Disciplinary Policy, Code & Procedure Page 1 of 21 DISCIPLINARY POLICY

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1 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.

2 Disciplinary Policy, Code & Procedure Page 2 of 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 limits 1 verbal warning 3 months 2 1 st Written warning 4 months 3 2 nd 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.

3 Disciplinary Policy, Code & Procedure Page 3 of 21 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

4 Disciplinary Policy, Code & Procedure Page 4 of 21 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 ). 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 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.

5 Disciplinary Policy, Code & Procedure Page 5 of 21 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 10.1 DISCIPLINARY CODE 10.1 Introduction Although 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.

6 Disciplinary Policy, Code & Procedure Page 6 of There are two basic forms of discipline: Positive 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 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 Scope of Disciplinary Code A 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 Offences 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.

7 Disciplinary Policy, Code & Procedure Page 7 of Implementing the Procedure Only 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 Keeping 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 Appeals 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 Minor 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.

8 Disciplinary Policy, Code & Procedure Page 8 of Verbal 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 Serious / 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) First Written Warning When 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 The 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 One copy must be handed to the employee, the original must be filed in the employee s personal file.

9 Disciplinary Policy, Code & Procedure Page 9 of Employees who wish to appeal against the issue of a formal warning, have the right to do so. Such appeals will be referred to Management 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 Further 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 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

10 Disciplinary Policy, Code & Procedure Page 10 of 21 Management may appoint either any manager, Department Head or an out side person to chair a disciplinary enquiry Final 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 Dismissal 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 Scope of Authority Penalty By Whom Verbal reprimand: Written/Final reprimand: Final reprimand: Dismissal: Supervisor Department Head Chairman of disciplinary enquiry Chairman of disciplinary enquiry Suspension The services of employees may not under any circumstances be suspended without pay.

11 Disciplinary Policy, Code & Procedure Page 11 of Appeal 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 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 Suitable 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. Offence 1 st 2 nd 3 rd 4 th Verbal 1 st Written Final Written Dismissal Sleeping on the job Idleness Lateness/Leave without permission Absent without permission/ Awol Poor quality/quantity of work Commit a breach of any rule, prescribed for good order, discipline or health Failure to report personal injury

12 Disciplinary Policy, Code & Procedure Page 12 of 21 Failure to obey safety rules Improper use of time records Gambling Intoxication possession or use of drugs Abusive language Insubordination Persistent absenteeism without permission (2 days a month) Dishonesty Conduct of an indecent or immoral nature Neglecting to perform any work which is his duty to perform Deliberate and malicious damage to company property Misappropriation of company funds Theft or fraud Assault (threatened / actual) Disclosure of confidential information Unauthorised use company vehicles Carrying dangerous weapons Absent for 5 working days without notifying company, late return from leave Intentionally creating a disturbance or disrupting sound employee relations Any act which is likely to lead to damage, loss of life, injury or other serious effect Impersonation

13 Disciplinary Policy, Code & Procedure Page 13 of Employee Rights The employee has the following rights; 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 Witnesses The employee has the right to call on his behalf any witness(es) that may be able to assist Cross Examination The employee has the right to cross examine any witnesses brought against him/her Rules of Natural Justice 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 Nemo iudex in Causa Propria Sua No one is fit to be the judge in his own cause. Annexures: Annexure A File note Annexure B Verbal warning Annexure C Written warning Annexure D Notice to attend disciplinary enquiry Annexure E Appeal form Annexure F Definitions in respect of specific offences

14 Disciplinary Policy, Code & Procedure Page 14 of 21 FILE NOTE Annexure A NAME:.. DATE: PROBLEM/CONCERN: PERSONAL INFORMATION:. AGREED ACTION FOLLOW-UP DATE SIGNED:.. EMPLOYEE SUPERVISOR REPRESENTATIVE

15 Disciplinary Policy, Code & Procedure Page 15 of 21 VERBAL WARNING RECORD Annexure B EMPLOYEE S NAME: DESIGNATION: DEPARTMENT: EMPLOYEE S REP.: EMPLOYEE S SENIOR: DESIGNATION: UNACCEPTABLEBEHAVIOUR/PERFORMANCE (specify details) STANDARD(S) REQUIRED (specify the standards(s) applicable to acceptable behaviour or performance) This is to confirm that you have received a VERBAL warning in respect of the above offence. Issued by..designation Date.. I ACKNOWLEDGE THAT I KNOW AND FULLY UNDERSTAND THE CONTENTS HEREOF AND THAT THE EFFECT THEREOF HAS BEEN FULLY EPLAINED TO ME.. Employee s name Signature:

16 Disciplinary Policy, Code & Procedure Page 16 of 21 WRITTEN WARNING/FINAL WRITTEN WARNING FORM Annexure C EMPLOYEE S NAME: DESIGNATION: DEPARTMENT: EMPLOYEE S REP.: EMPLOYEE S SENIOR: DESIGNATION: UNACCEPTABLE BEHAVIOUR/PERFORMANCE (specify details) STANDARD(S) REQUIRED (specify the standards(s) applicable to acceptable behaviour or performance) (attached additional sheets of paper if necessary) EMPLOYEE OBLIGATION/AGREED ACTIONS:( specify the actions which the employee has agreed to undertake in order to correct the unacceptable behaviour/performance. Include any time period(s) applicable and any follow-up-date.) POSSIBLE CONSEQUENCES: (In addition to the opening statement, and where applicable specify any further actions should the employee s behaviour/performance not return to standard.) Should your behaviour and /or performance not return to standard, then more severe disciplinary action may be taken against you:-

17 Disciplinary Policy, Code & Procedure Page 17 of 21 WARNING ISSUED BY:..SIGNED.. DESIGNATION..DATE.. EMPLOYEE..DATE. REPRESENTATIVE (Witness to application of discipline) ENDORSMENT: Due to the employee s refusal to sign this form, it is endorsed as such. SIGNED DATE WARNING ENDORSED BY SIGNED DESIGNATION..DATE.

18 Disciplinary Policy, Code & Procedure Page 18 of 21 NOTICE TO ATTEND DISCIPLINARY ENQUIRY Annexure D. To:. Dear NOTICE TO ATTEND A DISCIPILANRY INQUIRY ON You are hereby notified of a disciplinary enquiry which will held to investigate the following charge(s) against you: 1 (give sufficient detail to enable the employee to prepare a defence) You are required to attend this inquiry, which will be held.. on..at You are hereby reminded of your rights with regards to this inquiry, namely: 1. the right to be represented by a co-worker; 2. the right to an interpreter. Inform Management accordingly in order for the necessary arrangements to be made; 3. the right to hear evidence against you and to cross-examine witnesses called by Management. 4. The right to state your case and to call witnesses. Yours faithfully

19 Disciplinary Policy, Code & Procedure Page 19 of 21 DISCIPLINARY APPEAL FORM Annexure E EMPLOYEE'S NAME: DESIGNATION: DEPARTMENT: SUBMITTED TO: DESIGNATION: DATE: APPEAL: MANAGER/MANAGEMENT COMMITTEE STATEMENT OF THE REASONS FOR APPEAL OUTCOME: (Detail the reasons for the appeal being successful or not successful)

20 Disciplinary Policy, Code & Procedure Page 20 of 21.. Signed:. Date. Manager

21 Disciplinary Policy, Code & Procedure Page 21 of 21 DEFINITIONS Annexure F breach of contract of employment means the failure of the individual employee to meet his obligations in accordance with the conditions under which he was employed. intimidation means the use of threats or violence against a person or persons to restrain or force their action(s). victimisation means the singling out of an individual employee or group of employees for illtreatment because of real or alleged misconduct. gross insubordination means the flagrant defiance of an instruction given by a superior. offensive behaviour means indecent or insulting behaviour. grossly offensive behaviour means excessive, indecent or insulting behaviour. dereliction of duty means forsaking or failure in duty or reprehensible neglect which has or could have serious consequences for the company. gross negligence means the failure to adhere to, or execute work according to the required and expected work standards and/or regulations with serious or potentially serious consequences for the company or employees safety. dangerous horseplay means rough or boisterous play which could endanger lives, or may result in serious damage to property. incompetence shall mean the failure to maintain the required and expected work standards. gross incompetence means repeated failure to conform to the required norms of acceptable behaviour, or work standards. unauthorised possession or use of company property means the unauthorised possession and/or use of company property and facilities on or off company premises.