Discipline

Lec. 2

Worku Mekonnen (PhD)

 What is discipline?
• In essence, the term ‘discipline’ is a
misnomer in commerce and industry, for the
purpose of all rules should be to set down for
employees what is acceptable and
unacceptable behaviour;

• they are guidelines for employees in the

standards expected of them
• Properly written they tell employees what
behaviour their employer expects of them, as
such, they form part of the contract of
employment.

• It is a legislative requirement that information on

the rules and disciplinary procedures that apply
to employees are set out.

• Their aim should always be to provide

information to employees on the standards that
they must maintain if they are to effectively
perform their side of the contract.
 Drafting the rules

• To be effective rules must be:

 
– Clear and unambiguous;
– Written in ‘plain language;’
– Understandable by all employees, or level of
educational attainment;
– Accepted as fair and reasonable by those to whom
they apply; and
– in relation to the nature of work and the job
• Rules should not only set out the boundaries of
behavior and performance required of employees, but
they should define the category within which each rule
falls, indicating the severity with which any breach of
them will be treated.

• Actions which are unacceptable, but not fundamental

breaches of contract should be indicated.

• Similarly, actions which would constitute a repudiation

of contract need to be clearly set out.
 Each organization will have its own particular needs.
But rules usually cover:
• Unsatisfactory work • Failure to observe safety
performance   rules
• Harassment, victimization • Misconduct – which can
or bullying cover a wide definition
• Misuse of company • Gross Misconduct
facilities (such as e-mail, • A ‘catch-all clause’ stating
internet, vehicles and that any given list is not
other equipment etc) exhaustive
• Poor time keeping • Health and safety
• Unauthorized absence matters.
• Failure to follow  
instructions
 Examples of Gross Misconduct might
include
• Fighting or drunkenness
• Illegal drug taking and
alcohol use during
working hours – (or
outside if driving or flying
is involved)
• Theft or fraud
• Physical violence or
extreme bullying
• Deliberate and serious
damage to property
• Serious insubordination
• Unlawful discrimination
or harassment
• Bringing the organization
into serious disrepute
• Serious negligence
• A serious breach of health
and safety rules
• A fundamental breach of
trust and confidence.
• When drafting rules, employers should start
by asking what is important to their business.

• Employers must ensure that their rules are

relevant to their business, and concentrate
the minds of their employees onto those
things which are important to the success of
their business, or the attainment of the
businesses’ defined objectives
 Communicating the disciplinary rules
• The style and presentation of rules does not need to be intimidating
and boring.

• It is essential that all employees understand the standards expected

of them as set out in their employers’ disciplinary rules.

• Their first detailed knowledge of them should result from a clear

explanation being given to them during their induction programme.
This explanation should be tailored to the recipient.

• During the induction programme for new employees every

opportunity should be taken to ensure that the new employee
thoroughly understands not only what is in the rules, but the
thinking and reasoning behind them
 Disciplinary procedures

• The law on unfair dismissal requires

employers to act ‘reasonably’ when dealing
with disciplinary issues.

• What is classed as ‘reasonable’ behaviour

will depend on the circumstances of each
case, and is ultimately a matter for the
Employment Tribunals to decide.
 Disciplinary procedures

• The three step procedure which applies to standard

disciplinary action and any resultant dismissals is:

– Written notification to the employee of the alleged breach

of contract.

– A meeting to discuss the alleged breach including any

nominated representative of the employee.

– Opportunity for the employee to appeal against any

decision to impose a disciplinary penalty.
 The core principles that must be observed when drawing up a
disciplinary procedure are:

• Disciplinary procedures be used primarily to help and

encourage employees to improve, rather than just as
a way of imposing a punishment.
 
• Employees be informed of any complaint against them
and provided with an opportunity to state their case
before any decision is reached.
 
• Where appropriate, employees can be suspended from
work to facilitate investigation, particularly in cases of
alleged misconduct or gross misconduct.
• • No disciplinary action should be undertaken until the
facts of a case have been established and it is clear
that any disciplinary action contemplated is reasonable
in the circumstances.
 
• Employees being allowed to be accompanied at any
disciplinary meetings.

• Employees never being dismissed for a first disciplinary

offence unless it is a case of gross misconduct.
• Employees being provided with a written explanation for
any disciplinary action that is to be taken against them
with steps being taken to ensure that the employee is fully
aware of what improvements are expected of them.
• Employees being given an opportunity to appeal against any
disciplinary action taken against them. 
• Issues of a disciplinary nature being dealt with as thoroughly
and promptly as possible.
 
• Employers making every effort to act consistently in all
matters of discipline.
 
 Good disciplinary procedures should:
 
• Be in writing;
• Say to whom they apply;
• Be non-discriminatory;
• Allow for matters to be dealt without delay;
• Allow for information to be kept confidential;
 • Provide that no employee is dismissed for a
• Tell employees what disciplinary action first breach of discipline
might be taken; • except in cases of gross misconduct;
• Define and say what levels of management • • Require management to investigate fully
have the authority to take disciplinary before any disciplinary action
action;
• is taken;
• Require employees to be informed of the
complaints against them; and supporting • • Ensure that employees are given an
evidence before any meetings take place; explanation for any sanction; and
• Give employees every chance to have their • • Allow employees to appeal against any
say before management reaches any decision.
decision; •  
• Provide employees with the right to be
accompanied at all disciplinary and grievance
hearings;
• Provide that no employee is dismissed for a
first breach of discipline except in cases of
gross misconduct;
• Require management to investigate fully
before any disciplinary action is taken;
• • Ensure that employees are given an
explanation for any sanction; and
• • Allow employees to appeal against any
decision.
 When operating Disciplinary Procedures
employers must:
• When giving a warning, tell the employee
  why and how they need to change, the
consequences of failing to improve, and that
• Establish the facts before taking any they have a right of appeal.
disciplinary action.
 
 
• If dismissing an employee tell them why,
• Deal with cases of minor misconduct when their contract will end, and that they
informally. can appeal.
   
• Follow formal procedures for more serious •
cases, including informing the employee of
Before dismissing or taking other
the alleged misconduct or unsatisfactory disciplinary action other than issuing a
performance. warning, always follow the statutory
disciplinary and dismissal procedure.
 
• Invite the employee to a meeting and inform
them of their right to be accompanied.
 
• Where performance is unsatisfactory, explain to
the employee the improvement required,
the support that will be given to assist them
to achieve this, and when and how their
performance will be reviewed.
 Special situations

• Arrangements may be necessary within disciplinary procedures,

depending on the nature of work and work pattern undertaken:
 
• To handle problems that arise on a night or weekend shift when a
full complement of managers may not be present.

• If action is contemplated against a trade union representative to

whom legislation affords special protection.
 
• Where criminal charges or convictions occur that are not related to
work, the employer must establish the facts and then determine
whether a breach of contract has occurred.