We are a medium-sized business with 100 staff members. I am the owner/CEO with a basic HR department trying to learn industry best practices. We have 2 senior Division Heads managing their teams of 40 people each. The HR department is common.
Question:
When there is a disciplinary issue with a staff member, what is the HR role supposed to be?
A. Remind the employee of company policy with a polite warning
OR
B. Inform the Division Head/Manager of the violation so that he can speak to his team member. Eventually, HR will get involved if the Division Head recommends some action, but the question is who will speak to the employee first - HR or their Manager?
From India, Ludhiana
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Question:
When there is a disciplinary issue with a staff member, what is the HR role supposed to be?
A. Remind the employee of company policy with a polite warning
OR
B. Inform the Division Head/Manager of the violation so that he can speak to his team member. Eventually, HR will get involved if the Division Head recommends some action, but the question is who will speak to the employee first - HR or their Manager?
From India, Ludhiana
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Dear friend, as the owner-cum-CEO of the industry, charged with the overall inalienable responsibility of steering the company moving ahead unabated, your post and its ultimate query are indicative of the meticulous attention you pay towards a harmonious working environment on the shop floor.
HR's Role in Disciplinary Control
Coming to your question, the HR, being a specialist in HRM, can be an effective counselor on the softer side and can prove to be an expert in guiding the management fairly in the matter of disciplinary control on the harder side.
The Importance of Line Managers
But my personal view is that only the wearer knows where the shoe pinches. To put it straight, the identification and analysis of behavioral as well as performance issues of grassroots level workmen should start with the line managers and functional heads as they handle the day-to-day work schedules. This would enable them to understand the gaps in communication between the doers and the overseers and decide on appropriate remedial measures then and there. This is an overall perspective on the identification of occasional blips and resolution of root level conflicts.
HR as an Impartial Counselor
When this becomes futile, the HR can play the role of an impartial counselor and try to convince the troublemaker.
Final Steps in Disciplinary Action
When all these gradual efforts of sama, dhana, and bedha fail, the HR would be in a vantage point to advise the Disciplinary Authority to take the danda and ensure the process ends in success.
From India, Salem
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6108HR's Role in Disciplinary Control
Coming to your question, the HR, being a specialist in HRM, can be an effective counselor on the softer side and can prove to be an expert in guiding the management fairly in the matter of disciplinary control on the harder side.
The Importance of Line Managers
But my personal view is that only the wearer knows where the shoe pinches. To put it straight, the identification and analysis of behavioral as well as performance issues of grassroots level workmen should start with the line managers and functional heads as they handle the day-to-day work schedules. This would enable them to understand the gaps in communication between the doers and the overseers and decide on appropriate remedial measures then and there. This is an overall perspective on the identification of occasional blips and resolution of root level conflicts.
HR as an Impartial Counselor
When this becomes futile, the HR can play the role of an impartial counselor and try to convince the troublemaker.
Final Steps in Disciplinary Action
When all these gradual efforts of sama, dhana, and bedha fail, the HR would be in a vantage point to advise the Disciplinary Authority to take the danda and ensure the process ends in success.
From India, Salem
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The Role of the Employer in Disciplinary Actions
Any act unworthy of employment calls for necessary disciplinary action (corrective action), which is the essential "duty," "responsibility," "prerogative," and "privilege" of "the employer" in respect of the persons employed by him or her.
Hence, it is the employer's authority to initiate any disciplinary action, including and often beginning with counseling, advisory, caution, verbal warning, ending with discharge or dismissal. All the disciplinary action steps must therefore be taken by the employer or the person authorized by an instrument of delegation of authority/power to discipline.
The Role of Human Resource Functionaries
Human resource functionaries, like any other functionaries such as finance, operations, sales, marketing, etc., are reportees to the employer/the occupier/the disciplining authority and need not be the punishing authority, who are actually the appointing authority as well.
HR as Advisors and Aids
Human resource management and development functionaries are, by nature and scope of their duties, at best the "aid and advisors" to the employer/the punishing authority.
Let HR management and development professionals be and remain aids and advisors to the employer/punishing authority as far as disciplining is concerned and concentrate more on practicing the "humane touch," which does not absolve the HR professionals from being good listeners and "coach, counselor, and mentor, entwined."
Regards, Team Kritarth, Bengaluru Centre, 1.1.2020
From India, Delhi
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Any act unworthy of employment calls for necessary disciplinary action (corrective action), which is the essential "duty," "responsibility," "prerogative," and "privilege" of "the employer" in respect of the persons employed by him or her.
