Dear professional friends, Can anyone send procedure/process/material of HR POLICIES/policy matters and its IMPLEMENTATION at the earliest for knowledge the follow in day to day assignments.
From India, Visakhapatnam
4From India, Visakhapatnam
Hi Srinivas,
The information which I am sharing with you is from our own group only... I m also a learner like you .. Its not my own ... I ma just sharing with you....Is this you want ... I am just giving you the point for Hr Policy .... but you have to develop Policy as per your requirement......
1. CONDITIONS OF SERVICE
Contract of Employment ..
Working hours .
Duty Station .
Confidentiality .
2. RECRUITMENT AND SELECTION POLICY
Introduction .
Objectives
Recruitment Authorisation Procedure .
Newly Created or Restructured Positions
Employment Procedure
Employment Interview Panel ...
Age ...
Appointment .
Personal Data
Staff Transfer
Induction ..
3. PERFORMANCE MANAGEMENT POLICY
Responsibilities of Manager/Supervisors .
The Performance Management Process
3.4.1 Performance Planning
3.4.2 Monitoring.. ..
3.4.3 Performance Summary
3.4.4 Recognition ..
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction ..
4.2 Objectives
4.3 Process and Criteria .
5. LEAVE POLICY
6. DICIPLINARY CODE
Introduction ..
Procedure and Documentation .
Special Cases
Classification of Offences
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior .
6.4.4 Offences related to dishonesty .
6.4.5 Industrial Action ..
6.5 Penalties
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning ..
6.5.5 Dismissal ..
6.5.6 Demotion ..
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal ..
6.5.9 Dismissal Procedure .
Disciplinary Appeal Procedure
7. GRIEVANCE POLICY
Introduction ..
Objectives .
Procedure and Guideline ..
8. TERMINATION OF EMPLOYMENT POLICY
8.1 Introduction ...
8.2 Termination by Notice .
8.3 Retirement .
8.4 Death of Staff Member .
8.5 Certificate of Service
8.6 Discharge Form .
9. RETRENCHMENT POLICY
9.1 Introduction ...
9.2 Objectives .
9.3 Consultation ..
9.4 Assistance from HOD
9.5 Retrenchment Procedure
10. COMPENSATION POLICY
11. POLICY FOR TEMPORARY EMPLOYEES
11.1 Introduction
11.2 Appointment ..
11.2.3 Terms of Service .
11.4 Short Term Consultants .
12. HEALTH AND SAFETY POLICY
12.1 Introduction
12.2 Objectives ..
12.3 Security ..
12.4 First Aid .
12.5 Visitors
12.6 Smoking ..
12.7 Emergencies
12.8 Office Services
13. STAFF MOVEMENTS
13.1 Transfers .
13.2 Out of Station Travel on Official Duty
13.3 Overseas Trips .
13.4 Travel Advances .
13.5 Reimbursement of Expenses
15. SUCCESION PLAN POLICY
15.1 Introduction . .
15.2 Objectives
15.3Procedure ..
Appendices
Appendix 1: Contract of Employment
Appendix 2: Employment Authorization Form
Appendix 3: Employee Personal Data Form
Appendix 4: Supply upward Feedback for Employees
Appendix 5: Supply upward Feedback for Supervisors
Appendix 6: Study Loan Application Form
Appendix 7: Complaint Form
Appendix 8: Notice of Disciplinary Hearing
Appendix 9: Grievance Form
Appendix 10: Field Travel and Authorisation Form
Appendix 11: Overseas Travel Form
Appendix 12: Reconcile Travel and Related costs
1. CONDITIONS OF SERVICE POLICY
1.1 Contract of Employment
A Contract of Employment stipulating all the conditions of employment shall be signed by all employees on the first day of employment.
1.2 Working Hours The workweek comprises a minimum of 40 hours, beginning Monday and ending Friday of each week. The official working hours are form 8h00am to 17h00pm with one hour brake between 13h00 and 14h00 for lunch. Each employee is required to put in at least eight hours per day. However the nature of work may require some variation and extension of these times.
The Chief Executive Officer or his/her delegate must approve any deviation from
these hours. Refer to Section 27 of the Labour Act, 1992 (Act 6 of 1992).
1.3 Duty Station
Duty station shall be stated in the letter of appointment and any transfer to other field offices shall be communicated in writing. The workstation for each member of staff shall be specified in the letter of appointment. Employees will however be required to report to the Head Office before proceeding to their place of posting. They shall meet their travel costs to Head Office while HOD shall meet the travel costs from Head Office to the place of posting.
Where the employee is to report straight to their workstation, the employee shall meet thetravel costs. Transfers are fully discussed in the policy for Staff Movements.
1.3 Confidentiality
All information related to HOD's operations or future endeavours, shall be treated with udmost confidentiality.
2. RECRUITMENT AND SELECTION POLICY
2.1 Introduction
Recruitment and Selection aim to search and hire suitable candidate to fill vacancies in SBCGT
with the view to satisfying human resources needs. The search may be internal and/or external.
Any position within SBCGT that become vacant will be filled, on completion of a requisition
form by the immediate supervisor. Restructured on newly created positions will only be
activated upon approval from the board.
The success and adaptability of a Company depends upon the recruitment of employees who
are flexible, adaptable and committed to the success of the SBCGT.
2.2 Objectives
This section aims to promote and maintain high standards of professional recruitment practice
by encouraging recruiters to adhere to best practices.
Its purposes are to:
a) Ensure that recruitment is considered an essential part of the human resource
b) Strategy and consequently an integral part of the overall business strategy;
c) Ensure and explain best practice for all types of recruitment;
d) Maintain professional standards whether recruits are easy to find;
e) Ensure that equality of opportunity is considered an integral part of good
recruitment practices and procedure;
2.3 Recruitment Authorization Procedure
Authorisation
All authorisation procedure detailed below must be completed prior to the commencement on
any recruitment procedure.
a) Prior to the employment of any employee the Employment Authorisation Form
(Appendix 2) must be completed.
b) The employment of all individuals for budgeted positions within SBCGT must
be authorised by the Department Head and Chief Executive Officer.
c) Employment of Personnel to the position of Manager of Departments will
require the authorisation of the Chief Executive Officer.
Procedure
a) The Department Manager will complete the Employment Authorisation form.
b) The Department Manager is responsible to ensure correct authorization
procedures have been complied with.
c) The Department Head will provide the Human Resources Officer with a fully
authorised Employment Authority Form and instruct commencement of
Recruitment.
d) The Human Resources Officer will control that the correct authorisation has
been obtained. When all is in order they shall commence the recruitment
process.
2.4 Newly Created or Restructured Positions
Authority shall be vested in the Board to consider request for the activation of a newly
created or restructured position.
a) Activation of a position shall be allowed by the submission of an Employment
Authorisation Form by the Department Manager to the Human Resources
Officer.
b) Once the need to fill a vacancy has been identified, the Department Manager
will submit a motivated recommendation to the Board for the activation of the
position.
c) Internal Advertisements shall be sent via e-mail or other means to all employees
by the Human Resources Officer, while external advertisements shall be placed
in specified local newspapers.
2.5 Employment Procedure
a) The Human Resources Officer shall receive all applications for employment and
shall acknowledge receipt thereof in writing. All applicants for employment
shall be addressed to the Human Resources Officer.
b) The Human Resources Officer shall sort all applications that meet the minimum
appointment requirements as advertised, and then forward these applications to
the Department Manager concerned, together with a full list of all applications
received.
c) The Department Manager, in consultation with the Human Resources Officer,
shall draw up the shortlist of candidates for interviewing.
d) The Human Resources Officer shall invite the short listed candidates for
interviews, and will ultimately make a recommendation to the Chief Executive
Officer for appointment.
e) SBCGT shall bear subsistence and travel and travel expenses of short listed
candidates from places other than the duty station. A summary of the interviews
shall be prepared by the Human Resources Officer and kept for record purposes.
f) The Human Resources Officer shall ensure that Reference Check on shortlist
candidates is done, and then the employment offer in consultation with the
relevant Department Manager to the selected candidate which upon acceptance
shall be followed by an appointment letter signed by the Chief Executive
Officer or his/her delegate. Once the selected candidate has accepted the
employment offer, the Human Resources Officer shall send regret letters to all
the unsuccessful candidates.
2.6 Employment Interview Panel
The Employment Interview Panel shall be provided with the ground rules of and procedures
for interviewing (by the Human Resources Officer) prior to the actual commencement of
interviews.
The Panel shall consist of the following persons:
a) The Department Manager concerned
b) The Human Resources Officer
c) For Management Positions the CEO as well as a selected Board Member shall
attend
2.7 Age
SBCGT shall, in terms of section 42(b) of the Labour Act 1992 Act 6 of 1992), not
employ any person under the age of (16) years.
Applicants of sixty (60) years and older can only be appointed on approval by the Chief
Executive Officer or by the Board. Employees so appointed can only be appointed can only
be appointed in a temporary capacity, and such cannot become members of the pension Fund.
2.8 Appointment
All staff will be appointed by the SBCGT Board of Trustees or as delegated
Letters of Appointment: The formal letter of appointment will bear the signature of the Chief
Executive Officer or as delegated. The letter shall require the signature of the appointee before
the appointment is considered effective.
Job Description: On appointment, an employee shall be given a job description. This shall
specify the scope and terms of reference for their position. Each member of staff is expected to
devote their time and attention to their work and not engage in activities that may conflict with
SBCGTs interests or negatively affect their performance. Job Descriptions shall be reviewed
yearly.
