This document discusses employee discipline and grievance procedures. It defines discipline as management addressing complaints against employees through enforcing rules and regulations to ensure smooth operations. The document outlines different types of discipline including positive, negative, preventive and punitive approaches. It also discusses the objectives, characteristics, significance and best practices for disciplinary procedures and actions. The goal of discipline is to develop compliance with rules and improve employee behavior, morale and productivity. Disciplinary actions should always follow a fair procedure and consider the individual circumstances of each case.

1. Discipline
and
Grievance
BY: Himani Soni

2. Discipline
Meaning and Definition of Discipline:
► Discipline is a Management complaints against an employees.
► It is orderly behavior, obserervace of rules and regulations.
► Industrial Discipline is essential for smooth running of organization for
increasing production and productivity.
► Discipline regulates the human behavior. (By reward or penalty)
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3. Characteristics of Discipline
► Discipline cannot a state of order in an organization.
► Discipline is a training which rectifies, modifies, strengthens or improves
individual behavior.
► It is adherence/ agreement to established norms and regulations.
► It corrects improper conduct and thus acts as a force leading to the observance
of rules and regulations.
► Discipline is a product of culture, value system, environment and a basic part
of the management of employee attitudes and behavior.
► It is a determinative and positive willingness.
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4. Objective of Discipline
– To obtain a willing acceptance of the rules, regulations and procedures of an
organization so that organizational objectives can be attained.
– To develop among the employees a spirit of tolerance and a desire to make
adjustments.
– To give and seek direction and responsibility.
– To create an atmosphere of respect for human personality and human relations.
– To increase the working efficiency and morale of the employees.
– To impact an element of certainty despite several differences in informal
behavior patterns and other related changes in an organization.
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5. Types of Discipline
– Positive Discipline
– Negative Discipline
– Preventive Discipline
– Punitive Discipline
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6. Positive Discipline
– Positive or self-imposed discipline connotes a state of order in an organization.
– It is immeasurably more effective and plays a greater role in business management.
– Employees believe in and support Discipline and adhere to the rules, regulations
and desired standards of behavior.
– To have a greater freedom in that he enjoys a greater degree of self-expression in
striving to achieve the group objective, which he identifies as his own.
– It can be said that Positive Discipline prevails only where the employees have a high
morale.
– People comply with discipline as an inherent desire to co-operate and achieve goal.
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7. Negative Discipline
– People remain in discipline out of fear of penalties.
– Employees sometimes do not believe in and support discipline.
– Disciplinary program forces and constraints the employees to obey orders and
functions in accordance with set rules and regulations through warnings,
penalties and other forms of punishment.
– Negative Discipline is the force that prompts an individual or a group to observe
the rules, regulations and procedures which are deemed to be necessary to the
attainment of an objective.
– There is conflict between individual and organizational goals.
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8. Preventive Discipline
– Preventive Disciplinary action is a form of human resource training and based
on criticism and reminder gentle, freely given and constructive.
– Employees know there is stigma attached to any violation.
– Management through is supervisors, explains what went wrong or might be
going wrong by using an informal, helpful approach, and lets the subordinate
follow through by himself.
– Positive procedure that emphasizes and rewards good behavior, instead of
looking for and punishing bad behavior.
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9. Punitive Discipline
– Punitive Discipline is a last resort, which is sometimes called ꞌꞌCorrectiveꞌꞌ or
ꞌꞌProgressiveꞌꞌdiscipline, because it calls for increasingly severe penalties each
time an employee is disciplined.
– Punitive Discipline are as follows:
1. verbal Warning
2. Written Warning
3. Disciplinary Suspension
4. Dismissal
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10. Principle of Discipline
– Over several decades of labor-management relationships, several principles on discipline have
emerged. Some of them are as follows:
1. Disciplinary action should not be taken unless there is an obvious necessity for it. Have all the
facts; know just what you want to do, and where necessary, secure approval in advance on
any proposed action.
2. The reasons for disciplinary action should be made clear. In the case of negative action, the
statement of the reasons should be accompanied by an explanation of the manner in which
the disciplinary action may be avoided in the future.
3. Give the man a chance to present his side of the story, and do not argue. Know what’s in the
employee’s mind, it helps in discovering the “why” of his actions.
4. There should be no favoritism or discrimination in any disciplinary action. Consistency in
disciplinary action is extremely important. In general, it is more important than the degree of
severity.
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11. Continue…
5.Reproof or reprimand should be given as soon as possible after the occurrence of
the act. Right timing is important, but first have all the facts.
6.Never discipline anyone in the presence of others.
7.Forgive and forget. When disciplinary action has been given, the
supervisor should resume a normal attitude toward the offending employee.
8.The discipline that is inflicted must be just, but sufficiently severe to meet the
requirements of the situation.
