McCARTHY INDUSTRIAL RELATIONS

POLICY AND PROCEDURES

INTRODUCTION

McCarthy (the Company) insists that the maintenance of workplace discipline is essential and that there is consistent implementation of fair industrial relations policies and procedures. The Company endeavours to provide an environment free of negative industrial relations through a safe, consistent and fair treatment of employees.

The policy and procedures provide a set of broad guidelines applicable to all employees of the Company to correct unacceptable conduct, performance and behaviour. The Company expects all employees to be committed to the Industrial Relations Policy and Procedures.

The stipulation of procedures for the application of corrective measures does not negate or detract from the obligation/responsibility of a Manager/Supervisor to correct unacceptable conduct, performance and behaviour through discussions, counselling, evaluation, instruction, guidance, education, training or rehabilitation. (Care should however be taken that no precedent is set for any future case of a similar nature).

The Policy and Procedures do not contain guidelines for dealing with every form of misconduct, performance and behaviour. Managers/Supervisors should exercise the necessary discretion in using this Policy and Procedures in consultation with their Human Resources Managers.

COMMUNICATION AS A PRIMARY PRINCIPLE

  • Effective communication is essential for sound decision making.
  • Employees accept decisions better if they have participated in their making.
  • Employees improve productivity if they share in decisions affecting them.
  • Communication reduces misunderstanding in the workplace.
  • Communication increases commitment of employees to their jobs, departments and their business operations.
  • Communication increases levels of co-operation in any change process.

GUIDELINES FOR EFFECTIVE COMMUNICATION

Workplace conflict and poor productivity are often as a result of miscommunication. Most communication problems relate to information not being communicated effectively.

Employees need information to do their jobs. It follows that if employees do not receive relevant information it may adversely affect productivity and/or cause conflict in the workplace.There are various approaches for communicating relevant information these include departmental briefings and Business Unit Consultative Committee meetings.

INDUSTRIAL RELATIONS POLICY AND PROCEDURES

1. OBJECTIVES OF THE POLICY AND PROCEDURES

  • To ensure fair, just and consistent application of corrective disciplinary measures and grievance procedures by the Company.
  • To inform employees of their rights in the workplace.
  • To inform employees of the categories and degrees of misconduct and unacceptable behaviour and the appropriate sanction.
  • To give guidance on the procedures to be followed in the application of corrective or disciplinary measures and grievances and to provide all relevant documentation in respect of such measures.

2.PRINCIPLES OF THE POLICY AND PROCEDURES

  • The Company should ensure that corrective disciplinary measures are applied by duly authorised Managers/Supervisors in a manner which is fair, just, and consistent and in the interest of all stakeholders.
  • Employees should have knowledge of the corrective and disciplinary guidelines governing their employment. These guidelines describe the action which may be taken by the Company should an employee be guilty of unacceptable performance, conduct or behaviour.
  • Employees who are alleged to be guilty of unacceptable conduct, performance or behaviour shall be afforded an opportunity to state their case and to defend themselves against the allegations.
  • In terms of the Industrial Relations Policy and Procedures the accused employee is entitled to be assisted or advised by a fellow employee from their business unit,call and question witnesses, make use of an interpreter and present evidence.
  • Prior to any disciplinary sanction an investigation will be conductedby the Company. The investigation is to ascertain the nature of the offence, to fact-find and to make recommendations to management on the status of the matter and to advise on further steps to be taken.
  • The appropriate sanction shall be instituted without prejudice and with due consideration to the facts.

3. HANDLING GRIEVANCES

Definition of a grievance

A grievance is any dissatisfaction affecting employees in the workplace.

Grievance Handling

Grievances are handled in accordance with the company grievance procedure. Please refer to flow chart below.

Objectives of grievance handling
  • To resolve grievances satisfactorily, quickly and at the lowest possible level.
  • To handle grievances at an informal level where possible. If the grievance is not resolved informally thenit should follow a formal process.
  • To enable grievances to be submitted with assurance to employees that they will not be victimised for raising grievances.
  • To ensure that there is an internal process for resolving grievancesbefore assistancefrom outside the Company is sought.
The role of Human Resources Managers in resolving grievances
  • The settlement of grievances is strictly a function of line management.
  • Only upon request will Human Resources Managers be involved in a grievance process.
  • Human Resources Managers may advise line management and/or employees on the procedure to be followedin resolving the grievance.
STEPS IN CONDUCTING A GRIEVANCE HEARING

Step 1: Handling a grievance informally

Step 2: Preparing for a formal grievance meeting

Step 3: Holding a grievance meeting

Step 4: Investigating the grievance and deciding on an outcome

Step 5: Report back to the grievant

STEP 1: HANDLING A GRIEVANCE INFORMALLY

-Ensure that the discussion takes place privately.

-The grievant may have an internal representative at the discussion.

-Listen to the grievance and make notes.

-If the nature of the grievance is not clear, clarify and understand the grievance.

-Try to obtain specific facts and establish whether there are any witnesses.