Probation: Any appointment made on SBCGT shall be subject to a probation period as
specified in the letter of appointment. One month towards the end of the probation period,
employees immediate supervisor shall make an appraisal report recommending a confirmation
or termination of the employees services. Where necessary, the probation period may be
extended as considered necessary by SBCGT. An employee who is on probation may have his
appointment terminated at any time without notice. In the event of such termination, the
employee is paid for the period worked up to the time of termination
Confirmation of appointment. On recommendation from the immediate supervisor, the Chief
Executive Officer shall in writing, confirm the appointment
Duration of employment: Unless otherwise stated, employment for all staff shall be on
permanent basis subject to satisfactory completion of the probation period and availability of
funds.
2.9 Personal Data
On acceptance of an appointment, the new staff member is required to complete the Employee
Personal Data form - (See Appendix 3). New employees must also furnish SBCGT with a
declaration of dependants, that is spouse and own children; next of kin and provide
photocopies of certificates and other testimonials.
Any changes in personal status shall be reported promptly to the Human Resources Officer by
completing a fresh Personal Data Form. Staff records and related correspondence shall be
treated confidentially at all times.
2.11 Induction
All new staff shall undergo induction training to assist them in the process of becoming
integrated to the institution within the shortest time possible. The respective immediate
supervisor in collaboration with the HR Officer shall conduct induction training. See checklist
for induction as Annexure:
3. PERFORMANCE MANAGEMENT
3.1 Introduction
Decisions concerning career development, promotion, succession planning and compensation
depend on information provided through effective performance management. The new SBCGT
will therefore ensure that all new employees understand the requirements of their jobs as well
as the expected results. The actual assessment of how well they have done will be undertaken
at the end of each year through a comprehensive appraisal of their performance in relation to
these expectations.
3.2 Objectives
Staff appraisal is often viewed as a punitive measure where most junior staff looks it as a time
when their seniors would get even with them for whatever reason. SBCGT will therefore seek
first to promote a healthy understanding of this process in terms of being an avenue to promote
dialogue between staff and management as well as a system through which specific needs of
staff are identified and brought into the limelight. Specifically, the appraisal process at SBCGT
will be undertaken to:
a) review performance of the staff against assigned tasks and responsibility
b) identify the areas of weaknesses and provide positive feedback to the staff on
their individual and team performance;
c) identify the areas of strength in each staff
d) identify staff who can be developed to take up increased responsibilities
e) identify the staff training needs
f) create a basis for rewarding superior performance
g) plan for the following year
3.3 Responsibilities of Managers/Supervisors
Managers/Supervisors are responsible for conducting substantive discussions and taking
conclusive performance-related actions. These actions include selecting or
a) developing performance plans,
b) communicating outcomes and expectations to employees,
c) establishing employees' development plans,
d) providing performance-related feedback to employees at prescribed intervals,
e) preparing end-of-cycle summaries,
f) and discussing the summaries with employees.
3.4 The Performance Management Process:
3.4.1 Performance Planning
3.4.2 Monitoring
3.4.3 Performance Summary
3.4.4 Recognition
3.4.1 PERFORMANCE PLANNING:
A Performance Plan is a written document between an employee (or team) and his or her
manager. The performance plan describes what has to be done during the performance cycle,
how well it has to be done, and how the accomplishment will be measured. This part of the
plan is based primarily on the goals of SBCGT and the employee's job description
Performance Management shall be a continuous process with the following timeframes
attached:
OCTOBER
Performance Summary from previous year
a) Supervisor provides a consolidation of employee accomplishments throughout
the performance cycle, synopsis of formal feedback received during the
performance cycle, and highlights of developmental activities undertaken during
the period.
b) Employee provides a self-assessment of accomplishments
(outcomes/expectations and developmental activities) completed during the
performance cycle.
Description of Actual Performance
Major Accomplishments - Identify the most important accomplishments
achieved during this performance cycle that applies directly to you position.
Other Accomplishments - Identify other accomplishments achieved during
this performance cycle.
Performance Plan jointly developed for upcoming year
a) Supervisor provides work assigned to Department, work assigned to employee,
goals/objectives for Department (cascaded down from organizational goals),
and any other needs for accomplishment of departments goals/objectives.
b) Employee provides own objectives for accomplishment of SBCGT/Departments
goals/objectives and individual developmental needs, if any, for upcoming
performance cycle.
c) Required resources to accomplish the assigned work and objectives that are
identified within the jointly developed performance plan.
DECEMBER
Check-in meeting (Requested by employee)
a) Check the performance plan for reasonableness against the plan based on 3
months experience, modify if necessary
b) Employee informs supervisor of resource needs, if any, required to accomplish
agreed upon performance plan
Examples: Skill set; time; equipment etc.
APRIL
Mid cycle meeting
a) Formal feedback session
b) Employees provide self assessment to supplement supervisors' assessment
JULY
a) Employees supply upward feedback, through an anonymous automated system,
which goes directly to the supervisor. Form to be completed attached as
Annexure
b) Supervisors supply upward feedback to their managers through an automated
system, anonymity determined by supervisors. Form to be completed attached
as Annexure
Requirements for Temporary Positions: A performance plan should be established in all
cases where the duration of the temporary employee is uncertain. A new performance plan
must be established when a an employee is scheduled to work for 90 days or longer.
3.4.2 MONITORING
Monitoring is the process of making accurate and objective performance observations based on
the outcomes and expectations contained in an employee's performance plan. In addition, the
manager will provide timely feedback throughout the performance cycle to encourage
employees to maximize their performance. Performance observations will be provided from
multiple sources.
Employee's role: Provide self-evaluation twice per performance cycle, and provide upward
feedback once during the performance cycle. If applicable, provide performance input as a
peer, customer, or key members of cross functional teams/interface groups.
Manager's role: Collect data, provide feedback, make performance observations, document
results, and manage overall process.
Application to teams: When using this process in a team setting, the following need to be
considered:
a) Team has a strong peer input feedback mechanism in place.
b) Each team member must be willing to supply self-evaluation of the team's
performance.
Managing unacceptable performance: If at any time during the performance cycle the
employee is not performing to the level agreed upon in the performance plan, the employee is
placed into an opportunity to demonstrate performance, or any other applicable performance
improving tool in an attempt to bring the employee's performance up to an acceptable level.
3.4.3 PERFORMANCE SUMMARY
The performance summary is a consolidation, discussion, and acknowledgement of employee
accomplishments and effectiveness throughout the performance cycle.
a) Provides an assessment of actual achievements based on the outcomes and
expectations contained in the performance plan.
b) Includes a synopsis of formal feedback received during the performance cycle.
c) Contains highlights of developmental activities undertaken during the period.
The performance summary represents the review of record for the performance cycle.
Purpose:
Performance summaries may be used for:
a) Identifying developmental needs.
b) Determining compliance with the agreed upon performance plan.
c) Analyzing individual [or team] performance.
d) Basis for individual recognition.
e) Basis for team acknowledgement/recognition.
f) A point of consolidation of feedback from the performance cycle.
Performance summaries may not be used for:
a) Merit promotion eligibility.
b) Reduction in force.
c) Automatic triggers for increases to base pay and/or cash awards.
Frequency: Typically the performance summary is an annual process of documentation and
discussion between a manager and an employee. This discussion shall occur within 30 days
from the end of the performance cycle.
There are several conditions under which a performance summary may occur more frequently.
They include instances where
a) the performance plan represents a cycle shorter than a year.
b) the performance plan changes significantly during the year.
c) an employee transfers to another job, department, section, team, division, etc.
d) an employee is on a temporarily for a minimum of 90 days.
e) an employees manager transfers to another job within the or leave the SBCGT.
Time under performance plan: An employee must be in his or her current performance plan
for 90 days to receive a performance summary. This 90-day requirement also applies to details.
If a performance cycle includes a detail of 90 days or greater, the performance summary for the
performance cycle may include the performance summary for the detail period.
Documentation: A narrative discussion of the individual performance compared to the
outcome(s)/expectations(s) as spelled out in the performance plan. The summary is a narrative
describing employee accomplishments of the agreed upon outcomes/expectations in the
performance plan. The relationship of the narrative and the plan represents the employees'
annual performance review.
Recordkeeping requirements: The performance summary of record shall be maintained in the
Personnel File.
Relationship to performance based pay systems: The performance summary may be used as
a factor in determining eligibility for a pay increase in a performance based pay system.
Application to Teams: Teams can receive performance summaries; however, the
accomplishments of a team cannot be a primary or secondary outcome of an individual's
performance plan. Additionally, a team performance summary does not eliminate the
requirement for an individual performance summary.
Requirements for departing/transferring managers: A departing/transferring manager
should provide a performance summary for each of his or her employees before leaving. In a
situation where a manager leaves his or her position within the last 90 days of a performance
cycle, the departing/transferring manager should close out the current performance cycle by
completing and providing a performance summary for each of his or her employees. As a
result, the new performance cycle may cover up to 15 months.
3.4.4 RECOGNITION
A means of acknowledging employees for sustained outstanding performance/service and
providing incentives to continue provide outstanding performance/service. Recognition should
be linked to performance outcomes. For example, employees should be recognized/rewarded
for being results-oriented and customer-focused. Other contributing factors could be increased
morale, contribution to team cohesiveness, contribution to the success of the performance
management process, etc. Recognition does not necessarily have to be linked to a bonus
system, but can be for e.g.; time off, chance to attend conferences of choice etc.
COMPLIANCE: At an appropriate time during the performance cycle, upward feedback will
be used to assess manager compliance in supplying performance feedback based on the agreed
upon outcomes/expectations found within the managerial performance plan. Since the feedback
is for self-development, it shall be confidential between the employee and his or her manager.
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction
SBCGT strongly believes that a well-trained and efficient workforce is crucial for the
development of any institution. As such, SBCGT will always strive to attract and retain
employees of the highest caliber.
