A Step-by-Step Guide How to conduct a Disciplinary Hearing to Conduct a Disciplinary Enquiry... ·...

A Step-by-Step Guide

How to conduct a Disciplinary Hearing

A PEOPLEPLUS PUBLICATION

Copyright Peopleplus

Preface

Since the introduction of the new Labour Relations Act (LRA) of 1995 into South African Labour Legislation, the professional management of discipline at company level continues to be crucial. The general view that disciplinary policies should not be instruments of punishment but rather fair procedures to be implemented in correcting unsatisfactory employee behaviour continues to find wide acceptance. The purpose of this guideline is to provide management with the knowledge to handle issues of a disciplinary nature with confidence. Prepared by Rodney De Villiers of Peopleplus Published in October 2014 by Peopleplus 90 Hennie Alberts Street Brackenhurst Alberton P.O Box 0562 Verwoerdpark Alberton 1453 Telephone Number (011) 867-7971 www.talenger.com / www.peopleplus.co.za / www.myhr.co.za

This is not a work of final reference. While every attempt is made to ensure that the information published is accurate, the editors, publishers and printers take no responsibility for any loss or damage that may arise out of the reliance by any person upon any information it may contain. Copyright vests in Peopleplus. No part of this publication may be reproduced or distributed in any form or by any means without the prior written permission of Peopleplus.


Contents

SECTION DESCRIPTION PAGE NUMBER

1 The Principles of the Code of Conduct 5 – 9

1.1 The importance of a Disciplinary Code of Conduct 5

1.2 The principles of applying the discipline in the organisation

5

1.3 Procedural Guidelines 5

1.4 What is not allowed 6

1.5 What is the fairness principle 7

1.6 What are the Fair Discipline Measures 8

1.7 How to determine the right sanction 9

2 Minor Offences 9

2.1 General 9

2.2 The steps to follow 9

2.3 Types of minor offences 9

2.4 Duration of the offence 9

3 Serious Offences 10 – 13

3.1 General 10

3.2 Steps to follow 10

3.3 Types of serious offences 12

3.4 Duration of the offence 12

3.5 Important no Note! 13

4 Conducting the Hearing 14 – 17

4.1 General 14

4.2 Roles and Responsibilities 14

4.3 The Process 15

4.4 Hearing in Absentia 17

5 The Appeal Process & Rights 18 – 19

5.1 The rights of the employee 18

5.2 The appeal process 18

5.3 Deciding on the outcome 19

5.4 Mitigating and aggravating circumstances 19


6 Corrective Measures 20 – 21

6.1 Different types of corrective measures 20

6.2 Duration of warnings 20

6.3 Maximum corrective measures 21

Support Tools 22 - 29

Disciplinary Hearing checklist

Deciding on the finding

Format of minutes

Outcome of hearing

Acknowledgement by the offender

Appeal application form


YOUR STEP-BY-STEP GUIDE


Section 1 The Principles of a Code of Conduct

1.1 The importance of a Disciplinary code of Conduct

A disciplinary Code provides guidelines in which a manager can

apply discipline in the organisation. It provides guidelines in terms

of how severe the discipline should be applied in order to obtain

corrective behaviour.

1.2 The Principles of applying Discipline in the Organisation

The primary objective when applying discipline is to find a

workable solution to correct behaviour in the workplace and

this is based upon the following:

Standard of Conduct in terms of ensuring that every

employee is aware of the company code of conduct;

Fair Application in the way that each misconduct is dealt with

as well as the sanctioning that goes with it.

To apply a corrective approach rather than punitive;

To apply discipline without prejudice, meaning that

consideration will be given to all facts.

Every employee has the right to appeal should he or she feel

aggrieved about the outcome of a disciplinary hearing.

1.3 Procedural Guidelines

Procedural guidelines are normally based upon the following:


1.3 Procedural Guidelines (continued)

The focus should be on corrective rather than punitive

measures;

The disciplinary hearing and the decision should be based

upon equity and fairness;

An employee who has been accused shall be afforded an

opportunity to state his or her case and to defend him or

herself;

Only the facts and circumstances relevant to the alleged

misconduct must be taken into consideration.

