Disciplinary And Grievance Procedures

4 PAGES Disciplinary and grievance procedures

The procedure your company follows should be documented, it is then either called a disciplinary procedure or a code of conduct. It must be explained to all staff; in addition to this it should be freely available to all staff, either as a notice or in a file accessible to all.

As a small business you are not required to have a highly structured code, you can take a generic code and structure it particularly to your business.

It is normal for this discipline to be progressive in nature, however should the misconduct be of a serious nature then you may resort to harsher penalties.

 List of penalties  Guidelines when giving written warnings  Warning form  Summons to disciplinary inquiry – At least 48 hours prior to the hearing  Disciplinary inquiry form  Appeal form  Record of appeal

 Not all penalties will be mentioned in the under mentioned list, it can be expanded to suit the needs of your business.  Penalties do not have to be mentioned in the list in order for you to take disciplinary action, some actions are of a nature contrary to society and company norms and can result in disciplinary action regardless of whether or not they are specifically mentioned..

Serious misconduct which can result in dismissal on the first offence include the following:

 Gross dishonesty  Willful damage to property  Endangering safety of others  Physical assault  Gross insubordination  Gross negligence, dereliction of duties.

When disciplining for Poor Performance there is a different requirement than that for misconduct. With an employee who is under performing you do not have to look at whether the rule was "fair or reasonable", but you must allow an employee who is not performing reasonable time to improve. This means for example you cannot expect a sweeper to be able to perform in the function of receiving manager within a period of a month. Obviously this time to improve will vary depending on the complexity of the position.

When dealing with a performance issue:

 Set clear measurements / requirement  Check the performance against these, if the employee is under performing give him or her the opportunity to improve with the support necessary.  Set a time limit to this improvement opportunity.  Should the employee still not meet these standards then you should take the appropriate disciplinary action. List of offences

Nature of offence 1st offence 2nd offence 3rd 4th offence offence

Theft or the removal of company, employee or third Dismissal party owned goods from the company premises / company equipment without proper written permission. (This includes attempted theft or removal of same).

Willfully recording time (changing time) on a clock Dismissal card other than his/her own.

Gross dishonesty. Dismissal

Endangering the safety of others. Dismissal

Assault, battery or fighting on company premises. Dismissal Verbal assault of a co-worker, swearing at co- workers and deliberate act of racism.

In possession of a firearm or dangerous / lethal Dismissal weapon without permission of management.

Bringing drugs or alcohol onto the property without Dismissal authority, or being under the influence of, or indulging in them on the property without permission.

Forgery, fraud, bribery or corruption of any nature Dismissal in the company / gross negligence.

Posting or distributing notices, poster, etc., Dismissal intimidation, incitement to breach company rules or soliciting of any kind on company premises without company permission, provided that this shall not conflict with the worker’s lawful rights to free association.

Clocking or booking time that has not been worked. Dismissal

Refusing to obey a reasonable working instruction. Dismissal

Willful contravention of company rules. Dismissal

Absence of 3 days with no notification Dismissal

Gross Insubordination/insolence Dismissal

Willful mutilation of clock cards 1st and Final Dismissal written warning

Unauthorized removal of or failure to replace safety 1st and Final Dismissal equipment. written warning

Negligent driving, driving in a manner which may 1st and Final Dismissal cause damage to company property or injury to written persons, or non-compliance with driving regulations warning laid down by the company and by the department of transport which may cause damage to company property or injury to persons.

Tampering with sick certificates. Dismissal

Insubordination, insolence, horseplay or swearing 1ST and Final Dismissal at a supervisor or member of management. written warning

Entering or leaving the company premises without 1st and Final Dismissal authorization or entering or leaving the company written premises other than through the recognized staff warning entrance/exit.

