ROLE OF
DISCIPLINE & GRIEVANCE IN HUMAN RESOURCE MANAGEMENT
Dr. Ram Sharma Dr. Archana Chanchal Bathkora
Discipline:
In a wider perspective,
discipline means orderly & systematic behavior organization in order to achieve
operational efficiency frame certain code of behavior, contracts or statutes,
norms for their employees to ensure productivity & organizational
efficiency. The establishment of disciplinary activities is not only limited
with formulation & establishment of rules & standards, it extends in
the form of communicating these rules & standards to all employees &
using the same for assessing the behavior & performance of the employees
engaged in the organization. Any deviation from these desire behaviors leads to
disciplinary actions or interventions.
Discipline is systematic instruction intended to train a person, sometimes
literally called a disciple, in a craft, trade or other activity, or to follow a
particular code of conduct or "order". Often, the phrase "to discipline"
carries a negative connotation. This is because enforcement of order–that is,
ensuring instructions are carried out–is often regulated through punishment.
Discipline
is the assertion of willpower over more base desires, and is usually understood
to be synonymous with self control. Self-discipline is to some extent a substitute for motivation, when one uses reason to determine the best course of
action that opposes one's desires. Virtuous
behavior is when one's motivations are aligned with one's reasoned aims: to do
what one knows is best and to do it gladly. Continent behavior, on the other
hand, is when one does what one knows is best, but must do it by opposing one's
motivations.[1] Moving from continent to virtuous behavior requires
training and some self-discipline.
Self-discipline
It can
be defined as the ability to motivate oneself in spite of a negative emotional
state. Qualities associated with self-discipline include willpower, hard work, and persistence. Self-discipline
is the product of persisted willpower. Whereas willpower is the strength and
ability to carryout a certain task, self-discipline is the ability to use it
routinely and even automatically (as if through reflex). An analogy for the
relationship between the two might be defined as follows: Where willpower is
the muscle, self-discipline is the structured thought that controls that
muscle. In most cultures, it has been noted that self-discipline is the
ultimate path towards success
Theories of disciplinary powers:
Institutional Theory:
According
to this theory employers being the head of an organization assume highest
responsibility to look after the interests of the employees and the discipline
of the organization as a whole.
Contractual Theory:
This
Theory considers that employers’ disciplinary powers arise from the contract of
employment which subjects employees to subordination and thereby vest employers
with the necessary authority to ensure discipline and harmony in the
organization.
Types of discipline
If a
decision is required on the type of discipline to be taken, it is highly
recommended that the following be discussed with human resources services or labor
relations. In extreme cases, where a dangerous situation exists, or could
potentially exist, managers/supervisors should act immediately to address the
situation and consult with human resources or labour relations once the
situation has been resolved.
In
increasing severity, disciplinary measures are as follows:
- Oral reprimand;
- Written reprimand;
- Suspension or financial
penalty;
- Demotion; and
- Disciplinary termination.
Oral
reprimand (réprimande verbale)
A verbal
disciplinary measure that includes a statement outlining to the employee the
nature of the misconduct, the corrective action required, and the consequences
should it not be corrected. No record of this measure is to be placed on the
employee's personnel file.
Written
reprimand (réprimande écrite)
A formal
written warning shows that misconduct has occurred. It should outline the
nature of the misconduct, the corrective action required, and the consequences
should it not be corrected. If more severe disciplinary action should later
become necessary, the record of the reprimand(s) on the personnel file will
demonstrate that the employee was made aware of the consequences of further
misconduct.
Suspension (suspension)
Temporary
and sometimes immediate removal of the employee from the place of work without
pay as a consequence of misconduct can be defined as suspension. The notice of
suspension should include the nature of the misconduct, the corrective action
required and the consequences should it not be corrected.
A
suspension may be imposed in the following situations:
- Pending investigation of
certain suspected misconduct when the presence of the employee at work
cannot be tolerated (for example: threats of harm or physical violence) or
could undermine or impede the investigation (for example: potential to
destroy evidence); and
- To impose a definitive
disciplinary measure for an act of misconduct.
