Disciplinary Policy, Code & Procedure Page 1 of 21
DISCIPLINARY POLICY
1.DEFINITION
“Discipline” means the actions taken by Management against any employee or group of employees in order to correct unacceptable behaviour/performance or to effect compliance with the governing rules and Regulations, Conditions of Employment and/or statutory requirements.
2.APPLICATION
This policy shall apply to all employees of the Company, provided that, where any employee or group of employees take unauthorised industrial action, and the Company decides, with suitable notice, to terminate the service of such employees, then such termination(s) may be effected without reference to this Procedure.
3.PURPOSE
The purpose of this policy is to promote the smooth and co-operative functioning of the Company. In order for this to be achieved this policy requires that all employees observe the Company’s Rules and Regulations, Conditions of Employment and all statutory requirements and requires that management gives fair and just treatment to any employee or group of employees against whom disciplinary action is taken.
4.COMPANY’S ASSURANCE
No employee or representative shall be victimised as a result of participation in terms of this policy.
While the primary purpose of this policy is the constructive correction of unsatisfactory behaviour or performance, it must be noted that in certain circumstances the disciplinary action taken against an employee may prejudice such employee’s Conditions of Employment.
The Company undertakes to ensure that all new employees are made familiar with this policy.
5.REPRESENTATION
The Company recognises the right of an employee to representation either by his respective trade union representative (shop steward), or by another employee of the company.
6. GENERAL MATTERS RELATING TO THIS POLICY
Whenever management alleges that an employee or group of employees has transgressed the Company’s Rules and Regulations, Conditions of Employment or statutory requirements, then management must:
- take action as soon as possible, and
- in each case evaluate whether disciplinary action is necessary as opposed to corrective action or whether disciplinary and corrective action should be taken simultaneously.
Where it is decided that disciplinary action is necessary after a counselling session and the issuing of a file note have failed to achieve the desired change in behaviour/performance, then management shall determine the stage of disciplinary action:
Stages / Type of disciplinary action / time limits1 / verbal warning / 3 months
2 / 1st Written warning / 4 months
3 / 2nd written warning / 6 months
4 / Final written warning / 8 months
5 / Dismissal / N/A
Following any level of disciplinary action an employee or his representative may appeal against such disciplinary action in terms of clause 9 of this policy.
Before taking disciplinary action, management shall ensure that the affected employee or group of employees are made aware of:
- the fact that formal disciplinary action is to be taken and the level of disciplinary action intended;
- the allegation(s) being made;
- his/her/their right to a representative and where necessary, an interpreter; and
- the date, time and venue of the disciplinary action.
Where an employee or group of employees is found guilty of any transgression(s) in terms of this policy, management shall:
- decide the remedial action and/or penalty;
- communicate the offence(s) which the employee(s) has transgressed, the standards required, the corrective actions to expected of the employee(s), any corrective actions to be initiated by management and the obligation of the employee(s) to correct and/or prevent a recurrence of the offence(s); and
- communicate the right of the employee(s) to lodge a disciplinary appeal should he/she/they be dissatisfied with the action/penalty.
All time limits stipulated in this policy may be varied by mutual agreement between the parties concerned.
7. CODE: OFFENCE LIST AND DISCIPLINARY PENALTIES
The offences and penalties listed below are regarded as examples of breaches of the Company’s Code of Discipline. It should, however, be noted that the list is intended only as a guideline and should not be considered as being exhaustive or strictly prescriptive. It should further be noted that in all cases, other than desertion, where the disciplinary action is “Dismissal”, this must be preceded by a disciplinary inquiry.
8. STAGES OF PROCEDURE
STAGE 1 – VERBAL WARNING
Where an employee or group of employees commits an offence and/or where counselling has failed to achieve the desired change in behaviour/performance, then management may decide to give such employee(s) a verbal warning. A Verbal Warning Record shall be completed by the member of management giving the verbal warning and a copy placed in the employee’s file.