Failure to clock in or out at tea and meal times and Written Final written Dismiss the taking of extended meal times. warning warning al

Failure to clock in or out. Written Final written Dismiss warning warning al

Willful neglect / improper performance of duties. Written Final written Dismiss warning warning al

Smoking in no-smoking or high hazard areas as Written Final written Dismiss indicated on notice boards. warning warning al

Unauthorized entry into restricted areas. Written Final written Dismiss warning warning al

Failure to wear protective clothing in designated Written Final written Dismiss areas. warning warning al

Driving or operating a company vehicle or Written Final written Dismiss equipment without authority or carrying any warning warning al unauthorized passengers.

Carelessness or negligence in committing any act Written Final written Dismiss which may result in injury to self, others or damage warning warning al to company property.

Unauthorized collection and/or exchange of money, Written Final written Dismiss selling or gambling on company premises. warning warning al

Absent from work without a valid reason. Written Final written Dismiss warning warning al

Late for work for reasons other than those beyond Written 2nd written Final Dismissal the control of the employee. warning warning written warning

Failure to report an accident or damage to Written 2nd written Final Dismissal company property. warning warning written warning

Carelessness or negligence in committing any act Written 2nd written Final Dismissal not mentioned above which may result in injury to warning warning written self, others or damage to company property. warning Guidelines when giving written warnings:

1. A written warning shall be given when attempts to improve performance with verbal reprimands and verbal warnings have failed or when employee breach of conduct is considered sufficiently serious to warrant a written warning. 2. A written warning must be given in the presence of the employee's chosen representative. 3. The employee must be given the opportunity to present his/her side of the case. 4. The member issuing the written warning shall clearly communicate to the parties, and, on the written warning form shall record the reasons for such a warning and the actions necessary to correct / prevent a recurrence of the offence, and also that further disciplinary action shall be taken if no improvement takes place. 5. The written warning shall record a description of the incident, behavior or practice which caused the warning to be issued and shall refer to any verbal warnings previously given to the employee. 6. The written warning shall be signed by the person issuing the warning, and probably by the employee and the chosen representative. The written warning shall then be placed in the employee's personal file, where it shall be retained for a maximum period of 6 months, a final written warning will be valid for a period of 12 months. After this period, it shall be destroyed. 7. A copy of the written warning shall be given to the employee at the time of issuing such a warning. 8. Should an employee and / or the chosen representative refuse to sign the written warning, then the manager shall indicate this fact on the warning form, and get an independent witness to sign to the effect that the party / parties refuse to sign.

PLEASE NOTE, THAT WHEN A NOTIFICATION TO A DISCIPLINARY HEARING IS GIVEN, YOU MUST:

(a) EXPLAIN THE CONTENTS OF THE DOCUMENT TO THE EMPLOYEE CONCERNED AND GIVE A COPY TO THE ACCUSED, WHO MUST IN TURN SIGN YOUR COPY AS PROOF OF ACCEPTANCE; (b) GET A WITTNESS TO SIGN THAT A COPY WAS HANDED, AND THE CONTENTS READ AND EXPLAINED , TO THE EMPLOYEE BEING CHARGED, SHOULD THE EMPLOYEE REFUSE TO SIGN. 2 PAGES

WARNING/DISCIPLINARY FORM

Name of Establishment: ………………………………………………

Name of Employee: …………………………………………………….

Department: …………………………………………………….

Date of hearing: ………………………………………………….

Employee Number: …………………………………………………….

Attending Works Council Rep./Employee: …………………………………….

Other Parties/Observers: …………………………………………………….

Details and Nature of Misconduct (include dates and times)

A. Employees version

B. Required/Expected behavior/Performance/Conduct/Standards:

C. Disciplinary Action: (tick where applicable) 1 First Written Warning

2 Second Written Warning

3 Final Written Warning

4 1st and Final Written Warning

5 Unpaid suspension as an alternate to dismissal

6 Dismissal D. Facts Leading to Decision Taken:

E. Action Steps (which employee agrees to commit himself/herself so as to improve conduct/performance) :

Action Steps

Review Date: ......