-Establish the desired outcome from the grievant. Remember that fair consideration must be given to suggestions.

-Inform the grievant that further investigations may be conducted.

-Set a date and time for report back and revert to the grievant on the agreed date and report on the findings.

STEP 2: PREPARING FOR AFORMAL GRIEVANCE MEETING

-Decide on an impartial person to handle the grievance.

-Study the grievance and establish the facts.

-Set up the meeting and offer the grievant the opportunity to be represented by an internal representative.

STEP 3: HOLDING A GRIEVANCE MEETING

-Clarify the nature of the grievance.

-Establish the facts and whether there were any witnesses.

-Establish the desired outcome from the grievant.

-Enable the grievant to present details of the grievance.

-Summarise the grievance in terms of facts and feelings and the further investigation that may be necessary.

-Set a date for report back.

STEP 4: INVESTIGATING THE GRIEVANCE AND DECIDING ON AN OUTCOME

-Investigate by questioning witnesses, if any.

-If the grievance relates to the behaviour of someone else towards the grievant, gather the facts.

-Prepare your feedback on the findings.

-Complete theGrievance OutcomeForm.

STEP 5: REPORT BACK TO GRIEVANT

-Inform the grievant of your findings.

-If there is serious dissatisfaction with the outcome then remind the grievant that the grievance may be referred tothe next level of management.

4. HANDLING DISCIPLINE

Role of Managers and Supervisors

Disciplined behaviour is essential for the well-being of all employees and the successful achievement of the objectives, mission and values of the Company.

  • Managers/Supervisors have the right to fairly discipline employees.
  • Managers/Supervisors have the responsibility of correcting any unacceptable misconduct, performance or behaviour as soon as it is identified.
  • Managers/Supervisors must ensure that consistent, fair and appropriate disciplinary sanctionsare imposed.
  • Discipline is a corrective and not a punitive process.
  • Disciplinary sanction is progressive depending on the nature and seriousness of the offence.
  • All disciplinary sanctions must be preceded by a fair disciplinary process.
  • The application of discipline may take any one of the following forms depending on the circumstances and the seriousness of the offence:

-Counselling/Verbal warning

-(First/Second) Written warning

-Final written warning

-Dismissal

  • As a sanction short of dismissal other alternative sanctions may be considered such as demotion and/or transfer. These sanctions may not be imposed without the agreement of the employee involved and the relevant Human Resources Manager.

Please note:

Discipline against a trade union representative or an employee who is an office-bearer or an official of a trade union should not be instituted without first informing and consulting the trade union where the trade union has majority representation.This should not be done without the involvement of the relevant Human Resources Manager.

5. APPROPRIATE SANCTIONS

Counselling/Verbal Warnings

Minor offences in breach of terms and conditions of employment or failure to meet acceptable standards should be corrected by means of counselling/verbal warning and must be recorded on the HCNet and a record placed on the employee’s file.

The verbal warning must explain the required change in performance or misconduct. In respect of performance related issues a date should be set for a review.

If a verbal warning has failed to bring about the required change in performance or behaviour an employee may be issued with a written warning if the misconduct or poor performance persists.

Written Warnings

Should counselling/verbal warnings prove ineffective or in the event of misconduct that is more serious the employee may be issued with a written warning.Should the employee fail to meet the required performance standards the employee may be issued with a written warning. A written warning must be recorded on the HCNet and a copy placed on the employee’s file.

The employee should sign any written warning. If the employee refuses to acknowledge receipt thereof in writing this fact will be recorded on the warning form and signed by a witness.A written warning is valid for a period of six (6) months.

Final Written Warnings

Should the written warnings prove ineffective or in the event of misconduct that is more serious the employee may be issued with a final written warning after a fair disciplinary process. Final written warnings must be recorded on the HCNet and a copy placed on the employee’s file.A final written warning is valid for a minimum of six (6) up to a maximum of twelve (12) months at the discretion of the hearing Chairperson.

Dismissals

Dismissal is justified following a fair disciplinary hearing in the case of serious misconduct or for incidents listed in, but not limited to, the disciplinary guidelines. If any further disciplinary sanction is required within twelve (12) months after the issue of a final written warning, no further warning shall be required and the disciplinary hearing may result in dismissal.

All disciplinary sanctions including dismissals MUST be recorded on the HCNet.

6.PRELIMINARY INVESTIGATION

  • It is imperative that a proper investigation is carried out before suspending an employee and/or a disciplinary hearing is initiated.
  • Only after proper investigation will the facts determine whether a disciplinary hearing is necessary. The investigation does not determine guilt. It establishes facts (substantive matter) to determine the need for a disciplinary hearing.
  • The fact that a case is reported does not automatically mean that a case exists for a disciplinary hearing to be held.
  • The Manager/Supervisor or appointed representative should conduct the investigation and if necessary involve all other relevant parties.
  • In order to establish whether there is misconduct/poor performance, the following process must be followed:

-Investigate and establish the facts.

