TOPIC THREE:
HUMAN RESOURCE POLICIES : DISCIPLINARY AND
GRIEVANCE PROCEDURES
MS CHONGO NAMUSAMBA
What is disciplinary action?
Disciplinary action in the workplace is a method to stop an
employee
from
continuing
an
unwanted
behavior
or
reprimand them for breaking company rules and policies. It is
put into place to ensure that employees are safe and that
disruptions to the workplace (e.g., inappropriate behavior,
failure to meet goals) are kept to a minimum.
The goal of disciplinary action is to inform the employee of
the issue, provide them with opportunities to improve,
prevent a negative impact on other employees and protect
the interests of the company and staff. Above all, discipline
in the workplace deters employees from acting in a manner
that may be harmful to the success of a company.
Disciplinary procedures
What is a disciplinary procedure?
A disciplinary procedure is a clear process enabling
employers to address issues of misconduct that might be
committed by employees during the course of their
employment. It sets a framework to operate within to ensure
that there is consistency of treatment, yet also allows for
individual and mitigating circumstances to be addressed and
considered.
PURPOSE OF DISCIPLINARY ACTION
The purpose of disciplinary action is to correct behavior
and document issues. Taking disciplinary action in the form
of a verbal warning, a written warning, a suspension, or
termination can be uncomfortable for both the employee
and the manager.
The purpose of discipline according to Dessler (2001) is to
encourage employees to behave sensibly at work, where
being sensible is defined as adhering to rule and regulations.
In an organisation, rules and regulations serve about the
same purpose that laws do in society; discipline is called for
when one of these rules or regulations is violated (Bittel &
Newstrom, 1990).
Following are some of the purposes and
objectives of disciplinary action:
 To
enforce rules and regulations.
 To
punish the offender.
 To
serve as an example to others to strictly follow
rules.
 To
ensure the smooth running of the organisation.
Following are some of the purposes and
objectives of disciplinary action:
 To
increase working efficiency.
 To
maintain industrial peace.
 To
improve working relations and tolerance.
 To
develop
performance.
a
working
culture
which
improves
Benefits of having Disciplinary
procedures
The procedure categorically encourages uniform behavior in
the workplace, and when the employee is treated fairly, it
increases his self-confidence and morale. This leads to an
increase in his efficiency and productivity levels.
Consequences of not having disciplinary
procedures
As an employer, you need to know how to discipline
employees in the correct way. Simply telling the employee
they have a warning, or they are being dismissed without a
fair disciplinary procedure, could end up costing your
company a lot of money.
What does a disciplinary procedure look
like?
Many employers will have their own procedure that allows for both informal
and formal processes.
Informal process
This usually involves a meeting with the employee where any concerns are
raised and discussed. The outcome may be to issue a ‘letter of concern’ to
confirm what was discussed and the improvements required.
A key message to employers in addressing issues of misconduct is: Do Not
Delay! It is imperative to keep written records of any informal discussion – a
diary note can often suffice.

Using an informal process can often address the issues and get
some kind of improvement. Misconduct that is left unchecked
can often escalate to the point when the employer or manager
can’t take any more, gets frustrated and wants to move to
dismissal. In most cases, this would be an unfair response, as no
attempt has been made to alert the employee about the type
of misconduct the employer is experiencing. It is really
important that issues are nipped in the bud so there is no
snowball effect
The formal disciplinary process
A formal disciplinary process usually involves a number of
stages:
1.
Investigation (including consideration of suspension)
2.
Invite to disciplinary hearing
3.
Disciplinary hearing
4.
Disciplinary outcome
5.
Appeal process
The formal disciplinary process: Investigation
When there is an allegation of misconduct, an investigation will
usually follow (although not in all cases and your procedures
should allow for this). The investigation is the fact-finding part of
the formal process. It is important that any investigation is fair
and balanced – it should not be purely focused on proving the
employee’s guilt. The objective of any investigation is to decide,
on the balance of probabilities, whether there is a case to answer.
Consider who should carry out the investigation - they need to be
impartial.
In some cases, it will be appropriate to suspend the employee, on
full pay, whilst the investigation is being carried out. It is
important not to have a knee jerk reaction when thinking about
whether to suspend – it is not always appropriate. Suspension is
normally appropriate if there is a threat to the business or the
employee or a belief the employee may interfere with the
investigation. Suspension is not a punitive measure nor is it an
indication of an employee’s guilt, so it should always be with pay.
The formal disciplinary process: Invite to
disciplinary hearing
Ensure the formulation of the allegation is done correctly;
consider including a more generic allegation (e.g. a
breakdown in trust and confidence), as you may not have
enough to support a specific allegation but the employee’s
behaviour/actions may have been such to cause a breakdown
in trust, which an employer may feel goes to the root of the
contract and justifies a dismissal (or other sanction).
The invite should also advise of the potential outcome of the
meeting. If it is potential gross misconduct (very serious
issues of misconduct such as assault, theft, fraud, and gross
negligence) then it needs to be stated that an outcome
could be summary dismissal i.e. a dismissal without notice.
The invite needs to provide the employee with adequate
notice of the hearing, so they can fully prepare their case. It
should also provide them with copies of all documentation
and information to be used at the hearing. The right to be
accompanied also needs to be explained and, ideally, you
should request confirmation of attendance from the
employee.
The formal disciplinary process: The
disciplinary hearing