Financial
penalty (sanction pécuniaire)
Financial penalty is an alternative to a suspension,
where a financial penalty is considered preferable for operational or economic
reasons. Financial penalties are appropriate in situations involving mass
unlawful withdrawal of services, continuous shift operations, ships at sea, and
isolated posts where it may be difficult to schedule suspensions without the
use of replacements and overtime. It may also be used to impose a definitive
disciplinary measure for an act of misconduct. It should outline the nature of
the misconduct, the corrective measure required, and the consequences should it
not be corrected.
Demotion (rétrogradation)
Demotion is an action taken by the employer
to appoint an employee to a position at a lower maximum rate of pay. Demotion
is an alternative to a disciplinary termination and should be used when the
manager/supervisor is of the opinion that, despite the misconduct, the employee
is still suitable for continued employment albeit in a position at a lower
maximum rate of pay. Demotion could be used in situations where a
manager/supervisor is found guilty of harassment and is moved to a position
with no managerial responsibilities.
Disciplinary
termination (licenciement pour manquement à la
discipline)
Disciplinary termination is the separation of an employee
from the core public administration for misconduct. It may be used after a series
of acts of misconduct when a "culminating incident" has occurred, or
for a single act of serious misconduct. Termination is the most severe
disciplinary measure, and the decision to proceed should be taken only after
careful consideration and when it is determined that the employee is no longer
suitable for continued employment by reason of misconduct.
Grievance:
Grievance
means any type of dissatisfaction or discontentment arising out of factor
related to employees jobs which he thinks is unfair a grievance is a sign of an
employees discontentment with his job or his relationship with his colleagues.
Grievance generally arise out of the day today working relations in an
organizations an employee or a trade union protest against an act or polices of
the management that they consider as violating employees rights
A grievance arises when a employees feels that
something has happens or is happening to him who he thinks is unfair unjust or
inequitable. In an organization, a grievance may arise due to several factors
such as:
1.
Violation of management responsibility such as poor working conditions.
2.
Violation company rules and regulation.
3.
Violation of labor laws.
4.
Violations of natural rules of justice such as unfair treatment in promotion
etc.
Sources of grievance:
Various
sources of grievance may be categorized under three heads:
1.
Management polices
2. Working
condition
3.
Personal factors
A. Grievance resulting from management polices include
1. Wage
rate
2. Leave
polices
3. Over
time
4. Lack of
career planning
5. Role
conflicts
6. Lack of
regard of collective agreement
7. Disparity
between skill of worker and job responsibility
B. Grievance resulting from working Condition include
1. Poor
safety & bad physical condition
2.
Unavailability of tools and proper machinery
3. Negative
approach to discipline
4. Unrealistic
targets
C. Grievance resulting from interpersonal factor include
1. Poor
relationships with team member
2. Autocratic
leadership style of superior
3. Poor
relation with senior
4. Conflicts
with peers and colleagues
It is
necessary to distinguish a complaint from grievance. A complain is an
indication of employee dissatisfaction that has not been submitted in written
on the other hand a grievance is a complaint that has been put in writing and
made formal.
Grievances
are symptoms of conflicts in industry. Therefore management should be concert
with both complains and grievance, because both may be important indicators of
potential problems with in the work force. Without a grievance procedure,
management may be unable to respond to employee concerns since manager are unaware
of them. Therefore, a formal grievance procedure is valuable tool for
organization.
Five Steps to Winning Grievances
There's no
magic bullet, but carefully following these basic steps can give you a great
advantage
1. Listen
carefully to the facts from the worker.
Listening
is a lot harder than most people realize. It is not a passive act. You will
probably need to ask questions to get the facts clear and to get important
information that the worker leaves out.
The more
information you gather from your initial conversation with the worker, the
easier it will be to handle the grievance. Spend enough time to get all the
facts before you make any judgments about the problem.
Pay close
attention to the facts that apply to the case, not the “back story.” Upset
people offer a lot of opinions and inferences. These are not facts, and though
they may help you understand why a problem has occurred, they will not help you
make your argument.
A
statement like “Joe has always had it in for me” is an opinion and usually of
no use in a grievance. If you probe the worker, you might learn that, in fact,
Joe has been giving other workers preferential treatment, a fact which can be
used to win a grievance.