STAGE 2 – WRITTEN WARNING
Where an employee or group of employees commits an offence which is viewed as an offence more serious than an offence requiring stage I action, then management may decide to give such employee(s) a written warning, as follows:
- the member of management issuing the warning shall complete the Written Warning form, and all parties concerned shall sign the form. The original form shall be forwarded for filing in the employee’s personal file while a copy shall be forwarded to the next level of management for endorsement.
- should the employee(s) refuse to sign the written warning, the person issuing the warning must endorse the warning to that effect. (see 10.1.5.1.1).
STAGE 3 – FINAL WRITTEN WARNING
Where an employee or group of employees commits an offence which is viewed as being more serious than an offence which warrants stage 2 disciplinary action, then management may decide to give such employee(s) a final written warning.
STAGE 4 – DISMISSAL
Where an employee or group of employees commits an offence which is viewed as being more serious than an offence which warrants stage 3 disciplinary action, then a member of management with the prior approval of a member of senior management, shall institute a formal disciplinary inquiry subject to the provisions of clause 6 of this Procedure, provided that:
- with the prior approval of a member of senior management, employee(s) may be\suspended pending the conducting of a disciplinary inquiry, provided that such suspension shall be on full pay and without prejudice to the findings of the disciplinary inquiry.
- a disciplinary inquiry shall normally consist of a Chairman who, to ensure impartiality, shall be any person appointed in terms of 10.5.2.1 who has not previously been involved in the case, the initiator of the allegations, the employee’s representative, an interpreter, if necessary, and any other person(s) such as witnesses who may be required.
- where any person is unable to attend the disciplinary inquiry, with a mutual agreement of the parties concerned, the disciplinary inquiry may be adjourned or a written statement from such person(s) could be accepted.
- a disciplinary inquiry shall not be conducted in the absence of the employee unless special circumstances exist, i.e. the employee refuses to attend the hearing, or his conduct during the hearing is of such a nature to warrant his removal.
- a tape recorder may be used at the disciplinary inquiry and a summary of the verbatim minutes may be prepared once the disciplinary inquiry is concluded.
- the procedure as detailed in the Disciplinary Procedure Guidelines shall be strictly adhered to by members of management conducting disciplinary inquires.
- where the decision of a disciplinary inquiry is a Stage 2 or 3 disciplinary action, then the written warning form or final written warning form shall be completed. The employee’s signature will not be required and the form shall indicate that the warning was given as a result of a disciplinary inquiry.
- where the decision of a Disciplinary Inquiry is dismissal, demotion, or transfer, then a letter to this effect shall be prepared and be given to the employee. All documents or copies thereof shall be filed in the employee’s personal file.
9.DISCIPLINARY APPEAL
If an employee is dissatisfied with the outcome of any stage of disciplinary action in terms of this Procedure, then he may, within three (3) working days, complete a Disciplinary appeal form, and submit his appeal to the Department Head, who shall forward the documentation to the Human Resources department with out delay. An appeal hearing must be held within ten (10) working days.
DISCIPLINARY CODE AND PROCEDURE
10.1DISCIPLINARY CODE
10.1 Introduction
10.1.1.1Although disciplinary procedures are often thought of as a reason of
enforcing specific rules and regulations, they should also be followed
where an employee’s general standard of performance suggests that
the necessity for remedial action should be drawn formally to his
attention.
Good discipline cannot be established by penalties or threat penalties. It results from fair supervision exercised within the framework of such policies as are necessary to promote the efficient management of the Company’s affairs and to protect employees from injustice.
10.1.1.2 There are two basic forms of discipline:
10.1.1.2.1Positive Discipline
This means the fostering of co-operation and a high
level of morale so that written and unwritten rules
and conditions are obeyed willingly.
An important requirement is to let an employee know as
soon as possible what is expected of him.
EFFECTIVE COMMUNICATION IS, THEREFORE, A
VITAL REQUIREMENT.
10.1.1.2.2 Negative Discipline
This means control by force, by threats and dismissal for the least diversion from complete submission. Employees are made to “toe the line”. Negative discipline must be avoided.
