This assignment basis on situation of BD

1. Ahasanullah University of Science and Technology (AUST)
Assignment on
Worker Grievance Handling and Disciplinary Action

2. Submitted To:
Prof. Dr. Md. Alinoor Rahman
Course Instructor & Adjunct Faculty
MBA-641: Fundamentals of Human Resource Management
Semester: Fall 2021
School of Business
Ahsanullah University of Science and Technology
Submitted By:
Ahtesham Billah Shawon
ID: 200151026
MBA Program
Ahsanullah University of Science and Technology
Date of Submission; 30.09.2021

3. Worker/Labor
Definition and Examples of Labor:
Labor is the number of workers in the economy, and the effort they put into producing goods
and services.
Labor can be categorized in many different ways. First is by skill level; the most basic is unskilled
labor that does not require training.
Though it's usually manual labor, such as farmworkers, it can also be service work, such as
custodial staff. The next type is semi-skilled labor, which may require some education or
training. An example is manufacturing jobs.
Labor can also be categorized by the nature of the relationship with the employer. Most
workers are wage employees. This means they are supervised by a boss. They also receive a set
weekly or bi-weekly wage and often receive benefits.
Contract labor is when a contract specifies the work to be produced. It’s up to the worker to
define how it gets done. The amount paid is either commission or a set fee for the work.
Benefits are not paid.
Kinds of Labour:
Labour can be classified under the following heads:
1. Physical and Mental Labour.
2. Skilled and Unskilled Labour.
3. Productive and Unproductive Labour.
1. Physical and Mental Labour: Such work in which physical labour and physical strength is more
important in comparison to mental labour is called physical labour. For example— the work of Rickshaw
Puller, workers working in factory, porter who carries luggage on the platform.
But mental Labour is that in which brain is applied or mental fatigue is more in comparison to physical
fatigue, For example—The work of an advocate, teacher, doctor, chartered accountant etc. For better
performance of work mental and physical labour is essential.
2. Skilled and Unskilled Labour: Skilled Labour is that in which special knowledge, learning, training and
efficiency is required in performing the work. For example—The Labour of engineer, doctor, teacher and
a scientist has been called as skilled Labour.
While the work in which special knowledge, training or learning is not required is known as unskilled
labour. For example—the work of rickshaw puller, porter carrying luggage on platform is called
unskilled. The remuneration of skilled worker is normally higher than that of unskilled worker.

4. 3. Productive and Unproductive Labour: Productive Labour is that labour which adds net value to the
product. While unproductive labour is that which does not add net value. In other-words we can say
that “Labour producing material goods are productive and Labour producing perishable goods including
services of servants, teachers, doctors, lawyers etc. are unproductive.”
But according to Prof. Marshall all labour is productive. He saw-“no distinction in the work of the baker
who provides bread for a family and that of the cook who prepares rice or boiled potatoes”. Modern
economists following Marshall regard all Labour whether material or non-material or services as
productive. Only that Labour is considered unproductive which is performed by anti-social persons such
as pickpockets, thieves, dacoits etc. But Labour used in constructing building, a dam etc. is productive
because the workers worked on them and receives wages.
Grievance
Introduction and Definition of Grievance:
A grievance is any dissatisfaction or feeling of injustice having connection with one’s
employment situation which is brought to the attention of management. Speaking broadly, a
grievance is any dissatisfaction that adversely affects organizational relations and productivity.
To understand what a grievance is, it is necessary to distinguish between dissatisfaction,
complaint, and grievance.
1. Dissatisfaction is anything that disturbs an employee, whether or not the unrest is expressed
in words.
2. Complaint is a spoken or written dissatisfaction brought to the attention of the supervisor or
the shop steward.
3. Grievance is a complaint that has been formally presented to a management representative
or to a union official.
According to Michael Jucious, ‘grievance is any discontent or dissatisfaction whether expressed
or not, whether valid or not, arising out of anything connected with the company which an
employee thinks, believes or even feels to be unfair, unjust or inequitable’.
In short, grievance is a state of dissatisfaction, expressed or unexpressed, written or unwritten,
justified or unjustified, having connection with employment situation.

5. 1.0 Features of Grievance:
1. A grievance refers to any form of discontent or dissatisfaction with any aspect of the
organization.
2. The dissatisfaction must arise out of employment and not due to personal or family
problems.
3. The discontent can arise out of real or imaginary reasons. When employees feel that injustice
has been done to them, they have a grievance. The reason for such a feeling may be valid or
invalid, legitimate or irrational, justifiable or ridiculous.
4. The discontent may be voiced or unvoiced, but it must find expression in some form.
However, discontent per se is not a grievance. Initially, the employee may complain orally or in
writing. If this is not looked into promptly, the employee feels a sense of lack of justice. Now,
the discontent grows and takes the shape of a grievance.
5. Broadly speaking, thus, a grievance is traceable to be perceived as non-fulfillment of one’s
expectations from the organization.
1.1 Grievance Types:
Research study on grievances shows that there are different types of grievances and its types
are the following:
Type # 1. Visible Grievances or Hidden Grievances:
When the grievances are clearly visible to the others is called visible grievances. But it is not
necessary that all times these are visible then these are called hidden one. It is called hidden
grievances.
Type # 2. Real or Imaginary:
The grievances may be real or imaginary also. These may be called genuine or imaginary too.
When a grievance is due to a valid reason and related to the terms of employment only. The
management or concerned party responsible for redressing of grievance is called real, genuine
or factual grievance. Second, imaginary grievance is that when it is there not for any valid
reason. The management is not at fault. It is called imaginary only.
Type # 3. Expressed or Implied:
There may be expressed or implied grievances. When an employee felt the grievance and
expressed or reports to the management in written or oral forms, is called express because it

6. has been made clear. When it is not made clear but from the situation it can be inferred or
judged that there is a grievance. That type of grievance is called implied grievance.
Type # 4. Oral or Written:
According to the way of expression, the grievances can be oral or written. When orally it is
reported or expressed then it is called oral grievance. An employee makes a written complaint
then it becomes written grievance. Entirely according to their expression the grievances are
classified.
Type # 5. Disguised Grievances:
Sometime the grievances take place but the employees do not know the reasons of grievances.
The causes of grievances are unknown. These are called disguised grievances. This type of
grievances take place due to mental pressure or frustration due to other factors and not related
to work.
Type # 6. Individual or Group Grievances:
The grievances may be related to individual employee or a group of employees. In group we
may include team, department, etc. When an individual is affected then it is called individual
grievance. When a group is affected due to the grievances and reported then it becomes a
group grievance. Other factors for formation of types are not considered other than party
affected.
Type # 7. Union Grievances:
The union presents the grievances to the management on behalf of member employees then it
becomes union grievance. It is presented in the interest of everyone in the union and not for
individual employee. When the employees felt that the terms of employment are violated then
union takes the initiative in reporting of the grievances. The union presents the case for
collective agreements in this case.
Type # 8. Policy Grievances:
When a grievance is related to policy of the company relating to terms of employment is called
policy grievance. The terms of employment may include appointment, training, compensation,
promotion and transfer, rewards and incentives, bonus, allowances, etc. When these are
violated by the management and reported by employees’ union then it becomes a policy
grievance.

7. 1.2 Causes of Grievances:
Grievances may occur due to a number of reasons:
1. Economic:
Employees may demand for individual wage adjustments. They may feel that they are paid less
when compared to others. For example, late bonus, payments, adjustments to overtime pay,
perceived inequalities in treatment, claims for equal pay, and appeals against performance-
related pay awards.
2. Work environment:
It may be undesirable or unsatisfactory conditions of work. For example, light, space, heat, or
poor physical conditions of workplace, defective tools and equipment, poor quality of material,
unfair rules, and lack of recognition.
3. Supervision:
It may be objections to the general methods of supervision related to the attitudes of the
supervisor towards the employee such as perceived notions of bias, favouritism, nepotism,
caste affiliations and regional feelings.
4. Organizational change:
Any change in the organizational policies can result in grievances. For example, the
implementation of revised company policies or new working practices.
5. Employee relations:
Employees are unable to adjust with their colleagues, suffer from feelings of neglect and
victimization and become an object of ridicule and humiliation, or other inter- employee
disputes.
6. Miscellaneous:
These may be issues relating to certain violations in respect of promotions, safety methods,
transfer, disciplinary rules, fines, granting leaves, medical facilities, etc.

8. 1.3 Effects of Grievance:
Grievances, if not identified and redressed, may adversely affect workers, managers, and the
organization.
The effects are the following:
1. On the production:
a. Low quality of production
b. Low productivity
c. Increase in the wastage of material, spoilage/leakage of machinery
d. Increase in the cost of production per unit
2. On the employees:
a. Increase in the rate of absenteeism and turnover
b. Reduction in the level of commitment, sincerity and punctuality
c. Increase in the incidence of accidents
d. Reduction in the level of employee morale.
3. On the managers:
a. Strained superior-subordinate relations.
b. Increase in the degree of supervision and control.
c. Increase in indiscipline cases
d. Increase in unrest and thereby machinery to maintain industrial peace
1.4 Grievance – Identification of Grievances:
Grievances should be redressed by adopting proactive approach rather than waiting for the
grievances to be brought to the notice of management. A proactive approach for grievance
redressed helps the management to take actions for modifying those factors that are
responsible for the emergence of grievances while in reactive approach, a particular grievance
gets redressed but its underlying causes continue to exist.

