DISCIPLINE

BY PROF. SUJIT SEN

DISCIPLINE - THE PRACTICE OF TRAINING PEOPLE TO

OBEY RULES OR A CODE OF BEHAVIOUR, USING
PUNISHMENT TO CORRECT DISOBEDIENCE.

TYPES :

1. POSITIVE DISCIPLINE

2. NEGATIVE DISCIPLINE

3. PROGRESSIVE DISCIPLINE

THESE ARE DISCUSSED ONE BY ONE:

1. POSITIVE DISCIPLINE:

THIS IS ALSO CALLED SELF-IMPOSED DISCIPLINE. IT

INVOLVES CREATION OF AN ATMOSPHERE IN THE
ORGANISATION THROUGH REWARDS, APPRECIATION,
INCENTIVE PAYMENT, PROMOTION, CONSTRUCTIVE
SUPPORT ETC. TO MOTIVATE EMPLOYEES TO WORK
WILLINGLY TO ACCOMPLISH THE SET GOALS.

IN ESSENCE, POSITIVE DISCIPLINE EMPHASISES THE

CONCEPT OF SELF-DISCIPLINE OR SELF-CONTROL.
THUS, IT REDUCES THE NEED FOR PERSONAL
SUPERVISION TO MAKE EMPLOYEES CONFORM TO
ORGANISATIONAL RULES, REGULATIONS, PROCEDURES
AND STANDARDS.

2.NEGATIVE DISCIPLINE:

IT IS ALSO CALLED ENFORCED DISCIPLINE. IN CASE OF

NEGATIVE DISCIPLINE, EMPLOYEES ARE FORCED TO
OBEY ORDERS AND ABIDE BY RULES AND

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REGULATIONS THAT HAVE BEEN LAID DOWN, FAILING
WHICH PENALTIES AND PUNISHMENT WOULD BE
IMPOSED ON THEM. THUS, THE OBJECTIVE OF USING
PUNITIVE OR COERCIVE DISCIPLINE IS TO ENSURE THAT
EMPLOYEES DO NOT VIOLATE RULES AND
REGULATIONS FORMED BY THE ORGANISATION.

IT IS ALSO KNOWN AS PUNITIVE OR CORRECTIVE

DISCIPLINE INVOLVES IMPOSITION OF PENALTIES OR
PUNISHMENT TO FORCE WORKERS TO OBEY RULES
AND REGULATIONS OBJECTIVE IS TO ENSURE THAT
EMPLOYEES DO NOT VIOLATE THE RULES AND
REGULATIONS. NEGATIVE DISCIPLINARY ACTION
INVOLVES SUCH TECHNIQUES AS FINES REPRIMAND,
DEMOTION, LAYOFF, TRANSFER ETC.

NEGATIVE DISCIPLINE DOES NOT ELIMINATE

UNDESIRABLE BEHAVIOUR, IT MERELY OPPRESSES IT.
IT REQUIRES REGULAR MONITORING CAUSING
WASTAGE OF TIME. PUNISHMENT ALSO CAUSES
RESENTMENT AND HOSTILITY. WHILE EXERCISING
NEGATIVE DISCIPLINE, MANAGEMENT SHOULD
PROCEED IN A SEQUENTIAL MANNER VIZ. AN ORAL
REPRIMAND, A WRITTEN REPRIMAND ,A WARNING,
TEMPORARY SUSPENSION AND DISMISSAL OR
DISCHARGE.

3. PROGRESSIVE DISCIPLINE : BECAUSE PUNITIVE

DISCIPLINE LEADS TO RESENTMENT, IT NEEDS TO BE
EXERCISED IN A PROGRESSIVE, SEQUENTIAL AND
CHRONOLOGICAL MANNER. A PROGRESSIVE SYSTEM
OF DISCIPLINE GENERALLY CONTAINS FIVE STEPS, VIZ.,
AN ORAL REPRIMAND, A WRITTEN REPRIMAND, A
SECOND WRITTEN WARNING, TEMPORARY SUSPENSION
AND DISMISSAL OR DISCHARGE.