To achieve this, SBCGT will recruit all levels of staff strictly on merit. After their engagement,
the trust will further provide them with opportunities to advance skills and professional
expertise as well as give them adequate exposure.
4.2 Objectives
The objectives of the Training and Development Policy are to:
a) Explicitly communicate the commitment of SBCGTs Board Members, Chief
Executive Officer, and Management to the training and development of all
employees, primarily customised to suit the business philosophy, mission,
vision, and Business Plan;
b) Ensure that training and development are offered to employees of SBCGT
c) Recognise the fact that training and development can only take place when
matching resources are properly planned and budgeted for and be utilised
exclusively for training;
d) ensure that need-based training and development interventions are equitably
distributed to all categories of staff and at all levels of SBCGT, with particular
emphasis on the lower ranks;
e) Ensuring equal opportunity in training and development within all Department
of SBCGT.
f) Develop and maintain a pool of suitably qualified staff (technical,
administrative and professional) at SBCGT;
g) Ensure that provision is made for understudies to replace Non-Namibians at the
expiry of their contracts;
h) Create an environment that is conducive to self-development and career
advancement of staff members;
i) Provide financial and supportive assistance, within the confines of available
financial resources in terms of Study Loan Fund;
j) To contribute towards building a national pool of qualified and skilled
Namibians through the provision of Exchange Programmes.
4.3 Process and Criteria
SBCGT will as much as is possible handle staff training as an integral part of its institutional
development. It will endeavor to train its staff continuously and impart them with new skills,
through some of the following ways:
SBCGT shall from time to time identify training courses, seek funding, and identify staff
to attend such courses, which shall include exchange visits to relevant successful SME
organizations.
SBCGT will also encourage staff to pursue further training on their own, which it could
also support whenever there are funds available;
Professional staff such as certified accountants, economists, bankers, etc, shall be
encouraged to attend functions organized by their respective professional bodies.
Training or development programme shall only be offered after a through needs assessment by
the Human Resources Officer in consultation with the Department Managers.
SBCGT places a high premium on human resources training and development. Hence,
nominees are obliged to attend courses nominated for and agreed upon. Failure by a nominee
to attend a course amounts to misconduct and will be dealt with in accordance with the
Disciplinary Code.
In the event where a nominee cannot attend a particular course for one or the other reason, such
nominee should inform the Human Resources Officer in writing at least five working days
before the commencement of the course through his/her supervisor. Shorter notice through the
same procedure shall only apply in the event of unforeseen circumstances, such as illness,
death, unplanned leave, and the like.
Trainees shall be nominated by their respective immediate supervisors with relevance to their
Performance Plan, whereupon the Human Resources Officer will consider such nominations
for confirmation, or otherwise.
Employees who have been granted special leave to attend delegations and short courses within
and outside Namibia shall be required to submit brief reports thereon, within five (5) working
days upon return, to the Human Resources Officer through his/her supervisor who in turn will
recommend specific interventions to the Chief Executive Officer.
Any training identified by individuals shall also be considered. Where these activities are
deemed important by SBCGT, an equitable selection process of who shall attend the course
shall be made and SBCGT shall fully fund the activity subject to the following conditions:
The employee must submit a formal application to his supervisor;
The application shall be forwarded by the supervisor, with his/her recommendations
and comments to the Head of Department;
Approval will thereafter have to be obtained from the Human Resources Officer
The sequential process of the Human Resources Officer shall be to:
a) determine training and development needs that currently exist and projected
future needs threw ensuring that all employees have their own Individual
Development Plans which is to be developed by the immediate Supervisor with
Reference to Performance Plans;
b) select and write training and development objectives in order to determine and
sequence course contents per employee;
c) produce and procure suitable training and development programmes;
d) conduct training and/or co-ordinate training to be provided by others from
within or outside the SBCGT;
e) Specifically investigate opportunities for exchange visits with local and foreign
institutions involved in small and medium development or other professional
areas such as MIS, finance and SME research will be available whenever
possible.
Immediate Suppervisors shall be responsible for:
Individual Development Plans for all employees under their supervision, the relevant employee
shall be part of this process.
Obtaining a template from the HR Officer who will be of assistance during the process.
5. Leave Policy
Annual Leave
Annual leave is earned at the rate of 30 working
Sick Leave
Maternity Leave
Leave without Pay
Compassionate and Special Leave with pay
Official holidays
Study Leave
Religious Holidays
Absence without notice
6. DICIPLINARY CODE
6.1 Introduction
a) This document is an expression of SBCGTs policy on discipline and a guide to
all company employees.
b) Discipline is a system designed to promote orderly conduct.
c) Formal disciplinary action should be the final course of action in rectifying
employee behaviour.
d) Disciplinary action should be supported through investigation, reasonable
evidence of guilt and careful consideration of the circumstances of each case
before formal action is taken.
e) Disciplinary action should always be prompt, fair and firm.
f) While every attempt has been made to ensure that this Disciplinary Code is
applicable to general disciplinary instances in SBCGT, the requirement for use
of discretion within the framework of and in accordance with the spirit of the
code may be required.
g) A successful disciplinary system and climate is dependant on the good
judgement, understanding and consistent treatment of the parties involved in
disciplinary action.
6.2 Procedure and Documentation
6.2.1 Action of supervisor when an alleged offence has been committed or is reported to
have been committed
When an offence is alleged to have been committed, the Supervisor concerned will investigate
or have the matter investigated, and take any form of the following actions:
a) Dismiss the case;
b) Counsel the employee;
c) Give a verbal warning;
d) Give a recorded warning;
e) Initiate a formal disciplinary enquiry;
6.2.2 Informal disciplinary action
It is desirable for sound interpersonal relations within SBCGT that Supervisor where possible
resolves disciplinary matters by means of informal disciplinary action. Informal disciplinary
action can take the form of either a verbal warning or counselling.
An employee found to have committed an offence of a minor nature should be counselled by
the Supervisor, without an entry being made on the employees personal record. The
Supervisor may however, make a record of the counselling session to allow for an assessment
of the employees performance record, should this be necessary at the time, and with the
employees knowledge and understanding thereof, formulate a plan of corrective action.
During the counselling, the Supervisor should ensure that the employee is made aware of the
nature of the offence and the standard of the conduct or performance that will be expected in
the future.
6.2.3 Procedure for formal complaints
a) A supervisor handling a formal complaint must investigate the case with the
assistance of the Human Resources Officer, where possible, and ensure that the
relevant sections of the complaint form (Appendix 7) are correctly completed
within 48 hours of the offence having been committed or the supervisor having
been made aware of the fact that an offence has been committed.
b) A copy of the complaint form should be passed without delay to the Human
Resources Officer who will advise whether:
c) The accused should be suspended pending full investigation (if this has not
already been done);
d) Advise the supervisor on whether to continue with a formal complaint
e) The Complainant and the accused must provide names of all persons who
should be regarded as witnesses as their statements will assist in ensuring a fair
hearing of a case. Where possible, should there be witnesses who are nonemployees,
formal statements should be recorded from them as they may be
invited to attend the disciplinary hearing.
6.2.4 Disciplinary Inquiries
The Human Resources Officer will be responsible for the overall application of the code and
should where possible:
a) Advise and guide all participant on the Disciplinary Code;
b) Ensure that the code is applied fairly and consistently in all cases (procedurally
and substantively);
c) When all documentation pertinent to the matter has been collected, the Human
Resources Officer shall serve the papers on the accused and/or his/her
representative to allow the employee to fully prepare himself prior to the
hearing;
d) The Hearing Chairperson will hear the case within four full working days of the
complaint being lodged only when further investigate is required shall this
period be extended;
e) The Human Resources Officer will be responsible for arranging a suitable venue
and date for the inquiry, informing all the relevant parties; informing the
accused of his/her rights to representation; informing the accused of his/her
right to appeal against the decision and arranging for all relevant statements to
be taken.
f) The complainant shall be responsible to complete the Complaint form.
Attendance at the Inquiry
The following persons must be in attendance at any hearing inquiry:
a) Hearing Chairperson
b) Complainant
c) Alleged Offender (accused)
d) Representative of alleged offender (if requested by alleged offender)
e) Witness (as) (as and only when required for the duration of the testimony)
f) Human Resources Officer.
The Hearing/Inquiry
a) The accused should be given at least 48 hours notice in advance of the
disciplinary hearing (Notice for Disciplinary hearing see Appendix 8),
indicating the date, time and venue of the hearing. In addition, the responsible
person convening the hearing should advise the accused of his/her right of
representation.
b) In the event that the accused alleges that the Hearing Chairperson is implicated
in the case and therefore will not be unbiased, the accused may request the
appointment of an alternative Hearing Chairperson, giving a full motivation for
such a request. The decision whether to appoint another Hearing Chairperson or
not rests with the Human Resources Officer. Such requests shall however not
be unreasonable withheld.
Duties and Responsibilities of the Hearing Chairperson
The Hearing Chairperson shall be any employee on the same level as the direct supervisor of
the Complainant, but not the direct supervisor.
The Hearing Chairperson should not have been privileged to any information pertaining to the
inquiry prior to the inquiry.
Ideally the Chairperson of a disciplinary inquiry will be required to follow the guidelines
below when performing duties of a presiding official:
a) Introduce and identify all present, stipulate the purpose and format of
proceedings;
b) Ensure that the alleged offender has been given sufficient notification of the
inquiry, and that he/she has signed and acknowledged acceptance thereof.