Employee’s / Accused’s Rights:

o To be represented by a fellow employee

o Translation if required

o State his/her case

o Bring witnesses

o Have a right to appeal

1.4 What is not allowed?

Any person in a managerial position may not act as a

representative for his immediate subordinate;

No legal representation is allowed;

The Accused may not use external representation;


1.5 What is the Fairness Principle?

There are 5 fairness principles that should be applied when

determining a verdict:

Be objective and focus on the facts and not the person

involved;

Allow the accused to prepare for the case and to state

his/her case;

Apply lawfulness i.e., is the employee being victimised etc.

Apply procedural fairness i.e.:

o The employee must be charged within a reasonable

time of the offence being committed

o He or she must be notified in order to gather their

facts;

o Notify the employee of the possible outcome for

example if the offence is of a serious nature which

could lead to dismissal;

o Notify the employee of his/her rights;

Apply substantive fairness:

o The prescribed standard of counduct must be

reasonable and legitimate;

o The prescribed standard of conduct must have been

known to the employee or the employee could

reasonably have been expected to have known of the

existence of the rule and the prescribed standard of

conduct must have been regularly and consistently

enforced;

o The prescribed standard of conduct must have been

broken / breached.

1.6 What is Fair Disciplinary Measures?


Determine the question of guilt or innocence;

Determine the sanction which would be appropriate.

1.7 How to Determine the Right Sanction

Focus on the gravity of the offence and find out whether it is

in contravention with a standing rule in the company;

Whether it is consistently applied in the past;

Was the employee aware of the rule;

Furthermore:

Allow the employee to plead factors for mitigation such as

length of service, personal circumstances, attitude etcetera;

Also allow the mitigated a chance to state aggravation (i.e.

length of service, place where conduct took place,

employee’s position in the company, remorseless attitude,

previous disciplinary records etc);

Provide the employee with the finding in respect of the

disciplinary measure in writing

Warn the employee of further disciplinary consequences

should this misconduct occur again.


Section 2 Minor Offences

2.1 General

Minor offences have a minor impact and include aspects of any

unacceptable conduct or breach of contract such as poor timekeeping.

2.2 The Steps to Follow

Step 1: Verbal warning or counselling in the event that it is a first offence.

This could include counselling an employee and is normally not recorded

on an employee’s file in a formal manner. However, an e-mail is

acceptable to confirm such a counselling or discussion session.

Step 2 A written warning: in the event that an employee repeats a minor

misconduct for which he or she has previously been verbally warned, then

a written warning can be issued. Please note the length of the validity of

the offence in terms of the company’s code of conduct.

Step 3 A Final Written Warning: is deemed to be an action short of dismissal.

As such, no employee shall be issued with a final written warning

without a formal disciplinary hearing.

2.3 Types of Minor Offences

Negligence;

Leaving the place of work without permission whilst on duty;

Absence from work for three (3) consecutive days or less;

Reporting late for duty;

Rowdiness;

Poor work standards;

Treating fellow employees or superiors with disrespect;

Insubordination;

Failure to report illness or otherwise arrange for the circumstances to be reported to the immediate Line Manager, as defined in the Conditions of Service;

Extended or unauthorised breaks during working hours.

2.4 Duration of the Offence

Normally valid for a six month period.


Section 3 Serious Offences

3.1 General

Serious offences have a serious impact on the employment relationship.

It is in most cases of such a serious nature that it is enough to warrant

dismissal.

Offence of this nature are serious enough to warrant dismissal, therefore

no sanction that may jeopardize the employment relationship may be

issued without a proper disciplinary hearing being held.

3.2 The Steps to Follow

Step 1: Investigate the Case: in Where it is alleged or suspected that an

employee has committed a serious disciplinary infringement, the manager

or delegated authority shall be informed of the circumstances.

On receiving the complaint, the manager must commission an

investigation into the facts of the alleged transgression to establish

whether sufficient grounds exist for a disciplinary hearing to be held, prior

to the initiation of such a hearing. The manager must establish the

following and must take statements where possible:

who was at fault and whether procedures;

What contributed to the problem;

Whether the alleged offence took and/or other offences took place;

What contributed to the perception that an offence occurred.

