Employee Discipline and Misconduct-A Learning Resource from Jayadeva de Silva

1. Jayadeva de Silva

2. Introduction '
 “Management is the process of efficiently getting
activities completed with and through other
people’’.
 The Management process includes planning,
organizing, leading and controlling activities that
take place to accomplish objectives.
 People vs Other factors

3. HR Function
 Recruitment, Selection, Development, Motivation,
Retention
 Obtaining the services of people, preparing them,
activating them and keeping them.
 Discipline Misconduct Punishment is about,
-activating
-retaining or not retaining people

4. Understanding what discipline is
all about
 The standard of performance the company expects
from the worker is “Discipline”.
 Performance is also a kind of behaviour.
 A kind of behaviour that is expected by the
organization.
 Assume that employee performance is a function of his
skill and motivation. (P = S X M).
 Some workers will not provide the accepted behavior
even if they have the skill and motivation.

5.  Right kind of people, in the right number, in right
places, at the right time is part of Human Resource
Planning (HRP).
 Attracting and retaining the right persons to the
organization is important
 But only the right persons
Human Resources –Dicsiplinary
Control

6. What about wrong Persons ?
 What about wrong persons ?
 Reform or Rejected
 Let us look at the next picture

8. Keep them Informed
 Employees are informed about Discipline through
 Letter of Appointment
 Disciplinary Code
 Employee Hand book
 Notices
 Circulars etc.

9. Now Let us
look at some
cases

10.  Sri Lankan Ports Authority Vs Balin Silva
 A workman was absent on 3 earlier occasions and duly
warned and punished in terms of the Circular. 4th time he
was terminated.
 The L.T. held that it was two harsh a punishment and that
the Circular was enforced discriminately.
 The Court of Appeal found no grounds that the Circular
was applied discriminately and termination was up held.
 Court of Appeal held that the Circular should be strictly
applied in order to maintain discipline among such a large
group of employees. There were around 15, 000 employees.

11. What are Expressed and Impressed
conditions of Employment ?
 Conditions of employment
 expressed.
 implied

12. Discipline-Misconduct-Punishment
 External Force- Punishment
 Eg. An employee who is habitually late (a behavior
which is not accepted) is punished (external
disciplinary force),
 So that his behavior is modified.
 This is an issue that involves discipline, misconduct
and punishment.

13. What is Discipline ?
 DISCIPLINE
 Discipline is simply “good behaviour”. A situation where
there is no issues, disordered, chaos, confusion,
disobedience, misconduct etc. It is the expected standard
of behaviour of employees, which is required for an
organisation to function in an orderly and legal manner.
 “The conduct, expected by the organization” ( Silva 1995)
 The term discipline refers to a condition in the
organisation. When employees conduct themselves in
accordance with the organization’s rules and standards of
acceptable behaviour. ( De Cenzo and Robbins 1999)
 Discipline is about Expected Behavior standards

14. In other words…..
 The word discipline is synonymous with the words
 regulation,
 order,
 control,
 restraint,
 obedience
 authority

15. Let us look at
some more
definitions of
Discipline

16.  Practice of controlling the employees through strict laws
and punishing them when they are violated.
 Method of encouraging employees to behave in accordance
with the standards created by the organization
 Training that is used to have organisation regulations
enforced.
 Official instructions given by the organisation as to what
an employee should do and should not do. Eg. Work
should commence at 8.15 A.M. daily
 Objective of discipline is to encourage workers to behave in
a sensible manner.
 Behave in a sensible manner

17. Why do we need
Discipline ?

18. From a case
 The Ceylon General Workers Union Vs Wellawatte
Spinning and Weaving Mills Limited
 It was observed …“ I consider a quarrel among
workman a serious matter and deserves the highest
reprimand . If workman cannot settle their affairs
peacefully it will eventually end in a breakdown or at
least destruction the smooth flow of work in the work
place

19. To…..
 To regularize the behavior of the employees.
 smooth and efficient functioning of an Organization,
 To preserve organizations rules and regulations
which are made to achieve objectives.
 As a part of the “controlling” function in Management,
 For the health and safety of workers prevent accidents
 To build a mutual co-operation amongst workers.,
 To co-ordinate different departments of the
Organisation,

20. EDM
What is meant by Employee
Disciplinary Management
(EDM)?

21. EDM ……..
“It is the systematic procedure of
creating, promoting and maintaining
employee discipline so that goals and
objectives of the Organization are
accomplished”..