9. A grievance is often just a symptom of underlying problem. Unless this problem is overcome,
redressed of a grievance may be a temporary solution. It is often said that ‘a good management
redresses grievances as they arise, excellent management anticipates them and prevents them
from arising’. For adopting proactive approach to grievance management, it is essential to
identify the nature of grievances and the underlying factors.
The management can go through four methods for identifying grievances- exit interview, gripe
box system, opinion surveys, arid open-door policy. Let us see how information relevant to
grievances is generated through these methods.
1. Exit Interview:
An employee may leave the organization either because of his dissatisfaction with the
organization or because of greener pasture somewhere else. Exist interview, if conducted
properly, elicits important information about the various aspects of the organizational
functioning relevant to employees.
Such information is more valuable than the information elicited by the existing employees as
they may not be frank enough to express themselves fully. They may avoid many relevant
information as they see their career linked to the organization and frank expression of their
views may jeopardize their career. In an exit interview, there is no such inhibition.
2. Gripe Box System:
On the pattern of suggestion box system, the management can use gripe box system to collect
information about grievances from the employees. If need be, the employees may be
encouraged to drop anonymous complaints as they may develop a feeling that their identity for
reporting complaints may invite victimization specially when the complaints relate to
management or supervision styles and other personal matters.
This method is more appropriate in those organizations where there is lack of trust and
understanding between employees and their supervisors.
3. Opinion Surveys:
Opinion surveys, conducted periodically on the employee-related issues, provide relevant
information about the state of grievances among them. Such surveys may be in the form of
morale survey, attitude survey, job satisfaction survey, and grievance survey, or a more
comprehensive survey including all the above aspects.
These surveys encourage the employees to express their views more openly as these are
conducted by persons who are not the supervisors of the employees. Further, the employees’

10. identity is not disclosed. Alternatives to formal surveys may be group meetings, periodical
interviews, collective bargaining sessions, and informal get-together through which the
information about the current state of grievances may be collected.
4. Open-Door Policy:
Open-door policy implies that the employees are invited to discuss their problems freely and
frankly at any time, or drop their complaints to the relevant managers’ rooms at any time. The
basic objective of an open-door policy is to encourage upward communication. However, open-
door policy works effectively when the managers develop positive approach and keep their
doors open physically and psychologically. In large organizations, such open-door policy should
be adopted at each successive management level.
1.5 The level at which grievance occurs:
The best opportunity to redress a grievance is to resolve it at the level at which it occurs. A
worker’s grievance should be resolved by his immediate boss, the first line supervisor. The
higher the document rises through the hierarchy, the more difficult it is to resolve.
Bypassing the supervisor would erode his authority. When the process moves to a higher stage,
the aggrieved employee and the supervisor concerned may shift their focus to save face by
proving the other wrong.
The substantive aspect of any of the grievances may thus be relegated and dysfunctional
aspects come to the fore thus making it more difficult to settle the issue. In a unionized
concern, the first stage of the procedure usually involves three people: the aggrieved
employee, his immediate boss and the union representative in the shop/ department.
It is possible to involve the union in laying down the framework of the grievance procedure and
thereafter restrain union involvement in the actual process, at least in the first two stages. The
choice depends on the top management attitude and orientation towards the dynamics of
union-management relations.
Supervisory role needs to be strengthened, with appropriate training in problem solving skills,
grievance handling and counseling so that he can do much in reducing the number of
grievances that get passed to higher stages in the machinery.
Unrealistic policies and expectations and lack of commitment for equity and fair play can cause
problems in handling grievances at the lower level. Inadequate delegation of authority may also
inhabit a supervisor’s effectiveness in handling grievances at this level.

11. i. Intermediate Stage: If the dispute is not redressed at the supervisor’s level, it will usually be
referred to the head of the concerned department. It is important that line management
assume prime responsibility for the settlement of a grievance.
Any direct involvement by personnel department may upset balance in line-staff relations. At
the intermediate level, grievance can be settled with or without union involvement. Excessive
reliance on supervisor at this stage can jeopardies the interests of the employee and affect the
credibility of the procedure.
ii. Organization Level: If a grievance is not settled at the intermediate level also, it will be
referred to the top management. Usually, a person of a level not less than General Manager
designated for the purpose will directly handle the issue.
By now, the grievance may acquire some political importance and the top leadership of the
union may also step in formally, if the procedure provides for it and informally, if the procedure
prohibits it. At this level it is very difficult to reconcile the divergent interests.
iii. Third Party Mediation: If the grievance has not been settled bi-laterally within the
organization, it goes to a third party for mediation. It could be conciliation, arbitration or
adjudication or the matter may even be referred to a labour court.
At this stage, the parties concerned lose control over the way the grievance is settled. In case of
mediation (conciliation or arbitration) the mediator has no authority to decide, but in case of
labour court or an adjudicator, the decision will be binding on the parties, subject to statutory
provisions for appeal to higher courts.
1.6 Processing for Grievances:
A grievance procedure or process is normally created within the collective bargaining
agreement. The grievance procedure outlines the process by which grievances over contract
violations will be handled. As you have probably already identified, the grievance procedure is a
formalized conflict.
A violation of the contract terms or Perception of violation normally results in a grievance. The
process is specific to each contract, so we will discuss the process in generalities. A grievance is
normally initiated by an employee and then handled by union representatives. Most contracts
specify how the grievance is to be initiated the steps to complete the procedure, and

12. identification of representatives from both sides who will hear the grievance. Normally,
the human relations department is involved in most steps of this process.
The basic process is shown in Figure:
Figure of grievance process
1. The employee makes a formal, written complaint. A company may provide a form
(online or on paper), or the employee may write something up on email or freehand.
Regardless, grievances are formal complaints and are generally written. An employee
can present a verbal complaint, but then the HR person/supervisor would write down
the employee’s statement, creating a formal document.
This document will be the guiding document throughout the procedure. While the
employee will (most likely) be interviewed as part of later steps, the employee should
include as much information as possible, including names and dates (approximate dates
should be accepted.) Some investigations can be handled directly by the supervisor or
the HR person tasked with the job, while others may require an outside expert.
2. The investigator writes a conclusion. This may be a black and white situation – for
instance, with unpaid overtime, finding unprocessed time cards definitively show that
the employee is right. With a case of discrimination or harassment, the conclusion can
be in the gray area. You may find that the employee’s coworkers used racial epithets in

13. a fight with the complainant. But, you may also find out that the complainant also used
racial epithets in the argument. The conclusion may not be what the complainant
expected.
3. A mediator can be called in. This is often the case when the grievance procedure is
dictated in a union or other contract. The mediator works with both the employee and
the business to come to a conclusion. In some cases, the company may have no formal
conclusion before meeting with the mediator. In this case, both sides present their case
to the mediator, and the mediator helps them find a solution.
In the case of a union contract, the union often represents the employee in formal
grievance procedures. In mediation, the union representative (and possibly lawyer)
would accompany the employee and plead their case.
4. There are consequences. Whether there is a formal agreement made during mediation
or the investigator makes a formal recommendation that the company accepts, the
company and employee take some action. It can be a simple action, or someone can
lose their job.
5. If the employee is not satisfied, and there is no contract prohibiting a court case (some
contracts require mediation to be the final word), the employee can take his grievance
to the courts.
1.7 The five-step grievance handling procedure:
A grievance is a concern, problem or complaint that an employee raises with an employer.
An employee can raise a grievance for a number of reasons and circumstances, including but
not limited to, a change in their terms and conditions of employment, bullying or harassment in
the workplace, wages and discrimination.
Employers should have effective measures in place to deal with a grievance.
The Acas Code of Practice on Discipline and Grievance Procedures provides statutory guidance
that all employers are encouraged to follow in regards to the grievance process.
A decision to raise a grievance is not one that is normally taken lightly by an employee, as they
will not make a formal complaint for no reason.