…………………………………….……………………………………. ……………………………………

EMPLOYEE SIGNATURE:......

Should the employee refuse to sign - ask a witness to sign that he/she witnessed the employee being issued with the warning.

WITNESS SIGNATURE:......

WITNESS NAME:......

ISSUED BY: ………………………………………………………………... TITLE: …………………………………………………………………

DATE: …………………………(In force for*3(three), *6(six) or *12(twelve) months from date of issue)

(*Delete which do not apply)

NOTE: Supporting documentation must be attached. This form must be filed in the employee’s personal file. A copy must be given to the employee who committed the misconduct.

PLEASE ENSURE THAT BOTH PAGES ARE SIGNED

2 PAGES

Summons to Attend a Disciplinary Enquiry

To: Date: Employee number:

You are hereby summoned to attend a Disciplinary Enquiry as per the following details:

Venue Date Time

INITIATOR:

Name Signed Designation Date Time

Chairperson of the Enquiry

Telephone Name number Designation

------

This is to enable you to state your version concerning the following allegations:

…………………………………………………………………………………………………………………………

………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………

Important Note:

Kindly note, that you have the right to an employee representative, who could be anyone from the workplace at the enquiry (No outside representation are allowed, unless you are a shop steward with a union recognised by this establishment). You may request an Interpreter, present evidence, call and / or question witnesses. Should you require the above please make the necessary arrangements or request assistance from the enquiry chairperson.

You also have the following Obligations :

 You must inform your representative(s) immediately of the charge, the venue of the hearing, the date of the hearing, the time of the hearing and the name of the chairperson.  You must ensure that your representative(s) and yourself are fully prepared to defend your case at the mentioned hearing.  You must ensure that you, your representative, all your witnesses and all relevant evidence are present at the hearing at the mentioned date, time and venue.

Please take urgent notice that the hearing will go on in the absence of yourself and / your representative and / or your witnesses and / or your evidence if any of the before mentioned are not present at the hearing at the scheduled date, time and venue without a valid reason. Failure to attend the disciplinary hearing would cause that the chairperson will have to take a decision on the charge without having heard your side of the case. It is therefore in you best interest to attend the hearing and to make sure that you have fulfilled all of your above-mentioned obligations.

Please contact the chairperson or your employer if you have any questions regarding the hearing, or if you and your representative and/ or your witnesses and / or your evidence could not be present at the scheduled hearing. You are also invited to contact any of the above mentioned if you could possibly have any information regarding the charge brought in against you. All information will be treated as confidential in as far as it will be possible under the circumstances.

**Please take further notice that you are hereby and as from now suspended from service, with full pay, until the date and time of the hearing. (Suspend employee only in the case of serious transgression)

**You have to continue working until the time of the hearing.

(**Delete the part that does not apply)

I acknowledge receipt of the notification of the enquiry to be held as detailed above and understand my rights.

Employee’s Signature Or Employee Representative signature:______Date:______

Time:______

I have witnessed the above named employee being informed of the enquiry as detailed above and of his /her rights.

Signed:______

Designation:______

Date: ______

Time:______

PLEASE ENSURE THAT BOTH PAGES ARE SIGNED

6 PAGES

DISCIPLINARY ENQUIRY

Part 1 : Planning (To be completed prior to the enquiry)

Enquiry Date: ……………………………………………..

Time: ……………………………………………..

Employee Name: ……………………………………………..

Number: ……………………………………………..

Department: ……………………………………………..

Job Title: ……………………………………………..

Present at Enquiry;

Chairman: ………....……………………………………..

Complainant: ……………………………………………..

Employee Rep: …………..……………………………..

Witnesses: ……………………………………………..

……………………………………………..

Background Info: Details of alleged offence (it is important to have a date, and if possible, times of offence). Include all information on the Summons form).