2. Test
for a grievance.
You
already know the five tests for a grievance. Apply them to the case at hand.
You may find it helpful to go through them in order. A grievance is a violation
of the contract, the law, company rules, well-established practices, or
workers' rights.
A
violation of the contract is the most obvious grievance, but often the injury
will fall into one of these other categories. Check your facts against all of
them. If necessary, discuss the problem with your grievance committee chairman,
officer, or other stewards. The grounds for grievances include many grey areas;
an experienced eye can be helpful in determining just where the boundaries lie.
Sometimes
an action will be grievable on more than one ground. You should base your
argument on only one of them. Choose carefully. Comparing the facts against all
five grounds for a grievance will help you choose the one most likely to give
you a victory.
3.
Investigate thoroughly.
Before
writing the grievance, double-check the facts with whatever records are
available and other persons who might have information. People say misleading
things for all sorts of reasons -- because they're confused about exactly what
happened or were said, because they misunderstood something, because they don't
remember clearly, because they think they can put one over on you or the boss,
or for some other reason.
Double-checking,
both with the grievant and with other sources, will help you avoid presenting
an unwinnable argument. If you base your argument on Joe's claim that he hasn't
worked overtime for nearly six months, then learn at the hearing that company
records show he worked seven days of overtime two months ago, you not only lose
your grievance, you waste your own and other people's time, and you lose
credibility.
You owe it
to your grievant and your members to check as thoroughly as you can, but you
must make sure you don't exceed the time limit for filing a grievance given in
your contract.
4. Write
the grievance.
Write a
simple statement of the situation and conclude with the specific relief you are
seeking. Your written grievance should be as simple and clear as you can make
it without leaving out any pertinent facts.
Putting a
complex situation into a few simple sentences is not easy. Think about what you
want to say before you begin writing. Make a list of all the important facts.
Not only will this help you put the grievance on paper in a logical,
step-by-step fashion, but it can help you see whether you need to get more
information to make your point.
Your
written grievance should name the grounds for the grievance. If the action
violated the contract, quote the actual statement that was violated. When the
grounds for the grievance is something other than the contract, it often
becomes more difficult to explain them. Be as specific and complete as you can
be. Name the law or rule violated, or explain the past practice and tell how
often and/or how recently it has been used.
If your
contract requires you to use a form provided by the company, be sure you do so.
It is disheartening to lose a grievance on a technicality, like failure to file
on the proper form or failure to file within the time limits.
5. Present
the grievance in a firm but polite manner.
One of the
main purposes of a grievance procedure is to defuse the anger and hostility
that can surround disagreements between workers and management. Your job is to
convey the substance of your fellow worker's injury, not the anger it provoked.
When both sides remain calm and respectful, they are in a better position to
find a mutually-agreeable remedy.
Determine
what management's position is. You can't convince them of the correctness of
your position without first knowing where they stand. Learning that management
agrees with you on some of your points frees you to spend more time arguing the
points on which you disagree.
Argue the
case step by step, the same way you wrote it up. If you did a careful job of
writing the grievance, your written grievance can be your outline for your
presentation.
When
making your oral presentation, you will be able to give more details and
explanation than you gave in your written grievance. But don't get carried
away. Stick closely to the important facts. Adding a lot of irrelevant
information makes your argument confusing and hard to follow. You want your
argument to be crystal clear and impossible to refute.
Always
remember that your goal is to resolve every grievance at the lowest level. That
not only means less work for you, but it gives the worker relief much sooner.
However, don't be discouraged if you are unable to settle the grievance at this
step. Refer it to a higher step for additional consideration.
Grievance procedure
in Indian industry:
The fifteen session of Indian labor conference held in 1957 emphasis the
need of an established grievance procedure for the country which would be
acceptable to unions as well as management. In the sixteen session of Indian Labor
Conference, a model for grievance procedure was drawn up. This model helps in
creation of grievance machinery. According to it, workers representative are to
be elected for a department or their union is to nominate them. Management has
to specify the person in each department who are to be approached first &
the departmental heads who are suppose to be approach in second step. The Model
Grievance procedure specifies the detail of all the steps that are to be
followed while redressing grievances. These steps are:
Step1.
