DISCIPLINE

DISCIPLINE

What is Discipline
Why do we need Discipline
Objectives of Discipline
Motivating employees to comply with
the company’s performance standards
Giving directions and responsibility
 DISCIPLINE

Incorrect way of disciplining

Inadequate definition
Negative feedback only
Late intervention
Why disciplining may not be implemented
Lack of training
Wastage of time
Fear of acting alone / Lack of Support
Feeling of guilt
Lack of appropriate policies
Fear of lawsuits
 DISCIPLINE

Some of the important factors to be considered

while analyzing a discipline problem

• Seriousness, duration, and frequency of the

problem
• Employee’s work history
• Extenuating factors
• Degree of orientation / induction
• History of the organization’s discipline practices
• Enough data to support your action
 DISCIPLINE

In general the disciplinary process should:

1. Be progressive and “positive” rather than

“only punitive”
2. Follow the HOT STOVE rule
Warning
Immediate
Impersonal
Consistent
 DISCIPLINE

Discipline is basically adherence to established

norms and regulations.
Compliance with the accepted order
Preventive
Creating those conditions, systems, values and
institutions under which one behaves in desirable
lines and feel happy about it.
Corrective
Action that follows infraction of a rule. To
discourage further violation so that future action
will be in compliance with standards.
Disciplinary Action
 DISCIPLINARY ACTION
Objectives
to reform the offender
to deter others from similar actions
to maintain consistent effective group standards

Indiscipline occurs when there is a violation of rules

Violation of Rules Formal rules

Informal rules

Where do these formal rules originate?

 Industrial Employment (Standing Orders ) Act 1946

Defines service rules duly certified by Certifying Officer

Service rules …… Clearly written

Well publicized
Understandable language
Committing of ‘DONTS” in Standing Orders is
MISCONDUCT
List of misconduct in SO is indicative not exhaustive
Provisions of Industrial Employment (S O) Act 1946
incorporated in (IR Code 2020 Chapter IV)
 DISCIPLINARY ACTION
(What does law provide)

Employer can take disciplinary action provided he follows the

Principles of Natural Justice

‘Safeguard the position of the person against whom an

enquiry is being conducted so that he is able to meet the
charge(s) laid against him properly’
Thus no man shall be
Condemned unheard and be the judge in his own cause
Principles of Natural Justice – Principle of NO BIAS
– Principle of Opportunity
 DISCIPLINARY ACTION
(What does law provide)

Why do we need to follow the

Principles of Natural Justice
Important Sections (ID Act)
Section 2A
Section 11A
Section 17B
Incase of separation Individual Dispute becomes an Industrial
Dispute (Section 2 A)

Where any employer discharges, dismisses,

retrenches or otherwise terminates the services of
an individual workman, any dispute or difference
between that workman and his employer
connected with, or arising out of, such discharge,
dismissal, retrenchment or termination shall be
deemed to be an industrial dispute
notwithstanding that no other workman nor any
union of workmen is a party to the dispute.
 In addition the latest amendment of the ID Act
(Amendment 2010) gives us:

Notwithstanding anything contained in section 10, any such

workman as is specified in sub-section (1) may, make an
application direct to the LC/Tribunal for adjudication of the
dispute referred to therein after the expiry of forty five days
from the date he has made the application to the Conciliation
Officer of the appropriate Government for conciliation of the
dispute, and in receipt of such application the LC/Tribunal shall
have powers and jurisdiction to adjudicate upon the dispute, as
if it were a dispute referred to it by the appropriate Government
in accordance with the provisions of this Act and all the
provisions of this Act shall apply in relation to such adjudication
as they apply in relation to an industrial dispute referred to it by
the appropriate Government.
In addition the latest amendment of the ID Act
(Amendment 2010) gives us:

Deemed reference after forty five days from the date of the
application before the conciliation officer

Limitation to raise a dispute- 3 Yrs.