14. In order to handle employee grievances, there should be a recognized, established and clear
procedure in place which has been communicated to all employees.
Any complaint should be taken seriously, investigated without delay and the employee should
get a fair hearing in order to avoid putting the business through a lengthy or costly employment
tribunal.
An employer’s failure to deal with an employee’s grievances was highlighted in the case of an
88-year-old medical secretary, in which the tribunal said her dismissal was ‘tainted by
discrimination’. It was found that the employer did not address her formal complaints.
The grievance procedure used by different employers may vary slightly, but if it adheres to the
ACAS Code guidance it is likely to be a five-step process.
Step 1 – Informal approach
Wherever possible an employer should make an initial attempt to resolve a grievance
informally.
This can include speaking to the employee who has made the complaint in order to understand
how they would like the matter to be resolved.
The aim of the informal approach is to try to prevent the matter from escalating and to settle
the problem early on.
It is important during this stage to listen and take account of what the employee has to say, to
reassure them that the complaint is being taken seriously and that it will be addressed.
If an informal approach is not appropriate or it does not address the grievance then the
employer will revert to the formal process.
Step 2 – A formal meeting with the employee
This will involve holding a grievance hearing with an employee. The employee has a statutory
right to be accompanied at a grievance hearing by a trade union representative or work
colleague .
The meeting is an opportunity for the employee to explain the grievance and provide details,
information or evidence to support the complaint. The employer should aim to establish the
facts such as who, what, where, when, why and how the issue came to being.
After the employee has fully explained their grievance it may sometimes be possible at this
stage, depending on the nature of the complaint, to resolve it.

15. Step 3 – Grievance investigation
If there is a need to conduct a grievance investigation it will include speaking to witnesses and
any individuals implicated in the matter. This will help to shed light on the grievance and to
establish the facts of the case.
Step 4 - Grievance outcome
Once the investigation has concluded and all of the facts established and considered a decision
will then be made about whether to uphold all or part of the grievance or if to reject it. The
decision should be communicated to the employee.
If the grievance is upheld, it may be resolved at this stage. However, if it is part upheld or
rejected or the employee remains aggrieved, the process may move on to the next stage.
Step 5 – Grievance appeal
The grievance outcome should notify the individual of their right to appeal. The appeal hearing
chair should then establish why the employee is appealing the decision and what resolution the
employee is seeking.
The case should be reviewed, the grounds for appeal investigated and fairly considered before
an appeal outcome is reached. The appeal is usually the final stage of the grievance process.
1.8 Grievance – Points to be kept in Mind while Handling a Grievance:
The following points are relevant to be kept in mind during handling a grievance:
1. Every grievance must be given due respect and considered important.
2. A grievance should not be postponed with hope that people will “see the light” themselves.
3. A grievance should be put in writing.
4. A relevant facts about a grievance should be gathered by management and their proper
records should be maintained.
5. The employee should be given free time off to pursue his grievance.
6. Management should take a list of all solutions and later evaluate them one by one in term of
their total effect on the organization.
7. Decision once reached should be communicated to the employee and acted upon by the
management.

16. 8. Follow-up must be done by the management to determine whether action taken by it has
favorably changed the employee’s attitude or not.
1.9Grievance – Essentials of a Good Grievance Redressal System: 7 Key Points:
A good grievance redressed system should accommodate the following essentials:
1. Timely Action – Management should ventilate the grievances as and when they arise. They
should be nipped in the bud. For this purpose, supervisors should be trained in recognizing and
handling the grievances promptly.
2. Acknowledgement of Grievance – Once the grievance is filed, management should register it
and grievant should be assured that it would be attended to.
3. identifying the Problem – The supervisor has to diagnose the problem.
4. Collecting Facts – Once the problem is figured out, the supervisor should collect all relevant
facts and profile relating to the grievance.
5. Analyzing the Cause – Supervisor has to get to the root of the problem. It involves studying
various aspects of grievance like employee’s past history, frequencies of occurrence,
management practices, union practices etc. Thus, identification of the cause helps the
management to take remedial actions.
6. Taking Decision – Various alternative courses of action are worked out. These are evaluated
in view of their consequences on the aggrieved employee, the union and the management.
Final decision suited to a given situation is arrived at.
7. Implementing the Decision – The decision taken should be communicated to the grievant and
implemented by the authority.
1.9.1 Some common errors are:
(i) Stopping too soon in the search of facts
(ii) Expressing a management opinion before all the pertinent facts have been discovered
(iii) Failing to maintain proper records
(iv)Resorting to executive fiat instead of discussing the facts of employee grievance and
attempting to change minds
(v) Communicating the decision to the grievant in an improper manner

17. (vi) Taking wrong or hasty decision, which the facts of the case do not justify.
It is possible to avoid these errors through doing proper follow-up that reveals when a mistake
in handling has been made.
1.9.2 Key Principles of Handling Employee Grievances:
Employee handling grievances must be based upon well-considered principles. Such principles
are not absolute insurance of success in dealing with grievances because laws of human
behavior are nonexistent.
However, principles do work most of the time. Hence, it is desirable to search them out and
then rely on them as guides. In the field of handling grievances, a number of principles have
been distilled from the experience of many companies. Some of these discussed below:
1. Have Interview: Have In handling grievances; a considerable amount of time must be spent
talking to employees, gathering data from them, and passing on various types of information.
Such talks, to be most effective, should follow definite patterns and adhere to some well-tested
rules.
2. Constructive Attitude: Wise managers seek to develop an attitude towards employees that
will result in gaining their confidence. Also, avoid giving the impressions that subordinate the
ignorant. Managers should not underestimate the intelligence of employees. The management
should give the impression that the viewpoints of employees are considered to be fair unless
proved otherwise. Management should also display a sincerity in the problems of employees
and a constructive willingness to help.
3. Be Aware of Responsibilities: In handlings grievances, all executives must have confidence in
themselves, be fully aware of their responsibilities, and be willing to carry these burdens. Such
a positive attitude must be apparent to employees in order to gain their respect and
cooperation. An executive should not lack self-confidence. Employees do not like to place their
grievances in insecure or incompetent hands.
In dealing with grievances, they must give the impression of serious consideration. There must
be no light-minded attitude or flippant remarks about the grievances of employees tey are no
joking matter.
4. Consider Long-Run Effects: In handling grievances, it is important that consideration be given
not only to effects in the present but also to the long run and sometimes far distant

18. implications. As a consequence grievances should be handled in terms of their total effect upon
the organization and not solely their immediate or individual effect.
5. Human Nature: It is well to remember that human nature will not change much, if at all.
People will become neither much better nor much worse. In handling grievances, people should
be taken for what they are including their strengths and their weaknesses.
6. Effects of the Past: A manager should weigh decisions not only in terms of their future
impact but should also give consideration to what has happed in the past.
7. It should be Demonstrably Fair: The attitude of supervisors is important here. All supervisors
should accept the employee’s right of appeal as long as no bypassing is involved. In a unionized
concern, supervisors should also accept the employee’s right to be respected, if they so desire,
by a union official.
8. The Provisions should be Clear Cut: No grievances procedures can be expected to work
satisfactorily unless there are definite provisions, consistently adhered to, determining what is
to be done, when, and by whom.
Unless these provisions are set up, made known, and consistently adhered to, it is unrealistic to
expect that employees will cooperate by expressing their dissatisfactions to the appropriate
authority, in the correct form, and at a suitable time.
9. It should be Simple: The complaint and grievances procedure should be sufficiently simple so
that it can easily and quickly be explained to each new employee before he begins working for
the company, and so that it can be really understood even by a person who has had relatively
little formal education.
10. It Should Function Promptly: Prompt action is not only desirable from the component’s
point of view, it is also in management’s interest. Undue delays can be costly in the growth and
spread of employee dissatisfaction. While an employee is waiting to see what, if anything
management will do about his complaint, his dissatisfaction is apt to loom large in his mind.It is
more realistic to recognize the psychological fact that anything in his mind.It is important to
him. He will brood over it and magnify its significance. Furthermore, any unnecessary delay
constitutes another grievance.
11. Conformity with law: The procedures should be in conformity with the existing law. It
should statutory provisions. The procedure may be incorporated in the standing orders or
collective bargaining agreement of the organization.

19. 12. Acceptability: The employee grievances procedure must be acceptable by all and should,
therefore, be developed with mutual consultation among management, workers, and the
union.
13. Training: The success of the procedure also depends upon imparting training to the
supervisors and union representatives in handling employee grievances. This will help to ensure
the effective working of the grievances procedure.
14. Follow Up: The working of the grievances procedure should be reviewed at periodical
intervals by the HR department. The department should periodically review the procedure and
introduce the essential structural changes making it more effective.

