MIR Handout # 3.1

Discipline at the workplace

Meaning and Concept
The word discipline is derived from the Latin word ‘Disciple’ which means ‘to teach’.

In the context of industries, discipline means:
v Willingness to carry out instructions and orders of the superior;
v Compliance with accepted orders;
v Proper appreciation of the hierarchical –Superior-subordinate relations;
v Adherence to established norms and regulations;
v Observance of rules and regulations consistently;
v Decent behaviour at the workplace.

Some definitions of Discipline
Discipline is the orderly conduct of affairs by the members of an organization, who adhere harmoniously in forwarding the end, which the group has in mind, and willingly recognize that –Ordway Tead

Discipline does not mean a strict and technical observance or rigid rules and regulations, it means working, cooperating and behaving in a normal and orderly way -Bremblet

Discipline is a training that corrects, moulds, strengthens or perfects individual behaviour –Websters’ Dictionary

Importance of Discipline
Industrial discipline helps in the following :
v Observance of rules and regulations of the workplace
v Attainment of organizational goals
v Attainment of higher productivity
v Effective use of manpower
v Promotion of mutual trust between employees and employers
v Promotion of fellow-feeling among the workers



Approaches to Indiscipline
Indiscipline is a transgression of some established and definite rules where no discretion is left to the employees. In simple terms, it is violation of rules.
Indiscipline is an act or conduct, which is prejudicial to the interests of the employers or is likely to impair the reputation of the employer or create unrest and can be performed even outside the premises of the establishment and beyond duty hours.

Negative approach to Indiscipline
It ensures that the subordinates adhere strictly to rules and punishment is awarded in the vent of indiscipline.
Here employees adhere to rules out of fear of punishment

Judicial Approach to Indiscipline
Various kinds of misconducts and commensurate punishments are listed in the Standing Orders.
Management simply checks what is the prescribed punishment for a particular misconduct and administers the same

Positive approach to Indiscipline
It ensures self-discipline among the employees.
Employees are expected to comply with rules not out of fear of punishment but because they desire to cooperate in achieving the organizational goals.
Here willingness to comply is important.
This is possible when the employees are enabled to internalize socio-ethical milieu of the company.
Before punishing the employee, the cause of indiscipline is ascertained.
An analysis is made to find out whether the act of indiscipline is due to failure of his training or motivation system individual’s own failure to meet the requirements and accordingly corrective measures are taken.

Mc Gregor’s Hot Stove Approach
Mc Gregor believes that the best form of discipline is similar to a burn from a hot stove.
Manager should behave like a Hot Stove while enforcing discipline at the shop floor.
Characteristics of a Hot Stove
It is foreseeable:
Just as the flames or red coils provide warning that you will be burnt by touching the hot stove, your employees should know in advance that poor conduct or performance will result in specific, pre-determined consequences.
It is swift:
When you touch a Hot Stove, you feel the burning sensation immediately.
Similarly, the manager should punish the employee immediately for his misconduct.
It is relatively intense with the first offence:
While the severity of the infraction should certainly be taken into account, the incident should never be overlooked as a freak occurrence that probably will not happen again.
The Hot Stove does not have any sympathy for the first time offenders and neither should the manager have.
By letting it go, you are giving your approval for it to happen again and loosing your moral authority to punish anyone for the same offence in future.
It is impersonal:
A Hot Stove does not punish out of anger.
It does not hold grievance and strike harder at those who have touched it before.
The manager should avoid personal grudges against the employees while administering punishments.
It is objective:
It emphasizes behaviour, not the persons.
People who touch Hot Stove are burnt because of their action and not because of who they are.
Hence the manager should also be objective in administering punishment and should not spare his favourites or any other influential worker.
It is consistent:
A Hot Stove burns each and every person who touches it every time.
It does not spare anyone:
Each person under your command should be treated equally. If an incident occurs, others who view the situation should be able to expect a similar punishment for the same infraction.
It provides alternatives:
Do not touch the Hot Stove and you will not be burnt.
The manager should reward the compliant behaviour and punish the employees for any infraction.

Disciplinary Procedures/Domestic Enquiry
The first step is Preliminary Enquiry before the employer holds a domestic enquiry. It is conducted before the domestic enquiry in order to find out whether a prima facie case of misconduct is evident.
After the Preliminary investigation is conducted and a prima facie case of misconduct is established, the following steps of domestic enquiry should be followed:

Issuance of Charge Sheet
Consideration of explanation
Giving notice of enquiry into the charges in case the explanation is unsatisfactory
Suspension with or without pay, pending enquiry, if needed
Enquiry into charges
Award of punishment
Communication of Punishment

Issuance of Charge Sheet:
As soon as misconduct is observed and confirmed through preliminary enquiry, the manager should frame a Charge Sheet, which contains charges or a description of misconduct.