Ensure that the alleged offender has understood his/her employee rights in this
regard;
c) Establish if witnesses are present and if so inform the hearing that they will be
excluded from proceedings once they have led evidence and have been cross
questioned;
d) Should it be established that the accused was not informed of his right to
representation or that the witnesses are not present, the Hearing Chairperson
will adjourn and reschedule the hearing for a later date;
e) Should the accused fail to attend the hearing, the Hearing Chairperson will
establish whether the accused was notified of the date, time and venue of the
hearing. It will be advisable to re-notify all parties to attend the disciplinary
hearing at a later date if notification was not given;
f) If the accused fails to attend a disciplinary hearing, the Hearing Chairperson
should in writing advise the accused of the date, time and venue of the hearing
and advise him that should he fail to attend, the hearing will proceed in his
absence;
g) Should the accused fail yet again to attend and if no prior notification for his
absence was given, he may be deemed to have waived his right to attend the
hearing. The Hearing Chairperson will then decide the case in absentia on the
facts available and the accused will be informed, in writing, of the outcome;
h) Having ascertained that the particulars on the complaint form are correct, the
Chairperson will inform the accused of the charge(s) against him/her, ascertain
his/her understanding thereof and the accused will be asked to plead on the
charges;
i) The accused should be permitted to make any further pertinent comments
should he/she wish to do so (whether or not he/she has already made a written
statement);
j) According to the plea entered by the accused, the Hearing Chairperson must
verify all facts and allegations by questioning the accused, Complainant and any
other parties in order to arrive at a decision. Only information provided in the
case documentation pertaining the charge in question and statements raised
during the inquiry will be used as facts pertaining to the disciplinary inquiry;
k) The Hearing Chairperson will allow the accused, with his/her representative, the
opportunity to express opinions on the case;
l) All witnesses should be called to give evidence and to have such evidence
examined by the hearing Chairperson, the Complainant and the accused and/or
the accusers representative;
m) If during the course of the hearing, the Hearing Chairperson finds it necessary to
obtain further information, the case should be adjourned to allow for further
investigation;
n) If the accused wishes further evidence to be submitted, this should be allowed,
provided that the Hearing Chairperson is of the opinion that such further
evidence could be of relevance;
o) Once the Hearing Chairperson is of the opinion that he/she has gathered
sufficient evidence surrounding the case, he/she should request any witness (as)
to leave the room;
p) At this stage the Hearing Chairperson may call for a recess during which he/she
may liase with the Human Resources Officer in order to obtain further advice
and information;
q) The Hearing Chairperson may call a recess at any stage of the proceedings and
may consider any call for a recess by any other party of the inquiry;
r) Once the Hearing Chairperson is satisfied that he/she is in a position to make a
decision on the guilt or innocence of the accused, he/she will reconvene the
inquiry and inform the accused and his/her representative of his/her findings.
The Complainant and Human Resources Official (where possible) should be
present when the decision of guilt or innocence is informed.
s) If it is the opinion of the Hearing Chairperson that the accused is not guilty, he
will inform him accordingly and the finding case dismissed will be entered on
the Complainant form and the employees disciplinary record will be cleared of
any reference to the case;
t) Where an employee is found guilty, the Hearing Chairperson will then take note
of the offenders record of service, disciplinary record, mitigating and
aggravating circumstances, seriousness of the offence, consistency of
application and any other circumstances he/she may deem necessary to
consider;
u) In all cases, current un-expired disciplinary warnings will be taken into account
when deciding on the appropriate action;
v) Depending on the nature and seriousness of the offence, the whole of the
employees disciplinary record may be considered;
w) The Hearing Chairperson will then record the penalty on the complaint form
and inform the offender of the penalty awarded in terms of Section 6.5 and the
reasons for arriving at the decision. The Hearing Chairperson will inform the
offender of the period for which the warning will remain on his/her record as a
valid entry. The Hearing Chairperson will also inform the offender of his/her
right to appeal in terms of Section 6.6 of this code;
x) With regard to corrective action, the Hearing Chairperson will, in liaison with
the immediate Supervisor, the employee and/or representative, and the Human
Resources Officer; formulate an action plan to address the required change in
behaviour. The employee will be required to assist in this process and make
proposals in this regard. The aim is to ensure that the process of correcting
unacceptable behaviour is addressed objectively and amicably;
y) Request the employee to acknowledge the disciplinary action proposed. Should
the employee opt not to sign, a witness should be requested to acknowledge that
the details of the inquiry have been communicated to the accused.
Recording of Proceedings
a) It is in the interest of SBCGT and the individual that all proven offences and
subsequent disciplinary action be accurately recorded.
b) The Chairperson will ensure that all other required administrative details on the
complaint form are completed before forwarding the document to the Human
Resources Officer for overall review and control.
c) Statements, Complainant forms and other disciplinary records will be retained
by the Human Resources Officer as these may be required even after an
employee has left SBCGTs services.
d) The Human Resources Officer will be responsible for the input of disciplinary
penalties on employees personal files.
6.3 Special Cases
Suspension
a) An employee may be suspended from work immediately if he/she has allegedly
committed or is allegedly involved in any one of the following offences:
Assault/attempted assault
Desertion
Sleeping on duty
Negligent loss, driving, damage or misuse of company property
Abuse of electronic/data facilities
Sexual Harassment
Fighting
Riotous Behaviour
Alcohol and drug offences
Wilful loss, damage or misuse of company property
Theft/Unauthorised possession of company property
Breach of Trust
Offences related to dishonesty
Offences related to Industrial Action
Any act or omission which intentionally endangers the health or safety
of others, or is likely to cause damage to Company property
Interference with disciplinary and/or grievance investigations
Abusive or provocative language (when it is likely to cause a
disturbance)
Insubordination (if the situation shows signs of getting out of control)
Persistent refusal to obey instructions.
In certain instances the Supervisor will recommend that the offender be
removed from the work place pending investigation of the case. He/she
will take immediate steps to report the matter to his/her immediate
Supervisor, who will raise the matter with the CEO. Irrespective of the
outcome, the employee will be paid for days he/she was suspended;
It is mandatory to liase with the Human Resources Officer prior to
suspending an employee in order to endure that the suspension is
procedurally and substantively fair.
Poor Work Performance
Cases involving substandard or deteriorating work performance are to treat differently from
those regarded as transgressions of misconduct.
The following guidelines should be considered when dealing with such cases. An attempt
should be made to resolve alleged poor work performance by means of counselling the
individual involved. Where poor the supervisor identifies work performance, the following
procedural action should be considered:
a) Investigate and identify the problem area(s)
b) Communicate this to the individual concerned, and jointly agree on the
appropriate plan of action in order to resolve the matter. If deemed necessary
and relevant, norms should be established by arranging appropriate task lists
and the time duration allowed for the completion of each task;
c) Consideration should be given to the appointment of a coach or mentor to assist
the employee to improve performance;
d) Accurately minute the agreed contents of any agreement put in place and
provide the Human Resources Officer with a copy for record keeping purposes;
e) Regular evaluation and follow up on the agreed plan of action should be made;
f) Should counseling fail to produce the desired improvement, alternative action
should be considered in liaison with the Human Resources Officer. Alternative
action could include, but is not limited to, termination of the employment
contract on the grounds of incapacity, demotion or a transfer to an alternative
position. The employee, throughout this process, will be entitled to
representation.
6.3 Offences outside normal working hours
SBCGT reserves the right to take any action it may deem appropriate against employees who
are, in the opinion of SBCGT, guilty of gross misconduct not merely in their working
situations. This is particularly so where the nature of the misconduct may affect the
employment relationship with any other party. Actions that directly relate to the nature of the
business are also liable for disciplinary action.
Court Actions
Where an employee has been criminally charged or legal action has been instituted for an
employment related breach, SBCGT reserves the right to take disciplinary action against the
employee for the alleged offence, in terms of this Code.
6.4 Classification of Offences:
Offences are classified into five major categories.
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior
6.4.4 Offences related to dishonesty
6.4.5 Industrial Action
6.4.1 Absenteesim
Absenteeism in the disciplinary context means being absent from work for an entire working
shift, or part thereof, without the expressed permission from a direct supervisor.
A sanction of dismissal can apply for the first offence of being absent without permission
provided that the employee was absent for three continuous working days without a valid
reason.
a) Absent without leave;
b) Desertion: Leave the work place without intending ever to return; leave without
help or support; abandon; leave without authority or permission.
6.4.2 Offences related to Control at Work
a) Poor Time Keeping and related offences
a) Reporting late for work
b) Leaving work early
c) Extended or unauthorised breaks during working hours
d) Persistently committing all or any of the above.
b) Sleeping on duty
Any employee who is found asleep on duty, whether or not such an action constitutes a hazard
to the safety and health of the offender or others or leads to damage to Company property, shall
be deemed guilty of an offence.
c) Negligent Loss, Driving, Damage or Misuse of Company property
a) Negligent loss of Company property: any act whereby an employee, through
carelessness or negligence, loses Company property or is unable to account for
it satisfactorily.
b) Negligent driving; driving a company owned or rented vehicle without due care,
whether such an act results in an accident or not.
c) Negligent damage to Company property: any act whereby an employee through
carelessness or negligence causes or allows Company property to become
damaged.
d) Misuse of Company property: using Company property for a purpose other than
that for which it was intended.
d) Unsatisfactory Work Performance
a) Carelessness: Performance of a task or duty without the exercise of due care an
attention.
b) Negligence: failure to exercise proper care and regard to the manner of
discharging duty to the extent that tasks have to be repeated or equipment or
persons are at risk of damage or injury.
c) Inefficiency: failure to carry out work at the required standard or failure to
complete tasks within the given reasonable time limits, without reasonable
cause. This includes poor supervision.
d) Loafing: passing time idly or failing without reasonable cause to complete tasks
set.
