ESSENTIAL OF A GOOD DISCIPLINARY SYSTEM

Some of the key features of a sound employee disciplinary system are:

1. Knowledge of Rules
The employee must be informed clearly about what constitutes good behavior and the
rewards that may emanate from it. All instructions should be clear and understandable. It
is common sense that an employee will obey an instruction more readily if he
understands it. The supervisor himself must know all the rules. He cannot effectively
communicate with his workers if his own knowledge about rules is half baked. In fact, he
needs to know more than the barest minimum that he wants his workers to know. This
reserve of knowledge is essential in order to be able to answer several unexpected
question from workers. In other works, a supervisors span of knowledge and
understanding of rules should be greater than that of his workers. If this is not so, the
supervisor will lose personal prestige both before his supervisors and subordinates.
2. Prompt Action
All violations and misconducts-big and small-should be promptly inquired into. For
example, a supervisor is most unwise to wait until lunch break before rebuking a worker
for arriving late. Beat the iron when it is hot. This is because when the penalty is imposed
immediately following the violation of a rule the person punished tends to identify the
punishment with the act he committed. Accordingly, the subordinate attempts to avoid the
violation in future. This is called the law of effect. The greater the delay the more one
forgets and the more one feels that punishment is not deserved.
3. Fair Action
Promptness of disciplinary action at the cost of its fairness is not proper. An action in
order to be fair must possess the following characteristics:
o All violations-big and small-should be duly punished. A violation should not be
overlooked or condoned merely because it is small otherwise this will give an
impression that announced rules are meaningless.
o All individuals-big and small-should receive equal punishment for equal
indiscipline. If a rule is applied to one individual but not to another, the
management is bound to be accused of favoritism.

o Discipline should be uniformly enforced at all times. If management soft-pedals

on taking a disciplinary action when there is shortage of labor and toughens its
policy when labor is plentiful it is acting arbitrarily. Similarly, if the management
overlooks a wrong on one occasion and punishes it on another occasion it is
acting inconsistently. Inconsistent behavior of management leads to uncertainty in
the minds of subordinates. They simply do not know where they stand.
o The alleged violation should be fully inquired into. Making a mistake by hastily
administering a penalty which on the basis of facts collected later on is found to
be uncalled for will mean a permanent destruction of the morale of the punished
worker and general loss of face for the supervisor.
o The employee should always be given an opportunity to explain his action. The
common law principle that an offender is innocent until he is proved guilty
beyond doubt should be followed. The burden of proving the violation always lies
on the management.
4. Well Defined Procedure
The procedure to be followed to reach to a penalty decision should be carefully laid
down. It should include the following steps:
o The supervisor must assure himself that some violation of the rules has taken
place.
o He should state precisely and objectively the nature of the alleged violation.
o He should then proceed to gather full facts about the case and maintain proper
records. Facts will have to be gathered concerning the nature of the event, the
participants and the surrounding circumstances. Extenuating circumstances such
as ill-health, family troubles, etc., should be found out. A critical analysis should
be made of the persons background such as his past service record, length of
service, local practice, etc. Fact gathering is often a process of fact-sifting.
Opinions should not be mistaken for facts. The methods used for gathering the
fact must not smack of spying and statements should not be prejudged.
o After all the facts have been gathered, thought should be given to the various
types of disciplinary action which can be taken in the case in question. It is
advisable to prepare three separate lists of actions. The first list should include all
types of disciplinary action to make certain that no possibility is overlooked. The
second list should classify penalties according to rank in order to acquaint the
executive with those actions which lie within his command and those for which
he should refer the case to his superiors. The third list should include only those
penalties, which the offense in question specifically calls for.