10.1.2Scope of Disciplinary Code
10.1.2.1A universal disciplinary code in any organisation helps to ensure that
all its employees are treated in a fair and constant manner. It is not,
on the other hand, supposed to standardise discipline to the extent
that Management are denied the right to use their discretion,
judgement will still depend upon the circumstances of each case. Nor
can a code possibly cover every case that will arise.
10.1.2.2Offences in law lie outside this Code. An employee may be dismissed
if convicted by Court. Equally, an employee against whom disciplinary
action has been taken by the Company, may still be prosecuted by
law.
10.1.3Implementing the Procedure
10.1.3.1Only when it is established that a breach of discipline has indeed
taken place (a rule has been broken), can the procedure be
implemented. The way in which this is done will depend upon the
seriousness of the offence.
10.1.3.2Keeping records
An employee who is finally dismissed may claim that his dismissal
was unfair, detailed records must be kept, not only of the nature of his /her misconduct or incompetence, but also of when and how and by whom each stage of disciplinary procedure was applied. If an appeal is lodged, a record should be kept of that too, with particular reference to the outcome.
10.1.3.3Appeals
Although the employee will have had various chances to state his /her
case, when a decision has actually been reached about the penalty to
be applied, he must have a formal opportunity to appeal. The appeal
should be dealt with speedily and by Council which will be final. Appeals must be lodged within five (3) working days of being informed of the penalty.
10.1.4Minor Offences
These are offences to which a verbal warning would serve as penalty. The
employee must be informed of the consequences of repeating the offence, and be
advised that his reprimand constitutes the first stage in the disciplinary procedure.
10.1.4.1Verbal Warning
Any supervisor may, at its discretion, give a verbal warning to an
employee. This verbal warning will be recorded on the Disciplinary
form (see annexure B) and inserted in the employee’s file. Only one
verbal warning is required.
10.1.5Serious / Repetition of Minor Offences
If the offences is serious or a repetition of a minor offence, the employee should be
issued with a formal written reprimand by the Department Head. This too will spell out the nature of offence, and the consequences of a repetition. Again he /she should be told that this is part of the formal disciplinary procedure (annexure C).
10.1.5.1First Written Warning
10.1.5.1.1When a verbal warning has failed and a further
warning is appropriate, the supervisor should report to
the Department Head in writing of the misconduct and he /she may give a written reprimand to the employee.
The refusal of the employee to sign the disciplinary form will not negate the disciplinary action taken. The form must be suitably endorsed.
10.1.5.1.2The nature of the employee’s misconduct must be
clearly recorded by the Department Head and confirmed with his/her signature on the warning form. It is essential that the employee understands the reason for the action, as well as its exact nature.
10.1.5.1.3 One copy must be handed to the employee, the original
must be filed in the employee’s personal file.
10.1.5.1.4Employees who wish to appeal against the issue of a
formal warning, have the right to do so. Such appeals
will be referred to Management.
10.1.5.1.5 Any employee accumulating two warnings, during a six
month period, could be liable for dismissal. To ensure
that warnings do not age, such warnings must be
struck off after six months.
10.1.5.2Further Misconduct
If an employee persists in misconduct, then either a disciplinary enquiry may be held, or a final warning issued. Either occurrence will be initiated in writing by the Department Head. The employee must be notified in writing of the charges to be brought against him/her, the date, time and venue of the disciplinary enquiry.
The employee must be given at least five (5) working days written notice of the pending disciplinary enquiry.
10.1.5.2.1 Disciplinary Enquiry
This enquiry will be convened by a Chairperson appointed by Management. At this enquiry the following parties will be present:
Chairman:Appointed by Management.
Secretary: Record minutes
Employee representative if required
Employee
Translator if required
Employee witnesses
Management witnesses
A detailed record of the facts of the enquiry must be made and a final written warning may be issued as in 1.1.5.2
Management may appoint either any manager, Department Head or an out side person to chair a disciplinary enquiry.