20. Disciplinary Action:
The term ‘disciplinary action’ refers to any conditioning of future behavior by the application of either
rewards or penalties.
This approach would include positive motivational activities, such as praise, participation and incentive
pay, as well as negative motivational techniques, such as reprimand, layoff, and fines. Both types of
activities seek to condition employee behavior in order to achieve good discipline in the organization.
In employment law, disciplinary action is a process for dealing with job-related behavior that does not
meet expected and communicated performance standards. The primary purpose for discipline is to
assist the employee to understand that a performance problem or opportunity for improvement exists.
The process features efforts to provide feedback to the employee so he or she can correct the problem.
The goal of discipline is to improve employee performance.
Disciplinary action is a corrective action or a reprimand issued when an employee has violated a rule,
been involved in misconduct, or performed poorly. It usually comes in different formats, depending on
the case’s severity. For some people, disciplinary action is verbal, while others opt for written
reprimands. The action taken ranges from slaps on the wrist to more severe punishments like
retrenchment. When there is misconduct at work, most employers opt to discipline the defaulter.
2.0 Types of Disciplinary actions:
Having seen why disciplinary action is necessary, let’s look at common ways to chastise your staff after
misconduct.
i) Letter of written reprimand: A formal warning letter is necessary in cases when a verbal warning has
already been issued. In other cases, it is written when management deems misconduct to be serious.
But it is always clearly written to ensure that a record of the admonishment exists in the company.
Before delivering a written letter of reprimand, a meeting is held with the recipient. This meeting
follows a specific format that could be pre-planned using a disciplinary meeting template, which
expresses the employer’s displeasure. Besides, some firms require the employee to accept the letter
and sign it to take responsibility and show remorse.
Before issuing a written reprimand, you must meet with the defaulter since they deserve to know why
they are getting the letter. You could also highlight the employee’s strengths before reprimanding them,
although this action is subjective.
If the issue has been addressed before via verbal reprimand, include this in the letter. Firmly state the
organization’s stance on such matters, and end the letter by outlining the consequences of their actions.

21. ii) Letter of suspension: A suspension letter doesn’t just drive to punish a person for an offense; it also
should deter the person from repeating it. If there is an expected course of action from the employee,
the employer should include it in the letter.
Before a letter of suspension is issued, there should have been a prior warning. Alternatively, serious
transgressions can warrant an outright suspension if the regulatory bodies deem it fit. A disciplinary
action form is filled in those cases, and a copy is kept in the employee’s file.
Usually, when an employee is suspended, they get paid for the duration of the suspension, except they
have a contract clause that states otherwise. However, suspensions rarely exceed 30 days except in
health-related cases.
A letter of suspension must follow the disciplinary action template of the organization. It must outline
the duration with clear start and end dates. Other things expected in a suspension letter are the
misconduct, its effect on business, and future consequences.
Finally, the employee should have a chance to appeal this action.
iii) Disciplinary Demotion: When there is a case of poor performance, even after reprimands and verbal
warnings, an employee may be demoted. A demotion often happens when the misconduct is directly
related to the person’s ability to execute their jobs.
For instance, a restaurant manager can promote someone from a dishwasher position to a waiter. But if
they consistently underperform, they can be moved back to dishwashing.
Disciplinary demotions are rarely punishments for a different kind of misconduct. A demotion is often
due to incompetence. And the best way to prove an employee’s competence is to measure their
productivity and document unsatisfactory performance.
Demotions may be temporal or permanent, depending on the employer’s assessment. For temporal
demotions, the management expects the employee to return to the drawing board like Alex Ferguson
and prove themselves worthy of reinstatement.
Before a demotion, human resources managers can issue a reprimand based on a written warning
template. When these warnings are ineffective, they can write a disciplinary action letter. The letter
should outline the employee’s inefficiencies and the chosen corrective action.
It should also state if the demotion is permanent or not. If it is temporal, the employee reserves the
right to know the terms of reinstatement. Disciplinary demotion isn’t the easiest decision to make or
execute, but it is often necessary to maintain discipline within the company.
iv) Letter of discharge: If an employee doesn’t improve after you’ve taken all the disciplinary actions
mentioned above, a letter of discharge is in order. But you mustn’t go through all other types of
disciplinary actions before discharging someone. In some cases, the misconduct’s severity may warrant
instant dismissal.

22. Before issuing a letter of discharge to an employee, endeavor to meet with them in person. It is best to
have them sign a disciplinary form. The employee must know beforehand that they are getting a letter
of dismissal.
Specific laws protect an employee’s rights to being notified about their release from an establishment.
You must notify employees 30 days in advance before severing ties with them in some places. If you get
a rush of blood and eject your staff without informing them, they can appeal the decision.
Apart from these rules, many people agree that it is more empathetic to inform someone before letting
them go as it cushions the blow. Simply put, it is just the human thing to do.
A letter of discharge should follow a pre-written disciplinary letter template. The date of dismissal,
reason, and consequences should be in a discharge letter. It should also state if the misconduct is a one-
time event or a gradual copulation of wrongdoings.
Finally, let employees know if they can appeal your decision to discharge them. A letter of discharge is
often the last resort for employers, as many would rather see employees improve. But when the
grievance is severe, dismissal may be the best decision for the business.
2.1 Causes for Disciplinary Action:
Any employee engaging in any of the listed activities may be subject to appropriate disciplinary or
corrective action. It is intended that this section of the manual provide all employees and supervisors
with guidelines for expected standards of performance and behavior. These Prohibitions and Penalties
have been approved by the State Personnel Commission.
A. Fraud, Falsification or Dishonesty
1. Falsification of application for employment or other personnel records, which could have adversely
affected selection for appointment.
2. Falsification of identity related to matters of employment.
3. Willful and/or negligent falsification of records or reports.
4. Willful concealment of material facts by omission from records.
5. Soliciting or accepting a bribe.
6. Embezzlement or misappropriation of NSHE funds or other funds which come into the employee's
possession by reason of his/her official position.
7. Stealing or misappropriation of property belonging to NSHE, federal or state government, vendors, or
fellow employees.

23. 8. Dishonesty.
B. Job Performance and Attendance
1. Failure to adhere to personal appearance standards established by the work unit.
2. Failure to meet work performance standards.
3. Failure to maintain a professional or occupational license, certificate, permit, or driver's license if it is
a requirement of the position
4. Failure of a supervisory employee to complete evaluations as scheduled, address safety and/or
liability issues in the workplace, or to take corrective disciplinary action where such action is needed.
5. Failure to prepare or maintain prescribed records or reports.
6. Unauthorized removal of records, correspondence or documents from NSHE files.
7. Withholding information regarding the job from supervisors or other persons having necessity for
such information.
8. Failure to cooperate with other employees and/or supervisors.
9. Disgraceful personal conduct which impairs performance or causes discredit to the institution
including, but not limited to, lewd, disorderly, and indecent conduct.
10. Misuse and/or abuse of supervisor authority.
11. Disregard and/or deliberate failure to comply with or enforce statewide, department or office
regulations and policies.
12. Negligence in performing official duties including failure to follow instructions or regulations.
13. Carelessness, indifference, and/or inattention to duty.
14. Conducting personal business during working hours.
15. Frequent or continual tardiness and/or failure to report to work promptly after rest and meal
periods.
16. Time away from work station without authorization.
17. Leaving a work area or a job when specifically instructed to remain in work area or at the job.
18. Failure to notify supervisor or designated representative, or to comply with department policy
promptly when unable to report for work. Notification must occur for each shift.
19. Unauthorized absence from duty.

24. 20. Absence from duty after having been denied permission to take leave.
21. Failure to report to work or call a supervisor for three consecutive work days without valid
justification.
C. Behavior Toward Others (administration, supervisors, coworkers, students, vendors, public)
1. Using insulting, abusive, or profane language.
2. Discourteous treatment of others.
3. Causing discord among others.
4. Making statements which demean others.
5. Any intimidating behavior toward others including, but not limited to, verbal threats, stalking,
bullying, and fighting.
D. Possession and/or Use of Alcohol and Drugs
1. Inability to perform the duties of the position due to being under the influence of drugs and/or
controlled substances and/or alcohol.
2. Failure to pass any drug and/or alcohol test mandated by federal or state law.
3. Refusal to take any drug and or alcohol test mandated by Federal or State law.
4. Failure to complete any mandatory rehabilitation program recommended in the evaluation of an
employee by the designated, qualified treatment provider.
5. Failure to notify supervisor after consuming any drug which would interfere with the safe and
efficient performance of the employee's duties.
6. Unlawful possession of a controlled substance at the work site or on NSHE business.
7. Driving on duty while under the influence of alcohol and/or controlled substance and/or drugs.
8. Convicted of driving under the influence or any other offense for which driving under the influence is
an element of the offense and the offense occurred while driving an NSHE vehicle or a privately owned
vehicle on NSHE business.
9. Convicted of unlawful manufacture, distribution, dispensing, possession, or use of a controlled
substance at a place of work or on NSHE business.
10. Convicted of violating any State or Federal law prohibiting the sale of a controlled substance.
Pursuant to NRS 193.105, an employee who is convicted of violating any state or federal law prohibiting
the sale of a controlled substance must be dismissed.

