , a common-law rule, to assert their right to end their employment relationship with an employee at any time for any cause.
    • Although the courts originally assumed the employment at will would give both parties equal footing in the employment relationship, it is apparent that employment at will has stacked the deck in favor of employers.
    • One labor relations expert has estimated that approximately 150,00 employees are wrongfully discharged each year.
    • Virtually all of these wrongful discharges occur in the 70% of the U.S. labor force that is not protected by either a union contract or civil service rules .
  • Electronic Monitoring
    • Companies are attempting to fight various forms of theft by using electronic surveillance devices to monitor employees.
    • The increased sophistication of computer and telephone technology now makes it possible for employers to track employees’ job performance electronically.
    • Employees are most likely to see electronic monitoring as legitimate when management used it to control theft.
  • The Just Cause Standard of Discipline
    • In cases of wrongful discharge that involve statutory rights or exceptions to employment at will, U.S. courts require the employer to prove that an employee was discharged for just cause .
    • Failure to answer “yes” to one or more of these questions suggests that the discipline may have been arbitrary or unwarranted.
      • Notification Was the employee forewarned of the disciplinary consequences of his or her conduct?
      • Reasonable Rule Was the rule the employee violated reasonably related to safe and efficient operations?
      • Investigation Before the Discipline Did managers conduct an investigation into the misconduct before administering discipline?
      • Fair Investigation Was the investigation fair and impartial?
  • The Just Cause Standard of Discipline (cont.)
      • Proof of Guilt Did the investigation provide substantial evidence or proof of guilt?
      • Absence of Discrimination Were the rules, orders, and penalties of the disciplinary action applied even handedly and without discrimination?
      • Reasonable Penalty Was the disciplinary penalty reasonably related to the seriousness of the rule violation?
  • Mistakes to Avoid when Administering Discipline
    • Losing your temper
      • When you lose control of your temper you may say things that damage your relationship with the employee and that you may later regret.
    • Avoiding disciplinary action entirely
      • Avoiding disciplinary action may actually harm an employee who is deprived of the chance to learn how to correct his or her behavior.
    • Playing therapist
      • Unless a supervisor is trained as a therapist, the employee may misinterpret the supervisor’s personal questions as being nosy or overly analytical, which is unlikely to achieve the desired change in behavior.
    • Making excuses for an employee
      • By accepting excuses, supervisors deprive employees the chance to accept responsibility for their mistakes and instead enable them to continue rationalizing their performance deficiencies.
  • Assignment no. 1
    • Q. 1 : Discuss all disciplinary documents.
    • Q.2 : Discuss in detail the transaction analysis.
    kailash jaiswal