6.4.3 Offences Related to Indiscipline or disorderly behavior.
a) Disobedience and related offences
a) Refusing to obey an instruction: deliberate refusal to carry out a lawful and/or
reasonable instruction given by a person in authority and within the area of his
jurisdiction.
b) Failing to obey an instruction: failure to obey a lawful instruction given by a
person in authority and within the framework of his/her jurisdiction.
c) None-compliance with established procedure / standing instructions: failure to
follow establish procedures.
d) Abuse of electronic / Data facilities: excessive use / abuse of e-mail and
communication facilities; storage and/or transmission of material of
discriminatory nature; storage and/or transmission of pornographic material;
unauthorised monitoring and interception of electronic documentation.
6.4.3.1 Abuse and related offences
a) Abusive Language:
The uttering of any words or the publication of any writing expressing or showing hatred,
ridicule or contempt for any person or group of persons.
The offence I more serious when it is wholly or mainly because of his/her/their nationality,
race, colour, ethnic origin, sex, marital status, religion, creed, political opinion, social or
economic status, degree of physical or mental ability, sexual orientation or culture.
b) Insubordination:
Insolence towards a superior shown by action or words.
6.4.3.2 Disorderly behaviour and related offences
a) Disorderly behaviour:
Indulging in rough or unruly behaviour or practical jokes whether or not such behaviour
endangers the safety or health of others or the smooth running of the work place.
b) Threatening violence:
Threatening to do physical injury to any other person.
c) Fighting:
Physical contact between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
d) Riotous behaviour:
Unruly behaviour between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
e) Sexual Harassment:
Any unwanted or unwelcome sexual advances, requests for sexual favours and other verbal or
physical conduct of a sexual nature when submission to or rejection of this conduct explicitly
or implicitly affects an individuals employment, causes unreasonable interference with an
individuals work performance or creates an intimidating, hostile or offensive work
environment.
f) Discrimination:
Any act whereby an employee discriminates against any other employee or group of employees
on the grounds of nationality, race, colour, ethnic origin, sex, marital status, religion, creed,
political opinion, social or economic status, degree of physical or mental ability, sexual
orientation or culture.
Willful loss, damage or misuse of Company property
Willful loss: any act whereby an employee willfully or deliberately loses or causes Company
property to be lost.
Willful damage: any act whereby an employee willfully or deliberately damages, or allows or
causes damage to Company property.
Willful misuse: any act whereby an employee willfully or deliberately misuses Company
property.
6.4.5 Offences Related to Dishonesty
Disciplinary cases involving the following offences must be reported to the Human Resources
Officer.
Bribery or Corruption
Giving or receiving or attempting to give or receive any bribe or inducing or attempting to
induce any person to perform any corrupt act.
False Evidence
Deliberately giving untrue, erroneous or misleading information or testimony whether
verbally or in writing.
Forgery and uttering
Falsifying or changing any documentation with fraudulent intent or attempting to do so.
Uttering or attempting to utter fraudulent or false statements or documents.
Misappropriation
Applying or attempting to apply to a wrong use or for any unauthorised purpose, any funds,
assets or property belonging to SBCGT.
Theft of or unauthorised possession of Company property
Stealing or attempting to deprive SBCGT permanently of its rightful ownership.
Being in possession or disposing of Company property without due authorisation.
Fraud
The unlawful making of a misrepresentation with intent to defraud, which causes actual or
potential prejudice to another party.
Breach of Trust
Actions or conduct of an employee that cause a reasonable suspicion of dishonesty or mistrust
and for which there exist extraneous evidence to prove a breakdown in the relationship of trust
between the concerned employee and SBCGT. This will include a situation where the conduct
of the employee has created mistrust, which is counterproductive to SBCGTs commercial
activities or to the public interest, thereby making the continued employment relationship an
intolerable one.
6.4.5 Industrial Action
Intimidation
Any act by an employee, whether by himself or in concert with other persons (whether or not
such other persons are employees of SBCGT), to intimidate any employee with the object of
compelling him to take part in any strike or other action which interferes with the normal
operations of SBCGT. Intimidation is an offence even if all the procedures for the settlement
of the industrial disputes and grievances and the Law have been exhausted.
Sabotage
Any deliberate action by an employee that results in the interference with the normal
operations of SBCGT by damaging any machinery, or equipment or by interrupting any
supplies of power, or services necessary to the operations.
Illegal Strike/Lockouts
Participation in any illegal strike action, lockouts, boycott or any other form of work disruption
not in accordance with the applicable statute that constitutions a blatant refusal to work.
Examples of such action include, inter alia, work-to-rule: overtime ban; go-slow.
Any disciplinary matter referred to in this subsection will not preclude SBCGT from exercising
its common law rights to terminate the employment contract in the case of illegal industrial
action.
6.5 Penalties
Classification of Penalties:
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning
6.5.5 Dismissal
6.5.6 Demotion
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal
6.5.1 Verbal Warning
Any supervisor may, at any time and at his discretion, reprimand an employee without
completing a complaint form, in which case there will be no entry made on the
employees disciplinary record. When a verbal warning if given, the supervisor must
ensure that the employee being reprimanded is made aware of the existence and
function of the Disciplinary Code. A verbal warning is usually issued where the
offence is of a minor nature.
6.5.2 Recorded Warning
Application: This may be given for a repetition of an offence for which an unrecorded
warning has been given, or it may be given for a first offence.
Validity Period: The employee must be informed that the warning will remain in force
for a period of six months.
6.5.3 Severe Warning
Application: Given for a repetition of the same offence or similar offence during a
period when a recorded warning is still in effect, or for a first offence of a more serious
nature.
Validity Period: The employee must be informed that the warning will remain in force
for a period of nine months.
6.5.4 Final Warning
Application: Given for a repetition of the same offence or a similar offence during a
period when a severe warning is still in effect or depending on the nature thereof, for a
first offence of a serious nature. In the case of an employee being found guilty of an
offence of a dissimilar nature within the prescribed period, the hearing official may, at
his discretion, issue a comprehensive final warning on the understanding that if any
offence is committed within the next 12 months, it will render him liable for dismissal.
Validity Period: A final warning is effective for a period of twelve months. The
employee is advised in writing by the official hearing the case of the period applicable
and reminded that a repetition of the offence or the committing of any similar serous
offence within the prescribed period will render him liable for dismissal. A copy of the
notice shall be forwarded to the Human Resources Department.
6.5.5 Dismissal
Application: Dismissal is the final sanction and should be used:
when other forms of disciplinary action have failed;
when an employee on a final warning commits a serous offence;
when the offence committed is of such a serious nature that it amounts to a
serous breach or repudiation of the employees contractual obligations;
in cases relating to dishonesty e.g. theft, fraud or corruption;
in the case of any employee who is absent from work without permission for
a period of three continuous working days or more. In this case the
employee will be dismissed in absentia after the third day if no reason for
such absence is receive. Should the employee return to work after he has
already been dismissed, he may request that the case be re-opened?
Once an employee has been dismissed in accordance with the procedure contained in
this Code, under no circumstances will he be considered for re-employment should he
re-apply at a later stage. If it is discovered that a dismissed employee has obtained reemployment
with SBCGT either inadvertently or through deception, his services will
be terminated immediately.
6.5.6 Demotion
Demotion is not an acceptable corrective action and is therefore, not used as a
punishment for a specific offence. It is used only where the employee is unable to meet
the requirements of his present job but is suitable for continued employment in a lower
capacity.
6.5.7 Transfer
Transfer is not permitted as a tool for disciplining employees. A transfer shall only be
effective in terms of SBCGTs Conditions of Employment and Service. Transfer, as
the result of the outcome of a disciplinary action, will be considered in special
circumstances.
6.5.8 Alternative Penalty to Dismissal
A comprehensive final warning may be considered at the discretion of the Hearing
Chairperson as an alternative penalty to dismissal in instances where an employee is
found guilty of an offence of a dissimilar nature to a valid final warning on his personal
record.
The sanctioning of a comprehensive final warning will only be considered in
circumstances warranting corrective action and liaison between the Hearing
Chairperson and the Human Resources Officer is encouraged before such a penalty is
imposed.
A comprehensive final warning will be valid for twelve months from the date of the
imposed penalty.
The Role of the HR Officer
The maintenance of workplace discipline is strictly a function of line management. Human
Resources Officer should be available to assist line management where required. As far as
possible, the Human Resources Officer should, in consultation with the official chairing
hearing, ensure that disciplinary action taken is procedurally and substantively fair.
The Human Resources Officer should be available to advise and assist all employees on all
disciplinary matters.
The Human Resources Officer must not impose penalties, nor hear appeals in respect of own
subordinates or immediate Supervisors.
The Human Resources Officer is responsible for:
Ensuring that the complaint form properly identifies the offence and is otherwise
correctly completed
Ensuring that the alleged offender is aware of the charges against him/her
Interviewing and taking statements from the Complainant, accused and any witness
Investigating the domestic circumstances of the alleged offender, when necessary
Ensuring that all facts are collated marshalled and presented without bias.
Advising the Complainant, accused, witness (as) and representative of their roles
and rights
Ensuring that documentation pertaining to the hearing is forwarded to the
appropriate officials
Advising the accused and his representatives of progress made for cases that are
pending or in recess.
The Human Resources Officer may at his/her discretion recommend that a concluded
disciplinary case be reopened in instances where gross non-compliance to the Disciplinary
Code is evident.
The Role of the Representative
Any employee, against whom formal disciplinary proceedings are held may at his request, be
accompanied at the initial and any subsequent hearing by a colleague from the same working
section, or in the case of an employee who is represented by a properly constituted consultative
committee, by a member of such a committee. An employee who is a Union member may be
represented by the appropriate Part-time or Full-time Shop Steward, in accordance with the
provisions of the Recognition and Procedural Agreement between SBCGT and Union. Legal
representation or representation by non-Company persons during internal Company enquiries
is not permitted.