Step 2 Obtain Statements from Witnesses: The manager should obtain

statements from witnesses during the investigation process. The

manager is not obliged to make the statements available to the employee.


Step 3 Request for Representation: The alleged offender may request

assistance and/or representation during the investigation from an

available fellow employee or union representative of his/her choice.

Step 4 Prepare the Charge Sheet: Once sufficient evidence gathered and the

decision has been made to proceed with a formal disciplinary hearing, a

charge sheet should be completed and signed off by the parties

concerned which include the manager who is instituting the discipline as

well as the alleged offender.

The Charge Sheet should contain the following information:

The name and clock number of the alleged offender;

The alleged transgression;

The date, time and place where the alleged transgression took place;

The offender shall acknowledge such receipt by appending their

signature to the charge sheet. A copy of such signed document will

be supplied to the Disciplinary Officer immediately;

The Rights of the Employee must be stipulated:

o Sufficient notification of the disciplinary enquiry and the

charges, in writing, must be given 5 days prior to the date of

the actual hearing taking place;

o The right to be present and to state his/her case;

o The right to representation by a co-employee;

o The right to present evidence in defence;

o The right to call witnesses;

o The right to respond to and cross-examine the employer’s

evidence and witnesses;

o The right o an interpreter if necessary.

Step 5 Issue Notice for Hearing: The Disciplinary Officer shall complete a

notice of hearing sheet and issue it to the alleged offender and a copy

shall be forwarded to the manager or delegated authority instituting

discipline.


Such notice informs the alleged offender of the date, time and venue of

the hearing. Such notice also states that the alleged offender may call

any witnesses that either the employee being charged or manager

instituting, wishes to have attend the hearing.

The employee will be afforded an opportunity to prepare his/her case by

being given at least 3 – 5 working days for this purpose, prior to the

hearing being held (depending on the company’s code of conduct

stipulations).

3.3 Types of Serious Offences

Typical categories of serious offences include the following but are not

limited to:

Categories of serious offences

Absence from work without

permission for more than 3 days;

Desertion – where an employee is

absent for a period of 5 consecutive

or more days without permission.

Confirmation of termination will be

communicated in writing to the

employee’s last known address;

Gross negligence;

Sleeping on duty;

Under the influence of intoxicating

substance while on duty and/or on

the company premises;

Bribery or corruption;

Forgery or fraud;

Abuse of company property / e-mail

facilities;

Arson;

Unauthorised possession of company property

and or misappropriation thereof;

Abuse of confidential information that

endangers the security or economic viability of

the company;

In possession of firearms or dangerous objects;

Failure to comply with safety standards and or

procedures of OCHSA;

Practising or promoting political, religious or

cultural aims on company premises through

actions, documentation, slogans badges or in

any way whatsoever, without the prior

permission of management;

Theft

Gross violation of human dignity, including the

use of abusive language, swearing or

discrimination;

3.4 Duration of the Offence

Normally valid for a six month period.


3.5 Important to Note

Charges Charges should be described as ALLEGED as the misconduct has yet

to be proved in the enquiry / hearing;

The charges must be clearly phrased to ensure an understanding of

the exact allegation;

There must be a reference made to the relevant provisions of the

Disciplinary Cove and of the policies of the organisation;

The charges must be distinctly defined in order to differentiate

between similar types of misconduct, for example, the distinction

between theft and misappropriation

Charge Categories Absenteeism

Control at work

Offences relating to disorderly behaviour

Offences relating to theft of fraud

Un-procedural and/or illegal industrial action

Offences relating to human dignity.

Suspension In certain cases where investigations are conducted against an

employee for an alleged misconduct, such an employee may be

suspended from his place of work with full pay.

This can be done at the discretion of the appropriate authority pending

the outcome of the investigation, provided that such suspension does

not unreasonably prejudice the employment rights of the employee.

Circumstances under which you can suspend will include issues

where a person might bring damage to your client base, might affect

your IT systems etc.

Section 4 Conducting the Hearing


4.1 General

The Code of Good Practise recommends that employers still engage in

progressive discipline, meaning not to dismiss the first time but still to

issue warnings. However, this does not mean that a company may not

adopt a ZERO tolerance strategy in dealing with discipline.

