Compiled by: Leslie Jordaan
ASG Management Group
Cell: 083 302 1626 / E-mail:
DISCIPLINARY PROCEDURE
AND
CODE OF CONDUCT
FOR THE EMPLOYEES OF: TALISMAN (Franchise Name)
DATE OF REVIEW:DECEMBER 2011
Compiled by: Leslie Jordaan
ASG Management Group
Cell: 083 302 1626 / E-mail:
ANNEXURE A
DISCIPLINARY PROCEDURE
AND
CODE OF CONDUCT
1.GENERAL
1.1The maintenance of discipline and order is essential amongst all the employees to achieve the objectives and to promote sound relationships.
1.2It is the responsibility and the right of management to maintain discipline amongst its employees.
1.3The objectives of the Disciplinary Procedure are:
1.3.1To give effect to the Labour Relations Act. 66 of 1995(LRA)
1.3.2To maintain harmonious and equitable working relationships in the best interest of the Company and all its employees;
1.3.3.To ensure a fair consideration of all the facts of the events leading to a disciplinary decision;
1.3.4To avoid hasty or ill-considered judgements and/or actions by Management and to ensure that no employee is disciplined without just cause;
1.3.5To ensure the correct, fair, consistent and acceptable application of discipline to employees at all levels;
1.3.6To correct and eliminate unacceptable behaviour of inadequate performance when corrective discipline has failed or where no alternative corrective action can be considered.
1.4Discipline will be maintained through a system of verbal and formal written warnings, hearings and inquiries that will be conducted in such a way as to ensure that discipline is fairly exercised in accordance with the rules of natural justice.
Compiled by: Leslie Jordaan
ASG Management Group
Cell: 083 302 1626 / E-mail:
1.5The Disciplinary Procedure and Code of Conduct supplements other conditions of employment and together with the said conditions, form part of all employees´ contracts of employment. A summary of the conditions of employment, Company rules and procedures will be communicated to all employees.
1.6In special circumstances where serious misconduct appears to be involved, the employee may be suspended on full pay, pending the holding of a disciplinary hearing, after the employee has been advised in writing of the suspension.
1.7In the event of an employee not adhering to the hours of work laid down by the Company, in addition to him being disciplined in terms of this code, the employee’s pay card should be endorsed for the necessary adjustment to be made to the employee’s remuneration.
1.8The Company may, from time to time, publish a Code of Conduct and may amend the said Code by notice to the employees after discussions with employee representatives.
1.9Notwithstanding anything contained herein, any employee who allegedly breaches his conditions of employment by participating in unprotected collective industrial action such as strikes, boycotts, go-slows or overtime bans, or who incites other employees to participate in such unprotected collective industrial action, may be summarily dismissed.
1.10.1Management may at its own discretion exercise any right it has to discipline or dismiss an employee arising out of the employee’s participation in unprotected collective industrial action without the necessity of first convening a disciplinary hearing. However, prior to dismissal, Management will contact the Union concerned where applicable, to discuss the course of action it intends to adopt.
1.11Management will further issue an ultimatum that will clearly state what is required of the employees concerned, and what sanction will be imposed if they fail to comply with the ultimatum. The employee will be allowed sufficient time to reflect on the ultimatum and respond to it, either by complying with it or rejecting it.
1.12The right of the employee to attend an enquiry accompanied by a Company representative of his choice, (who shall be a fellow employee or a Shop Steward) in the area where the employee works is an integral part of the Disciplinary Code and Procedure.
1.13Legal representation or representation by a Union Official at a disciplinary hearing is not considered as a right. However, in exceptional cases, where the complexity of the issue warrants it, or where it is in the interest of justice, the presiding official at the disciplinary hearing may, in his or her discretion, allow a legal representative to be present.
Compiled by: Leslie Jordaan
ASG Management Group
Cell: 083 302 1626 / E-mail:
2.DISCIPLINARY MEASURES
2.1GENERAL
2.1.1The purpose of disciplinary measures is not merely to punish an employee. The main aim thereof is, by bringing the seriousness of the matter to his or her attention, to affect the conduct of the employee and to improve it.
