HR MANAGEMENT - Disciplinary Rules

DISCIPLINARY RULES

By Faudzil Harun

Essential Features in Disciplinary Rules              

It is not possible for any set of disciplinary rules to cover all contingencies for all industries. The rules therefore need to be flexible enough to suit particular circumstances and for different industries, depending on the size of the workforce and the nature of the industry.

It is very important to display fairness in disciplinary rules. Disciplinary rules, if communicated and explained clearly to employees will serve as an effective tool in enhancing discipline at the workplace and contribute to the well being of the organization.    

A disciplinary rule should :

1.  Be in writing, using simple terms.

2.  Specify to whom it shall apply.

3.  Specify the procedures related to the rules.

4.  Indicate the type of punishment that can be imposed.

5.  Specify the levels of management, which have the authority to take
     disciplinary action.

6.  Provide for supply of information on complaints or charges against the
     employee.

7.  Give employee the right to defend themselves against any allegation or
     charges.

8.  Allow the employee to be heard and question witnesses at an inquiry.

9.  Give employee the right to know what there are being punished for.

Categories of Disciplinary Rules

Discipline in industrial employment can be dealt with under different categories as follows :

1.  Rules Relating to Duty

     This rule shall specify the employee’s obligation to his duties including
     attendance, providing his skills and obey to reasonable orders given to
     him.

2.  Rules Relating to Misconduct
     This rule shall specify the violation of employee’s obligation including the
     act done willfully with wrong intention.

3.  Rules Relating to Company Provided Accommodation
     There is a need to establish rules for employees provided with
     accommodation that go beyond the hours of work.

     The rules should include :

     3.1  The requirement for the employee to live in harmony with the 

            neighbours.
     3.2  Nuisance and disturbance of peace.
     3.3  Undesired behavior and immoral activity.
     3.4  Pet breeding.
     3.5  Possess of illegal drugs, weapons and dangerous materials.
     3.6  Unauthorized gatherings.

4.  Rules relating to Safety and Health                     
     In many sectors, there may be other concern for safety and health arising 

     from the nature of work and the failure to personal protection. In most 

     workplace where there are equipment and machinery which can cause 

     injury or illness, employer should introduce “permit to work” system.         

     Rules on safety and health should prevent accident and must show that 

     failure to obey such rules can lead to disciplinary action. Employer should 

     observe the provisions provided under the Occupational Safety and Health 

     Act, 1994 and other related legislation.


Flaws and Pitfall in Disciplinary Rules                        

Employers must ensure not to tie himself up and give up his right to punish the employee who deserved to be punished. Do not therefore have an absurd clause that prevents the employer from punishing.

Example 1

A handbook of a company had a provision that : Assaulting a superior is misconduct. Employee will be given warning for the first offence followed by a
final warning for a second offence. Disciplinary action includes dismissal will be taken to employee found guilty for the offence. The flaws and pitfalls are giving every employee the chances to assault their superior for two times.             

Example 2
A company’s handbook contained the following : “All cases of breach of discipline including misconduct, inefficiency, insubordination and criminal offences, shall be dealt with through an inquiry, after two letters of warning have been issued by the company.”

The company dismissed five employees for false overtime claims and found that they in breach of their own terms and conditions of service. The company was obliged to give two letters of warning as per misconduct of even criminal offences. The failure to follow the set procedure led to the finding of the Industrial Court that the dismissals were unfair.

Example 3
A company rule mentioned that “All employee is responsible for their own safety and health at work, and must also ensure safety and health of others at the place of work.”

Example 4
A company’s rules of misconduct stated : “Fighting is considered to be a serious misconduct and subject to dismissal.”

In many circumstances, all person involved in fighting will be punished but employer would have to ascertain why the employee was fighting and if there were mitigating circumstances, like the offending employee was pushed into fighting or was acting in self- defense, then he could decide on the punishment. Dismissal is just one option. 


Communicating the Disciplinary Rules to Employees

The disciplinary rules should also contain information on the likely consequences of breaking the rules. They should identify the types of conduct, which are serious breaches of conduct that may warrant severe disciplinary action including dismissal.

It is one thing to have rules and another to communicate them to employees. The employer should ensure that every employee to whom the rules apply is aware of the rules.
The induction program for new employee should include the exposure of the new employee to company policies on safety, discipline and the contents of the disciplinary procedures. Employee handbook are ideal for this situation and where it exist, a copy should be provided to each employee during the induction.

Employers should pay particular attention to the communication process and ensure that the rules are actually communicated. It is not good enough to make the rules, dish them around to a few and imply that the rest of the employees are aware of them. Assuming that every employee is aware of the rules is wrong. Unless it is communicated, there can be no disobedience.


Record Keeping of Indiscipline Vital

Quite often, managers and supervisors are so preoccupied with their daily routine that they do not keep proper records of warnings oral or written, given to employees for misconduct, poor performance. It is important that the employer keeps records of misconduct and poor performance committed by his employees, the actions taken and penalties imposed including oral warnings. The date and time of the offence, the nature of the offence should form part of the record.

In the case of Malayan Banking Berhad v ABOM (1998), it was held that the past records could be taken into account to determine the severity of the offence. When an employee is dismissed for misconduct, it will certainly help if the employer is able to produce evidence that it is not the first time the employee is hauled up. The records will support the decision to dismiss.

In I/C Award 94/80 - National Union of Hotel, Bar and Restaurant Workers v Casuarina Beach Hotel Sdn. Bhd. Penang, the Industrial Court held the dismissal unfair “as there was no firm evidence of his being sufficiently warned and there is nothing in his personal file as regards fighting or being involved in any fighting.”

In I/C Award 39/74 – South East Asia Fire Bricks Sdn. Hd. V Non Metallic Mineral Products Manufacturing Employees Union, the court ruled that it is harsh for the employer to rely on a single act of misconduct to dismiss a man who had long years of service with the employer.