4.2 Roles and Responsibilities

Prior to discussing the actual process, is it important to understand who is

responsible for what

Responsibility Role Definition

Alleged Offender An employee who is alleged to have committed an act of

misconduct shall be afforded a proper opportunity to state his/her

case and to defend him/herself, and if found guilty, to also appeal

against outcome of the disciplinary hearing.

CEO / COO The CEO/COO is the person duly authorised to act on his behalf,

makes a decision on an employee’s appeal against the decision of

a Presiding Officer or Line Manager in a discipline manner.

S/He also makes a decision on the recommendations of an

External Presiding Officer in and internal disciplinary hearing.

Complainant Files a complaint in writing to the relevant Line Manager.

Disciplinary Officer Will monitor and ensure that substantive and procedurally fair

principles are applied prior to and during the disciplinary hearing.

Investigating Officer Investigates and presents a report and evidence on behalf of the

Company. Where a mandate is given, acts as the manager

instituting discipline or alternatively, lead evidence on behalf of the

Company.

Manager Instituting Discipline

Commissions an investigation and/or institutes discipline and

presents evidence on behalf of the company.

Presiding Officer Will chair the hearing and make findings on evidence presented

and also issue a sanction. S/He will inform the offender of his/her

right of APPEAL.

Witnesses Present evidence on behalf of the company or the employee.

4.3 The Process


The following process serves as a guideline process to be followed:

a) The Disciplinary Officer shall appoint a Presiding Officer;

b) The Disciplinary Officer shall arrange for an interpreter if necessary;

c) The disciplinary hearing shall be held in camera and only those

persons, who have to be present in terms of this procedure, may

attend the hearing. The admission of any other persons as observers

shall be subject to prior arrangement with the Disciplinary Officer;

d) The Disciplinary Officer will ensure that all persons required at the

hearing, as stipulated in the notice of the hearing sheet, are present at

the start of the hearing;

e) The Presiding Officer will chair the hearing and will introduce all

parties for the record;

f) The Presiding Officer will read the infringement as stated in the

charge;

g) The Presiding Officer will ask all witnesses to leave the room except

for the Manager or delegated authority instituting discipline;

h) The Presiding Officer will ask the alleged offender to state his/her plea

in response to the allegations;

i) The Presiding Officer will afford the person duly authorised to act on

behalf of the company, to present his/her case and allow for the calling

of witnesses, as well as the submission of relevant evidence;

j) The alleged offender or his/her representative will be granted an

opportunity to cross-examine evidence lead on behalf of the

Company;

k) The alleged offender or his/her representative will present his/her

response and will be granted the opportunity to call a witness;

l) The Presiding Officer will grant the opportunity to the Company and

the complainant / alleged offender or their representative to cross-

examine the alleged offender or his/her witnesses, on evidence

presented;

m) The Presiding Officer will then adjourn the hearing for as long as is

reasonable, to make his/her findings on the evidence presented. The


Presiding Officer MAY NOT communicate with either the alleged

offender or the Manager or the delegated authority instituting

discipline at this stage;

n) The Presiding Officer will resume the hearing and make his/her

decision on the findings known;

o) If the alleged offender is found not guilty, the hearing will be closed

and no record will be kept on the employee’s file;

p) If the alleged offender is found guilty, then the Presiding Officer will

ask the alleged offender to respond in mitigation;

q) The Presiding Officer will adjourn the hearing to decide on the

appropriate sanction. The Presiding Officer will consult with the

Disciplinary Officer and also check the offender’s personal file.

Relevant facts to be taken into consideration, amongst other, include

the following:

i. Whether there was a rule?

ii. Whether compliance with the rule was reasonably

possible?

iii. Whether the offender was aware of the rule or could

reasonably be expected to know about the rule?

iv. Whether the employee, on a balance of probabilities, in

fact broke the rule?

v. Whether the rule has been consistently applied, without

necessarily always leading to the same sanction, since

circumstances could differ from one case to the next?

r) The Presiding Officer will resume the hearing and communicate

his/her decision;

s) The Presiding Officer will inform the offender of his/her right to

APPEAL to the CEO/COO within 7 working days and in writing;

t) The Presiding Officer will then end the hearing and complete all the

necessary documentation for the offender and for the personal file.