Hence, it is the employer's authority to initiate any disciplinary action, including and often beginning with counseling, advisory, caution, verbal warning, ending with discharge or dismissal. All the disciplinary action steps must therefore be taken by the employer or the person authorized by an instrument of delegation of authority/power to discipline.
The Role of Human Resource Functionaries
Human resource functionaries, like any other functionaries such as finance, operations, sales, marketing, etc., are reportees to the employer/the occupier/the disciplining authority and need not be the punishing authority, who are actually the appointing authority as well.
HR as Advisors and Aids
Human resource management and development functionaries are, by nature and scope of their duties, at best the "aid and advisors" to the employer/the punishing authority.
Let HR management and development professionals be and remain aids and advisors to the employer/punishing authority as far as disciplining is concerned and concentrate more on practicing the "humane touch," which does not absolve the HR professionals from being good listeners and "coach, counselor, and mentor, entwined."
Regards, Team Kritarth, Bengaluru Centre, 1.1.2020
From India, Delhi
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You have 2 Division heads, presumably they are your line managers. HR is a staff function.
In a manufacturing scenario, the real HR manager is your line managers. Hence, in my opinion, let your line managers talk to the staff and resolve the issue, if any.
From India, Aizawl
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In a manufacturing scenario, the real HR manager is your line managers. Hence, in my opinion, let your line managers talk to the staff and resolve the issue, if any.
From India, Aizawl
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Role of the Line Manager in Disciplinary Issues
Concurring with seniors' views, the line of the reporting manager is the one who understands the genesis of the disciplinary issue and shall gather initial facts, speak to the delinquent employee, and assess the gravity of the issue. If the issue is a minor breach of discipline warranting a warning or issuing a memo with caution, he can seek help from HR to provide necessary drafts. However, if the matter is grave and involves financial bungling, it requires a detailed investigation. In my view, the line manager should not be burdened with such an investigation as his focus shifts from production, which is his core responsibility, to administration, and his precious time is spent on the disciplinary process. He can submit a report with recommendations to HR for a detailed investigation. HR can enlist the services of the Finance department to probe the matter and submit a report for further action.
Regards, B. Saikumar HR & Labour Relations Adviser.
From India, Mumbai
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Concurring with seniors' views, the line of the reporting manager is the one who understands the genesis of the disciplinary issue and shall gather initial facts, speak to the delinquent employee, and assess the gravity of the issue. If the issue is a minor breach of discipline warranting a warning or issuing a memo with caution, he can seek help from HR to provide necessary drafts. However, if the matter is grave and involves financial bungling, it requires a detailed investigation. In my view, the line manager should not be burdened with such an investigation as his focus shifts from production, which is his core responsibility, to administration, and his precious time is spent on the disciplinary process. He can submit a report with recommendations to HR for a detailed investigation. HR can enlist the services of the Finance department to probe the matter and submit a report for further action.
Regards, B. Saikumar HR & Labour Relations Adviser.
From India, Mumbai
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"Eventually, HR will get involved if the Division Head recommends some action, but the question is who will speak to the employee first - HR or their Manager?
My take on this matter
The Manager, as the direct and immediate superior of the employee, has the responsibility to talk first to the employee. Then, he can inform or coordinate with HR regarding any recommended action that the immediate superior/manager may have for the employee. This is to ensure that the implementation of any disciplinary action is consistent with company policy and does not set any precedent in decision-making.
The role of HR
As mentioned above, the role of HR is supportive. Therefore, care must be taken to ensure that the critical role of the immediate manager is not overtaken by HR.
Best regards.
From Philippines, Parañaque
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My take on this matter
The Manager, as the direct and immediate superior of the employee, has the responsibility to talk first to the employee. Then, he can inform or coordinate with HR regarding any recommended action that the immediate superior/manager may have for the employee. This is to ensure that the implementation of any disciplinary action is consistent with company policy and does not set any precedent in decision-making.
The role of HR
As mentioned above, the role of HR is supportive. Therefore, care must be taken to ensure that the critical role of the immediate manager is not overtaken by HR.
Best regards.
From Philippines, Parañaque
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The Role of HR and Line Managers in People-Related Actions
Many people in the industry have a misconception that HR is responsible for all people-related actions. This is absolutely incorrect. Many of our learned professionals have mentioned that every line manager is an HR manager who handles the manpower directly to meet departmental and organizational goals. An HR Manager is an enabler who provides clarifications, interpretation, and support in a neutral way, explaining what is right and what is wrong. The HR department is there to translate management's views through various policies, their implementation, supervision, etc. If a line manager does not know the application of a rule, it is better to seek help from the HR Department.