25. 11. Failure to report a conviction of any offense described in 8, 9, and 10 above, to the appointing
authority within five (5) working days after it occurs.
E. Misuse of Resources
1. Using or authorizing the use of NSHE-owned or leased property for other than official use without
written prior approval pursuant to NRS 281A.400,7(a).
2. Failure to have State vehicles or equipment properly maintained and/or serviced resulting in personal
injury or damage to equipment.
3. Waste or loss of material, property, equipment or resources.
4. Negligent destruction of or damage to NSHE property.
5. Willful destruction of or damage to NSHE property.
6. Jeopardizing the security of NSHE property.
7. Accessing or communicating data not pertaining to official job duties without authorization.
8. Revealing passwords or using another person's user identification and/or password to allow access to
confidential information.
9. Installing or using personal or unauthorized software on state information technology resources
without proper authorization.
10. Making unauthorized copies such as books, manuals, and computer software in violation of
copyright laws or vendor licensing agreements.
11. Using NSHE information technology resources, including, but not limited to, computing and
communications equipment, services, or facilities for soliciting business, selling products, or otherwise
engaging in commercial or personal activities.
12. Use of NSHE information technology resources for personal purposes that interferes with
performance of employee's duties and/or creates the appearance of impropriety.
13. Negligent use of information technology that results in the introduction of computer viruses, system
monitoring devices, or devices that can cause damage or limit access to the equipment, operating
systems, software, or data.
14. Willful sabotage of information technology resources, including but not limited to the introduction
of computer viruses, system monitoring devices, or devices that can cause damage or limit access to the
equipment, operating systems, software, or data.
F. Safety, Security, and Workplace Violence

26. 1. Endangering self, fellow employees, students, or public through negligent violation of institution
policy as contained in performance standards, safety rules, procedures, and any other state and federal
laws, regulations or guidelines.
2. Endangering self, fellow employees, students, or public through willful violation of institution policy as
contained in performance standards, safety rules, procedures and other state and federal laws,
regulations and guidelines.
3. Any act of aggression or intimidation that completes or communicates a direct or indirect threat of
physical or mental harm to supervisor, public, students, or fellow employee; or any indirect act such as
damage to personal property
4. Bringing onto NSHE property or buildings any firearm or implement considered to be a weapon unless
authorized to do so.
5. Operating NSHE vehicles or equipment without proper license, authorization or credentials.
6. Operating NSHE vehicles or equipment in an unsafe or negligent manner resulting in injury to a
person, damage to the equipment or to the property.
7. Operating a personal vehicle while on NSHE business in an unsafe and negligent manner.
8. Failure to immediately report an accident or damage to NSHE equipment or vehicle (state owned,
personal, or rental) while on NSHE premises or while conducting NSHE business. Note: Requirement to
report personal vehicle damage is limited to third party and/or injury involvement.
G. Other Acts of Misconduct
1. Unauthorized and/or willful destruction of NSHE records.
2. Insubordination: Refusal to comply with order or instruction from a supervisor (or superior in
employee's chain of command).
3. Unauthorized or improper disclosure or use of confidential information.
4. Failure to adhere to smoking policies and regulations.
5. Acting in an official capacity without authorization.
6. Failure to participate in an administrative investigation authorized by the employee's appointing
authority.
7. Intentionally viewing, storing, or distributing pornographic materials at the premises of the
workplace, on any media format (electronic, print, or other form). This includes off premises activity
with NSHE systems.
8. Conviction of any criminal act involving moral turpitude.

27. 9. Engaging in political activity during the hours of employment including direct or indirect solicitation of
others as described in NAC 284.770.
10. Engaging in political activity for the purpose of securing preference for promotion, transfer, or salary
advancement as described in NAC 284.770.
11. Engaging in political activities which are forbidden by federal laws as an employee administering
federally aided programs.
12. Engaging in sexual harassment as defined in NAC 284.771 or NSHE policy against another employee,
an applicant for employment, students, and/or other persons in the course of performing duties and/or
in the workplace.
13. Discrimination on the basis of a person's age, disability, whether actual or perceived by others
(including service-connected disabilities), gender (including pregnancy related conditions), military
status or military obligations, sexual orientation, gender identity or expression, genetic information,
national origin, race, or religion.
2.3Benefits of Disciplinary Procedures:
It is a requirement for an employer to provide each new employee with a written statement of certain
terms of his employment including specifying any disciplinary rules, or to refer the employee to a
document which specifies such rules. However, having properly documented procedures can also assist
you in avoiding allegations by an employee that his or her treatment was discriminatory or dismissal was
procedurally unfair.
Effective disciplinary procedures are a valuable management tool in avoiding allegations of disparity in
the treatment of employees and minimizing the risk of an action for unlawful discrimination,
constructive dismissal or procedurally unfair dismissal.
In the absence of such a disciplinary procedure the employment tribunal will have regard to the ACAS
Disciplinary Code and any such disciplinary procedure that you do develop will be expected to comply
with the code.
In developing such a procedure you may well need to consider disciplinary procedures to cover a
number of different eventualities. For instance, employee problems related to conduct may involve
wholly different considerations to those related to capability. Investigatory and disciplinary procedures
will need to be tailored appropriately.
Whilst all predictable disciplinary problems and requirements should be covered, any list of
transgressions should be stated to be non-exhaustive, giving you the opportunity to lay down ad hoc
judgments in an unforeseen situation.
Disciplinary rules, their status and the sanctions likely to be imposed, must be communicated to
employees. In particular, it should be made clear whether the rules are merely operating instructions or

28. whether breach of those rules may result in disciplinary action against the transgressor. It is important
to distinguish between a disciplinary procedure (which should be non-contractual) and disciplinary rules
as to, for example, what constitutes gross misconduct, which should be contractual.
2.4 Seven Principles of Effective Progressive Discipline:
Principle 1: Your Goal Is Retention, Not Termination
Some managers mistakenly believe that the purpose of discipline is to build a case to fire employees
down the road. Of course, handling disciplinary issues properly will help you preserve your right to end
the employment relationship legally, if an employee can't improve. But that's just one of the benefits of
the system, not its purpose.
As a manager, your goal when dealing with employees who've gotten off track isn't to fire them, but to
help them improve their performance and renew their dedication to the job. Termination is seldom the
best outcome for a business, when you consider how much it costs to hire and train a new employee,
the decline in morale and productivity that can occur when an employee is fired, the real losses to your
company of having a position vacant while you search for a replacement (which is also costly), and the
potential for legal claims that accompany an employment termination.
Principle 2: Discipline Should Be Proportionate
Progressive discipline requires you to respond to an employee's behavior by choosing a disciplinary
measure of corresponding seriousness. Responding to a relatively minor issue with an informal coaching
session lets an employee know that you've identified a problem and you want to give the employee
every chance to improve. Similarly, giving a written warning to an employee who has engaged in serious
misconduct indicates that the behavior is unacceptable and must stop immediately. In either case the
employee you discipline is not the only audience for your action: Other employees will also se (or hear
about) how you handle these issues and will get a better understanding of what you and the company
expect.
Principle 3: Have the Facts at Your Fingertips
Before you meet with an employee to discuss a problem, you'll need to be ready to explain why
correction is necessary. Employees need to understand the scope of the problem and to be included in
the decision-making process. This means you can't just hand over a written warning; instead, you have
to be prepared to explain the problem clearly, with pertinent examples and potential solutions.

29. Principle 4: Listen to Your Employees
Your ability to listen as you discuss performance or conduct issues will make or break the discipline
process. If you monopolize the conversation or ignore your employee's effort to explain, your
relationship with the employee might be jeopardized beyond repair – and you may not solve an
otherwise solvable problem.
Listening carefully will help you understand the root of the problem and collaborate with the employee
to come up with a solution. It will help you make sure that you've chosen the right disciplinary response.
And, the employee will feel heard and understood, and will therefore be more willing to engage in the
process and move forward with a positive attitude.
Principle 5: Collaboration Is the Key to Success
After you have explained how the employee's behavior is affecting the company and listened to the
employee's side of the story, it's time to work together to develop an action plan for improvement.
Collaboration allows the employee to feel some ownership of the resolution and take responsibility for
making it happen. If you come into a disciplinary meeting with all the answers, your employee won't
have to actively participate – and is more likely to disengage emotionally.
Principle 6: Be Flexible Within a Consistent Framework
Progressive discipline systems are fair because they require consistency. They require managers to treat
similar problems alike and to differentiate between less serious and more serious issues. This framework
provides a solid basis for making disciplinary decisions and deciding how to handle all of the particular
and unique issues that might come up on your team.
However, because progressive discipline is rooted in collaboration, it allows also for some flexibility in
handling disciplinary discussions, coming up with potential solutions, and working with employees to
help them improve. Although the particular disciplinary measure you use will typically be dictated by the
employee's behavior, the way you and the employee work together will depend on the facts.
Principle 7: Some Employment Relationships Don't Work Out
Although the goal of progressive discipline is to help employees improve, some employment
relationships were just not meant to be. If an employee really can't or won't take the necessary steps to
solve a problem, progressive discipline lays the proper foundation for a fair and legal termination
process.