4.4 Hearing in Absentia


In the event that the employee is in prison or s/he refuses without good

reason to attend the disciplinary hearing, s/he may be heard in absentia.

This can ONLY be done after the employee has been informed that the

hearing will continue in absentia.

In the event that an employee does not attend a disciplinary hearing, the

reasons must be established prior to conducting a hearing in absentia.

The Company must prove that an attempt to contact the alleged offender

has taken place.

Section 5 The Appeal Process and Rights

5.1 The Rights of the Employee

Sufficient notification of the disciplinary enquiry and the charges, in

writing, 3-5 working days prior to the date of the actual hearing taking

place;

The right to be present and to state his/her case;

The right to representation by a co-employee;

The right to present evidence in defence;

The right to call witnesses;

The right to respond to and cross-examine the employer’s evidence

and witnesses;

The right to an interpreter if necessary.

5.2 The Appeal Process

The following process needs to be adhered to:

The offender has a RIGHT to submit an appeal against the decision of

the Presiding Officer within 7 working days;

If the offender wishes to appeal s/he must complete an appeal form

and submit it to the Employee Relations Office;

The CEO/COO has the power to reduce or increase the sanction of


the Presiding Officer and the employee may be:

o Afforded an opportunity to make or submit oral or

written presentation in mitigation, prior to the

pronouncement of such a decision by the CEO/COO;

o Afforded representation at the appeal hearing;

The CEO/COO will issue his/her response to the appeal within ten

(10) working days;

If the offender is satisfied with the decision of the CEO/COO, the

matter is finalised;

If the offender is not satisfied with the decision of the CEO/COO, then

s/he may declare a dispute at the Commission for Conciliation,

Mediation and Arbitration (CCMA) as provided for by the LRA.

5.3 Deciding on the Outcome

a) Assess and verify the evidence;

b) Consider the reliability and consistency of the witnesses’ testimony.

c) Consider the appropriateness of the complaints/charges

d) Consider which version on balance of probability (i.e. reasonable to

believe) is most likely;

e) Prepare and write down your findings;

f) Inform the employee and his representative of your finding;

g) Handle queries, but do not debate the findings;

h) S/he may appeal against your finding.

i) Ask the employee to submit evidence in mitigation.

5.4 Mitigating and Aggravating Circumstances

Herewith some examples:


FACTOR AGGRAVATING MITIGATING

ATTITUDE Confrontational Remorseless / Sly /evasive Insolent

Not in trust position

DISCIPLINE RECORD Many previous warnings Many current warnings Variety of offences

No previous warnings No current warnings for

similar offences.

STATE OF HEALTH Good Poor (won’t get onto another medical scheme or find work easily)

FINANCIAL SECURITY

Not a breadwinner The only breadwinner

MONETARY LOSS TO COMPANY

High Low Offer to repay.

Section 6 Corrective Measures

6.1 Different Types of Corrective Measures

Warnings Counselling Verbal Warnings Written Warnings Final Written Warnings

Demotion Demotion with the consent of the employee to a lower level

Suspension Normally on full pay, but can be without pay with the consent of the

employee

Alternative

Employment

Alternative employment with the consent of the employee

Dismissal Can be done only after a formal hearing was held.


6.2 Duration of Warnings

Type Duration

Verbal Warnings 3 months

Written Warnings 6 months

Final Written Warnings 9 – 12 months

6.3 Maximum Corrective Measures

The following table can be used as a guideline to determine the outcome

of a disciplinary hearing in terms of the corrective measure or penalty that

could be applied:

OFFENCE WRITTEN WARNING

FINAL WRITTEN WARNING

DISMISSAL

Absenteeism more than 5 days √

Assault √

Breach of trust √

Fraud √

GROSS Insubordination √

Intimidatio √

GROSS Negligence √

Participation in unlawful strike √

Sexual Harassment √

Theft √

Unauthorised possession of company property

√

Absenteeism (3-5) days √

Abuse or misuse of company property √ √

Damage to company property √ √

Fai ure to comply with company policies

√ √

Absenteeism (less than 3 days) √ √ √

Alcohol or drug abuse √ √ √

Insubordination √ √ √

Late coming √ √ √

Negligence √ √ √


Poor time-keeping √ √ √

Sleeping on duty √ √ √

.