22. Components of EDM
 policy statement.
 the rules and regulations,
 Why so
 authority
 Awareness .
 Monitor violations.
 Punishment
 Reviewed and revised .
 Creating Awareness .

23. Explain….
 Explain the Terms
 -Preventive Discipline and
 -Corrective Discipline

24. Preventive
 Disciplining Employees Before-Preventive
Discipline
 intended to prevent any rule violation
 A proactive approach.
 HR Department can help to create awareness
programmes. create a preventive disciplinary culture in
the organization

25. Corrective
 Disciplining Employees After - Corrective
Discipline
 after a breach of a discipline
 prevent any future rule violation.
 A reactive approach.
 fire - fighting

26. + and -
Positive and negative
Approaches to
Discipline

27. ++++++++
 Positive Approach to Discipline
 Not personal.
 Rejects the misconduct not the employee.
 To reform
 Employees are bound to make mistake
 - Way forward in HRM

28. - - -
 Negative Approach to Discipline
 Personal.
 Rejects Employee not the misconduct.
 To take revenge,
 Employees should not commit any mistake
 -Way back wards in HRM

30. Hot Stove
 What is “Hot Stove principle” ?
 When one touches a Hot Stove, the result is “instant – it
burns. People know that if one touches a Hot Stove he /she
burns up. This is a ‘warning’.
 The result of touching a Hot Stove does not change From
time to time there is a “consistency” of the result, i.e. each
time it is touched, there will be burning.
 Further the “degree” of the burn depends on the duration
you keep touching it,
 Finally the result is not “personal”. However, touches get
burnt irrespective of, gender, age or statues

31. Application….
 Application of Hot - Stove principle to Punishment
 “instant”. Response
 “ Warning “ Prevents
 “ Consistency” is crucial
 “ Degree ” Gravity
 “personal”, No luck

32. Note…
 In the case of The Ceylon Plantation Workers
Union Vs Superintendent Baddegama Estate
 It was held that (Our courts have repeatedly held) the
fact that an employee occupies an important position
in his union doesn’t entitle him to any immunity from
punishment or different treatment in the matter of
punishment

33. Be Positive

34.  Be positive -
What is meant by Progressive Discipline ?
 oral warning,
 1st st warning,
 2nd warning,
 Final warning
 2nd Final warning
 Termination

35.  Be positive
Counseling Approach for Discipline
 identify the causal effect.
 Use counseling techniques-listen “
 one individual uses a set of techniques or skills to help
another individual take responsibility or and to
manage their own decision making whether it is work
related or personal”
 E.g. an employee being late for work regularly
 Eg Good employee absent regularly as of late

36. How to give
feedback to
employees?

38.  Sandwich Model of giving feedback
 “ Your punctuality is excellent ” +
 “ but you always report 15 to 30 minutes late after the
lunch break that affects our operation” -
 “If not you are our most productive worker” +

39. Misconduct
 What is MISCONDUCT ?
 The word Misconduct is synonymous with the words
,Misdemeanor, delinquency ,transgression bad
behaviour, misbehaviour, and wrong doing ,offence etc
 As per the case of Shalimar Rope Works Mazdoor
Union Vs. Shalimar Rope Works Ltd. (1953) ..
 ”. “An act should be regarded as an act of misconduct
if it is inconsistent, with the fulfillment of express or
implied conditions of service or if it has a material
bearing on the smooth and efficient working of the
concern –