9. Disciplinary measure should be applied by the immediate supervisor of the
employee affected, rather than by some other higher executive.
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12. Continue…
10.In general, negative disciplinary action cannot be successfully applied to large groups of
employees representing a substantial portion of one’s organization. If there is poor
discipline among a large group, it is possible that there is something vitally wrong in the
situation. The remedy is correction of the situation, not a disciplinary action.
11.In determining the nature and degree of disciplinary action that is made
necessary by some improper act of an employee, the intent should be considered.
12.Discipline should be constructive – it should show the offender how to correct his errors
and leave him willing and anxious to improve rather than feel bitten and resentful.
13.Except in cases of extremely serious offenses, no disciplinary action should be permitted
to take place until the supervisor has actually talked the situation over with the
employee.
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13. Continue…
14.Discipline should not be administered on an entirely routine basis – each case
should be treated individually. You cannot discipline a group to teach a few
offenders.
15.Maintain a constant and sincere interest in your peoples’ welfare on and off the
job – this reduces the need for disciplining to a minimum.
16.Motivation is the secret of good discipline. When a man is sufficiently
motivated, discipline will take care of itself.
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14. Significance of Discipline
Discipline has its significance for:
1. An Individual:
For its own safety.
For its own progress.
For its own satisfaction
2. A workgroup:
For better team work and cohesive.
For the progress of the group.
For higher productivity
For better morale and motivation
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15. Continue…
3. An organization:
For higher productivity and quality.
For more profits.
For Better all-round benefits.
For less wastage and lower cost.
For developing a sense of belonging.
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16. Procedure for Disciplinary
Action
– Meaning and Definition of Disciplinary Procedure:
‘ A Disciplinary procedure outlines the formal process adopted whenever an
employee breaks the rules of the undertaking or commits any other act which
might be in breach of the contract of employment.’
‘Disciplinary action is taken by management against an individual or group who
have failed to conform to the rules established by management within the
organization.’
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17. Need for Disciplinary
Procedure
1. Encourage employees to achieve and maintain standards of behavior and
performance.
2. Provide a fair and consistent method of dealing with alleged low standards.
3. Remind managers and supervisors how disciplinary matters should be
handled.
4. Minimize disagreement about disciplinary matters.
5. Reduce the need for dismissal.
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18. Procedure for taking Disciplinary Action
Procedure for Punishment/ Disciplinary
Procedure
1. Preliminary Investigation.
2. Issues of a charge sheet.
3. Consideration of the explanation.
4. Notice of equity.
5. Suspension with or without pay pending enquiry if needed.
6. Conduct of domestic enquiry.
7. Recording of findings by the enquiry officer.
8. Awarding of punishment.
9. Communication of punishment.
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19. 1. Preliminary Investigation.
–There are no accused at this stage but
there may be suspects.
–Management appoints an impartial
officer to carry out the investigation.
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20. 2. Issues of a charge sheet.
– A letter or noticed issued by the management to the employee based on the
preliminary investigation.
– Charges against the employee.
– Brief description of the charge, date, time, place, incident…. Etc.
– Specify the time limit to reply.
– The charges to which the employee should provide written explanations.
– Opportunity for the employee to examine any documents.
– Actions to be taken, if no reply is received within the specific time period.
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21. 3. Consideration of the explanation.
– Employee reply to show cause notice.
– Management can either accept or reject it.
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22. 4. Notice of equity
– The enquiry should be normally held within a reasonable time of receiving the
explanation.
– Proper and sufficient advance notice should be given indicating the date, time,
and venue of the enquiry and name of the enquiry officer, so that the workman
can prepare his case.
– It should be notified that he should be ready with oral and documentary
evidence on that date of enquiry and bring witness
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23. 5. Suspension with or without pay
pending enquiry if needed.
– Where the nature of misconduct is grave and serious, and if it is in the interest
of security and safety and maintenance of good order and discipline in the
establishment, the worker may be suspended with or without pay till
disciplinary proceedings are completed.
– A manager may suspended a worker even before the charge sheet is issued.
– An order of suspension may be given along with the charge-sheet.
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24. 6. Conduct of domestic enquiry
– A domestic inquiry is an internal hearing held by employer to ascertain whether
an employee is guilty of misconduct.
– PURPOSE: To find out the truth of the allegations made against the workman.
– The rules of natural justice must be adhered to.
– Justice must not only be done but must e seen to be done, the ‘twin pillar’ of
natural justice being ‘No person shall be condemned unheard’ and ‘No person
shall sit in judgment in his own cause or in any in which he is interested’
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25. 7. Recording of findings by the
enquiry officer.
– The final report submitted to the management by the inquiring officer
mentioning conclusions against each charge.
– Findings must be based on evidence led at the inquiry.
– The findings should specifically state whether the employee is guilty or not
guilty.