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THE HOT STOVE RULE :
THE "HOT-STOVE RULE" OF DOUGLAS MCGREGOR
GIVES A GOOD ILLUSTRATION OF HOW TO IMPOSE
DISCIPLINARY ACTION WITHOUT GENERATING
RESENTMENT. THIS RULE DRAWS AN ANALOGY
BETWEEN TOUCHING A HOT STOVE, AND UNDERGOING
DISCIPLINE. WHEN YOU TOUCH A HOT STOVE, YOUR
DISCIPLINE IS IMMEDIATE, WITH WARNING,
CONSISTENT, AND IMPERSONAL.
THESE FOUR CHARACTERISTICS, ACCORDING TO
MCGREGOR, AS APPLIED TO DISCIPLINE ARE AS
FOLLOWS:
1. WHEN YOU TOUCH THE HOT STOVE, YOU BURN YOUR
HAND. THE BURN WAS IMMEDIATE. WILL YOU BLAME
THE HOT STOVE FOR BURNING YOUR HAND?
IMMEDIATELY, YOU UNDERSTAND THE CAUSE AND
EFFECT OF THE OFFENSE. THE DISCIPLINE WAS
DIRECTED AGAINST THE ACT NOT AGAINST ANYBODY
ELSE. YOU GET ANGRY WITH YOURSELF, BUT YOU
KNOW IT WAS YOUR FAULT. YOU GET ANGRY WITH
THE HOT STOVE TOO, BUT NOT FOR LONG AS YOU
KNOW IT WAS NOT ITS FAULT. YOU LEARN YOUR
LESSON QUICKLY.

2. YOU HAD WARNING AS YOU KNEW THE STOVE WAS

RED HOT AND YOU KNEW WHAT WOULD HAPPEN TO
YOU IF YOU TOUCHED IT. YOU KNEW THE RULES AND
REGULATIONS PREVIOUSLY ISSUED TO YOU BY THE

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COMPANY PRESCRIBING THE PENALTY FOR VIOLATION
OF ANY PARTICULAR RULE SO YOU CANNOT CLAIM
YOU WERE NOT GIVEN A PREVIOUS WARNING.
3. THE DISCIPLINE WAS CONSISTENT. EVERY TIME YOU
TOUCH THE HOT STOVE YOU GET BURNED.
CONSISTENCY IN THE ADMINISTRATION OF
DISCIPLINARY ACTION IS ESSENTIAL. EXCESSIVE
LENIENCY AS WELL AS TOO MUCH HARSHNESS
CREATES NOT ONLY DISSATISFACTION BUT ALSO
RESENTMENT.
4. THE DISCIPLINE WAS IMPERSONAL. WHOEVER
TOUCHES THE HOT STOVE GETS BURNED, NO MATTER
WHO HE IS. FURTHERMORE, HE GETS BURNED NOT
BECAUSE OF WHO HE IS, BUT BECAUSE HE TOUCHED
THE HOT STOVE. THE DISCIPLINE IS DIRECTED AGAINST
THE ACT, NOT AGAINST THE PERSON. AFTER
DISCIPLINARY ACTION HAS BEEN APPLIED, THE
SUPERVISOR SHOULD TAKE THE NORMAL ATTITUDE
TOWARD THE EMPLOYEE.
IN APPLYING THIS HOT STOVE RULE IN DISCIPLINARY
ACTION, THERE MUST BE ORGANIZATIONAL POLICIES,
RULES AND REGULATIONS REGARDING CERTAIN
BEHAVIOR AND CONDUCT WHICH WERE ISSUED AND
CLEARLY EXPLAINED TO EMPLOYEES AND ACCEPTED
BY THEM FOR COMPLIANCE. DISCIPLINARY ACTION
MUST BE DIRECTED AGAINST THE ACT, NOT AGAINST
THE PERSON. IT MUST BE USED BY SUPERVISORS AS A
TOOL TO DEVELOP THE EMPLOYEE AND THE GROUP.
THE STEPS THAT SHOULD BE FOLLOWED ARE:

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IMMEDIATE INVESTIGATION OF THE OFFENSE MUST BE
DONE TO DETERMINE THE FACTS. PROMPTNESS IS
NECESSARY IN ORDER THAT THE EMPLOYEE WILL
ASSOCIATE THE INVESTIGATION WITH THE OFFENSE
RATHER THAN WITH HIS PERSON.
PREVIOUS WARNING. IT IS IMPORTANT THAT THE
ORGANIZATIONS POLICIES, RULES AND REGULATIONS
ARE ISSUED TO AND EXPLAINED TO ALL EMPLOYEES
UPON INDUCTION AS PART OF THE ORIENTATION
PROGRAM. THIS SHOULD BE DONE BY THE SUPERVISOR
WITH THE HELP OF HUMAN RESOURCES. IN ADDITION,
WHENEVER NEW POLICIES, RULES AND REGULATIONS
ARE DEVELOPED, THE EMPLOYEE MUST BE MADE
AWARE OF THEM.
CONSISTENCY IN THE ADMINISTRATION OF
DISCIPLINARY ACTION IS HIGHLY ESSENTIAL SO THAT
EMPLOYEES WILL KNOW WHAT TO EXPECT AS A
CONSEQUENCE OF AN INFRACTION OR VIOLATION OF
THE RULE OR REGULATION.
DISCIPLINARY ACTION MUST BE IMPERSONAL. IT
SHOULD BE DIRECTED AGAINST THE ACT, NOT THE
PERSON. IT SHOULD BE INSTITUTIONAL, THAT IS, FOR
THE PROTECTION AND INTEREST OF THE ENTIRE
ORGANIZATION AND FOR ALL EMPLOYEES, AND NOT
DONE TO SATISFY THE PERSONAL WHIM OF THE
SUPERVISOR.

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PRINCIPLES OF NATURAL JUSTICE :
TWO CORE POINTS IN THE CONCEPT OF PRINCIPLES OF
NATURAL JUSTICE

1. NO ONE SHOULD BE MADE A JUDGE IN HIS OWN

CASE, OR THE RULE AGAINST BIAS.
2. HEAR THE OTHER PARTY, OR THE RULE OF FAIR
HEARING, OR THE RULE THAT NO ONE SHOULD BE
CONDEMNED UNHEARD.

THESE TWO ARE THE BASIC PILLARS OF THE

PRINCIPLES OF NATURAL JUSTICE. NO SYSTEM OF LAW
CAN SURVIVE WITHOUT THESE TWO BASIC PILLARS.

THE PRINCIPLES OF NATURAL JUSTICE AS FOLLOWS AS

IN ACCORDANCE TO INDUSTRIAL RELATIONS :

NOBODY SHOULD BE A JUDGE IN HIS OWN CAUSE

OR THE ENQUIRY OFFICER SHOULD NOT BE
HAVING ANY INTEREST IN THE CASE. THE
ENQUIRY OFFICER SHOULD NOT BE RELATED TO
THE CASE EITHER AS A COMPLAINANT, GUILTY
PERSON, WITNESS OR INVESTIGATING OFFICER.
THE ENQUIRY OFFICER SHOULD BE DULY
APPOINTED BY THE DISCIPLINARY AUTHORITY IN
ACCORDANCE WITH THE APPLICABLE SERVICE
RULES OR STANDING ORDER.
THE CHARGE SHEETED EMPLOYEE BE INFORMED
SUFFICIENTLY IN ADVANCE SAY AT LEAST A
WEEK; CLEARLY OF ALL THE ALLEGATIONS
REPORTED AGAINST HIM.

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 THE DATE AND PLACE OF ENQUIRY, NAME OF THE
ENQUIRY OFFICER, THE RIGHT OF THE CHARGE
SHEETED EMPLOYEE TO BE DEFENDED IN THE
ENQUIRY BY DEFENCE REPRESENTATIVE
(ANOTHER EMPLOYEE HAVING EXPERTISE IN THE
MATTER) SHOULD BE INFORMED TO THE CHARGE
SHEETED EMPLOYEE SUFFICIENTLY IN ADVANCE.
THE CHARGE SHEETED EMPLOYEE SHOULD BE
INFORMED ABOUT HIS RIGHT, TO HAVE DEFENCE
REPRESENTATIVE, TO BRING EVIDENCE/
WITNESSES IN SUPPORT OF HIS CAUSE, TO CROSS
EXAMINE THE EVIDENCES AND WITNESS OF THE
MANAGEMENT TO DEFEND HIMSELF IN THE
ENQUIRY.
EMPLOYEE SHOULD BE GIVEN AN OPPORTUNITY
OF BEING HEARD IN THE MATTER BY THE
DISCIPLINARY AUTHORITY ON THE QUANTUM OF
PUNISHMENT TO BE IMPOSED.
THE QUANTUM OF PUNISHMENT SHOULD BE
COMMENSURATE WITH NATURE OF MISCONDUCT.