It is important that the hearing has structure and that
attendees and their roles are explained. Explain how the
hearing will be conducted (including representation
rights) and consider whether notes will be taken. If the
hearing is being conducted online via Zoom or similar, you
do have the option to record the meeting, but ensure all
parties agree to this if it is to be recorded.
Check whether there are any additional or mitigating
circumstances
to
be
considered.
Always
have
adjournment to consider the final decision and outcome.
an
The formal disciplinary process: The
disciplinary outcome
The decision to be made is whether or not any disciplinary action is
justified. Refer to the hearing invite when making a decision, as you
shouldn’t impose a sanction that is more severe than the one
outlined in the invite.
The potential outcomes and actions available include:
1.
No action (but could include alternatives such as training,
coaching, or counselling for example)
1.
Verbal warning (less popular these days as confirming the
verbal warning in writing often leads to confusion as to its
status)
2.
1st written warning
3.
Final written warning
4.
Dismissal with notice
5.
Summary dismissal (appropriate for gross misconduct)
The disciplinary outcome should be confirmed in writing, as
well as how long any warning will last. It is important to set out
the standards of future behaviour and conduct expected,
potential consequences if there is no improvement, and
whether there will be any reviews before the warning expires
(this is useful to do). It is also essential that the right of appeal
is contained and what the employee needs to do if they wish to
exercise this right.
The formal disciplinary process: The appeal

The employee should be encouraged to provide the reasons for their
appeal in writing. When this is received, an appeal hearing should be set
up in a timely manner and it is important that any appeal is heard by an
impartial Chair who has not previously been involved in the disciplinary
or investigation process.

The potential outcomes of the appeal will be to either overturn the
previous decision taken at the disciplinary hearing or to dismiss the
appeal and confirm the original decision. The appeal outcome is the final
part of the internal process.
What is Grievance?
Employee Grievance means any type of disappointment or
unhappiness arising out of factors related to an employee’s
job which he thinks is unfair. A grievance can be factual,
imaginary or disguised.
Dale S Bearch defines it as any dissatisfaction or feeling of
injustice in connection with one’s employment situation
that is brought to the attention of management“.
According to Michael J Judicious, “A grievance is any
discontent or dissatisfaction whether expressed or not,
whether valid or not, arising out of anything connected with
the company that an employee thinks believes or even feels,
is unfair, unjust or inequitable“.
A grievance arises when an employee goes through an unfair,
unjust or inequitable situation or treatment at the
workplace. This feeling grows over a period of time and
leads to a complaint by the aggrieved employee. If his
complaint goes unheard or unattended for a long time it
takes the form of grievance
Causes of Grievance
There are various factors that leave an employee unhappy
and dissatisfied at the workplace. They become a cause of
concern and results in a demotivated staff.
Causes of Grievance :Inadequate Wages and
Bonus
When the workers are not paid an adequate amount of
wages and bonuses for their hard work or if equal wages are
not paid for the same work, the grievance may arise.
Causes of Grievance :Unachievable and
Irrational Targets and Standards
Sometimes targets set by the managers are so impractical,
that they cannot be achieved easily. Workers eventually get
under tremendous stress and pressure in the effort of
chasing the targets, which leads to grievance among the
employees.
Causes of Grievance : Bad Working
Conditions