– Recommending punishment is not the role of the inquiry officer.
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26. 8. Awarding of punishment
– This Is a management task and punishment awarded should be based on the
findings of the enquiry and past records of the employee.
– The gravity of misconduct should be taken into account.
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27. 9. Communication of punishment
– After a decision is taken regarding punishment it should be communicated to
the concerned workman as the expeditiously as possible.
– Letter of punishment contain as:
 Reference to the letter of charge issued to the employee
 Reference to the enquiry.
 Reference to the findings of the enquiry.
 Decisions whether to punish or not
 Date from which the punishment is to be effective.
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28. Intervention by Tribunal
– Following circumstances can the tribunal exercise the right to consider the case:
1. When there is a want to good faith.
2. When there is victimization or unfair labor practices are used.
3. When management has been guilty of a basic error or violation of a principle
of natural justice.
4. When the findings are baseless and perverse.19-Sep-18
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29. Punishment
– Punishment is the authoritative imposition of something negative or unpleasant
on a person or animal in response to behavior deemed wrong by an individual
or group.
– Punishment may be inflicted as a result of a formal process, or informally within
any organized group, for example, a family.
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30. Types of punishment
Types of
punishment
Minor
Punishment
Oral
Warnings
Written
Warnings
Loss of
privileges
and fines
Punitive
Suspension
Major
Punishment
Withholding
of
increments
Demotion Termination
Discharge
Simpliciter
Discharge Dismissal
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31. Minor Punishment
1. Oral Warning:
Whenever an employee commits minor omissions he may be given an oral
reprimand by the superior.
2. Written warning:
This warning is known as ‘PINK SLIPS’ which indicates that certain rights would
be with drawn in the case employee continue his omission/mistake or
misconduct.
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32. Minor Punishment
3. Loss of privileges and fines:
If an employee leaves the work, without taking the permission of the superior,
he may not be allowed to select good tools and machine for himself and to
move freely in the company
4. Punitive Suspension:
The employer prohibits the employee from performing the tasks assigned to
him the wages are with-held or with drawn during the period of such
prohibition.
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33. Major Punishment
1. Withholding of increments:
The Employer with-holds the annual increments of the delinquent employee in
a graded scale
2. Demotion.
3. Termination:
1. Discharge simpliciter: Not be on account of his misconduct but may be for
loss of confidence or for certain other reasons which do not cast a slur on him.
2. Discharge.
3. Dismissal.
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34. Code of discipline.
– To maintain harmonious relations and promote industrial peace, a code of
Discipline has been laid down which applies to both public and private sector
enterprises.
– It specifies various obligations for the management and the workers with the
objective of promoting co-operation between their representatives.
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35. Features of code
1. It prohibits strikes and lock-outs without prior notice and also intimidation,
victimization and the adoption of ‘go slow’ tactics by workers.
2. No one-sided (unilateral) action can be taken by either party in any industrial
relation matter.
3. All disputes are to be settled through the existing machinery provided for this
purpose by the government.
4. The employers will not increase work load without prior agreement with the
workers.
5. A common grievance procedure for the settlement of grievances of the
workers after full investigation has been provided for.
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36. Features of code
6. The employers will provide all facilities for the growth of trade unions.
7. Prompt action will be taken against those officers whose conduct provokes
indiscipline among the workers.
8. The workers will not indulge in any trade union activity during the working hours.
They will not engage in any demonstration or activity which is not peaceful.
9. The workers will implement their part of the awards and settlements promptly and
will take action against those office-bearers of the union who have violated the
Code.
10. The unions will discourage negligence of duty, careless operation, damage to
property, insubordination and disturbance in normal productive activities.
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37. Objectives of code
discipline
1. To ensure that employers and employees recognize each other’s rights and
obligations.
2. To promote constructive co-operation between the parties considered at all levels.
3. To secure settlement of disputes and grievances by negotiation, conciliation and
voluntary arbitration.
4. To eliminate all forms of coercion, intimidation and violence in industrial relations.
5. To avoid work stoppages.
6. To facilitate the free growth of the trade unions
7. To maintain discipline in industry.
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38. Principles of the Code
1. There should be no strike or lockout without proper notice.
2. No unilateral action should be taken in connection with any industrial matter.
3. There should be no resource to go slow tactics.
4. No deliberate damage should be caused to a plant or property.
5. Acts of violence, intimidation, coercion or instigation should not be resorted to.
6. The existing machinery for settlement of disputes should be utilized.
7. Awards and agreements should be speedily implemented.
8. Any action/agreement which disturbs cordial industrial relation should be avoided.
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39. Grievances
–Meaning:
– A grievance is any dissatisfaction or feeling of injustice having
connection with one`s employment situation which is
brought to the attention of management.
– Grievance is any dissatisfaction that adversely affects
organizational relations and productivity.