40. Why does a person
misconducts himself
or herself ?

41.  Why does a person misconducts himself or herself
 economic,
 environment
 natural inclination to misconduct,
 unsuitable working conditions,
 bad management
 deviation from past practices,

42.  denial or neglect of known issues
 sudden provocation,
 conflict of interest or values,
 Psychological reasons,
 individual styles, disorganization,
 selfish interest, ulterior motives or
 malicious intent, disparity in relative skills, etc
 conflict if not resolved lead to misconduct.

43. Situations
 Misconduct Arises …..
 Attendance,
 On the JOB behaviors.
 Dishonesty,
 Out side activities.

44. Gravity of the Incident
 GRAVITY
 Position held by the employee
 In the case of H.G. Jayasekera vs The Ceylon
Transport Board, a Conductor attempted fraud of
Rs.1.40. The Court, taking into consideration the
nature of the business which was transporting people
for money and the employee’s position, the Court held
that “as such the employee, being the conductor who
is in charge of collecting the money should act
honestly. Hence, this was considered a grave act of
misconduct

45. Gravity….
 The Nature of the Business
 In the case of Ceylon Mercantile Union vs Bartleet and
Company, the employee was found trying to remove 16 ounces
of tea. The Employee’s Union was going on the basis that, as the
quantum is small, it is not a grave act of misconduct, but the
Court held that the nature of the business was producing tea and
what the employee stated was the main produce. Hence, it was a
grave act of misconduct.
 In a similar case LEWU vs The Superintendent Glen Alpin
Group an employee who has worked for 36 years was
terminated for having take 5-6 ounces of tea without the
employers permission.

46. E code says…
 The Establishment Code E-code states that the
seriousness of the misconduct must be judged not
only by the Act itself but in relation to the office
held by the person concerned and the
circumstances surrounding it (p.66 Vol. II).

47. Keeping away from work
 Absenteeism
 Absenteeism becomes a misconduct when it is habitual
and without authority. In the case of All Ceylon
Commercial and Industrial Workers Union VS General
Industries Limited it was held that chronic absenteeism
strikes to the very root of production , and employer
cannot reasonably expected to tolerate such behavior
beyond certain point .
 In the case of Bawa Crockery House Limited Vs
Bhoumik the courts held that absence of the workman
for half a day without justification is not misconduct. It has
to be habitual and continues.

49. Getting late…
 Late attendance
 Perera Vs The Insurance Corporation of Ceylon it
was held that Repeated Unpunctuality is serious
breach of duty

51. Being Negligent….
 Negligence
 in the case of Lever Bros Eksath Kamkaru
Samithiya Vs Lever Bros (Ceylon) . The Supervisor
in charge of certain machinery was found sleeping on
duty at his work station.
 The machines should be attended to all the time if not
there could be serious damage caused to the workers
and property.
 The supervisor’s conduct was considered as an act of
negligence

53. Disobeying….
 Disobedience,
 It was held in Premadsa Rodrigo Vs Ceylon
Petroleum Corporation The person issuing a
relevant order must have the authority to do so ,if not
there can be no disobedience .Order must be clear,
positive and unambiguous.
 It was held in Equipment and Construction
Company Vs Cooray that Refusal to obey reasonable
orders is a misconduct

55. Abusing…
 Abuse ,
 In the case of Wanija Ha Karmika Sewaka
Sangamaya Vs Ceylon Glass Company Hooting
,jeering and humiliating an executive is a misconduct
.