-Establish whether there were any eyewitnesses to the incident. If so, obtain statements from them as soon as possible after the incident. The statement should be written to prevent poor recollection or influence by third parties.

-Question the employee who allegedly committed the misconduct/poor performance after offering the employee the right to representation of a fellow employee.

  • Document all information and differentiate between fact, opinion and hearsay. On the strength of the facts available determine if a case for a disciplinary process exists.

7. DISCIPLINARY PROCESS

  • Corrective or disciplinary sanction should always take place at the lowest appropriate level.
  • Managers/Supervisors are the custodians of corrective or disciplinary sanction and should initiate any applicable corrective or disciplinary sanction regarding employees.
  • Before a hearing is constituted surrounding the alleged misconduct/poor performance it must be thoroughly investigated by the duly appointed representative.
  • The accused employee must be informed of the hearing in writing including date, time, and venue. It is the responsibility of the accused employee to ensure that their representative andwitnesses are available and are notified of the date, time, and venue of the hearing to ensure their attendance.
  • The Human Resources Manager may assist with the appointment of the Chairperson.External Chairpersonsmay be used subject to approval of the relevant Human Resources Manager.
  • All parties are to be given sufficient time to:

-Prepare their case

-Present theircase

-Represent themselves or be represented by a fellow employee

-Call witnesses and present evidence

-Cross-question witnesses and interrogate evidence

-Have an interpreter if necessary

-Appeal in cases of dismissal

8. DISCIPLINARY HEARING

  • It is the responsibility of the Manager/Supervisor to initiate the disciplinary process. It is the sole responsibility of the Chairperson to impartially manage the disciplinary hearing, weigh the evidence, decide on guilt based on a balance of probabilities and recommend the appropriate sanction.
  • A written notice shall be issued to the accused employee advising of the:

-Alleged unacceptable conduct, performance or behaviour (description of the charge(s) against the employee and the particulars thereof shall be furnished to the employee at a reasonable time prior to the date of the disciplinary hearing).

-Right to representation and an interpreter if necessary.

-Date, time, and place of the hearing.

-Right to call witnesses.

  • The initiator appointed by the Manager/Supervisor shall ascertain all relevant facts and present evidence at the disciplinary hearing.
  • During the disciplinary hearing only persons who are required to be present may attend the disciplinary hearing.
  • During the disciplinary hearing the accused employee shall be presented with the relevant facts through the calling of witnesses and the submission of any relevant documents.
  • The employee or representative shall at all times be given adequate opportunity to scrutinise the documents referred to above and to cross-examine witnesses.
  • The employee or representative shall thereafter be given the opportunity to present evidence, relevant documents and to call witnesses. The initiator shall be entitled to question the accused employee and witnesses.
  • The Chairperson may, before concluding the disciplinary hearing, question such witnesses and call for documentation that is required to make an impartial decision.
  • At the conclusion of the disciplinary hearing the employee or representative and the initiator shall be given an opportunity by way of closing statements to argue the merits of the case and to indicate whether the employee should be found guilty or not.
  • Depending on the complexity of the case the Chairperson may make a decision as to whether the employee is guilty or not at the conclusion of the formal investigation or otherwise within three working days thereof, and shall advise the employee of the decision.
  • An employee who has been found not guilty shall be notified at the hearing.
  • Should the Chairperson determine that the employee is guilty of the alleged misconduct the chairperson shall afford the Company and the accused employee or representative an opportunity to submit mitigating/aggravating circumstances and to state views on the disciplinary sanction to be imposed. The Chairperson will then determine the appropriate disciplinary sanction to be imposed and inform the employee of such.

9.PROCEDURE TO BE FOLLOWED IF THE ACCUSED EMPLOYEE AND/OR REPRESENTATIVE DO NOT APPEAR FOR A SCHEDULED HEARING

  • If proper notification of a hearing has been given in writing and if the employee does not appear at the hearing it may be postponed provided there are valid reasons.
  • If postponed, written notice is to be given to all parties concerned of a new date, time and venue. The notice should include a statement that the hearing will continue in the absence of the employee should the employee not attend the hearing.
  • If not postponed, for good reason, the hearing may continue in the absence of the employee. Every attempt should be made to contact the employee or representative in respect of their absence from the disciplinary hearing.
  • The employee may appeal against the decision made in their absence.

10.APPEAL

  • Employees may appeal,internally,in writing within three (3) working days of the conclusion of the disciplinary hearing only were the disciplinary sanction is dismissal.

Valid grounds for an internal appeal hearing include;

-Unfair disciplinary process (substantively/procedurally)

-Sanction too harsh

-New evidence available

  • No appeal shall be considered unless the ground(s) for appeal are disclosed and motivated. The copies of all relevant documents available to the employee shall be attached to the appeal provided that any defects in respect of the appeal application may be condoned by the relevant manager to whom the appeal is lodged.

The appeal chairperson may, based on the grounds of the appeal and facts presented during the appeal, decide;

-To reject the appeal and uphold the initial disciplinary sanction.

OR

-To uphold the appeal and to set aside or amend the disciplinary sanction.