30. 2.5 Steps for Effectively Disciplining Employees:
Using the following steps for disciplinary action can make it easy for you to meet this ideal:
Step 1: Oral Reprimand
Oral reprimands should be given as soon as a manager or employer notices an issue with an employee’s
performance or behavior. Oral reprimands should be given tactfully, so that employees understand that
reprimands are constructive criticism and not personal attacks. It may be helpful for employers or
managers to design a verbal reprimand form so that written documentation can be kept of oral
reprimands.
Step 2: Written Warning
If an employee does not respond to a verbal reprimand favorably or begins to exhibit further behavioral
or performance issues, it may be necessary to issue a written warning. An effective written warning
should detail exactly what the undesirable aspects of the employee’s behavior or performance are, how
the employee should correct these issues, and what will happen if the employee does not correct these
issues. Employees should be given a copy of the written warning that has been signed by a manager, a
witness, and the offending employee.
Step 3: Final Documentation
If an employee continues to exhibit poor performance after receiving a written warning, managers
should issue final documentation. When final documentation is given, employees should be shown all
other times that reprimands have been given and documented, while managers pointedly explain how
they were instructed to act and how they failed to meet the expectations. Employees should understand
that they may face termination if the behavior continues, but should still be given a chance to meet the
expectations.
Step 4: Suspension with Probation
If an employee still continues to fail to meet expectations after final documentation has been given, you
may wish to give the employee one final chance in the form of a suspension with a subsequent
probationary period. The probationary period may include a dock in pay, continuous supervision, or
retraining efforts. Before an employee is suspended, HR professionals should be consulted.
Step 5: Termination
If an employee continues to exhibit the same behaviors after the suspension period or does not respond
favorably to retraining, it is unfortunately time to move on to termination. When an employee is
terminated, the final meeting should be in person and the employee should be given documentation
and an explanation as to the exact reasons for the termination. If all behavioral issues have been
documented every step of the way, the employee should not be able to collect unemployment or file a
wrongful termination lawsuit.

31. 2.6 Approaches to Discipline:
Basically the approaches to discipline are of two types: positive and negative.
1. Positive Approaches to Discipline:
Employee discipline is critical in achieving organizational success. Generally, approaches to workplace
discipline are positive and constructive, including communication, good systems design, quality
management systems, training, motivation and rewards. However, in any organization there is the need
to plan for the negative, exceptional situations that occur when individuals or groups misbehave and
break the rules, or do not comply with the expected standards.
In “positive” discipline, there is willingness to comply that comes from the desire to cooperate in
achieving the common goal of the organization. The emphasis here is on cooperative efforts to secure
compliance to organizational norms.
2. Negative approaches to discipline:
Disciplinary Procedures:
On the other hand, “Negative” discipline involves force or an outward influence. It is the traditional
approach to discipline and is identified with ensuring that subordinates adhere strictly to rules and
punishment is meeting out in the event of disobedience and indiscipline. The fear of punishment works
as a deterrent in the mind of the subordinate. Approaching discipline from this kind of a perspective has
been proving increasingly ineffective.
We now move on to how to cope with ‘indiscipline’. What does an organization do when staff does not
comply with the standards of behavior or performance expected and planned for? Indiscipline refers to
the absence of discipline. Indiscipline, therefore, means nonconformity to formal and informal rules and
regulations. No organization can afford indiscipline as it will affect the morale, motivation and
involvement of employees. Indiscipline often leads to chaos, confusion, and reduces the efficiency of the
organization. It often leads to strikes, go-slows, and absenteeism, resulting in loss of production, profits
and wages.
Absenteeism, insubordination, violation of organizational rules, gambling incompetence, damage to
machinery and property, dishonesty and other forms of disloyalty causes industrial indiscipline. These
are all forms of misconduct against management. Most of the disciplinary problems do not occur
overnight, but they gradually develop and many of the tendencies toward misconduct or indiscipline
could be remedied if the supervisors take proper and timely action. Taking long lunch hours, not actively
working on the job, gossiping and whiling away time, carelessness and tardiness etc. shows lax attitudes
which have developed over a long period of time because they were tolerated. It is rightly said that first
we develop habits and attitudes and later on they develop us. Therefore, it is extremely necessary to put
out fires while they are small and yet to spread. A stitch in time would save nine!

32. Yet another crucial point is to probe deeper in order to find out the basic underlying causes of
indiscipline problems. Instead of going by the outward symptoms and manifestations of misconduct, it is
essential to pinpoint and alleviate the root causes of disciplinary problems. In most cases, management
wishes to help the employee to overcome his difficulties. A further point is that management will wish
to try to ensure that the malaise does not spread to other staff. Justice must not only be done, it must
be seen to be done!
The approach to managing discipline normally involves positive feedback, the encouragement of staff to
do the ‘right’ things. To this end we set rules detailing the expected standards of behaviour. In addition,
there is also the need to specify how deviations from these rules will be dealt with. The threat of
sanctions can be used, i.e., penalties imposed for doing the ‘wrong’ things, such as breaking an
important organizational rule. In this context, organizations speak about ‘disciplinary offences’ or
‘disciplinary hearings’ – but this is really a shorthand label. We are really seeking to monitor and control
staff behavior by setting rules and monitoring performance. This way we can readily identify and deal
with those exceptional cases where the required order has broken down.
When such a situation occurs, some form of management reaction is required in order to restore the
standards of behaviour and working practices to that which is required to achieve organisational
objectives. This frequently involves threatening or invoking sanctions or penalties to correct, punish or
deter staff from doing the ‘wrong’ things. This is the system of disciplinary procedures.
But discipline is more than punishment and deterrence. It is a whole system of rules and procedures
designed to encourage people to do the right things, to deter them from doing the wrong things and for
dealing with staff who do the wrong things. Disciplinary action is planned with the intention to improve
the future behaviour of the employee who has broken the rules. It can also influence the behaviour of
other staff.
Disciplinary Offences:
We can identify many staff actions which may put the achievement of organizational objectives at risk or
which pose a threat to its assets or reputation. These include:
1. Inadequate or incompetent work performance
2. Absenteeism
3. Poor timekeeping-late arrival, early departure, too many rest periods
4. Breaking rules- on safety or other aspects of work performance
5. interfering with the work of others
6. rudeness to customers or colleagues
7. improper personal appearance

33. 8. being under the influence of alcohol or drugs
9. conflict of interest- too close links with customers or rivals
10. theft
11. fraud
12. damage to goods or property
13. assault on customers or other staff
14. Most organizations now have a formalized approach to disciplinary procedures both to ensure
uniform practice and also to conform to legal requirements. Most countries have laws designed
to protect the rights of workers. An inconsistent or unplanned approach to imposing discipline
may well lead to legal action being taken against the organization.
Such action can prove expensive in monetary terms. There is also the cost of management time required
to defend the organization. The reputation of a company can also be damaged if a court judgment is
made against it. The standard of behavior expected of staff should be defined in advance. Actions, which
may give rise to punitive disciplinary action, should be clearly identified together with the consequences
that will be imposed if such behavior is encountered.
Disciplinary Action:
1. Before conducting a discipline discussion, the supervisor should be able to:
2. Describe the incident by answering: Who? What? When? How? Where? Witness? Why?
3. Refer to the policy or procedure that was violated.
4. Determine whether the employee was previously notified of the correct operating procedure
and be able to provide documentation, if it exists.
5. Know whether the employee has been disciplined previously.
6. Provide documentation of verbal counseling, if possible.
7. Determine whether other employees have violated the same policy/ procedure and what
discipline, if any, they received.
8. In discipline discussions with an employee, the supervisor points out the unsatisfactory
behavior, explains the need for and purpose of the rule or practice that is being violated, and
expresses confidence in the employee’s willingness and ability to make the necessary changes in
behavior.
9. During a discipline discussion the supervisor should be objective in reviewing the situation and
give the employee specific examples of the behavior that is causing the problem. The employee

34. should be allowed an opportunity to present his or her own case. The supervisor needs to make
sure the employee has a clear understanding of the consequences of his or her behaviour. The
supervisor and the employee should agree on specific recommendations for correcting the
performance.
Appeal of Disciplinary Action:
1. People work together best in an atmosphere where they are valued as individuals and
recognized as key members of the organization. Supervisors ensure that policies and procedures
are administered uniformly and followed judiciously by treating employees fairly and
consistently. Fair, efficient, and equitable solutions for problems arise out of the employment
relationship.
2. Employees may disagree with the supervisor and submit grievances. Grievances are an informal
approach to resolving conflicts. Grievance subject matter might include wages, hours of work,
working conditions, performance evaluations, merit raises, job assignments, reprimands, rules,
regulations, and policies.
3. Though there is no rigid and specific procedure for taking a disciplinary action, the disciplinary
procedure followed in Indian industries usually consists of the following steps:
4. Issuing a letter of charge: When an employee commits an act of misconduct that requires
disciplinary action, the employee concerned should be issued a charge sheet. Charges of
misconduct or discipline should be clearly and precisely stated in the charge sheet. The charge
sheet should also ask for an explanation for the said delinquent act and the employee should be
given sufficient time for answering this.
5. Consideration of explanation: On getting the answer for the letter of charge served, the
explanation furnished is considered and if it is satisfactory, no disciplinary action need be taken.
On the contrary when the
2.7 Factors necessary for effective disciplinary system include:
 Training of supervisors is necessary: Power of executing discipline must be in the hands
of trained persons so as to ensure make proper use of Power on the offenders only, but
not on innocents. That is a reason why Supervisors and mangers need to be trained on
when and how discipline should be used. It is necessary to provide training on
counselling skills as these skills are used while dealing with problem employees.
Moreover, it should be ensured that discipline decisions taken by trained superiors must