2.1.2Although this is the primary aim of disciplinary steps, it must be kept in mind that it may begin with an oral warning and an attempt to assist the employee in improving his or her conduct and/or performance. However, there may be occasions when the conduct is so serious that it may warrant a summary dismissal without a warning.
2.1.3To achieve this aim Management will observe the following principles:
a.It will seek to correct an employee’s poor performance of behaviour
through informal counselling;
b.The formal disciplinary process shall only be implemented when informal counselling has been unsuccessful or where the actions of the employee are such that counselling is inappropriate;
c.No employee will be formally disciplined without having granted such an employee the opportunity to put his or her case;
d.Clear evidence of a breach of company rules and regulations or unsatisfactory performance must by establish;
e.Careful consideration must be given before disciplinary action is taken;
f.Disciplinary action must occur within a reasonable time and must be consistent.
2.1.4Since it is important for every employee to be aware of what is expected of him or her in the workplace in general, it is expected that every employee will familiarise him or herself with this code. As stated above every employee is entitled to a copy hereof. The onus is therefore on the employee to ensure that he or she understands the contents hereof. If there are any questions in this regard, the duty rests on every employee to approach his or her immediate superior to clarify any uncertainties.
Compiled by: Leslie Jordaan
ASG Management Group
Cell: 083 302 1626 / E-mail:
2.2CIRCUMSTANCES JUSTIFYING DISCIPLINARY STEPS
2.2.1An employee shall be liable for steps in terms of the Disciplinary Procedure if:
2.2.1.1He acts in breach of his contract of employment of which this Disciplinary Procedure and the Code of Conduct form part; or
2.2.1.2He fails or refuses to perform his duties or to carry out any reasonable and lawful instruction; or
2.2.1.3He executes his duties in such away that it is in conflict with the generally accepted practice or if it undermines the employee/employer relationship; or
2.2.1.4He behaves in a fashion that may be regarded (according tothe ordinary meaning of the expression) as misconduct; or
2.2.1.5His conduct harms or undermines harmonious and equitable working relationships; or
2.2.1.6His conduct harms or undermines the interest of theCompany or the Group; or
2.2.1.7He renders poor or unacceptable work performance; or
2.2.1.8His conduct is in conflict with the values of the Company and the Group.
2.2.2Subject to the nature and gravity of the misconduct and/or poor work performance, and with regard to the relevant circumstances, Management may:
2.2.2.1Issue a verbal warning;
2.2.2.2Issue a written or final written warning;
2.2.2.3.Suspend an employee’s services without pay as an alternative to dismissal, with the written consent of the employee;
2.2.2.4Demote an employee, as an alternative to dismissal, with the written consent of the employee;
2.2.2.5Dismiss an employee.
2.3INVESTIGATION
2.3.1When an offence is alleged to have been committed, the immediate supervisor concerned will investigate, collect all the relevant evidence and evaluate the nature of the incident.
2.3.2As soon as it becomes clear from the investigation that a reasonable case can be made out that an offence has occurred, or that the employee’s performance does not meet the required standard, Management must, given the seriousness of the matter, decide whether counselling would be appropriate to address the issue. In the event of poor work performance, Management should consider whether instruction, training or guidance, in addition to counselling, would be appropriate, as stipulated in Schedule 8 in the LRA.
2.3.3If counselling does not seem appropriate, given the nature of the offence or if the employee had previously been counselled to no avail, or if the employee’s poor work performance persists despite training, guidance or counselling, Management must initiate disciplinary action.
2.3.4When the investigation has been completed, the relevant superior will decide whether or not to proceed with the case, and shall inform the parties accordingly.
2.4INFORMAL DISCIPLINARY ACTION
2.4.1It is an offence for which the employee will probably only receive a verbal warning, it is not practical to constitute a formal disciplinary enquiry. The employee will only be called in by his immediate Supervisor and in the presence of his representative, be asked to give an explanation for the offence/poor work standard. If no satisfactory explanation can be tendered, the employee will be given a verbal warning. In the case of poor work performance, the employee should be given the necessary training, guidance or counselling and a reasonable period of time within which to improve his/her performance.
2.4.2Informal warnings may be issued for Grade 1 offences.
