Best Practices in Valid Work Rules

Best practices when formulating and building up your own Code of Conduct is to start with the owner’s vision of HR roles and behaviors among employees. It will be hard to complete your code in one sitting. See it as a work-in-progress.

When i made my company’s Code of Conduct, I made sure the rules covered behaviors that may frequently occur, violations that are common in the industry, and violations that are serious– those that merit termination. All the others that I failed to anticipate, I just added memos, and built them into the code. So far, the rules number close to a hundred now.

And then I found out, it’s not in the number of rules, it’s in the consistent and strict application of these rules.

My due process day is Monday of every week, and if there are no cases to hear, it means that my Monday is free and that there are no violations. So far i have taken a few vacations but I can sense somehow that these rules are working. Employees know it by heart. And the rules also strike fear in their hearts.

To make for valid and effective work rules, you may try to include the following elements:

a.) Rules as formulated should have proper and sufficient objectives or reasons for such.

Example 1: All rules pertaining to absences and tardiness have the objective of exacting what is just fair to the company and to others.  When you absent yourself, you are actually shortchanging the company by “stealing” time away from it.  Also, it is unfair to others who come on time and get paid for it, while you deliberately get yourself late, and not expect a penalty.

Example 2: Spitting on floors, walls and other places other than the proper receptacles.  Being a food company, commission of this violation as described or on products or raw materials we use as well as on production and treatment facilities and equipment shall warrant immediate dismissal.

b.) Rules as formulated should have corresponding penalties.

Example:

1. Reporting to work having drunk or imbibed alcoholic or any prohibited substance.  Penalty or corrective action: First offense: Employee sent home, absence for the day shall be without pay.  (Then specify progressive discipline)
2. Failure to punch or swipe timecard.

Penalty/Table of Recommended Penalties/ Maximum Penalties

First offense	Second Offense	Third Offense	Fourth Offense	Fifth Offense
Oral counseling	Written Reprimand with counseling	1-3 days suspension	4-7 days suspension	Classified as serious offense; Dismissal

c.) Rules  should be presented in an orderly fashion, through a classification of related acts.

Example 1: Table of Contents of Rules and Regulations

1. Violation of Safety and Security Measures
   1. Leaves, Attendance and Tardiness (absence without permission, late)
   2. Negligence, Loafing or Loitering (deadlines, abandoning work, going home early)
   3. Acts of Dishonesty (falsifying of cards; punching another’s card)
   4. Disorderly Conduct (sleeping, drunkenness, bad mouthing, gambling, fighting)
   5. Disregard of Authority or Insubordination (disrespect, discourtesy, failure to obey direct instructions)
   6. Other related acts

Example 2: Table of Contents of Work Rules

1. Attendance and Work Attitude
2. Quality and Quantity of Work
3. Health and Safety Equipment and Regulations
4. Political and Other Activities
5. Specific Departmental Rules and Regulations

d.) They can also be presented according to a classification of offense and penalties

Illustration: Light Offenses (Warning through Suspension), Moderate Offenses (Suspension through Dismissal), Major or Serious Offenses (Outright Termination)

e.) Incidents of violation should have clearing period or prescription period.

This means that certain occurrences of violations can be erased given a time period– that a previous violation which has expired can not progress to a heavier penalty but start with the lightest penalty again.  Records are physically kept in the 201 file but should not be considered for imposition of progressive penalties accruing to a similar offense.

Example: Insubordination or willful disobedience of reasonable requests of supervisor or management staff, including refusal to accept work assignments, within a five-year period.

The clearing period may start on a calendar date (i.e. calendar year, from Jan. 1999 to Dec. 2003), or a fiscal date, the date when an offense is first committed (i.e. fiscal year starts on May 13, 1999, the date of first offense, ends on May 12, 2003, five years after).  Another type is a called a floating period (e.g. within the last 12 months).

f.) Rules must have proper and clear treatment for multiple offenders, or multiple offenses.

Illustration 1: Dismissal for any 5 accumulated disciplinary actions, related or unrelated within the last 12 months.

Illustration 2: General rule: If one incident involving one person results in two violations, the one that exacts a greater penalty will be imposed.

g.) Rules must anticipate some forms of extreme variations or consequences, and specify penalties

Illustration: Abandoning work station without permission.  1st Offense: 3-6 days suspension.  Immediate termination if it results to serious disruption of operations or damages to company property worth more than P50,000.00

h.) May present rules in a positive manner

Illustration: You are expected to show and display proper decorum when in uniform, when driving any of the company vehicles (marked with logo or not), or when introducing yourself as an employee of the company.  Proper decorum requires that you behave in a respectful and decent manner at all times, in front of clients, co-workers, superiors and guests.