The representative has no right to insist on the employee being accompanied if he does not
wish it; that is, a representative will attend a disciplinary hearing only at the request of the
employee. He will be invited to comment on the evidence.
The representative may ask question and cross-question during the disciplinary hearing, but
may not give evidence during such hearings.
The representative may make submissions to the hearing official on the guilt or otherwise of
the accused prior to the hearing official making his finding. He may also make submissions to
the hearing officials on the mitigating factors to be considered and on the penalty to be
imposed.
Should the representatives comments at the hearing be of such a nature as to warrant reconsideration
of certain matters or further investigations, time should be allowed for this and, if
necessary, the enquiry recessed.
6.5.9 Dismissal Procedure
a) A direct Department Manager may recommend that an employee be dismissed.
b) For the purpose of the dismissal procedure, a direct Department Manager is
defined as an employee graded D-lower or above who has a supervisory link to
the employee concerned.
c) Following a disciplinary hearing outcome being advised to the employee who
results in the recommendation for a dismissal and the employee accepts the
recommendation; the Hearing Official will refer the case documentation for
review to the relevant Manager for the department concerned.
d) The relevant Manager will endeavor to review the case within forty-eight
hours/two working days and endorse or reject the recommendation.
e) If the recommendation for dismissal is endorsed, the hearing official shall refer
the recommendation to the Human Resources Officer who will review the case
with the relevant Head of Department.
f) If the recommendation for dismissal is rejected, the case shall be referred to the
Human Resources Officer and the original hearing official.
g) The relevant Manager may sanction the recommendation in writing, thereby
effecting dismissal, or reject it. If the recommendation is rejected, action 8.6
From India, Lucknow
The information which I am sharing with you is from our own group only... I m also a learner like you .. Its not my own ... I ma just sharing with you....Is this you want ... I am just giving you the point for Hr Policy .... but you have to develop Policy as per your requirement......
1. CONDITIONS OF SERVICE
Contract of Employment ..
Working hours .
Duty Station .
Confidentiality .
2. RECRUITMENT AND SELECTION POLICY
Introduction .
Objectives
Recruitment Authorisation Procedure .
Newly Created or Restructured Positions
Employment Procedure
Employment Interview Panel ...
Age ...
Appointment .
Personal Data
Staff Transfer
Induction ..
3. PERFORMANCE MANAGEMENT POLICY
Responsibilities of Manager/Supervisors .
The Performance Management Process
3.4.1 Performance Planning
3.4.2 Monitoring.. ..
3.4.3 Performance Summary
3.4.4 Recognition ..
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction ..
4.2 Objectives
4.3 Process and Criteria .
5. LEAVE POLICY
6. DICIPLINARY CODE
Introduction ..
Procedure and Documentation .
Special Cases
Classification of Offences
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior .
6.4.4 Offences related to dishonesty .
6.4.5 Industrial Action ..
6.5 Penalties
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning ..
6.5.5 Dismissal ..
6.5.6 Demotion ..
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal ..
6.5.9 Dismissal Procedure .
Disciplinary Appeal Procedure
7. GRIEVANCE POLICY
Introduction ..
Objectives .
Procedure and Guideline ..
8. TERMINATION OF EMPLOYMENT POLICY
8.1 Introduction ...
8.2 Termination by Notice .
8.3 Retirement .
8.4 Death of Staff Member .
8.5 Certificate of Service
8.6 Discharge Form .
9. RETRENCHMENT POLICY
9.1 Introduction ...
9.2 Objectives .
9.3 Consultation ..
9.4 Assistance from HOD
9.5 Retrenchment Procedure
10. COMPENSATION POLICY
11. POLICY FOR TEMPORARY EMPLOYEES
11.1 Introduction
11.2 Appointment ..
11.2.3 Terms of Service .
11.4 Short Term Consultants .
12. HEALTH AND SAFETY POLICY
12.1 Introduction
12.2 Objectives ..
12.3 Security ..
12.4 First Aid .
12.5 Visitors
12.6 Smoking ..
12.7 Emergencies
12.8 Office Services
13. STAFF MOVEMENTS
13.1 Transfers .
13.2 Out of Station Travel on Official Duty
13.3 Overseas Trips .
13.4 Travel Advances .
13.5 Reimbursement of Expenses
15. SUCCESION PLAN POLICY
15.1 Introduction . .
15.2 Objectives
15.3Procedure ..
Appendices
Appendix 1: Contract of Employment
Appendix 2: Employment Authorization Form
Appendix 3: Employee Personal Data Form
Appendix 4: Supply upward Feedback for Employees
Appendix 5: Supply upward Feedback for Supervisors
Appendix 6: Study Loan Application Form
Appendix 7: Complaint Form
Appendix 8: Notice of Disciplinary Hearing
Appendix 9: Grievance Form
Appendix 10: Field Travel and Authorisation Form
Appendix 11: Overseas Travel Form
Appendix 12: Reconcile Travel and Related costs
1. CONDITIONS OF SERVICE POLICY
1.1 Contract of Employment
A Contract of Employment stipulating all the conditions of employment shall be signed by all employees on the first day of employment.
1.2 Working Hours The workweek comprises a minimum of 40 hours, beginning Monday and ending Friday of each week. The official working hours are form 8h00am to 17h00pm with one hour brake between 13h00 and 14h00 for lunch. Each employee is required to put in at least eight hours per day. However the nature of work may require some variation and extension of these times.
The Chief Executive Officer or his/her delegate must approve any deviation from
these hours. Refer to Section 27 of the Labour Act, 1992 (Act 6 of 1992).
1.3 Duty Station
Duty station shall be stated in the letter of appointment and any transfer to other field offices shall be communicated in writing. The workstation for each member of staff shall be specified in the letter of appointment. Employees will however be required to report to the Head Office before proceeding to their place of posting. They shall meet their travel costs to Head Office while HOD shall meet the travel costs from Head Office to the place of posting.
Where the employee is to report straight to their workstation, the employee shall meet thetravel costs. Transfers are fully discussed in the policy for Staff Movements.
1.3 Confidentiality
All information related to HOD's operations or future endeavours, shall be treated with udmost confidentiality.
2. RECRUITMENT AND SELECTION POLICY
2.1 Introduction
Recruitment and Selection aim to search and hire suitable candidate to fill vacancies in SBCGT
with the view to satisfying human resources needs. The search may be internal and/or external.
Any position within SBCGT that become vacant will be filled, on completion of a requisition
form by the immediate supervisor. Restructured on newly created positions will only be
activated upon approval from the board.
The success and adaptability of a Company depends upon the recruitment of employees who
are flexible, adaptable and committed to the success of the SBCGT.
2.2 Objectives
This section aims to promote and maintain high standards of professional recruitment practice
by encouraging recruiters to adhere to best practices.
Its purposes are to:
a) Ensure that recruitment is considered an essential part of the human resource
b) Strategy and consequently an integral part of the overall business strategy;
c) Ensure and explain best practice for all types of recruitment;
d) Maintain professional standards whether recruits are easy to find;
e) Ensure that equality of opportunity is considered an integral part of good
recruitment practices and procedure;
2.3 Recruitment Authorization Procedure
Authorisation
All authorisation procedure detailed below must be completed prior to the commencement on
any recruitment procedure.
a) Prior to the employment of any employee the Employment Authorisation Form
(Appendix 2) must be completed.
b) The employment of all individuals for budgeted positions within SBCGT must
be authorised by the Department Head and Chief Executive Officer.
c) Employment of Personnel to the position of Manager of Departments will
require the authorisation of the Chief Executive Officer.
Procedure
a) The Department Manager will complete the Employment Authorisation form.
b) The Department Manager is responsible to ensure correct authorization
procedures have been complied with.
c) The Department Head will provide the Human Resources Officer with a fully
authorised Employment Authority Form and instruct commencement of
Recruitment.
d) The Human Resources Officer will control that the correct authorisation has
been obtained. When all is in order they shall commence the recruitment
process.
2.4 Newly Created or Restructured Positions
Authority shall be vested in the Board to consider request for the activation of a newly
created or restructured position.
a) Activation of a position shall be allowed by the submission of an Employment
Authorisation Form by the Department Manager to the Human Resources
Officer.
b) Once the need to fill a vacancy has been identified, the Department Manager
will submit a motivated recommendation to the Board for the activation of the
position.
c) Internal Advertisements shall be sent via e-mail or other means to all employees
by the Human Resources Officer, while external advertisements shall be placed
in specified local newspapers.
2.5 Employment Procedure
a) The Human Resources Officer shall receive all applications for employment and
shall acknowledge receipt thereof in writing. All applicants for employment
shall be addressed to the Human Resources Officer.
b) The Human Resources Officer shall sort all applications that meet the minimum
appointment requirements as advertised, and then forward these applications to
the Department Manager concerned, together with a full list of all applications
received.
c) The Department Manager, in consultation with the Human Resources Officer,
shall draw up the shortlist of candidates for interviewing.
d) The Human Resources Officer shall invite the short listed candidates for
interviews, and will ultimately make a recommendation to the Chief Executive
Officer for appointment.
e) SBCGT shall bear subsistence and travel and travel expenses of short listed
candidates from places other than the duty station. A summary of the interviews
shall be prepared by the Human Resources Officer and kept for record purposes.
f) The Human Resources Officer shall ensure that Reference Check on shortlist
candidates is done, and then the employment offer in consultation with the
relevant Department Manager to the selected candidate which upon acceptance
shall be followed by an appointment letter signed by the Chief Executive
Officer or his/her delegate. Once the selected candidate has accepted the
employment offer, the Human Resources Officer shall send regret letters to all
the unsuccessful candidates.