2.5FORMAL DISCIPLINARY ACTION
2.5.1When an informal verbal warning is deemed to be insufficient or when the employee commits a more serious offence, a formal disciplinary complaint will be made in writing, in duplicate on the approved form (Annexure A.1).
2.5.2The Supervisor handling the complaint must hand the employee acopy of the Disciplinary form, and inform the employee of the charges against him.
2.5.3The Supervisor must inform the employee of the time and place that an enquiry will take place. The employee should have at least two (2) working day to prepare himself for the enquiry. A request to postpone the matter will not be with held unreasonably. - (Annexure ...A1...)
2.5.4The employee must be informed that he may be represented by a representative. The employee may also have an interpreter present if he so wishes.
2.5.5.The Supervisor must further inform the employee that he may present any pertinent evidence, and may call witnesses at the enquiry.
2.5.6The employee must acknowledge receipt of the above in writing on the Disciplinary form.
2.6DISCIPLINARY HEARING
2.6.1The disciplinary hearing will be chaired over by a manager at least one level higher than the complainant, or a competent person appointed by Management. The Chairperson may appoint additional members of Management to serve on the disciplinary panel. The Chairperson must be seen to be as independent and objective as possible.
2.6.2The procedure to be adopted at the enquiry will be as outlined below:
2.6.2.1The Chairperson conducting the enquiry will open the enquiry with the parties present. Witnesses will be excused until their evidence is required.
2.6.2.2The Chairperson conducting the enquiry will inform the employee of his right to representation, right to interpretation and that he may submit evidence and witnesses.
2.6.2.3 The Chairperson conducting the hearing should ensure that the employee is informed of the charges against him and ensure that it is fully understood by the employee and his representative.
2.6.2.4The Complainant is requested to submit the charges.
The employee is then asked to answer the charge and to indicate whether he/she pleads guilty or not. Management must now substantiate its case against the employee, and motivate the allegation, by submitting documents or call witnesses.
2.6.2.5 The employee may question the complainant’sevidence. He may be assisted by the representative. The employee may submit his evidence and witnesses, to substantiate his defence. The complainant may cross-question the witnesses and the employee.
2.6.2.6 If during the course of the hearing the Chairperson finds it necessary to obtain further information, the case should be adjourned to allow further investigation to be undertaken.
2.6.2.7The Chairman hearing the case may at any time during the proceedings question the complainant, the employee and witnesses to clarify any matter that may arise.
2.6.2.8The Chairperson will, if satisfied that he has heard all the relevant evidence, request all parties present to leave the room to enable him to decide whether the employee is guilty of the offence. If necessary, the Chairperson may, postpone the matter to allow him sufficient time to apply his mind properly.
2.6.2.9The enquiry will be convened and the Chairperson conducting the enquiry will inform the parties of its decision and the reason for the decision.
2.6.2.10the panel will allow the employee and his representative an opportunity to make statements in mitigation. This may be done verbally or in writing.
2.6.2.11only after an employee is found guilty, and before deciding on the appropriate penalty, the Chairperson must take note of:
-The employee’s service and disciplinary record;
-Any mitigating circumstances;
-Comments by the employee and representative;
-Current unexpired warnings;
-Provisions of the Code of Conduct and Schedule 8 of the LRA.
Compiled by: Leslie Jordaan
ASG Management Group
Cell: 083 302 1626 / E-mail:
2.6.2.12the employee will be informed of the penalty and the reasons for the penalty in writing. He will further be advised of standards and rules applicable and any steps to be taken to ensure improvement, if applicable.
2.6.2.13When a warning is issued to the employee, the employee should sign this document or, if he refuses to sigh, a witness should sigh to confirm that the employee was presented with a copy of the action document.
2.6.2.14A responsible person should advise the employee if he wishes to lodge an appeal this must be done within (2) working days, and that overdue appeals will not be considered unless the employee can advance reasonable grounds for the delay. Annexure A.3 should be completed if an appeal is lodged.
2.6.2.15if the finding is that he is to be acquitted, he will be so informed and the finding Case Dismissed will be entered on the disciplinary form. The employee’s Disciplinary Record will be cleared of all reference to the case.