Best wishes
From India, Bengaluru
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Many people in the industry have a misconception that HR is responsible for all people-related actions. This is absolutely incorrect. Many of our learned professionals have mentioned that every line manager is an HR manager who handles the manpower directly to meet departmental and organizational goals. An HR Manager is an enabler who provides clarifications, interpretation, and support in a neutral way, explaining what is right and what is wrong. The HR department is there to translate management's views through various policies, their implementation, supervision, etc. If a line manager does not know the application of a rule, it is better to seek help from the HR Department.
Best wishes
From India, Bengaluru
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Summary of Disciplinary Procedure
Following steps to be taken in this order:
1. Employee violates company policy/discipline.
2. HR informs the employee's respective reporting head/manager to counsel the employee.
3. Manager counsels the employee. They may seek clarity from HR regarding the right way to do it, the exact company policy, and whether their proposed solution, if any, is in line with company policy.
4. Manager may implement some formal disciplinary action and may involve HR in it as well.
5. If the manager fails to counsel/correct employee behavior within a specified time period, HR may remind the manager once more. Failing which, the issue should be escalated to the Manager's Manager.
Have I understood the matter correctly?
From India, Ludhiana
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Following steps to be taken in this order:
1. Employee violates company policy/discipline.
2. HR informs the employee's respective reporting head/manager to counsel the employee.
3. Manager counsels the employee. They may seek clarity from HR regarding the right way to do it, the exact company policy, and whether their proposed solution, if any, is in line with company policy.
4. Manager may implement some formal disciplinary action and may involve HR in it as well.
5. If the manager fails to counsel/correct employee behavior within a specified time period, HR may remind the manager once more. Failing which, the issue should be escalated to the Manager's Manager.
Have I understood the matter correctly?
From India, Ludhiana
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HR's role in disciplinary actions
HR's role in general, and in matters of disciplinary actions in particular, is that of an advisor, counselor, and catalyst. The frontline managers have the primary responsibility for all people issues of the teams under their control.
Therefore, to answer your query, it is quite obvious that the line manager should initiate a conversation with the truant employee after seeking advice from HR if needed. The manager should sort out the issue at their level, regardless of who noticed or reported the act of indiscipline first.
Regards,
Vinayak Nagarkar
HR and Employee Relations Consultant.
From India, Mumbai
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HR's role in general, and in matters of disciplinary actions in particular, is that of an advisor, counselor, and catalyst. The frontline managers have the primary responsibility for all people issues of the teams under their control.
Therefore, to answer your query, it is quite obvious that the line manager should initiate a conversation with the truant employee after seeking advice from HR if needed. The manager should sort out the issue at their level, regardless of who noticed or reported the act of indiscipline first.
Regards,
Vinayak Nagarkar
HR and Employee Relations Consultant.
From India, Mumbai
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The Importance of Discipline in Industrial Relations
Discipline is the essence of industrial relations. Indiscipline often arises due to the absence of a clear-cut policy within the establishment outlining do's and don'ts.
Your establishment has over 100 staff members in various roles, making it essential to establish a set of Standing Orders promptly. While your HR department may be striving to implement best practices, without a policy in place, their efforts may not be fruitful.
We have two senior Division Heads, each managing a team of 40 people. The HR department is shared between the divisions.
Handling Disciplinary Issues
In the event of a disciplinary issue:
- The primary role of HR is to inform the management.
- Assess the severity of the misconduct and its potential impact if left unaddressed.
- If it appears that the indiscipline stems from a lack of awareness regarding company policy, the employee should be reminded of the policy and issued a warning.
The responsibility of initiating communication falls on HR, as the complainant is likely to be the Division Head or Manager.
Thank you.
From India, Mumbai
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Discipline is the essence of industrial relations. Indiscipline often arises due to the absence of a clear-cut policy within the establishment outlining do's and don'ts.
Your establishment has over 100 staff members in various roles, making it essential to establish a set of Standing Orders promptly. While your HR department may be striving to implement best practices, without a policy in place, their efforts may not be fruitful.
We have two senior Division Heads, each managing a team of 40 people. The HR department is shared between the divisions.
Handling Disciplinary Issues
In the event of a disciplinary issue:
- The primary role of HR is to inform the management.
- Assess the severity of the misconduct and its potential impact if left unaddressed.
- If it appears that the indiscipline stems from a lack of awareness regarding company policy, the employee should be reminded of the policy and issued a warning.
The responsibility of initiating communication falls on HR, as the complainant is likely to be the Division Head or Manager.
Thank you.
From India, Mumbai
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I beg to differ with Mr. Mohanty's views. The post does not say that it has a strength of 100 'workmen' to make Standing Orders applicable, nor does it state that the truant employee is a workman. It mentions that an HR policy exists, but the query raised is who initiates a talk on the policy and on the act of indiscipline to the employee, whether the line manager or HR?
