Therefore, managers should consider the role of the law and exceptions where applica-
ble in each action taken and the legal consequences. In principle, disciplinary proce-
dures should be designed for improving employee‘s personal conduct rather than impos-
ing sanctions. Most guidelines on the best procedures for handling disciplinary matters
are based on the principles of natural justice (Dale & Beach 1985; Torrington & Hall
1991; Gosh 2002; Bhatia 2006), which can be summarised as follows:
- Procedures should be in writing in order to ensure consistency and reliability.
- Specify to whom they apply. Some procedures could be applicable to specific cate-
gories of staff. For example, the nature of the job of the lower cadre staff may not
require procedures that will end up at the highest organ of the organisation. - Ensure matters can be dealt with quickly. Some disciplinary matters such as fighting
or theft will require immediate action rather than just a misunderstanding between
the superior and subordinate. - Indicate the disciplinary action that may be taken. It is important that employees
know the actions that could be taken against them when they breach certain codes of
conduct, this way they are not taken by surprise when penalties are carried out. - Specify the levels of management that have the authority to take the various forms
of disciplinary action. Some levels of disciplinary action may be decentralised to the
lower management or branch level while others have to be decided by a higher level
authority. - Ensure employees are informed of the complaints against them and are given an
opportunity to be heard. Usually, employees are summoned and asked to explain
and or respond in writing to allegations that may be directed against them. - Allow support from a trade union representative or a fellow employee.
- Except in cases of gross misconduct, ensure that no employee is dismissed for a first
breach of discipline. - Ensure that disciplinary action is not taken until the case has been carefully investi-
gated. Evidence has to be the basis for disciplinary action. Without enough evi-
dence, which cannot be disputed by a court of law, managers may find they made a
mistake and subsequently lose cases, which can cost the organisation dearly. - Ensure that individuals are given an explanation for any penalty imposed. This is
one of the employees’ rights. The explanation will be the basis for acceptance or ap-
peal in case of dissatisfaction. - Provide a right of appeal and specify the procedure to be followed. The procedure
has to be fair and practical depending on the nature of the matter and organisational
environment. If the procedure is overly bureaucratic and subjective, it may lead to
the breach of the principles of natural justice and become unacceptable.
More often, the breach of organisational rules and regulations has been a source of dis-
ciplinary action. The breach of rules can be significantly reduced if employees know the
rules, why they should abide by them and the disciplinary consequences if they do not.
This is normally done during employee induction, where they go through the orientation
to the organisation, department and job. If new rules or labour laws are made, employ-
ees should be made aware of these developments.