10.1.5.2.2Final Written Warning
The Department Head may, after being notified in writing by the Supervisor (if applicable) and considering the gravity of the offence, issue a final written warning as per 1.1.5.2.
10.1.5.2.3Dismissal
If after the specified time lapse, the employee is still
breaking the rules, the specified penalty must be invoked, by
whoever has the authority to do so. Failure to do this will
undermine the whole procedure.
The dismissed employee must be notified in writing of his/her dismissal together with the reasons for the dismissal.
10.1.6Scope of Authority
PenaltyBy Whom
Verbal reprimand: Supervisor
Written/Final reprimand: Department Head
Final reprimand: Chairman of disciplinary enquiry
Dismissal: Chairman of disciplinary enquiry
10.1.7Suspension
The services of employees may not under any circumstances be suspended
without pay.
10.1.8Appeal Procedure
If an employee believes that he has been unjustly disciplined, he may appeal
against the action taken by lodging with the Department Head within five (3) working days of having been advised of the penalty, written notice of such appeal, together with detailed submissions of the reasons for the appeal.
The Departmental Head must forward all appeals to Management who will appoint a person in terms of clause 10.1.5.2.1 the appeal hearing. The chairperson of the appeal hearing, after having considered all facts, may decide to confirm the penalty, or to substitute a lesser penalty, or refuse to uphold the penalty.
The employee must be notified in writing of the outcome of the appeal, together with the reasons for the decision taken.
10.1.9Suitable Disciplinary Action
This is intended as guidance on kinds of disciplinary action suitable in the more
obvious cases of misconduct. It is in no way intended to restrict the scope for
discretion.
Offence1st2nd3rd4th Verbal 1st Written Final Written Dismissal
Sleeping on the jobXXXX
IdlenessXXXX
Lateness/Leave
without permissionXXXX
Absent without permission/
AwolXXXX
Poor quality/quantity of workXXXX
Commit a breach of any rule,
prescribed for good order,
discipline or healthXXXX
Failure to report personal injuryXXXX
Failure to obey safety rulesXXXX
Improper use of time recordsXXXX
GamblingXX
Intoxication possession or
use of drugsXX
Abusive languageXX
InsubordinationXX
Persistent absenteeism without
permission (2 days a month)XX
DishonestyXX
Conduct of an indecent or
immoral natureXX
Neglecting to perform any work
which is his duty to performXX
Deliberate and malicious damage
to company propertyX
Misappropriation of company
funds X
Theft or fraud X
Assault (threatened / actual)X
Disclosure of confidential informationX
Unauthorised use
company vehiclesX
Carrying dangerous weaponsX
Absent for 5 working days without
notifying company, late return from
leaveX
Intentionally creating a disturbance
or disrupting sound employee
relationsX
Any act which is likely to lead to
damage, loss of life, injury or
other serious effectX
ImpersonationX
10.1.10Employee Rights
10.1.10.1 The employee has the following rights;
10.1.10.2 Representation
The employee has the right to be represented by a fellow employee, trade union representative (shop steward) only, during the implementation of any stage of this procedure.
The onus is upon the employee to arrange for representation.
10.1.10.3 Witnesses
The employee has the right to call on his behalf any witness(es) that may be able to assist.
10.1.10.4 Cross Examination
The employee has the right to cross examine any witnesses brought against him/her.
10.1.11 Rules of Natural Justice
10.1.11.1 Audi Altram Partem Rule
The employee has the right to state his/her version of the events;
The employee has the right to proper notice; and
The employee has the right to reasonable time to prepare.
10.1.11.2 Nemo iudex in Causa Propria Sua
No one is fit to be the judge in his own cause.
Annexures:
Annexure AFile note
Annexure BVerbal warning
Annexure CWritten warning
Annexure DNotice to attend disciplinary enquiry
Annexure EAppeal form
Annexure FDefinitions in respect of specific offences
FILE NOTEAnnexure A
NAME:…………………………………..DATE:………………………
PROBLEM/CONCERN:…………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………
PERSONAL INFORMATION:……………….…………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………
AGREED ACTION……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………