Support Tools

DISCIPLINARY HEARING


Steps Description Yes No

Documentation Disciplinary Enquiry Sheet

Complainant’s statement

Complainant’s witnesses’ statements (if applicable)

Step 1 Open the Disciplinary hearing by reading the company number and name of the accused from the complaint form and ascertain that the information is correct.

Step 2 Introduce everyone present: Chairperson, complainant, accused, representative, interpreter, IR representative and all witnesses.

Step 3 Establish the facts

Examine the circumstances

Determine the disciplinary action if the accused is found guilty

Step 4 Was the accused notified timeously to attend the enquiry?

Has the accused had sufficient time to prepare his case?

Step 5 Read complaint (ensure that the accused understands the charge).

Take care to explain the rights of the accused – list in detail.

Step 6 Ask the accused to plead to the charge. Guilty or not guilty.

Step 7 Ask the complainant to state his/her case.

Step 8 Ask the accused to state his/her case.

Where the accused pleads guilty, he must also be allowed to state his case.

Step 9 Allow for questions posed to the complainant (accused, chairperson, employee, representatives and IR representative)

Step 10 All for questions posed to the ACCUSED (complainant, chairperson, employee, representatives and IR representative)

Step 11 Invite the complainant / accused to call in witnesses – only one witness at a time. The witness to leave the hearing once questioning has taken place.

Step 12 Ask the complainant / accused and his/her representative if they have a final statement relating to the case.

Step 13 The chairperson must now decide on the available facts at his disposal whether the accused is guilty or not guilty. If there is any doubt, the accused must get the benefit of the doubt.

Step 14 The complainant / accused and his/her representative are called back and the chairperson reads the finding, REASONS TO BE GIVEN.

Step 15 The accused and his/her representative can address the chairperson on any mitigation circumstances which may possibly have an influence on the sanction to be imposed.

Step 16 Imposition of the sanction

Step 17 Inform the accused and his / her representative that he/she has the right to refer the matter for conciliation / con-arb.


Support Tools

DECIDING ON THE FINDING

Steps Description

1 Assess and verify the evidence in terms of which evidence is:

Corroborated

Not denied

Contradicted materially

2 Consider the reliability and consistency of the witnesses’ testimony

3 Consider whether the complaints (charges) are appropriate and correct in light of the evidence present.

4 Consider which version on balance of probability (i.e. reasonable to believe) is most likely (where reasonable doubt exists, this should favour the employee). This means that of the two versions presented, via the evidence, after weighing the one against the other, the one which is more likely to be true or is more probable, is the one which should be selected.

5 Prepare and write down your findings under the following headings:

Complaints

Employee’s submission and evidence

Other evidence put forward

Your conclusions

Your finding (guilty or not guilty). The chairperson must give reasons (why, who, when, where) for arriving at the conclusion.

6 Inform the employee and his/her representative of your finding.

7 Handle queries, but do not debate the finding (if appropriate, you may inform the employee that if he/she is dissatisfied, he/she may appeal against the finding)

8 Ask the employee to submit evidence in mitigation.

9 Adjourn to decide on the penalty to be imposed.


Support Tools

FORMAT OF MINUTES

Date of Inquiry

Accused

Complainant

Chairperson

Present / Witnesses

1. INTRODUCTION

The Chairperson welcomed everybody and introduced her and the capacity that she will be representing during this formal procedure.

2. ACCUSED RIGHTS

The accused was informed about his rights in respect of:

Representation – Mr Ndlovu said that he requires no representation required.