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40. Characteristics of employee
grievances
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. A grievance may be written or verbal.
4. It may be unvoiced or expressly stated by an employee.
5. Employee grievance is reflected in terms of dissatisfaction and dishonest
behavior.
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41. Characteristics of employee
grievances
6. Employee grievance is a feeling of unfair treatment by an individual/group on
the work floor.
7. It may be valid and legitimate, untrue or completely false, or ridiculous.
8. A grievance may be expressed or implied.
9. It may arise out of something connected with the organization or work.
10. A grievance will arise from the differences between employees expectation and
managerial practices.
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42. Forms of employee grievances
• A factual Grievances arise when legitimate
needs of employees remain unfulfilledFactual
• When an employee`s dissatisfaction is not
because of any valid reason but because of a
wrong perception, wrong attitude, or wrong
information he has.
Imaginary
• An employee may have dissatisfaction for the
reasons that are unknown for himself.Disguised
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43. Sources or causes of employee
grievances
a. Working Conditions:
– Unrealistic environment
– Non-availability of proper tools, machines, and equipment for doing the jobs
– Tight production standards
– Bad physical conditions of workplace
– Poor relationship with the supervisor
– Negative approach to discipline
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44. Sources or causes of employee
grievances
b. Personal Factors:
– Over ambition
– Narrow attitudes
– Excessive self-esteem
– Gambling and fault finding attitude
– Mental tension
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45. Sources or causes of employee
grievances
c. Management Policies:
– Wages rates or scale of pay
– Overtime
– Leave
– Transfer improper matching of the worker with the job
– Seniority, promotion, and discharge
– Lack of career planning and employee development
– Lack of regard for collective agreement
– Hostility towards a labor union
– The autocratic leadership style of supervisors.
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46. Effects of employee grievances
1. On the production:
– Low quality of production
– Low productivity
– Increase in the wastage of material, spoilage/leakage of machinery
– Increase in the cost of production per unit
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47. Effects of employee grievances
2. On the employees:
– Increase in the rate of absenteeism and turnover
– Reduction in the level of commitment, sincerity and punctuality
– Increase in the incidence of accidents
– Reduction in the level of employee morale.
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48. Effects of employee grievances
3. On the managers:
– Strained superior-subordinate relations.
– Increase in the degree of supervision and control.
– Increase in indiscipline cases
– Increase in unrest and thereby machinery to maintain industrial peace
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49. Grievance handling
– It is that which help in solving the problem of the person who is in trouble and
wants some kind of help.
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50. Formal Grievance handling
mechanism
– The formal mechanism for dealing with worker`s dissatisfaction is called
Grievance Procedure.
– It is generally a formal system of several steps through which an affected
employee can take his Grievance to successively higher levels of management.
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51. Need for a Grievance Procedure
A well-designed and a proper grievance procedure provide:
(I) A channel or avenue by which any aggrieved employee may present his
grievance;
(ii) A procedure which ensures that there will be a systematic handling of every
grievance;
(iii) A method by which an aggrieved employee can relieve his feelings of
dissatisfaction with his job, working conditions, or with the management; and
(iv) A means of ensuring that there is some measure of promptness in the handling
of the grievance.
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52. Pre-requisites of a Grievance
Procedure
• The procedure should be in conformity with the existing
law. It should be designed to supplement the statutory
provisions.
Conformity with
Prevailing Legislation
• The grievance procedure must be acceptable to all and
should, therefore, be developed with mutual consultation
among management, workers and the union.
Acceptability
• There should be clarity regarding each and every aspect of
the grievance procedure.Clarity
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53. Pre-requisites of a Grievance
Procedure
• (i) As far as possible the grievance should be settled at the lowest level.
• (ii) There should be only one appeal.
• (iii) Time limit should be prescribed and rigidly enforced at each level.
• (iv) Different types of grievances may be referred to appropriate
authorities.
Promptness
• The procedure should consist of as few
steps as possible.Simplicity
• The success of the procedure also depends
upon imparting training to the supervisors and
union representative in handling grievances.
Training
• The working of the grievance procedure
should be reviewed at periodical intervals by
the HR department.
Follow up
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54. Steps in the Grievance Procedure
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Step 1 • Identify Grievance
Step 2 • Define Correctly
Step 3 • Collect data
Step 4 • Analyze and solve
Step 5 • Prompt redressal
Step 6 • Implement and Follow up

55. Model of Grievance
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56. Importance of Grievance Handling
Procedure
1. It is a tool of employee control and helps in maintaining discipline in the
workplace.
2. It increases motivation and morale of employees as their problem and
difficulties are being heard, attend and settled.
3. It helps in fostering and maintaining cordial relationship between capital and
labor.
4. It improves job satisfaction, job performance and organizational loyalty among
the employees
5. It increases productivity, quality and commitment of employees.
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