57. Assaulting…..
 Assault,
 In the case of Piyasena VS Battaramulla
Talangama Town Council it was held that
Assaulting a superior officer even outside the premises
and out of working hours is a grave misconduct
 In the case of Ceylon Mercantile Union vs
M.D.Gunasena and Co Ltd., it was held that
Assaulting a fellow employee is misconduct

59. Being dishonest….
 Dishonesty
 It was held in the case of The CMU vs M.D. Gunasena and co
limited alteration of a medical certificate amounts to
misconduct
 Iin the case of Nidahas Karmika Saha Velanda Sevaka
Vurthiya Samithiya vs K.W. Susiripala it was held that
Diverting the employers customers to a business rival was
misconduct.
 In the case of The CMU Vs The British Electric Co Ltd it was
held that Conspiracy to ruin the employers business, is
misconduct .
 In the case of Charted Bank of India Vs Patel it was held that
disclosing confidential information relating to the employers
business, was a dishonest act.

61. Being drunk
 Drunkenness.
 It was observed In the case of Cloustan & Co Limited Vs
Corry The intoxication may be habitual or gross and
directly interfere with the business of the employer or the
ability of the servant to render service.
 Or
 it also could be an isolated act committed under
circumstances of festivity and in no way connected with or
effecting the employers business , hence it depends on the
question of fact .
 In the state sector consumption of liquor in violation of a
circular has been held as a serious misconduct

62. What are THE ASPECTS
TO BE COVERED BEFORE
DISCIPLINARY ACTION IS
INITIATED ?

63.  In Jeewandarage Dayawathi Vs Pugoda Textiles Limited
the workman a Machine Operator was dismissed for thieving 03
pieces of cloth
 period of service ( 8 years ),
 the first act of misconduct,
 negligible value of the pieces of cloth.
 The workman was a cancer patient undergone surgery on several
occasions
 LT she was reinstated without back wages on one year probation.
 High Court reversed the decision of the LT,
 but the Supreme Court restored the order of the LT.

64.  1. Seriousness of the problem
 eg Dishonesty is usually considered most serious
than reporting to work 20 minutes late.

 2. Duration of the problem
 eg.The first occurrence is usually viewed
differently than the 3rd or 4th offence.
 3.Frequency and nature of the problem
 Eg. Is there a pattern in the occurrence which
could be identified

65.  4..Employees’ work history
Eg. How long, quality of the service, does he have a
strong track record, period of service in the
organization. Good and bad
 5.Explanatory factors
Eg. A person who gets late to report to work on a
particular day due to his child being ill should be dealt
with leniently than a person who is late due to over
sleeping

66.  6.Degree of Socialization
Eg. Does the employee know the rules and
regulations, is he comparatively a new employee who
has had not the time to familiarize with the rules and
regulations. Has the management made an effort,
create awareness
 7.History of the organizations discipline practice
Eg. Equiity demands consistency against some relevant
bench mark

67.  8. Implication for other employees
Eg. There is little point to taking a certain action
against the employee if it has a dysfunctional affect on
others in the Unit
 9. Management backing
Eg. If the employees decide to take case to a high level
in management will you have reasonable evidence to
justify your decision
 Individual disputes may lead to Collective disputes.

68. Punishment

69.  PUNISHMENT
 Sri Laxshmi Saraswathi Motor Transport Co VS
Labour Court. A workman who was an office bearer
of a union had 17 years of service and a clean record.
 One day he was found guilty for the delay in
transmitting some documents from the employer’s
branch office to the head office and he was dismissed.
 The worker admitted that it was his fault but said that
it was due to forgetfulness.
 The Court held that the punishment was grossly
disproportioned with the misconduct.

70. Types of Punishment
 Types of Punishment
 Oral warning,
 Written warning
 Fine or recovery of damages
 Suspension without pay
 Transfers
 Stop, reduce or delay wage increments
 Demotion
 Compulsory retirement
 Termination of service

71. Rules of natural
justice

72.  Rules of Natural Justice ?
In English law, natural justice for
 the rule against bias (nemo iudex in causa sua) –
Distributive Justice
and
 the right to a fair hearing (audi alteram partem).-
Procedural Justice

73. Sample of a HR
Policy on Discipline