Thereafter, an explanation is asked for from the concerned employee.

The manager has to be careful in framing the Charge Sheet because if the punishment were not in consonance with the charges, it would be invalidated.

Following points should be considered while framing the Charge Sheet:
The Charge Sheet should be properly worded and loose language should not be used.
While stating the offence, the date, time, and place of its commission and all other relevant details should be given.
The wordings of the Charge Sheet should be in consonance with the Standing Orders wherever they are in force.
The proposed punishment may be mentioned.
It should call upon the worker to submit an explanation in writing within a specified time or date.
The Charge Sheet should be issued under the signature of the Disciplinary Authority and not of the Enquiry Authority.
The Charge Sheet should be properly served and there should be strict proof of issue and delivery so that later the worker may not deny it.

Consideration of Explanation:
The workman may admit guilt and ask for clemency. In such a case, the enquiry officer need not record evidence but should record findings on the basis of admission of charges in the worker’s presence and his signature may be obtained.
The workman may refute the charges. In this case, his explanation is carefully examined to ascertain whether his explanation is satisfactory. A further decision about proceeding in the mater and a detailed enquiry is taken on the basis of this examination.
Workman may apply for extension of time for submitting explanation. In this case, reasonable extension is given.
If the workman fails to submit his explanation within the stipulated time, the employer may follow further proceedings of enquiry.

Giving notice of enquiry:
The enquiry should be normally held within a reasonable time after receiving the explanation. Proper and sufficient advance notice should be given indicating the date, time, venue, and name of the enquiry officer so that the workman may prepare his case. It should also be notified that he should be ready with oral and documentary evidence on the date of enquiry and bring witnesses in case required.
If the nature of misconduct is grave and serious, and if it is in the interest of the security of enquiry officer and maintenance of good order and discipline in the enterprise, the worker may be suspended with or without pay till the disciplinary proceedings are complete. In case the modal Satanding Orders (as per the Industrial Employment (Standing Orders) Act 1946) stipulates a limit on period of suspension, the enquiry must either be completed within the period or wages should be paid for the extended period.



Conduct of Enquiry:
Enquiry Officer: Standing Orders may provide as to who should be the enquiry officer. Otherwise, an Assistant Manager or Administrative Officer or Labour Welfare Officer may be appointed as the enquiry Officer. Besides an outsider as lawyer or manager form other company may also be appointed as Enquiry Officer. However, the enquiry Officer should be a person who is a witness or himself involved in the case.
The Enquiry Officer has to collect information and arrive at conclusion. He should not act as a prosecutor. There should be no personal bias otherwise the principle of natural justice would be violated.
The Charge-sheeted employee may nominate some other employee to represent his case or assist him in defense. However, it is discretion of the management to allow a non-employee union official to represent the case of the charge-sheeted employee.
The Charge-sheeted employee may ask for an interpreter in case he does not understand the language of the Enquiry Officer.
The Enquiry Officer should record preliminary statements pertaining to date of holding enquiry, persons present, and statement of charge-sheeted employee and statement that the enquiry procedure was explained to the concerned workman.
Witnesses should be examined one by one in the presence of the accused workman so that prospective witness does not know what the previous one had said. Each witness should be first examined by the party, which has called him and then by the opposite party. Moreover, the management witness should be examined first. Documentary evidences should also be produced through witnesses and be made part of the enquiry proceedings.
The evidence may preferably be recorded by the Enquiry Officer in narrative form.
At the end of the recording of evidence given by the witnesses, they should be asked by the Enquiry Officer to sign and then the Enquiry Officer should countersign the evidence.
After that the worker’s witness including the worker should be examined. They can be cross-examined and then records should be signed.
Ex-partite Enquiry –When the charge-sheeted worker does not turn up for the enquiry without notice or reasonable cause or refuse to participate in the enquiry then the Enquiry Officer may proceed to hold the enquiry ex-parte.
At the conclusion of the enquiry proceedings, the enquiry officer should decide as to whether the charges made are valid or not along with the reasons for his findings. He may or may not recommend punishment. As far as possible, he should refrain from awarding punishment and leave it to the decision of the appropriate authority.

Award of Punishment: This is a management task and punishment awarded should be based on the findings of the enquiry and past record of the employee. The gravity of misconduct should be taken into account while determining the punishment. Moreover, punishment should be commensurate with the misconduct.