2.6 Employment Interview Panel
The Employment Interview Panel shall be provided with the ground rules of and procedures
for interviewing (by the Human Resources Officer) prior to the actual commencement of
interviews.
The Panel shall consist of the following persons:
a) The Department Manager concerned
b) The Human Resources Officer
c) For Management Positions the CEO as well as a selected Board Member shall
attend
2.7 Age
SBCGT shall, in terms of section 42(b) of the Labour Act 1992 Act 6 of 1992), not
employ any person under the age of (16) years.
Applicants of sixty (60) years and older can only be appointed on approval by the Chief
Executive Officer or by the Board. Employees so appointed can only be appointed can only
be appointed in a temporary capacity, and such cannot become members of the pension Fund.
2.8 Appointment
All staff will be appointed by the SBCGT Board of Trustees or as delegated
Letters of Appointment: The formal letter of appointment will bear the signature of the Chief
Executive Officer or as delegated. The letter shall require the signature of the appointee before
the appointment is considered effective.
Job Description: On appointment, an employee shall be given a job description. This shall
specify the scope and terms of reference for their position. Each member of staff is expected to
devote their time and attention to their work and not engage in activities that may conflict with
SBCGTs interests or negatively affect their performance. Job Descriptions shall be reviewed
yearly.
Probation: Any appointment made on SBCGT shall be subject to a probation period as
specified in the letter of appointment. One month towards the end of the probation period,
employees immediate supervisor shall make an appraisal report recommending a confirmation
or termination of the employees services. Where necessary, the probation period may be
extended as considered necessary by SBCGT. An employee who is on probation may have his
appointment terminated at any time without notice. In the event of such termination, the
employee is paid for the period worked up to the time of termination
Confirmation of appointment. On recommendation from the immediate supervisor, the Chief
Executive Officer shall in writing, confirm the appointment
Duration of employment: Unless otherwise stated, employment for all staff shall be on
permanent basis subject to satisfactory completion of the probation period and availability of
funds.
2.9 Personal Data
On acceptance of an appointment, the new staff member is required to complete the Employee
Personal Data form - (See Appendix 3). New employees must also furnish SBCGT with a
declaration of dependants, that is spouse and own children; next of kin and provide
photocopies of certificates and other testimonials.
Any changes in personal status shall be reported promptly to the Human Resources Officer by
completing a fresh Personal Data Form. Staff records and related correspondence shall be
treated confidentially at all times.
2.11 Induction
All new staff shall undergo induction training to assist them in the process of becoming
integrated to the institution within the shortest time possible. The respective immediate
supervisor in collaboration with the HR Officer shall conduct induction training. See checklist
for induction as Annexure:
3. PERFORMANCE MANAGEMENT
3.1 Introduction
Decisions concerning career development, promotion, succession planning and compensation
depend on information provided through effective performance management. The new SBCGT
will therefore ensure that all new employees understand the requirements of their jobs as well
as the expected results. The actual assessment of how well they have done will be undertaken
at the end of each year through a comprehensive appraisal of their performance in relation to
these expectations.
3.2 Objectives
Staff appraisal is often viewed as a punitive measure where most junior staff looks it as a time
when their seniors would get even with them for whatever reason. SBCGT will therefore seek
first to promote a healthy understanding of this process in terms of being an avenue to promote
dialogue between staff and management as well as a system through which specific needs of
staff are identified and brought into the limelight. Specifically, the appraisal process at SBCGT
will be undertaken to:
a) review performance of the staff against assigned tasks and responsibility
b) identify the areas of weaknesses and provide positive feedback to the staff on
their individual and team performance;
c) identify the areas of strength in each staff
d) identify staff who can be developed to take up increased responsibilities
e) identify the staff training needs
f) create a basis for rewarding superior performance
g) plan for the following year
3.3 Responsibilities of Managers/Supervisors
Managers/Supervisors are responsible for conducting substantive discussions and taking
conclusive performance-related actions. These actions include selecting or
a) developing performance plans,
b) communicating outcomes and expectations to employees,
c) establishing employees' development plans,
d) providing performance-related feedback to employees at prescribed intervals,
e) preparing end-of-cycle summaries,
f) and discussing the summaries with employees.
3.4 The Performance Management Process:
3.4.1 Performance Planning
3.4.2 Monitoring
3.4.3 Performance Summary
3.4.4 Recognition
3.4.1 PERFORMANCE PLANNING:
A Performance Plan is a written document between an employee (or team) and his or her
manager. The performance plan describes what has to be done during the performance cycle,
how well it has to be done, and how the accomplishment will be measured. This part of the
plan is based primarily on the goals of SBCGT and the employee's job description
Performance Management shall be a continuous process with the following timeframes
attached:
OCTOBER
Performance Summary from previous year
a) Supervisor provides a consolidation of employee accomplishments throughout
the performance cycle, synopsis of formal feedback received during the
performance cycle, and highlights of developmental activities undertaken during
the period.
b) Employee provides a self-assessment of accomplishments
(outcomes/expectations and developmental activities) completed during the
performance cycle.
Description of Actual Performance
Major Accomplishments - Identify the most important accomplishments
achieved during this performance cycle that applies directly to you position.
Other Accomplishments - Identify other accomplishments achieved during
this performance cycle.
Performance Plan jointly developed for upcoming year
a) Supervisor provides work assigned to Department, work assigned to employee,
goals/objectives for Department (cascaded down from organizational goals),
and any other needs for accomplishment of departments goals/objectives.
b) Employee provides own objectives for accomplishment of SBCGT/Departments
goals/objectives and individual developmental needs, if any, for upcoming
performance cycle.
c) Required resources to accomplish the assigned work and objectives that are
identified within the jointly developed performance plan.
DECEMBER
Check-in meeting (Requested by employee)
a) Check the performance plan for reasonableness against the plan based on 3
months experience, modify if necessary
b) Employee informs supervisor of resource needs, if any, required to accomplish
agreed upon performance plan
Examples: Skill set; time; equipment etc.
APRIL
Mid cycle meeting
a) Formal feedback session
b) Employees provide self assessment to supplement supervisors' assessment
JULY
a) Employees supply upward feedback, through an anonymous automated system,
which goes directly to the supervisor. Form to be completed attached as
Annexure
b) Supervisors supply upward feedback to their managers through an automated
system, anonymity determined by supervisors. Form to be completed attached
as Annexure
Requirements for Temporary Positions: A performance plan should be established in all
cases where the duration of the temporary employee is uncertain. A new performance plan
must be established when a an employee is scheduled to work for 90 days or longer.
3.4.2 MONITORING
Monitoring is the process of making accurate and objective performance observations based on
the outcomes and expectations contained in an employee's performance plan. In addition, the
manager will provide timely feedback throughout the performance cycle to encourage
employees to maximize their performance. Performance observations will be provided from
multiple sources.
Employee's role: Provide self-evaluation twice per performance cycle, and provide upward
feedback once during the performance cycle. If applicable, provide performance input as a
peer, customer, or key members of cross functional teams/interface groups.
Manager's role: Collect data, provide feedback, make performance observations, document
results, and manage overall process.
Application to teams: When using this process in a team setting, the following need to be
considered:
a) Team has a strong peer input feedback mechanism in place.
b) Each team member must be willing to supply self-evaluation of the team's
performance.
Managing unacceptable performance: If at any time during the performance cycle the
employee is not performing to the level agreed upon in the performance plan, the employee is
placed into an opportunity to demonstrate performance, or any other applicable performance
improving tool in an attempt to bring the employee's performance up to an acceptable level.
3.4.3 PERFORMANCE SUMMARY
The performance summary is a consolidation, discussion, and acknowledgement of employee
accomplishments and effectiveness throughout the performance cycle.
a) Provides an assessment of actual achievements based on the outcomes and
expectations contained in the performance plan.
b) Includes a synopsis of formal feedback received during the performance cycle.
c) Contains highlights of developmental activities undertaken during the period.
The performance summary represents the review of record for the performance cycle.
Purpose:
Performance summaries may be used for:
a) Identifying developmental needs.
b) Determining compliance with the agreed upon performance plan.
c) Analyzing individual [or team] performance.
d) Basis for individual recognition.
e) Basis for team acknowledgement/recognition.
f) A point of consolidation of feedback from the performance cycle.
Performance summaries may not be used for:
a) Merit promotion eligibility.
b) Reduction in force.
c) Automatic triggers for increases to base pay and/or cash awards.
Frequency: Typically the performance summary is an annual process of documentation and
discussion between a manager and an employee. This discussion shall occur within 30 days
from the end of the performance cycle.
There are several conditions under which a performance summary may occur more frequently.
They include instances where
a) the performance plan represents a cycle shorter than a year.
b) the performance plan changes significantly during the year.
c) an employee transfers to another job, department, section, team, division, etc.
d) an employee is on a temporarily for a minimum of 90 days.
e) an employees manager transfers to another job within the or leave the SBCGT.
Time under performance plan: An employee must be in his or her current performance plan
for 90 days to receive a performance summary. This 90-day requirement also applies to details.
If a performance cycle includes a detail of 90 days or greater, the performance summary for the
performance cycle may include the performance summary for the detail period.
Documentation: A narrative discussion of the individual performance compared to the
outcome(s)/expectations(s) as spelled out in the performance plan. The summary is a narrative
describing employee accomplishments of the agreed upon outcomes/expectations in the
performance plan. The relationship of the narrative and the plan represents the employees'
annual performance review.
Recordkeeping requirements: The performance summary of record shall be maintained in the
Personnel File.
Relationship to performance based pay systems: The performance summary may be used as
a factor in determining eligibility for a pay increase in a performance based pay system.