Part 2 : The Enquiry

Ask the employee whether he has had sufficient time to prepare and whether he requires a representative and interpreter (if not present), inform the employee of his/her right to call witnesses : (Record response)

……………………………………………………………………………………

Read charges to employee, including written evidence. Ask employee if he is guilty of the alleged offence: (Record) Guilty Not Guilty

Call complainant and witnesses to give evidence: (Record evidence).

Allow employee to cross question the evidence: (Record)

Allow employee to present his evidence and to call his witnesses (make a summary note of his defense) :

Allow complainant to cross question employee’s evidence (Record): .

NOTE: Once you are happy that you have all the facts, ask the employee, his representative, witnesses and complainant, to leave the room.

Part 3 : The Decision

Place a tick in the appropriate block

Decision : Not Guilty Guilty

Why this decision? (list facts leading to decision).

Part 3 : Mitigating Evidence and Disciplinary Action

Call the employee and representative back into the room and give decision along with reasons for decision (2 above). If not guilty case is closed and this document destroyed. If guilty give employee opportunity to plead in mitigation. Mitigating circumstances consist of factors, which may decrease the severity of action to be taken (example: length of service, previous disciplinary record, work record). Employee’s response must be recorded.

Ask the employee and representative to leave the room.

Are there any mitigating or aggravating circumstances? Aggravating circumstances consist of factor, which could increase the severity of action to be taken. The Chairman should approach the department head to get their views on mitigating and aggravating circumstances. The Chairman is obligated to look for and list as many circumstances as possible including:

Length of Service: ………………………………………………………………

Previous Disciplinary Record: ……….………………………………………

Attitude Towards Misconduct: ……….……………………………………….

Personal Circumstances: ……….…………………………………………….

Other:

Action to be taken and reasons why: (if action is dismissal Chairman must state whether it is summary or with notice and fill out a "Notification of Dismissal Form"). Chairman to consult HR Manager to ensure disciplinary action is consistent with previous cases.

Are all witness reports, statements, etc. attached? List documents attached.

………………………………………………………………………………….. ……………………………………………………………………………………

……………………………………………………………………………………

NOTE: Call employee back into the room.

Read out action to be taken to the employee. Remember, that in cases where an employee is offered unpaid suspension as an alternative to dismissal the employee must give consent.

If action is not dismissal, then counsel employee as to required/expected behavior/performance and agree to action steps with follow-up dates to which the employee is committed. List action steps and follow-up dates.

Action Steps Completion Date

Part 3 : Appeal

Ask employee if he/she wishes to appeal. YES

NOTE: Ask employee to sign next to the cross

IMPORTANT: A request for an Appeal Hearing may be lodges within three working days of this Enquiry.

Enquiry wrap up:

CHAIRMAN’S SIGNATURE: …………………………………………………

EMPLOYEE’S SIGNATURE: …………………………………………………

WITNESSE’S SIGNATURE: …………………………………………………

Ensure all documentation is filed in the employee’s personal file. 1 PAGE

APPEAL FORM

1. I wish to appeal against the warning/dismissal :

Name :..…………………………………………………………………….

Department :……………………………………………………………….

Employee Number :……………………………………………………….

Date of Warning / Dismissal :………………………………………….…

2. The warning / dismissal was because of :

3. Specify details of grounds of appeal :

SIGNATURE :……………………………………………………..

DATE LODGED :…………………………………………………...

2 PAGES

APPEAL RECORD FORM

To be completed by the Chairman

Chairman :………………………………………………………………..

1. Name of employee lodging appeal :…………………………………...

2. Present at the Appeal:....……………………………………………….

…………..………………………………………………………………………….

……………..……………………………………………………………………….

3. Offence and disciplinary action taken:

4. Grounds of appeal (employee to specify) :

5. Findings:

CHAIRMAN SIGNATURE………………………………………..

EMPLOYEES’ SIGNATURE……………………………………..

DATE ...... ………………………………………………………...