In the first step the grievance is to be submitted to department representative
who is the representative of management. He has to give answer with in 48hr.
Step2.
If the departmental representative fails to provide a solution the
aggrieved employee can take his grievance to head of department who has to give
his decision with in three days
Step3.
If the aggrieved employee is not satisfied with the decisions of
departmental heads he can take the grievance to the grievance committee. The
grievance committee make its recommendation to the managers with in seven days
in form of reports. The final decision of the management on the report of
grievance committee must be communicated to the aggrieved employ with in three
days of receipt of report. An appeal for the revision of final decision can be
made by the worker if he is not satisfied with it. The management must
communicate its decision to the worker with in seven days
Step4.
If the grievance still remains unsettled the case may be refer to
voluntary arbitration
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Discipline and
Grievances
Provided
any disciplinary or grievance procedure implemented by the employer covers all
the requirements of the ACAS
(Advisory, Conciliation & Arbitration service) Code of Practice on
Disciplinary and Grievance Procedures, there is nothing to prevent an employer
voluntarily including requirements that are additional to the statutory minima
provided they do not conflict with them. With effect from 6 April 2009 the
statutory dispute resolution procedures were repealed, subject to transitional
provisions and, where they continue to apply, any disciplinary and grievance
procedure must also comply with the minimum requirements of the relevant statutory
procedure.
Well-drawn
disciplinary and grievance procedures are desirable because they provide a
clear framework for employer and employees for the resolution of grievances and
disciplinary issues, and they protect the employer against the pitfalls of a poor
procedural approach if the parties end up litigating.
Certain
aspects of an employer's disciplinary and grievance procedures must be included
in the written statement of particulars which is required under the ERA 1996.
Procedures implemented by the employer
Certain
general considerations concerning disciplinary and grievance procedures
implemented by employers need to be taken into account, including key drafting
principles, procedures regarding conduct or capability warnings, and
incorporation of procedures into the contract of employment.
ACAS Code of Practice on Disciplinary and
Grievance Procedures
Details
of the application and effect of the ACAS Code of Practice on Disciplinary and
Grievance Procedures are covered in our three practice notes, ACAS disciplinary
and grievance code - application, ACAS disciplinary and grievance code -
procedural requirements and ACAS disciplinary and grievance code - effect of
non-compliance.
Statutory dispute resolution procedure
The
statutory dispute resolution procedures were repealed with effect from 6 April
2009, subject to transitional provisions. For situations where they continue to
apply under the transitional provisions, the statutory dismissal and
disciplinary procedures and grievance procedures are still fully covered in the
statutory dispute resolution procedures section of Lexis®PSL Employment.
The right to be accompanied
Any
worker who is required or invited by his employer to attend a disciplinary or
grievance hearing has the right to be accompanied.
Who has the right?
Anyone
falling into the special broad definition of 'worker' has this right,
irrespective of length of service. This includes employees, those under
contracts personally to undertake work for someone who is not a client/customer,
agency workers, home workers, and most persons in Crown employment.
Hearings at which the right applies
The
right applies to all disciplinary hearings which could result in the worker
receiving a formal warning, or the employer taking 'some other [probably
disciplinary] action' with regard to the worker, and also to disciplinary
appeal hearings. It also applies to all grievance hearings which concern the
performance of a duty by an employer in relation to a worker. The statutory
dispute resolution procedures were repealed with effect from 6 April 2009,
subject to transitional provisions. The right also applies to any meeting held
for the purpose of complying with the statutory dispute resolution procedures,
in cases where they still apply.
The ACAS
Code of Practice on Disciplinary and Grievance Procedures also requires
employers to allow employees to be accompanied at disciplinary and/or grievance
meetings. This right broadly mirrors the statutory right, but the definition of
'grievance' in the Code of Practice is wider than the statutory definition. The
Code of Practice defines grievances as 'concerns, problems or complaints that
employees raise with their employers'.
Who may accompany
Workers
may choose either another of the employer's workers, or an employed or
'certified' trade union official to accompany them. They may not choose any
other type of person, unless there are exceptional circumstances.
