Disciplinary Procedures

Definition and Process Cole: at work, discipline is a question of (a) devising appropriate rules of behaviour for employees (b) providing fair and consistent means of enforcing the rules. Salamon: the formal disciplinary process is concerned with formal action taken by management against an individual who fails to conform to the rules established by management within the organization. Actions which warrant formal disciplinary actions: Gross or serious misconduct – offences warranting summary dismissal or at least severe disciplinary action for a single misconduct. Minor misconduct – offences which warrant a verbal or written warning but may entail eventual dismissal for a persistent offender.

Process: The standards of behavior/performance that are desired may be set out in written form or may be unwritten and assumed as understood by employees. Employee performance/behaviour is assessed against these standards if or when the behaviour/performance is thought out of line with standards. Corrective action is taken by means of sanctions when behaviour/performance is found to be out of line with the standards. Subsequent behaviour is assessed against the standards to ascertain whether the desired change has taken place.

Elements of the Procedure Salamon: the purpose of the disciplinary procedure is to provide an acceptable mechanism within which management may exercise control over employees when their performance or behaviour do not reach the required standard. It limits management’s freedom of action by outlining the manner in which such control is to be exercised.

Features of the Procedure Written, formal Specify to whom applies (affected employee given a copy) Indicate various forms of disciplinary actions that may be taken (warning, dismissal, etc). Specify appropriate levels of management authority for exercising disciplinary action Ensure employee is informed of charges and permit him/her to state case and be accompanied by a trade union official Ensure proper investigation of every case before disciplinary action is implemented and that a first time offence, except for gross misconduct, does not result in dismissal Provide for right of appeal (provision must be made for employee to appeal, within reasonable time, against disciplinary action).

Categories of rules and sanctions General society rules relating to personal behaviour – fighting, drunkenness, stealing, etc. These acts affect achievement of organizational objectives Rules derived from external legislation – health and safety, sexual and racial discrimination, etc. Failure of individual/group to comply with regulations may result in management being legally liable. Managerially determined general work control rules – timekeeping, and work performance. Management limits freedom of employees to engage in actions that would negatively affect production or disregard it instructions.

Sanctions Verbal warnings - least severe, formal, recorded, employee given written notice of verbal warning Written warning - should clearly state offence, indicate future consequences if no improvement Suspension – precautionary, pending investigation; suspension without pay (subject to terms of CB. Transfer or demotion – may be used as alternative to dismissal Fines and deductions – may be imposed if expressly provided in contract of employment or employee agrees to same in writing Dismissal – should take place when there is no other alternative. Employer should ensure dismissal fair and reasonable and in accordance with disciplinary procedure and legal framework.

Role, Responsibility of Management Manager/supervisor exercises significant power in the disciplinary interview – presents the evidence against employee, weighs evidence from both side and makes decision on final outcome. In short, performs roles of prosecutor, judge and jury. Steps to take when preparing for the interview: Ensure that the employee has a case to answer Decide whether the matter warrants formal disciplinary action Determine, based on employee record, what stage of disciplinary procedure reached and range of sanctions applicable if case proved Ensure employee advised of nature of interview, to allow him/her to prepare case and be accompanied by union official and or witnesses, if desired.

Stages of Interview A disciplinary interview is management’s call. Action is taken in a two-step process. 1. Establishing the facts of the case: this involves gathering facts either by collection of data or interviewing witnesses. Information must be reviewed with employee present who has opportunity to question witnesses, present own side of the case, call own witnesses. 2. Administering the disciplinary sanction: this involves making the employee aware of the need for the disciplinary action, the sanction and its effects and the expectations of future behaviour. N.B. Firms that operate without a formal disciplinary procedure will have problems defending any legal action for unfair dismissal.