CERTIFIED STANDING ORDERS :

AS PER SECTION 2(G) OF INDUSTRIAL EMPLOYMENT

(STANDING ORDERS) ACT, 1946 STANDING ORDERS
MEANS RULES RELATING TO MATTERS SET OUT IN THE
SCHEDULE. WHEN DRAFT STANDING ORDERS ARE
CERTIFIED BY THE CERTIFYING OFFICER FOLLOWING
THE RULES AS PRESCRIBED UNDER THE ACT, ARE
TERMED AS CERTIFIED STANDING ORDERS OF THE
COMPANY.

CERTIFIED STANDING ORDERS ARE ACTUALLY THE

DOS AND DONTS TO BE FOLLOWED BY THE
EMPLOYEES OF THE ORGANIZATION. IT CONTAINS LIST

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OF MISDEMEANOURS OR MISCONDUCTS ALONGWITH
PROCEDURES TO BE FOLLOWED IN CASE OF
DISCIPLINARY PROCEEDINGS AND ALSO PUNISHMENTS
TO BE AWARDED TO THE GUILTY PERSON FOR PROVEN
MISCONDUCT. IN THIS CONNECTION, IT MAY BE BORNE
IN MIND THAT THE LIST OF MISCONDUCTS IS NOT
EXHAUSTIVE ONE BUT IS ILLUSTRATIVE. OUT OF THE
MISCONDUCTS STATED THEREIN, CERTAIN ARE
CONSIDERED AS MAJOR MISDEMEANOUR OR MAJOR
MISCONDUCTS AND OTHERS MAY BE CONSIDERED AS
MINOR MISDEMEANOURS OR MINOR MISCONDUCTS.
WHILE MAKING A CHARGE SHEET THE EXACT CHARGES
OF MISCONDUCTS FRAMED ARE QUOTED IN LINE WITH
THE MISCONDUCTS AS STATED IN THE CERTIFIED
STANDING ORDERS.

IT IS IMPERATIVE THAT ALL LINE MANAGERS ARE TO

BE THOUROUGHLY ACQUAINTED WITH CERTIFIED
STANDING ORDERS.

SUSPENSION PENDING ENQUIRY- PAYMENT OF

SUBSISTANCE ALLOWANCE

INCASE OF A DELINQUENT WORKMAN HAS BEEN

CHARGE SHEETED, PENDING ENQUIRY, HE HAS TO BE
PAID A SUBSISTANCE ALLOWANCE AT THE RATES
MENTIONED AS UNDER:

FOR FIRST 90 DAYS OF THE ENQUIRY- @ 50

PERCENT OF THE WAGES DRAWN BEFORE HE HAS
BEEN CHARGE SHEETED;
AFTER 90 DAYS OF THE ENQUIRY- @ 75 PERCENT
OF THE WAGES DRAWN BEFORE HE HAS BEEN
CHARGE SHEETED

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GROSS OR SERIOUS MISCONDUCT
THERE IS NO LEGAL DEFINITION OF GROSS
MISCONDUCT BUT IT WOULD GENERALLY INCLUDE

CRIMINAL ACTS
THEFT
INTENTIONAL DAMAGE TO PROPERTY
ASSAULT
DERELICTION OF DUTY
SERIOUS BREACH OF HEALTH AND SAFETY
PROCEDURE
FRAUDULENT BEHAVIOUR
FALSIFICATION OF RECORDS
ABUSE OF COMPANY POLICIES/PROCEDURES
ABUSE OF TRUST
SERIOUS SEXUAL HARASSMENT, HARASSMENT,
BULLYING
SERIOUS BREACHES OF INTERNET/EMAIL POLICY
SERIOUS BREACHES OF DATA PROTECTION POLICY
VIOLENT BEHAVIOUR

THIS IS NOT AN EXHAUSTIVE LIST AND THERE MAY BE

OTHER ACTS WHICH COULD BE CONSIDERED TO BE
SERIOUS MISCONDUCT WITHIN THE CONTEXT OF A
PARTICULAR JOB OR INDUSTRY.

DOMESTIC ENQUIRY :

1. PRELIMINARY ENQUIRY
REPORT FROM THE CONCERNED
DEPARTMENTAL AUTHORITY.
TO ADOPT THE FACT FINDING PROCEDURE
PRINCIPLE OF NATURAL JUSTICE SHOULD APPLY

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2. CHARGE SHEET
SHOULD BE WRITTEN, CLEAR.
SHOULD MENTION TIME, DATE, PLACE OF
INCIDENT AND PARTICULARS OF CHARGES.
SHOULD MENTION PROVISIONS OF STANDING
ORDERS .
ALLOW SPECIFIC TIME FOR REPLY.
DO NOT SHOW THAT THE PERSON IS GUILTY
AND DOES NOT MENTION ANY PENALTY.