The application referred to in sub-section (2) shall be made
to the Labour Court or Tribunal before the expiry of three
years from the date of discharge, dismissal, retrenchment
or otherwise termination of service as specified in earlier
sub-section
 11A Powers of Labour Courts, Tribunals and National Tribunals to
give appropriate relief in case of discharge or dismissal of workmen

Where an industrial dispute relating to the discharge or

dismissal of a workman has been referred to a LC/T/NT for
adjudication and; in the course of the adjudication proceedings,
the LC/T/NT, as the case may be, is satisfied that the order of
discharge or dismissal was not justified, it may, by its award,
set aside the order of discharge or dismissal and direct
reinstatement of the workman on such terms and conditions, if
any, as it thinks fit, or give such other relief to the workman
including the award of any lesser punishment in lieu of
discharge or dismissal as the circumstances of the case may
require
Provided that in any proceeding under this section the
LC/T/NT, as the case may be, shall rely only on the materials
on record and shall not take any fresh evidence in relation to
the matter
17B Payment of full wages to workman pending proceedings in
higher courts
Where in any case a LC/T/NT by its award directs reinstatement
of any workman and the employer prefers any proceedings
against such award in a High Court or the Supreme Court, the
employer shall be liable pay such workman, during the period of
pendency of such proceedings in the High Court or the Supreme
Court, full wages last drawn by him, inclusive of any
maintenance allowance admissible to him under any rule if the
workman had not been employed in any establishment during
such period and an affidavit by such workman had been filed to
that effect in such Court:
Provided that where it is proved to the satisfaction of the High
Court or the Supreme Court that such workman had been
employed and had been receiving adequate remuneration during
any such period or part thereof, the Court shall order that no
wages shall be payable under this section for such period or
part, as the case may be
 What does the IR Code 2020 say in this regard

Section 2A has ben incorporated in the definition

While for 11A & 17 B we have to refer
Sections 50 & 56 respectively
 Section 50 in the IR Code 2020
(1) Where the application under sub-section (6) of section 53 relating to an
industrial dispute involving discharge or dismissal or otherwise termination
of a worker has been made to a Tribunal or has been referred to a National
Industrial Tribunal for adjudication, and, in the course of adjudication
proceedings, the Tribunal or National Industrial Tribunal, as the case may
be, is satisfied that the order of discharge or dismissal or otherwise
termination was not justified, it may, by its award, set aside the order of
discharge or dismissal or termination and direct reinstatement of the worker
on such terms and conditions, if any, as it thinks fit, or give such other relief
to the worker including the award of any lesser punishment in lieu of
discharge or dismissal or otherwise termination, as the circumstances of
the case may require.
(2) A Tribunal or National Industrial Tribunal, as the case may be, may, in
the interest of justice, grant such interim relief to the worker referred to in
sub-section (1) during the pendency of the industrial dispute as the
circumstances of the case may require:
Provided that in any proceeding under this sub-section the Tribunal or
National Industrial Tribunal, as the case may be, shall rely only on the
materials on record and shall not take any fresh evidence in relation to the
matter.
 Section 56 in the IR Code 2020

Where in any case, a Tribunal or a National Industrial Tribunal by

its award directs reinstatement of any worker and the employer
prefers any proceedings against such award in a High Court or
the Supreme Court, the employer shall be liable to pay such
worker, during the period of pendency of such proceedings in the
High Court or the Supreme Court, full wages last drawn by him,
inclusive of any maintenance allowance admissible to him under
any rule if the worker had not been employed in any
establishment during such period and an affidavit by such worker
had been filed to that effect in such Court:
Provided that where it is proved to the satisfaction of the High
Court or the Supreme Court that such worker had been
employed and had been receiving adequate remuneration during
any such period or part thereof, the Court shall order that no
wages shall be payable under this section for such period or part,
as the case may be.
 Therefore what needs to be done ?

We must have a process to arrive at a “sound”

conclusion whether guilty or not-guilty.
This process is called Domestic Enquiry
 What is the process of DOMESTIC ENQUIRY

Management’s search for truth about the workers

1. Not a legal exercise but an exercise in image
building.
Management can show its objectivity, fair play
etc.
2. Not to be reduced to a farce or empty formality.
3. Proving the ‘guilt’ or ‘charge’ is the responsibility
of the management
Charge sheeted employee is presumed to be
innocent till the contrary is proved.
DOMESTIC ENQUIRY

The Process
 DOMESTIC ENQUIRY (Steps)

You have an allegation against a worker

What do you do ?

Preliminary enquiry (optional)

 DOMESTIC ENQUIRY

Preliminary Domestic Enquiry

1. First step taken although not

essential
2. Objective whether prima Objective to determine
facie case exist whether charges established

3. Report is the basis for Report is the basis for

framing charges punishment

4. Not subject to any rules Subject to principles of

natural justice

5. Result is not conclusive Result is very much

conclusive and it decides
the fate of employee