Since the line manager is accountable for the performance of the team, discipline, and coordination of team efforts for deliverables, the answer is that the line manager, and not HR, has to initiate the talk after consulting HR if required. If the discipline issue remains unresolved, then certainly HR will intervene and take an appropriate call based on the nature and gravity of the act, considering all legal and other implications.
Some learned members have concurred with my differing views, but I would appreciate some varying perspectives from other learned members on this vital subject.
Regards,
Vinayak Nagarkar
HR and Employee Relations Consultant
From India, Mumbai
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Since the line manager is accountable for the performance of the team, discipline, and coordination of team efforts for deliverables, the answer is that the line manager, and not HR, has to initiate the talk after consulting HR if required. If the discipline issue remains unresolved, then certainly HR will intervene and take an appropriate call based on the nature and gravity of the act, considering all legal and other implications.
Some learned members have concurred with my differing views, but I would appreciate some varying perspectives from other learned members on this vital subject.
Regards,
Vinayak Nagarkar
HR and Employee Relations Consultant
From India, Mumbai
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Overall Responsibilities of Human Resource Managers
A human resource manager has two basic functions: overseeing department functions and managing employees. That's why human resources managers must be well-versed in each of the human resources disciplines—compensation and benefits, training and development, employee relations, and recruitment and selection. Core competencies for HR management include solid communication skills and decision-making capabilities based on analytical skills and critical thought processes.
Human resource managers have strategic and functional responsibilities for all of the HR disciplines. A human resource manager has the expertise of an HR generalist combined with general business and management skills. In large organizations, a human resource manager reports to the human resource director or a C-level human resource executive. In smaller companies, some HR managers perform all of the department's functions or work with an HR assistant or generalist that handles administrative matters. Regardless of the size of the department or the company, a human resource manager should have the skills to perform every HR function, if necessary.
Although the employee relations specialist is responsible for investigating and resolving workplace issues, the human resource manager has ultimate responsibility for preserving the employer-employee relationship through effective employee relations strategies. An effective employee relations strategy contains specific steps for ensuring the overall well-being of employees. It also ensures that employees have a safe working environment, free from discrimination and harassment. Human resource managers for small businesses conduct workplace investigations and resolve employee complaints.
Human resource managers may also be the primary contact for legal counsel in risk mitigation activities and litigation pertaining to employee relations matters. An example of risk mitigation handled by a human resource manager includes examining current workplace policies and providing training to employees and managers on those policies to minimize the frequency of employee complaints due to misinterpretation or misunderstanding of company policies.
Since the HR reporting authority is the CEO, GM, or whoever it may be, the main function is to take the initiative and act as a bridge between the management and the ground floor incidents. Of course, decisions may be taken in a committee, in which HR is also a member.
Regards,
Dr. PBS KUMAR
From India, Kakinada
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A human resource manager has two basic functions: overseeing department functions and managing employees. That's why human resources managers must be well-versed in each of the human resources disciplines—compensation and benefits, training and development, employee relations, and recruitment and selection. Core competencies for HR management include solid communication skills and decision-making capabilities based on analytical skills and critical thought processes.
Human resource managers have strategic and functional responsibilities for all of the HR disciplines. A human resource manager has the expertise of an HR generalist combined with general business and management skills. In large organizations, a human resource manager reports to the human resource director or a C-level human resource executive. In smaller companies, some HR managers perform all of the department's functions or work with an HR assistant or generalist that handles administrative matters. Regardless of the size of the department or the company, a human resource manager should have the skills to perform every HR function, if necessary.
Although the employee relations specialist is responsible for investigating and resolving workplace issues, the human resource manager has ultimate responsibility for preserving the employer-employee relationship through effective employee relations strategies. An effective employee relations strategy contains specific steps for ensuring the overall well-being of employees. It also ensures that employees have a safe working environment, free from discrimination and harassment. Human resource managers for small businesses conduct workplace investigations and resolve employee complaints.
Human resource managers may also be the primary contact for legal counsel in risk mitigation activities and litigation pertaining to employee relations matters. An example of risk mitigation handled by a human resource manager includes examining current workplace policies and providing training to employees and managers on those policies to minimize the frequency of employee complaints due to misinterpretation or misunderstanding of company policies.
Since the HR reporting authority is the CEO, GM, or whoever it may be, the main function is to take the initiative and act as a bridge between the management and the ground floor incidents. Of course, decisions may be taken in a committee, in which HR is also a member.
Regards,
Dr. PBS KUMAR
From India, Kakinada
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