2.6.2.16 The Chairman is responsible to ensure that a copy of his outcome report is available to the parties.
8APPEALS
8.1Should an employee feel that a disciplinary measure has for any reason been unfairly issued, or that he has for any reason been unfairly dismissed, he shall be entitled to appeal to the next more senior level of Management to that involved in the hearing.
8.2The appeal must be lodged in writing on the appeal Form, within two (2) working days after the issues of the warning or the dismissal. No employee shall appeal against a verbal warning. Any appeal lodged shall clearly set out the employee’s grounds for appeal.
8.3The employee or his representative shall be entitled to have access to all the documents and records pertaining to the hearing including the records of previous warnings.
8.4The next more senior level of Line Management to that involved in the hearing shall consider the appeal within three (3) working days after the lodging of the appeal, or a soon as possible.
8.5In the event of an appeal, the appeal shall take the form of a review of the records of the disciplinary hearing, and consideration shall be given to the written grounds of appeal submitted by the employee concerned.
8.6The manager appealed to shall furnish the appeal decision with reasons, within five (5) working days after the completion of the hearing/review.
8.7If the most senior manager was involved in the hearing, the employee should appeal to the CCMA.
9PENALTIES - FACTORS TO BE CONSIDERED
9.1The action to be taken in disciplining an employee will depend not only on the seriousness of the offence, but also on the disciplinary record of the employee. (Progressive Discipline).
9.2It should be noted that certain factors might either aggravate or mitigate an offence.
9.3The probable consequences of the offence should be considered. Negligence on the part of the employee’s responsibility for the safety or health of others should be regarded as serious.
9.4Before deciding on the disciplinary action to be applied, the official hearing the case must take cognisance of all the facts and circumstances before making a final decision. A note to this effect must be made on the case record.
10SANCTIONS
10.1Verbal Warnings
(a)If an employee fails to comply with his conditions of employment, or if he commits a less serious offence or renders poor work performance, and his failure to comply (his offence/misconduct or poor work performance) does not in the opinion of his Manager/Supervisor warrant a formal written warning, the Supervisor or Manager will issue a verbal warning to the employee;
(b)Although the verbal warning constitutes an informal process, a record of verbal warnings will be kept.
(c)Verbal warnings are normally issued for Grade 1 offences.
10.2Written Warnings
(a)A written warning is issued for less serious misconduct, offences or poor work performance which, in the opinion of Management warrant a stronger disciplinary measure than a verbal warning, or for repeated minor offences;
(b)A written warning may only be issued after a hearing, whether formal or informal.
(c)If the Chairperson concerned, decides after the conclusion of the hearing, to issue the written warning, the Written Warning Form (Annexure A.2) must be completed and signed by the Chairperson and the employee or his/her representative.
(d)Written warnings are normally issued for Grade 2 offences.
Serious Misconduct/Offences/Poor Work Performance
10.3Final Written Warnings
(a)In the case of the committal of one or more offences in respect of whichWritten warning was issued or in the case of a serious offence, or poor work Performance, warranting such action, the chairperson concerned may issue a final written warning.
(b)If the Chairperson concerned decides after the conclusion of the hearing, to issue a final written warning, the Final Written Warning Form (Annexure A.2) must be completed and signed by the Chairperson and the employee or his/her representative.
(c)Each final written warning shall be cancelled and removed from the employee’s file after the expiry date.
(d)Final written warnings are normally issued for Grade 3 offences.
10.4Dismissals
(a)In the case of the committal of one or more of the same category of offences, or persistent poor work performance, in respect of which a final written warning was issued, or in the case of a serious offence or an offence warranting the summary dismissal of the employee, or several such offences, the Chairperson concerned may, depending on the seriousness of the offence or poor work performance and the circumstances, dismiss the employee after a formal hearing.
(b)In the case of poor work performance, the Chairperson must be satisfied that Management has taken, or considered other ways, short of dismissal, to remedy the matter.
(c) )If the disciplinary panel concerned decides after the conclusion of the hearing to dismiss the employee, the employee must be informed accordingly and he will receive an official letter in this regard within a reasonable time period.