35. be considered fair and unbiased by both employees and managers so as to build up
respect towards a system which will help in developing healthy industrial relationships.
 Centralization of discipline: No one is above the law, whosoever is equal before the law
and the punishment is same to whosoever. likewise, organizations should also
implement same principle, which is being applied in the rule of law. Centralized means
that the discipline decisions should be uniform throughout the organization. The greater
the uniformity, higher will be the effectiveness of discipline procedure.
 Impersonal discipline: Discipline should be handled impersonally. Managers should try
to minimize the ill feelings arising out of the decisions by judging the offensive behavior
and not by judging the person. Managers should limit their emotional involvement in
the disciplinary sessions.
 Review discipline decisions: The disciplinary decisions must be reviewed before being
implemented. This will ensure uniformity and fairness of the system and will minimize
the arbitrariness of the disciplinary system.
 Notification of conduct that may result in discipline: Actions that lead to misconduct
can be listed and documented so the employees are aware of such actions. This will
unable them to claim that they have not been notified, in advance, regarding the same.
 Information regarding penalties: The employer should define the penalties and other
actions like warnings, reprimands, discharge and dismissal well in advance. All these
action plans must be communicated to the employees.
 Discipline shall be progressive: Discipline system should be progressive in nature. In a
progressive discipline approach the severity of actions to modify behavior increases with
every step as the employee continues to show improper behavior. The advantage of this
approach is that employees can’t take it for granted.
 Documentation: Effective discipline requires accurate, written record keeping and
written notification to the employees. Thus less chance will be left for the employee to
say the he “did not know” about the policy.
 Discipline should be fair: The disciplinary decision should be fair enough for the
employee. Both over-penalization and under-penalization are considered to be unfair
for the problem employee. Moreover, an internal fairness is to be maintained, that is,
two employees who have committed the same offense should be equally punished.
 Discipline shall be flexible and consistent: The manager administering discipline must
consider the effect of actions taken by other managers and of other actions taken in the
past. Consistent discipline helps to set limits and informs people about what they can
and cannot do. Inconsistent discipline leads to confusion and uncertainty.

36.  Disciplinary action should be prompt: The effective discipline should be immediate. The
longer time lag between the misconduct offense and the disciplinary action will result in
ineffectiveness of the discipline; besides it may give scope again to commit misconduct,
which may create feeling of recklessness and negligence in the minds of others over the
organization management and also may create feeling of levity among employees.
Besides the above said factors there are key tips should be followed scrupulously:
 Always document a verbal warning in writing immediately after it is given.
 Always deliver written warnings in person and document what was said in the writing
immediately after the meeting.
 Interview the accused employee, tell them of the complaint and allow them to tell their side of
the story.
 allow employees ( union or non-union ) to have a representative presented during their
interview if requested.
 Interview other witnesses that may have knowledge of events relating to the complaint.
 Consider having legal counsel conduct the investigation interviews.
 If the investigation concludes that disciplinary action is required, review the employees'
disciplinary record.
 Review the discipline imposed in similar situations in the past.
 Balance the seriousness of the conduct with the employee's overall record to determine the
appropriate discipline.
 Document the results of your investigation & the results for any disciplinary actions.
 In-case you decide to terminate an employee whose is accused of serious indiscipline, take
sufficient time to investigate & document the reasons for termination.
2.8 Disciplinary Action Model under Labour Law of Bangladesh:
A worker can be “Dismissed” on ground of “Misconduct”. Section 2(39) of Labour Act, 2006 (as amended
in 2013) defines “Dismissal” as “the termination of services of a worker by the employer for
misconduct”.

37. Section 23(4) of the said Labour Act, 2006 (as amended in 2013) provides some definitions of
“Misconduct”, of which, the following may be applicable in the present case:
1. willful insubordination or disobedience, whether alone or in combination with others to any
lawful or reasonable order of a superior
2. theft, embezzlement or fraud in connection with the employers business or property
3. absence without leave for more than ten days
4. riotous or disorderly behavior in the establishment, arson or any act subversive of discipline
In P. W. V. Rowe Vs. Labour Court, Chittagong (1979) 31 DLR (AD) 119 it was confirmed that absence
without leave for more than ten days is a kind of misconduct and a worker may be dismissed or
otherwise dealt with.
In case of a Dismissal, the following procedures need to be followed as per section 24 (1) of the Said
Labour Act:
1. The allegations against him are to be recorded in writing
2. He is to be given a copy thereof and not less than seven day’s time to explain
3. He is to be given an opportunity of being heard thereafter
4. He has to be found guilty, after an enquiry conducted by an Investigation Committee comprised
of equal number of representatives from the Employer and the Workers and the period of such
enquiry shall not exceed sixty days.
5. The employer or the manager needs to approve such order of dismissal.

38. The said section 24 further states that:
i)A worker charged for misconduct may be suspended pending enquiry into the charges against him and
unless the matter is pending before any Court, the period of such suspension shall not exceed sixty days.
Provided that during the period of such suspension, a worker shall be paid by his employer his
subsistence allowance and other allowances, if any.
ii) An order of suspension shall be in writing and shall take effect immediately on delivery to the worker.
iii) In an enquiry the accused worker may be assisted by any person nominated by him who is employed
in the establishment.
iv) If in an enquiry, any oral evidence is given on behalf of any party, the party against whom the
evidence is given may cross examine the witness.
v) If, on enquiry, a worker is found guilty and is punished under section 23 (1), he shall not be entitled to
his wages for any period of suspension but shall be entitled to the subsistence allowance for such
period.
vi) If the charges against the worker are not proved in the enquiry, he shall be deemed to have been in
duty for the period of suspension for enquiry, if any, and shall be entitled to his wages for such period of
suspension and the subsistence allowance shall be adjusted accordingly.
vii) In cases of punishment, a copy of the order inflicting such punishment shall be supplied to the
worker concerned.
viii) If a worker refuses to accept any notice, letter, charge-sheet, order or any other document
addressed to him by the employer, it shall be deemed that such notice, letter, charge-sheet, order or the
document has been delivered to him, if a copy of the same has been exhibited on the notice board and
another copy has been sent to the address of the worker as available from the records of the employer,
by registered post.
1. ix) In awarding punishment, the employer shall take into account the previous record of the
worker concerned, the gravity of misconduct, achievements and accomplishments during his
tenure, and any other that may exist.
According to section 23 (2) of the said Labour Act, any worker found guilty of misconduct may, instead
of being dismissed under sub-section (1), in consideration of any extenuating circumstances, be
awarded any of the following punishments, namely:

39. 1. removal;
2. reduction to a lower post, grade or scale of pay for a period not exceeding one year;
3. stoppage of promotion for a period not exceeding one year;
4. withholding of increment for a period not exceeding one year;
5. fine;
6. suspension without wages and subsistence allowance for a period not exceeding seven days;
7. Censure or warning.
According to section 23(3) a worker who is “removed” as a measure of punishment shall, if his
continuous service is not less than one year, be paid by the employer compensation at the rate of fifteen
days for every complete year of service. Provided that not compensation shall be paid if he is being
removed for theft/embezzlement/fraud in connection with the employers business or property/ riotous
or disorderly behavior in the establishment /arson or any act subversive of discipline.
In Mashriqi Jute Mills Ltd. Vs. the Chairman, Second Labour Court, Dhaka and another [11 MLR
(HC)(2006) 96] a Labour Court ruled against such a dismissal order, which was overruled by the High
Court Division stating that,
“The respondent was dismissed from the service of the company for misconduct after due inquiry with
the prior approval of the Managing Director who is the Chief Executive of the Company. The dismissal
order was issued as a matter of routine procedure by the Assistant Labour Officer and as such the High
Court Division found nothing wrong with the order and accordingly declares the Judgment and Order of
the Labour Court to have been passed without any lawful authority and of no legal effect.”
Procedures of Dismissal of an employee can be avoided by simply terminating him with a 120 (one
hundred and twenty) day’s notice u/s 26 of the said Labour Act even if disciplinary proceedings had
already been initiated against him.
In Managing Director, Sonali Bank and 2 others Vs. Md. Jahangir Kabir Molla [(1996) 48 DLR (AD) 395] it
was held that,
“Departmental Proceeding was initiated against the employee but the same was subsequently dropped
and a simple order of termination containing no charge or stigma was issued- the order was valid.”
The Court cited two more cases in the Obiter Dicta, i. e. 22 DLR (SC) 284 and 23 DLR (SC) 85 and stated
that in both the cases it has been held that if the impugned order of termination does not contain any
charge or stigma, the order is valid.
In Khulna Newsprint Mills Ltd. Vs. Khulna Newsprint Employees Union, [25 DLR (SC) 85], it was observed
that,