Language preference – Mr Ndlovu said that he is comfortable in speaking and understanding English

Needs interpreter – Mr Ndlovu said that he does not require an interpreter. 3. PURPOSE OF THIS INQUIRY

The Chairperson stated the purpose of the inquiry:

To establish the facts

To examine circumstances

To determine disciplinary action to be taken 4. PROCEDURE TO BE FOLLOWED

The Chairperson explained the procedure that will be followed during the inquiry as follows:

Complainant to state their case

Complainant to give evidence

Accused may respond and ask questions (cross question)

Complainant may ask further questions to the accused

Witnesses may be called

Chairperson make findings

If dissatisfied, may appeal against the findings. 5. CHARGES

The Chairperson read the charges from the notification given to Mr Ndlovu as follows:

CHARGES

1. Poor work performance in that you do not meet the required work performance standards in spite of you agreeing to be able to do the work also in terms of the time lines;

2. Breakdown in the relationship.

6. UNDERSTANDING THE CHARGES

The Chairperson asked the accused whether she understood the charges upon which he responded “yes”.


7. PLEAD

The Chairperson asked the Accused whether she is pleading “guilty” or “not guilty” to the charges upon which he responded as follows:

CHARGES PLEAD

1. Theft Not Guilty

2. Breakdown in the relationship. Guilty

8. COMPLAINANT STATED THEIR CASE

Charge 1: Charge 2:

9. ACCUSED STATED HIS CASE

Charge 1: Charge 2:

10. CROSS EXAMINATION BY THE ACCUSED Mr Ndlovu said that he had no questions for the company and that he can understand that they feel that he was not performing well.

11. CROSS EXAMINATION BY THE COMPLAINANT / ALLEGED OFFENDER

12. CLOSING STATEMENT S

Complainant

Accused

13. MITIGATING CIRCUMSTANCES

THE COMPLAINANT: THE ACCUSED:

14. AGGRAVATING CIRCUMSTANCES

THE COMPLAINANT:

The meeting was adjourned and the Chairperson said that the outcome will be available on _______________ and that Mr Ndlovu would be suspended on full pay until the outcome is available.


Support Tools OUTCOME OF A DISCIPLINARY ENQUIRY

NAME OF EMPLOYEE

Employee / Clock No.

TRANSGRESSION

1. 2.

DATE OF INQUIRY

FINDINGS

SANCTION

RECOMMENDATION DISMISSAL

The Accused person has the RIGHT TO APPEAL within 48 HOURS / 7 DAYS after receiving this outcome.

SIGNATURES

_____________________________ _________________

PRESIDING OFFICER DATE

_____________________________ _________________

EMPLOYEE DATE

_____________________________ __________________

WITNESS DATE

This confirms the outcome of the hearing which will be recorded against you, and of which you were verbally informed on ________________ (date). Should you avail yourself of your right of appeal, the appeal form must be used for this purpose.


Support Tools

ACKNOWLEDGEMENT BY THE OFFENDER

I, _________________________________, have been verbally informed of the particulars of the above-mentioned

disciplinary action.

I take cognisance of the fact that should I not be satisfied with this decision, my appeal must be submitted within 48

hours / 7 days.

___________________________________ ________________________________

Signature of Employee Date

------------------------------------------------------------------------------------------------------------------------------------------------

Should the offender refuse to sign:

Statement by witness:

M______________ was verbally informed of the disciplinary action indicated above and of his right of appeal on

___________________ (date) at ____________________ (time).

___________________________________ ________________________________

Signature of Witness Date


Support Tools APPEAL FORM

Name of Employee : ______________________

Employee Clock No. : ______________________

Department/Division : ______________________

I hereby appeal against the outcome of the disciplinary hearing held on ______________ (date). My reasons for appealing are as follows:

NOTE: You can also attach additional documentation in terms of your reasons.

__________________________________________

Signature of Employee

Appeal submitted on (date) __________________________________

Signature of Disciplinary Officer: __________________________________

NOTE:

1. If the appeal is not submitted within the required time frame after the employee has been notified verbally of the disciplinary decision, reasons for late submission thereof must also be furnished.

2. Application for condonation of late referral will be decided by the CEO upon submission of such an application, which must be accompanied by the appeal documentation.

3. The CEO has the power to reduce or increase the sanction of the Presiding Officer.

A Step-by-Step Guide How to conduct a Disciplinary Hearing to Conduct a Disciplinary Enquiry... ·...

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