Working conditions is a very important factor that impacts
the satisfaction level of an employee. Bad working
conditions, unavailability of tools and proper machinery
etc lead to grievances amongst the employees.
Causes of Grievance: Inadequate Health and
Safety Services
Companies while paying attention to maximizing their profit
end up compromising the health and safety conditions of the
employees.
An
unhygienic
environment,
poor
safety
conditions etc demotivate an employee to come to the
workplace.
Causes of Grievance: Strained Relationship
Amongst the Employees
Sometimes the employee feels jealous, anxious, nervous etc.
working with their employees, superior or subordinate. The
absence of healthy relationships amongst the employees
leads to an environment which is conducive to unhappiness,
dissatisfaction and grievance
Causes of Grievance: Layoffs and
Retrenchment
At the time of economic breakdown, every company try to
reduce the strength of their employees so that they can cut
down the overall cost. In such cases, the retrenched
employees feel cheated and it also instils fear in the minds
of the employees who are retained.
Causes of Grievance: Lack of Career
Planning and Employee Development Plan
Planning enables employees to think about their future and
overall development. For the employees to stay successful in
their career it is a must for them to keep pace with the
changing trend and environment. Lack of planning and
showing no interest in the development of an employee
makes them dissatisfied and stagnant in life.
Effects of Grievance
A dissatisfied and unhappy employee will not be able to
perform to the best of his ability. His mind will be
preoccupied with the things that are bothering him which
leads to a lack of focus on his current job in hand. It leads to
a drop in productivity and efficiency of the employee and
the organization as a whole.
Effects of Grievance: Demotivated Staff
If there is no corrective action taken when an employee
approaches with a complaint regarding something that is
troubling him at the workplace, he may end up feeling
frustrated and demotivated. A demotivated employee losses
his interest in his work or job assigned. He works only for
the sake of wages or salaries.
Effects of Grievance: Low Productivity
If the grievance is not sought out in proper time or as and
when it arises employees become dissatisfied and will not
work to their full potential which leads to low productivity
overall.
Effects of Grievance: Labor Unrest
Distressed employees if not handled properly eventually can
even get violent which will cause heavy damage to the
company.
Effects of Grievance: Absenteeism
Delay or neglect in solving the problem of the employee will
kill the drive in him to report to work every day This may
cause an unwanted increase in absence rate.
Effects of Grievance: High Rate of Attrition
Attrition rate refers to the number of people leaving an
organization over a period of time. If an employee is
unhappy with the organizations working conditions, culture
etc, the organization may end up eventually losing the
employee to its competitors in the industry.
Strains the Superior-Subordinate
Relationships
Once disciplinary action is taken against a subordinate it
strains the relationship between the superior and him as he
feels that the action must be taken as per superiors’
recommendation or with his consent and knowledge.
Reduces Employee Morale and Commitment
An unattended grievance of an employee may make him feel
that he is been taken for granted by the organization. His
morale and faith in the organization may come down
tremendously and he may not feel committed to the
organization anymore.
Increase in Wastage and Cost
With an occupied mind the employee may not be able to
focus in utilizing the factors of production to the optimum
level, this might lead to wastage of materials and lead to
high costs.
Grievance Procedure
1. Employees should be encouraged to raise the issue
informally in the first instance, if appropriate.
2. If the matter is not resolved, the employee submits a
grievance letter to their employer.
3. The employer investigates the grievance.
4. A grievance hearing is held.
5. A decision is made and resulting action taken.
6. If necessary, the employee makes an appeal.
7. There is an appeal hearing.
8. The appeal decision is made.
Benefits of Grievance Handling
Avoids Disputes
Before a grievance takes the form of any kind of dispute, it
is the duty of the management to solve it as soon as
possible.
Timely
redressal
of
grievance
saves
the
organization from settling a dispute that may arise
otherwise.
Benefits of Grievance Handling
Opportunity
for
the
Workers
to
Express
their
Dissatisfaction
It provides the workers an opportunity to express their fears,
anxieties and dissatisfaction. It brings grievance to the open
and to the knowledge of the managers so that they can take
a step to resolve it.
Benefits of Grievance Handling
Boosts Morale and Emotional Security
It provides employees a platform where they can formally
release their emotional stress and dissatisfaction. It thus
builds within him a sense of emotional security.
Benefits of Grievance Handling
Enhances Commitment of the Staff
When the employees feel emotionally secured that their
problems and grievances are being attended to and resolved
promptly, they feel a sense of commitment to the
organization. Their drive to perform to the best of their
ability increases and they become more loyal towards the
organization.
Benefits of Grievance Handling
Helps Maintain Cordial Relationship
Acknowledgement of employee grievance by the managers
and redressal of the same as soon as possible promotes a
healthy relationship between the subordinate and the
superior. The subordinate feels cared for and in return would
follow the instructions of the superior with greater
dedication.
Benefits of Grievance Handling
Improves Staff Productivity
When an employee grievance is attended to and a prompt
action is taken to redress it, it boosts the employee’s morale,
motivates him to maximize his potential and work with full
dedication and commitment. This results in higher standards
of productivity and optimum utilization of resources.
The End