o The appropriateness of a disciplinary action should be decided in terms of its

effectiveness in correcting the employee. This is very important because the
purpose of a disciplinary action is to mend an employee and not to punish him, to
help him and not to harm him.
o The accused employee should have the right to appeal to higher authorities.
5. Constructive Handling of Disciplinary Action
Disciplinary action should be handled in a constructive manner. It should be carried out
by the immediate line supervisor. This employee should be told not only the reasons for
the action taken against him but also how he can avoid such penalties in future.
Disciplinary action should be taken in private. By exposing an employee to public
ridicule the supervisor attacks his dignity and social standing. This may produce an
opposite effect on the employee. He may react violently or may become obstinate to
preserve his ego.
It is most unwise for a supervisor to take a general disciplinary action against a group of
subordinates. Disciplinary action is a matter for the individual. It is the individual who
should be held responsible for any wrong. A management which takes disciplinary action
against a group is likely to set off a wave of unrest associated with falling morale and
even the possibility of wildcat strike.
After the disciplinary action has been taken the supervisor must assume a normal attitude
towards the employee. He should revert to his role of a helping hand-as if nothing has
happened. This is possible only when the supervisor uses an impersonal approach in
administering a penalty. He should not engage in personal ridicule, insult or even
criticism. He should avoid getting into an argument. In short, he must play the role of a
judge enforcing the law with impartiality.
Hot-stove Rule
Discipline should be imposed without generating resentment. Mc Gregor propounded the red
hot stove rule which says that a sound and effective disciplinary system in an organization
should have the following characteristicsImmediate: Just as when you touch a red hot stove, the burn is immediate, similarly the penalty
for violation should be immediate/ immediate disciplinary action must be taken for violation of
rules.
Consistent: Just as a red hot stove burns everyone in same manner; likewise, there should be
high consistency in a sound disciplinary system.
Impersonal: Just as a person is burned because he touches the red hot stove and not because of
any personal feelings, likewise, impersonality should be maintained by refraining from personal
or subjective feelings.

Prior warning and notice: Just as an individual has a warning when he moves closer to the
stove that he would be burned on touching it, likewise, a sound disciplinary system should give
advance warning to the employees as to the implications of not conforming to the standards of
behavior /code of conduct in an organization.

7 Principles of Industrial Discipline to Ensure

a Good Disciplinary System in Your
Organisation
Principles
1. Knowledge of Rules:
The employees (both supervisor and the worker) must be informed clearly about what constitutes
good behaviour and the rewards that may emanate from it. For this purpose, the organisation
should develop a code of discipline in co-operation with the workers.
This code should contain in writing the rules, regulations and procedures considered necessary to
maintain discipline. These must be known to all concerned along with the punishment for their
violations. Code of discipline should be published in employee handbook.

2. Prompt Action:
All violations and misconducts should be promptly enquired into. When the penalty is imposed
immediately after the misconduct, the offender identifies the punishment with the act he has
committed.
Accordingly, the subordinate attempts to avoid the violation in future. The principle followed
here is strike the iron when it is hot. The greater the delay, the more one forgets and the more
one feels that punishment is not deserved.

3. Fair Action:
All acts of indiscipline should be punished consistently and uniformly. All persons should
receive the same punishment for the same offence.
If different rules were applied to different persons, management would be accused of
favouritism. An action in order to be fair must possess the following characteristics:
(a) All violations big and small should be duly punished.
(b) All individuals should receive equal punishment for similar equal indiscipline.
(c) Inconsistent behaviour of management leads to uncertainty in the minds of subordinates.
Discipline should be uniformly enforced at all times.
(d) The alleged violation should be fully inquired into.
(e) The employee should always be given an opportunity to explain his action.
(f) The burden of proving the violation always lies on the management.

4. Well-Defined Procedure:
The procedure to be used for disciplinary action should be clearly laid down. Definite and
precise provisions for appeal and review of all disciplinary actions should be provided for. It
should include the following steps:
(a) The supervisor must assure himself that some violation of the rules has taken place.
(b) The supervisor should state precisely and objectively the nature of the alleged violation.
(c) The supervisor should then proceed to gather full facts about the case and maintain proper
records.
(d) The appropriateness of a disciplinary action should be decided in terms of its effectiveness in
correcting the employee.
(e) The accused employee should have the right to appeal to higher authorities.

5. Constructive Approach:
The disciplinary system should be as far as possible preventive rather than punitive. Focus
should be on preventing violations rather than on administering penalties.
The immediate line supervisor should carry out disciplinary action. The employee should be told
not only the reason for the action against him but also how he can avoid such penalties in future.

6. Self-discipline:
Self-discipline is the best form of discipline and management should encourage such sense of
discipline among employees. After taking the disciplinary action, the supervisor must assume a
normal attitude towards the worker.

7. Review and Revision:

A supervisor must play the role of a judge enforcing the law with impartiality. He should not
engage in personal ridicule, insult or even criticism.
All rules and regulations should be appraised at regular intervals to ensure that they are
appropriate to the changing times. If a particular rule is violated time and again, it should be
thoroughly studied to discover and remove the causes of such violations.