Rules are necessary because they set standards. A good disciplinary procedure helps employees* keep the rules, and helps employers deal fairly with those who do not.
Rules will normally cover issues such as absence, timekeeping and holiday arrangements, health and safety, use of the organisation's equipment and facilities, misconduct, sub-standard performance, and discrimination, bullying and harassment.
Rules and procedures should be clear, and should preferably be put in writing. They should be known and understood by all employees
All employees should have ready access to a copy of the rules and disciplinary procedures.
Management should aim to secure the involvement of employees and any recognised trade union or other employee representatives when rules and disciplinary procedures are introduced or revised
Rules should be reviewed from time to time and revised if necessary
Management should ensure that those responsible for operating disciplinary rules understand them and receive appropriate training
Employers should be aware that any such requirement must be solely on the basis of health or safety, and should not discriminate between sexes or on the basis of age, race, disability, sexual orientation or religion or belief
While the following is not an exhaustive list, as different organisations will have different requirements, examples of the types of issues that rules might cover are:
Absence
authorising absence
approval of holidays
notification of absence
Health and safety
personal appearance – any special requirements regarding, for example, protective clothing, hygiene or the wearing of jewellery.
Employers should be aware that any such requirement must be solely on the basis of health or safety, and should not discriminate between sexes or on the basis of race, disability, sexual orientation or religion or belief
smoking policy
hazards/machinery/chemicals
policies on alcohol, drug or other substance abuse.
Discrimination, bullying and harassment
equal opportunities policy
policy on harassment relating to race, sex, disability, sexual orientation, religion or belief
bullying and harassment policy.
non-discriminatory clothing or uniform policies
standards of written or spoken language needed for the safe and effective performance of the job.
Gross misconduct
the types of conduct that might be considered as 'gross misconduct' (this is misconduct that is so serious that it may justify dismissal without notice).
What should disciplinary procedures contain?
When drawing up and applying procedures, employers should always bear in mind the requirements of natural justice. For example, employees should be informed of the allegations against them, together with the supporting evidence, in advance of the meeting. Employees should be given the opportunity to challenge the allegations before decisions are reached and should be provided with a right to appeal.
Good disciplinary procedures should:
be put in writing
say who they apply to (if there are different rules for different groups)
be non-discriminatory
provide for matters to be dealt with speedily
allow for information to be kept confidential
tell employees what disciplinary action might be taken
say what levels of management have the authority to take the various forms of disciplinary action
require employees to be informed of the complaints against them and supporting evidence, before any meeting
give employees a chance to have their say before management reaches a decision
provide employees with the right to be accompanied
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 andallow employees to appeal against a decision.
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