Communication of Punishment: After a decision is taken regarding punishment, it should be communicated as expeditiously as possible. The letter communicating the punishment should contain:
v Reference to the letter of charge issued to the employee
v Reference to the enquiry
v Reference to the findings of the enquiry
v Decision whether to punish or not
v Date from which the punishment is to be effective

Code of Discipline
v The Code of Discipline is based on the Report of the National Commission of Labour, 1969
v To maintain discipline in industry (both in public and private sector) there has to be : (i) a just recognition by employers and workers of the rights and responsibilities of either party, as defined by the laws and agreements including bipartite and tripartite agreements arrived at all levels from time to time; and (ii) a proper and willing discharge by either party of its obligatiuons consequent on such recognition. The central and state governments on their part will arrange to examine and set right any shortcomings in the machinery they constitute for the administration of labour laws.

v To ensure better discipline in the industries:
Management and Union agree –
1. That no unilateral action should be taken in connection with any industrial matter and that disputes should be settled at appropriate levels;
2. That the existing machinery for settlement of disputes should be utilized with utmost expedition;
3. That there should be no strike or lockout without notice;
4. That affirming their faith in democratic principles, they bind themselves to settle all future differences, disputes and grievances, by mutual negotiation, conciliation and voluntary arbitration;
5. That neither party will have recourse to: (a) coercion, (b) intimidation, (c) victimization, and (d) go-slow
6. That they will avoid: (a) litigation, (b) sit-down and stay-in strikes, and (c) lockouts;
7. They will promote constructive cooperation between their representatives at all levels and abide by the spirit agreements mutually entered into;
8. That they will establish upon a mutually agreed basis, a grievance procedure which will ensure a speedy and full investigation leading to settlement;
9. That they will abide by various stages in the grievance procedure and take no arbitrary action which would bypass this procedure; and
10. That they will educate the management personnel and workers regarding their obligations to each other.

Management agree –
1. Not to increase workloads unless agreed upon or settled otherwise;
2. Not to support or to encourage any unfair labour practices such as
(a) Interference with the right of employees to enroll or continue as union members,
(b) Discrimination, restraint or coercion against any employee because of recognized activity of trade unions, and
(c) Victimization of any employee and abuse of authority in any form.
3. To take prompt action for:
(a) Settlement of grievances,
(b) Implementation of settlements, awards, decisions.
4. To display in conspicuous places in the undertaking the provisions of this Code in local languages;
5. To distinguish between actions justifying immediate discharge and those where discharges must be preceded by a warning, reprimand, suspension, or some other form of disciplinary action and to arrange that all such disciplinary actions should be subject to an appeal through normal grievance procedure;
6. To take appropriate disciplinary against its officers and members in cases whose enquiries reveal that they were responsible for precipitate action by workers leading to indiscipline; and
7. To recognize the union in accordance the criteria (evolved at the 16th session of the Indian Labour Conference, 1958.

Unions agree –
1. Not to engage in any form of physical duress;
2. Not to permit demonstrations which are not peaceful and not to permit rowyism in demonstration;
3. That their members will not engage or cause other employees to engage in any union activity during working hours, unless as provided for by law, agreement or practice;
4. To avoid unfair labour practices such as negligence of duty, careless operation, damage to property, interference with or disturbance to normal work, insubordination.
5. To take prompt action to implement awards, agreements, settlements, and decisions.
6. To display in conspicuous places in the union offices, the provisions of the Code of Discipline in the local languages; and
7. To express disapproval and to take appropriate action against the spirit of this code.

Annexure A
Criteria for Recognition of Unions
1. Where there is more than one union, a union claiming recognition should have been functioning for at least one year after the registration;
2. The membership of the union should cover at least 15% of the workers in the concerned establishment and membership would be counted only of those workers who had paid their union dues for at least three months during the period of six months immediately preceding the reckoning;
3. A union may claim to be recognized as a representative union for an industry in a local area if it has a membership of at least of 25% of the workers of that industry in that area;
4. When a union has been recognized, there should be no change in its position for a period of two years;
5. Where there are several unions in an establishment or industry, the one with the largest membership should be recognized;
6. A representative union for an industry in an area should have the right to represent the workers in all the establishments in the industry, but if a union of workers in a particular establishment has a membership of 50% or more of the workers of that establishment it should have the right to deal with matters of purely local interest, such as grievances pertaining to its own members. All other workers who are not members of that union might either operate through the representative union for the industry or seek redress directly.
7. In the case of Trade Union Federations, which are not affiliated to any of the four central organizations of labour, the question of the recognition would be dealt with separately.
8. Only unions that observe the Code of Discipline would be entitled to recognition.