The companion's role
During
hearings, the chosen companion is entitled to put the worker’s case, sum it up,
respond to expressed views on the worker’s behalf, and confers with the worker.
Companions have no right to answer questions on behalf of the worker, address
the hearing without the worker's consent, or prevent the employer or anyone else
from properly participating in the hearing.
Requests to postpone hearings
The
employer is obliged to agree to requests for a postponement of the hearing to
accommodate a chosen companion, provided the request is reasonable and any
alternative time/date proposed delays the hearing by no more than 5 working
days.
Time off for companions
The
employer is obliged to permit chosen companions (over whose working hours they
have control) to take time off during working hours to accompany workers to
hearings. The Acas code on trade union time off applies, and companions are
entitled to be paid for time off.
Claims arising from the right to be
accompanied
Potential
claims may arise in relation to the right to be accompanied where:
1. There
have been failures to comply with the right
2. Companions
have not been permitted time off, or not properly paid for it
3. Workers
or their companions have been subjected to a detriment because they sought to
exercise the right to be accompanied
4. Workers
or their companions have been dismissed because they sought to exercise the
right to be accompanied
Failures to comply with the right to be
accompanied
Workers
may bring a claim where the employer fails (or threatens to fail) to:
1. Permit the worker to be accompanied by an appropriate
companion, or to
2. Allow a companion to exercise their rights at
a hearing, or
3. Agree to a proper postponement request
There
is a 3 month time limit. Successful claims will result in an award of up to two
weeks' pay, capped by statute at £430 per week.
Where
there is a failure to allow an employee to be accompanied, it may also amount
to a breach of the ACAS Code of Practice, where the Code of Practice is
relevant to the proceedings before the tribunal. Breach of the Code of Practice
does not, of itself, give rise to liability, but it may affect the level of
compensation awarded to a successful claimant.
Claims by companions concerning time off
If an
employer fails to permit a chosen companion to take time off, or to pay the
companion properly for that time, the companion may bring a claim. There is a 3
month time limit. Where a claim for failure to permit time off succeeds, the
tribunal makes a declaration and may award such compensation as it considers
just and equitable. For failures to pay for time off, the remedy is recovery of
whatever amount ought to have been paid.
Subjecting workers or their companions to a
detriment
Employers
are prohibited from subjecting a worker to any detriment on the ground:
1. That the worker exercised (or sought to
exercise) the right to be accompanied
2. That a companion of that worker exercised (or
sought to exercise) a companion's legitimate rights at a hearing
3. That the worker made (or sought to make) a
proper request to postpone a hearing
4. That the worker, whilst acting as a
companion, exercised (or sought to exercise) a companion's legitimate rights at
a hearing
There
is a 3 month time limit from the act (or deliberate failure to act) complained
of. This may be extended in the case of continuing acts, series of
acts/omissions, or where it was not reasonably practicable for the claim to be
presented in time. The statutory grievance procedure was repealed with effect
from 6 April 2009, subject to transitional provisions. Where they continue to
have effect, the statutory grievance procedures will normally apply, which may
also cause an extension of the basic time limit.
Where a
case succeeds, the tribunal must make a declaration, and may award such
compensation as it considers just and equitable. This may include sums for
injury to feelings, aggravated and/or exemplary damages, expenses and benefits.
The duty to mitigate applies. There may be reductions for contributory fault.
Dismissing workers or their companions
Where a
worker is dismissed on any of the grounds listed above in the Subjecting
workers or their companions to a detriment section, that dismissal will be
automatically unfair, and the worker may bring an unfair dismissal claim in
which he may be awarded any of the unfair dismissal remedies (reinstatement,
re-engagement, basic award, compensatory award).
The
normal unfair dismissal regime is adjusted in three important respects:
1. The right to claim unfair dismissal for this
reason extends to all workers, as defined (not just employees)
2. There is no qualifying term of service
required
3. Interim relief is available.
REFERENCES
Author: Indranil Mutsuddi Book Name: Managing Human Resources Publication House: New Age International Publishers Year- 2011
http://www.cipd.co.uk/hr-topics/discipline-grievances.aspx
http://lexisweb.co.uk/sub-topics/discipline-and-grievance-procedures
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