3. SERVICE OF THE CHARGE SHEET

BY HAND AFTER SIGNING THE OFFICE COPY OR
SEND IT AT THE RECORDED RESIDENCE
THROUGH REGISTERED WITH A/D.
IF REFUSED THEN PUBLISH CHARGE SHEET BY
NAME IN NEWS PAPER AND PASTE A COPY AT
THE NOTICE BOARD.

4. REPLY OF THE CHARGE SHEET

ON RECEIPT OF THE REPLY WITHIN SPECIFIC
TIME DECIDE THE REQUIREMENT OF DOMESTIC
ENQUIRY

5. ENQUIRY NOTICE
MENTION NAME OF THE ENQUIRY OFFICER,
DATE, TIME AND PLACE OF THE ENQUIRY.
MENTION FACILITIES AVAILABLE TO DEFEND
THE CASE.

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6. ENQUIRY PROCEEDINGS
THE PROCEEDINGS SHOULD BE RECORDED.
ALLOW THE ASSISTANT OF THE ACCUSED
PERSON IF REQUIRED BY HIM.
ALLOW THE ACCUSED EMPLOYEE TO EXAMINE
ANY DOCUMENT WHICH IS PRODUCE AT THE
ENQUIRY.
EXAMINE FIRST THE WITNESSES OF THE
COMPLAINANT (COMPANY) THEN ALLOW CROSS
EXAMINATION BY THE ACCUSED PERSON.
EXAMINE THE WITNESSES AND DOCUMENTS OF
THE ACCUSED PERSON AND THEN ALLOW CROSS
EXAMINATION BY THE COS REPRESENTATIVE.
NO WITNESS WHO IS YET TO BE EXAMINED
SHOULD BE PRESENT WHEN ANOTHER WITNESS
BEING EXAMINED OR CROSS EXAMINED.
AN ENQUIRY OFFICER MAY ASK ONLY SUCH
QUESTIONS WHICH ARE NECESSARY FOR
CLARIFICATION.
ASK AT THE END OF THE ENQUIRY WHETHER
THE ACCUSED PERSON HAS GOT ALL
OPPORTUNITIES TO DEFEND HIS CASE AND
WHETHER HE IS SATISFIED.

7. FINDINGS OF THE ENQUIRY OFFICER

IT SHOULD BE BASED ON RECORDED
PROCEEDINGS AND EVIDENCES.
ENQUIRY OFFICER SHOULD NOT IMPORT ANY
THING WHICH WAS NOT COVERED DURING THE
TIME OF ENQUIRY.
HE SHOULD GIVE REASON FOR EACH FINDINGS.
HE SHOULD NOT PROPOSE ANY PENALTY.

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 FINDINGS SHOULD BE SPECIFIC AND NOT
INCONCLUSIVE.
IF MISCONDUCT/S OCCURS DURING ENQUIRY
PROCEEDINGS THE SAME CAN NOT BE DECIDED
BY THE ENQUIRY OFFICER IN THE SAME
PROCEEDINGS.

8. SENDING THE COPY OF THE REPORT

SENDING THE COPY OF THE REPORT OF THE
ENQUIRY OFFICER TO THE ACCUSED PERSON IS
OBLIGATORY.
9. DISCIPLINARY AUTHORITY
DISCIPLINERY AUTHORITY SHOULD CONSIDER
THE OBJECT OF THE PUNISHMENT.
PUNISHMENT SHOULD NOT BE FOR
VICTIMIZATION.
PUNISHMENT SHOULD NOT BE FOR ACTS OR
OMISSIONS OUTSIDE THE CHARGES.
PUNISHMENT SHOULD BE AS PER THE
DIRECTIVES FOR THE VIOLATION OF RULES OF
THE STANDING ORDERS.

10. PUNISHMENT
SHOULD BE COMMUNICATED IN WRITING
AFTER GETTING THE REPLY(IF ANY) OF THE
ENQUIRY PROCEEDINGS AND THE REPORT OF
THE ENQUIRY OFFICER.
COMPLIANCE OF SEC 33 OF INDUSTRIAL
DISPUTES ACT, 1947 IF ANY INDUSTRIAL
DISPUTE IS PENDING.

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