40. “The employee was previously arraigned for a criminal offence and the charge fell through. Thereafter
the employee was terminated from service. The termination was held valid.”
In Karnaphuli Fertilizer Co. Ltd. Vs. Chairman, First Labour Court and another [56 DLR (2004) 502] it has
been held that,
“Any employer is always free to take recourse to a simple order of termination in order to avoid the
complex disciplinary action provided the intended action is not taken with a view to victimizing the
worker for trade union activities”
In another suit (24 DLR 250) it has been observed that“A’s service was terminated by the Management
of the Company in which he was employed on the ground that his service was no longer required. On
evidence it has been established that A’s service had been terminated because he took active part in
Union Affairs. Held His service has been improperly terminated.”
2.9 Disciplinary Action in the BD Corporate offices:
The BD corporates provides, the followings shall be treated as misconduct, namely;
a) Willful disobedience, whether alone or in combination with others to any lawful or reasonable order
of a superior;
b) Theft, misappropriation, fraud or dishonesty in connection with business or property of the
employer;
c) Taking or giving a bribe in connection with his or any other worker's employment under the
employer;
d) Habitual absence without leave of absence for more than 10 (ten) days at a time without obtaining
leave;
e) Habitual late attendance;
f) Habitual breach of any law or rule or regulation applicable to the establishment;
g) Disorderliness, riot, arson or breakage in the establishment;
h) Habitual negligence in work;
i) Habitual breach of any rule relating to employment, including discipline or conduct, approved by the
Chief Inspector;
j) Altering, forging, wrongfully changing, damaging or causing loss to employer's official records
However, it should be noted that the list of acts stated above is a non-exhaustive list and may include
acts which are contrary to the general governance of the establishment, provided it is approved by the
Chief Inspector, Ministry of Labour and Employment.

41. 2.9,1 Provided below, strategy to be followed when there is an allegation of misconduct against an
employee:
1. Any complaint against any employee shall be made/recorded in writing addressed to the authorized
officer or department. Upon receipt of a written complaint, the concerned authority (usually the chief
executive or the Human Resources Department) shall issue a show-cause notice to the concerned
employee mentioning the charge/allegation and allowing the employee a time frame of at least 07
(seven) days for submission of written explanation.
2. Upon receipt of a written explanation from the concerned employee, where such an explanation is
considered to be satisfactory, the complaint will be regarded as settled and this will not affect any future
employment of such employee.
3. However, upon not receiving any explanation or upon receipt of written explanation from the
concerned employees, where such explanation is considered to be unsatisfactory, the employer shall
make arrangements to form an enquiry committee, constituted with equal number of members
representing the Employer's side and the employees' side, to make formal enquiry into the matter. The
committee shall submit a report on the enquiry to the Employer.
4. The enquiry committee can consist of no more than six members. Subsequently, the enquiry
committee will send the report containing decision as to guilt to the authority for necessary action.
5. The Employer or any person deriving authority from the Employer shall nominate the Employer's
representative(s) in the Inquiry Committee from within the organization. Similarly, the accused
employee shall nominate the representative(s) from the employee's side from amongst the employees
of the organization by a written proposal.
6. Accordingly, the organization shall then issue the notice of enquiry to the concerned employee to
hold a hearing of the case specifying certain details. It shall also be notified to him that he may bring
another person nominated by him from within the organization to assist him during the hearing.
7. The witness, either from the employees' or from the members' side, if any, should be examined and
cross-examined by the enquiry committee and by the accused employee. The statement of the
witness(s) should be recorded and the witness(s) must sign the paper on which his/her statement was
recorded.
8. The evidence in support of Show cause letter and charge(s) brought against the accused employee
shall also have to be presented before the accused for his comments. The enquiry committee shall then
submit a full report on the inquiry with a decision as to whether the accused is guilty or not along with
their fact findings, comments etc.
9. The Employer decides which punishment shall be imposed on the concerned employee based on
such report. In relation to the awarding of punishment, the Employer shall take into consideration, the
previous record of the concerned employee, the gravity of the misconduct, the achievement and

42. contributions of the accused employees during the employment and any other relevant factors that may
exist in the situation.
10. Once all the above steps have been complied with and the accused employee has been found to
have in fact committed the misconduct, the Employer is then at liberty to dismiss the employees
without prior notice or payment in lieu thereof.
2.9.2 General Guidelines in :
Administering Discipline
The objective of the disciplinary action is to correct an employee’s undesirable behavior, not to deal out
punishment. While punishment may be a necessary means to that end, one should never lose sight of
the eventual objective. Employee discipline directly affects the organization success. If the problem is
not solved in time, it may create a problem even in the existence of the organization. The best way is
not to let the problem be aroused.
However, if it arises, then it has to be solved or controlled in time. To eradicate the disciplinary
problems, many managers believe in punishment and penalty. But to minimize or solve the problems, it
is appropriate to consider the following guidelines;
I. Should be corrective: Main objectives of disciplinary action must be to reduce the problem and
improve the situation. While taking disciplinary actions, it must be guaranteed that employee’s
negative behavior and activities will be improved and not repeated in the future. For this,
instead of punishing employees, they must be motivated to improve their attitude and behavior.
Based on the seriousness of the problem, disciplinary action has to be taken. Before taking final
actions against the indiscipline, employees must get the chance for improvement. If it is
necessary to take action, it must be carried out justifiably and wisely in an acceptable way. So,
disciplinary actions should be corrective.
II. Should be progressive: Disciplinary action must be progressive. Disciplinary action must be
taken step by step. First of all, they must be informed regarding their indiscipline orally. If this
doesn’t improve things, then written warning followed by suspension and demotion must be
taken. And if these actions also do not work then, as a final action, dismissal can be done.
Nature of the problem must be considered while taking action. Every problem must not be
treated from a single view. Simple action for a minor problem and serious action for the
complex or major problem must be applied. If the disciplinary action impacts negatively it does
not improve the attitude of employees. Instead, this may worsen the attitude of other
employees also.
III. Should be immediate: Disciplinary related action must be taken immediately. If these problems
are taken for granted or actions are delayed, they repeat it frequently and behave more
abnormally. If actions are taken promptly, they become alert to not repeating it. So, one should
not be slow to initiate disciplinary action.
IV. Should be unbiased: Disciplinary actions must be fair, justifiable and wise. Same actions must be
taken for the same problem regardless of the employee’s position, nearness and dearness as
well as their influence in the management. If employees feel being discriminated in disciplinary

43. actions, they may demonstrate negative attitude and behavior. Instead of improving, it will
worsen the organizational situation. Thus, instead of looking at the person, one has to
understand the depth of the problem while taking disciplinary actions. Actions should be
inspired by ‘hot stove approach’. Like the host stove that burns the hand of the person
immediately regardless the level of the person, disciplinary action should have the same and
immediate impact the employees equally.
V. Should be effective: Disciplinary action must be effective. Actions taken just for the sake of
action cannot change the negative attitude and behavior of the employees. A manager must
show initiation because the action is the problem. Effectiveness must be assessed while
initiating the disciplinary action. Assessing the effectiveness, it must be changed and improved.
Employees must be pre-informed about the disciplinary action. Similarly, if action is taken
against any problem to any person, it must be informed to all the employees within the
organization.
Conclusion
The word organization means to keep in order to manage or to organize something so from the
definition of organization, it link with discipline and grievance policies and planning is quite evident.
Without discipline and grievance and careful planning the organization can’t be effective planning is
actually a policy it is a statement to a directive for the development. The policy plays a pivotal role in
influencing any type of organization .it is the result of a long strenuous deliberation made on various
forums it provides a conceptual frame work and also a plan of action for any organization so the success
and the climax of organization depends greatly upon the discipline and grievance policy procedure
policy procedure also aims at achieving specific development goals of any organization is a continuous
systematic process and the initial step in plan formulation of any organization without the policy
procedure the aims and objects of organization can’t be identified or achieved in a true sense of words.
Thus discipline and grievance policy procedure go hand in hand in the way of progress of any
organization. They enable the members of organization to create conductive and comfortable
environment because disruption can create multifarious problems and they are hurdles in the way of
progress.
The survival of an undisciplined and unplanned organization is not at all possible. The effectiveness of
policy procedure depends upon the careful planning and thinking of policy makers. It is necessary for
every organization to plan the policies and to implement these policies in the best possible way.
Without policy procedure there would be chaos and there would not be defined objectives to achieve. It
is very well said that “failing to plan actually means planning to fail” so the strength and progress of the
organization totally depends upon pure planning policy procedure and civilization. It is the collective
effort of the planner’s policy makers and administration to do efforts for the development of
organization. Single individual can’t make it strong or power full.