NOTES: 1. It is recommended that this template is used when conducting a disciplinary hearing.

Transcription

1 UNITRANS SA NOTES: 1. It is recommended that this template is used when conducting a disciplinary hearing. 2. The Disciplinary policy, code, procedures and applicable forms are available on the intranet. 3. USE ADDITIONAL PAPER AS REQUIRED FOR STATEMENTS, ETC HEARING Date of Hearing: Starting Time Venue: ATTENDANCE Name and Surname Signature Chairperson Minute taker / Secretary HR Representative Initiator / Complainant Accused Employee Employee s Representative Interpreter (if requested) Witness/es (only present while giving evidence Witness/es (only present while giving evidence) Witness/es (only present while giving evidence) The recording of hearings by means of any voice and or visual medium is not normally practiced and should be disclosed beforehand if a party wishes to engage in such an act. In the event that a party does make a voice and or visual recording a copy of such recording must be provided by the party making the recording, at its own cost, to the other party within a reasonable time after the proceedings are completed. Read out Created: Zene Olivier Date Created: 2014/11/01 Page 1 of 22 Date Reviewed: 2018/05/10 Revision No: 05

2 INTRODUCTION 1.1 Were the parties introduced and the purpose of the hearing explained? YES NO 1.2 Was each party s role explained? YES NO 1.3 Was an interpreter requested? YES NO 1.4 Does the employee object to the chairperson? If so, reasons. YES NO 1.5 Did the employee request external representation or for an observer to be present? YES NO 1.6 Did the employee raise any points in limine? YES NO 1.7 If yes to 1.5 or 1.6, was the Regional HR Manager consulted? YES NO 1.8 Was the request in terms of 1.5 or 1.6 granted? YES NO 1.9 Is the employee satisfied with his/her representative? YES NO 1.10 Was the employee afforded reasonable time to consult with his/her representative? YES NO 1.11 Was the notice of the hearing given at least 48 hours prior to the hearing? YES NO 1.12 Were the charges against the employee specified? YES NO 1.13 Did the employee have enough time to prepare? YES NO 1.14 Was the enquiry procedure explained? YES NO Employee Signature confirming the above : Signature Page 2 of 22

3 Brief description of the procedure for the hearing: Allegations & plea Opening statements Leading of evidence witnesses Cross-questioning Closing arguments Summary Adjournment Chairman s Findings Mitigating circumstances Aggravating circumstances Adjournment Chairperson s sanctions 1. ALLEGATIONS/ CHARGES Read out the allegations/charges and asked the employee to plea to each respectively: SPECIFY THE CHARGE: Charge 1: THE EMPLOYEE PLEADED: Guilty Not guilty Charge 2: Guilty Not guilty Charge 3: Guilty Not guilty Charge 4: Guilty Not guilty Page 3 of 22

4 2. INITIATORS OPENING STATEMENT (use additional paper if required) Page 4 of 22

5 3. EMPLOYEE S / ACCUSED OPENING STATEMENT (use additional paper if required) Page 5 of 22

6 4. COMPLAINANT S / INITIATORS CASE (Should include exhibits, testimony of witnesses and cross-examination, if applicable.) Page 6 of 22

7 Page 7 of 22

8 Page 8 of 22

9 5. RESPONDENT S / ACCUSED EMPLOYEE S CASE (Should include testimony and cross-examination of witnesses, if applicable.) Page 9 of 22

10 Page 10 of 22

11 Page 11 of 22

12 6. INITIATORS / COMPLAINANT S CLOSING ARGUMENT Page 12 of 22

13 7. RESPONDENT CLOSING ARGUMENT (REPRESENTATIVE) Page 13 of 22

14 8. CHAIRPERSON S SUMMARY KEY POINTS Page 14 of 22

15 Page 15 of 22

16 9. ADJOURNMENT: 9.1 Time enquiry adjourned: 9.2 Time enquiry to be reconvened: 9.3 Parties Notified? YES / NO Note: If the inquiry is to be reconvened at another date, this notification should be in writing. 10. RECONVENE Date: Time: 11. FINDINGS 11.1 Determine culpability on the balance of probabilities Is there sufficient grounds/proven evidence on the balance of probabilities in order to find the employee guilty? Has the employee contravened a rule/standard? YES NO Was the rule/standard valid and reasonable? YES NO Was the employee aware/could the employee have been expected to be aware thereof? YES NO Has the rule/standard been consistently applied? YES NO 11.3 Motivate and give reasons for the findings: Page 16 of 22

17 Page 17 of 22

18 12. AGGRAVATING CIRCUMSTANCES 13. MITIGATING CIRCUMSTANCES Page 18 of 22

19 14. RECONVENE Date: Time: 15. EMPLOYEE S RECORD Read out and check previous current warnings Check length of service. Personal circumstance (i.e. number and age of dependants and any other relevant data) Adjourn to decide suitable penalty in line with disciplinary code respectively for each charge. Page 19 of 22

20 17. THE SANCTION (CODE OF GOOD PRACTICE) 17.1 Consider appropriate sanctions against: Provisions of rules and regulations, disciplinary code and procedure. Seriousness of transgression (consider extent of damages/impact on the company). Capacity of the employee to perform. Extenuating circumstances (factors that may have led to the employee committing transgression): - Provocation - Faulty systems/controls Mitigating circumstances (why a lesser penalty is appropriate): - Age - Length of service - Personal circumstances (marital status, number of dependants etc.) - Work records - Remorse/willingness to make amends (e.g. pay for damages) Aggravating circumstances (why a harsher penalty is appropriate): - Seniority of employee - Intent (pre-meditation, self gain) - History of similar transgressions - Lack of remorse Employee s personal record: - Past warnings (still valid?) - Promotions / Work performance - Commendations Precedent: - Action taken in previous cases of a similar nature - Future Third party reaction: - Customers / Supervisors / Employees / Union, etc. Effects of the penalty: - Can the employee be corrected? - How will it affect his dependants? - Does the punishment fit the crime? Page 20 of 22

21 Alternatives to dismissal: Note: The test for a dismissal should be whether trust relationship has completely been broken. Cost and worth. SPECIFY THE CHARGE: Charge 1: Verdict Guilty / Not Guilty Sanction: Charge 2: Charge 3: Charge 4: 17.2 Motivate reasons for sanction: Page 21 of 22

22 If a sanction of dismissal is contemplated, was the Dismissal Consultation completed and signed by the HR Manager? YES NO 18. ADVISE THE EMPLOYEE OF THE SANCTION AND RIGHTS TO APPEAL / REFER THE MATTER Give outcome in writing where applicable (e.g. warning / dismissal notification) Ensure that the employee signs all the relevant documentation Ensure all relevant documentation (e.g. charge sheet, evidence, minutes of enquiry, signed outcome etc.) is filed on the employee s personal file and the relevant departments / managers advised of the outcome. Grounds for appeal - E.g. lack of jurisdiction, procedural irregularity, new evidence, sanction too harsh, presiding officer bias Time limit 3 working days To whom appeal should be lodged ACKNOWLEDGEMENT NAME SURNAME SIGNATURES Chairperson of Proceedings Representative Employee Page 22 of 22