Application to Teams: Teams can receive performance summaries; however, the
accomplishments of a team cannot be a primary or secondary outcome of an individual's
performance plan. Additionally, a team performance summary does not eliminate the
requirement for an individual performance summary.
Requirements for departing/transferring managers: A departing/transferring manager
should provide a performance summary for each of his or her employees before leaving. In a
situation where a manager leaves his or her position within the last 90 days of a performance
cycle, the departing/transferring manager should close out the current performance cycle by
completing and providing a performance summary for each of his or her employees. As a
result, the new performance cycle may cover up to 15 months.
3.4.4 RECOGNITION
A means of acknowledging employees for sustained outstanding performance/service and
providing incentives to continue provide outstanding performance/service. Recognition should
be linked to performance outcomes. For example, employees should be recognized/rewarded
for being results-oriented and customer-focused. Other contributing factors could be increased
morale, contribution to team cohesiveness, contribution to the success of the performance
management process, etc. Recognition does not necessarily have to be linked to a bonus
system, but can be for e.g.; time off, chance to attend conferences of choice etc.
COMPLIANCE: At an appropriate time during the performance cycle, upward feedback will
be used to assess manager compliance in supplying performance feedback based on the agreed
upon outcomes/expectations found within the managerial performance plan. Since the feedback
is for self-development, it shall be confidential between the employee and his or her manager.
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction
SBCGT strongly believes that a well-trained and efficient workforce is crucial for the
development of any institution. As such, SBCGT will always strive to attract and retain
employees of the highest caliber.
To achieve this, SBCGT will recruit all levels of staff strictly on merit. After their engagement,
the trust will further provide them with opportunities to advance skills and professional
expertise as well as give them adequate exposure.
4.2 Objectives
The objectives of the Training and Development Policy are to:
a) Explicitly communicate the commitment of SBCGTs Board Members, Chief
Executive Officer, and Management to the training and development of all
employees, primarily customised to suit the business philosophy, mission,
vision, and Business Plan;
b) Ensure that training and development are offered to employees of SBCGT
c) Recognise the fact that training and development can only take place when
matching resources are properly planned and budgeted for and be utilised
exclusively for training;
d) ensure that need-based training and development interventions are equitably
distributed to all categories of staff and at all levels of SBCGT, with particular
emphasis on the lower ranks;
e) Ensuring equal opportunity in training and development within all Department
of SBCGT.
f) Develop and maintain a pool of suitably qualified staff (technical,
administrative and professional) at SBCGT;
g) Ensure that provision is made for understudies to replace Non-Namibians at the
expiry of their contracts;
h) Create an environment that is conducive to self-development and career
advancement of staff members;
i) Provide financial and supportive assistance, within the confines of available
financial resources in terms of Study Loan Fund;
j) To contribute towards building a national pool of qualified and skilled
Namibians through the provision of Exchange Programmes.
4.3 Process and Criteria
SBCGT will as much as is possible handle staff training as an integral part of its institutional
development. It will endeavor to train its staff continuously and impart them with new skills,
through some of the following ways:
SBCGT shall from time to time identify training courses, seek funding, and identify staff
to attend such courses, which shall include exchange visits to relevant successful SME
organizations.
SBCGT will also encourage staff to pursue further training on their own, which it could
also support whenever there are funds available;
Professional staff such as certified accountants, economists, bankers, etc, shall be
encouraged to attend functions organized by their respective professional bodies.
Training or development programme shall only be offered after a through needs assessment by
the Human Resources Officer in consultation with the Department Managers.
SBCGT places a high premium on human resources training and development. Hence,
nominees are obliged to attend courses nominated for and agreed upon. Failure by a nominee
to attend a course amounts to misconduct and will be dealt with in accordance with the
Disciplinary Code.
In the event where a nominee cannot attend a particular course for one or the other reason, such
nominee should inform the Human Resources Officer in writing at least five working days
before the commencement of the course through his/her supervisor. Shorter notice through the
same procedure shall only apply in the event of unforeseen circumstances, such as illness,
death, unplanned leave, and the like.
Trainees shall be nominated by their respective immediate supervisors with relevance to their
Performance Plan, whereupon the Human Resources Officer will consider such nominations
for confirmation, or otherwise.
Employees who have been granted special leave to attend delegations and short courses within
and outside Namibia shall be required to submit brief reports thereon, within five (5) working
days upon return, to the Human Resources Officer through his/her supervisor who in turn will
recommend specific interventions to the Chief Executive Officer.
Any training identified by individuals shall also be considered. Where these activities are
deemed important by SBCGT, an equitable selection process of who shall attend the course
shall be made and SBCGT shall fully fund the activity subject to the following conditions:
The employee must submit a formal application to his supervisor;
The application shall be forwarded by the supervisor, with his/her recommendations
and comments to the Head of Department;
Approval will thereafter have to be obtained from the Human Resources Officer
The sequential process of the Human Resources Officer shall be to:
a) determine training and development needs that currently exist and projected
future needs threw ensuring that all employees have their own Individual
Development Plans which is to be developed by the immediate Supervisor with
Reference to Performance Plans;
b) select and write training and development objectives in order to determine and
sequence course contents per employee;
c) produce and procure suitable training and development programmes;
d) conduct training and/or co-ordinate training to be provided by others from
within or outside the SBCGT;
e) Specifically investigate opportunities for exchange visits with local and foreign
institutions involved in small and medium development or other professional
areas such as MIS, finance and SME research will be available whenever
possible.
Immediate Suppervisors shall be responsible for:
Individual Development Plans for all employees under their supervision, the relevant employee
shall be part of this process.
Obtaining a template from the HR Officer who will be of assistance during the process.
5. Leave Policy
Annual Leave
Annual leave is earned at the rate of 30 working
Sick Leave
Maternity Leave
Leave without Pay
Compassionate and Special Leave with pay
Official holidays
Study Leave
Religious Holidays
Absence without notice
6. DICIPLINARY CODE
6.1 Introduction
a) This document is an expression of SBCGTs policy on discipline and a guide to
all company employees.
b) Discipline is a system designed to promote orderly conduct.
c) Formal disciplinary action should be the final course of action in rectifying
employee behaviour.
d) Disciplinary action should be supported through investigation, reasonable
evidence of guilt and careful consideration of the circumstances of each case
before formal action is taken.
e) Disciplinary action should always be prompt, fair and firm.
f) While every attempt has been made to ensure that this Disciplinary Code is
applicable to general disciplinary instances in SBCGT, the requirement for use
of discretion within the framework of and in accordance with the spirit of the
code may be required.
g) A successful disciplinary system and climate is dependant on the good
judgement, understanding and consistent treatment of the parties involved in
disciplinary action.
6.2 Procedure and Documentation
6.2.1 Action of supervisor when an alleged offence has been committed or is reported to
have been committed
When an offence is alleged to have been committed, the Supervisor concerned will investigate
or have the matter investigated, and take any form of the following actions:
a) Dismiss the case;
b) Counsel the employee;
c) Give a verbal warning;
d) Give a recorded warning;
e) Initiate a formal disciplinary enquiry;
6.2.2 Informal disciplinary action
It is desirable for sound interpersonal relations within SBCGT that Supervisor where possible
resolves disciplinary matters by means of informal disciplinary action. Informal disciplinary
action can take the form of either a verbal warning or counselling.
An employee found to have committed an offence of a minor nature should be counselled by
the Supervisor, without an entry being made on the employees personal record. The
Supervisor may however, make a record of the counselling session to allow for an assessment
of the employees performance record, should this be necessary at the time, and with the
employees knowledge and understanding thereof, formulate a plan of corrective action.
During the counselling, the Supervisor should ensure that the employee is made aware of the
nature of the offence and the standard of the conduct or performance that will be expected in
the future.
6.2.3 Procedure for formal complaints
a) A supervisor handling a formal complaint must investigate the case with the
assistance of the Human Resources Officer, where possible, and ensure that the
relevant sections of the complaint form (Appendix 7) are correctly completed
within 48 hours of the offence having been committed or the supervisor having
been made aware of the fact that an offence has been committed.
b) A copy of the complaint form should be passed without delay to the Human
Resources Officer who will advise whether:
c) The accused should be suspended pending full investigation (if this has not
already been done);
d) Advise the supervisor on whether to continue with a formal complaint
e) The Complainant and the accused must provide names of all persons who
should be regarded as witnesses as their statements will assist in ensuring a fair
hearing of a case. Where possible, should there be witnesses who are nonemployees,
formal statements should be recorded from them as they may be
invited to attend the disciplinary hearing.
6.2.4 Disciplinary Inquiries
The Human Resources Officer will be responsible for the overall application of the code and
should where possible:
a) Advise and guide all participant on the Disciplinary Code;
b) Ensure that the code is applied fairly and consistently in all cases (procedurally
and substantively);
c) When all documentation pertinent to the matter has been collected, the Human
Resources Officer shall serve the papers on the accused and/or his/her
representative to allow the employee to fully prepare himself prior to the
hearing;
d) The Hearing Chairperson will hear the case within four full working days of the
complaint being lodged only when further investigate is required shall this
period be extended;
e) The Human Resources Officer will be responsible for arranging a suitable venue
and date for the inquiry, informing all the relevant parties; informing the
accused of his/her rights to representation; informing the accused of his/her
right to appeal against the decision and arranging for all relevant statements to
be taken.
f) The complainant shall be responsible to complete the Complaint form.
Attendance at the Inquiry
The following persons must be in attendance at any hearing inquiry:
a) Hearing Chairperson
b) Complainant
c) Alleged Offender (accused)
d) Representative of alleged offender (if requested by alleged offender)
e) Witness (as) (as and only when required for the duration of the testimony)
f) Human Resources Officer.
The Hearing/Inquiry
a) The accused should be given at least 48 hours notice in advance of the
disciplinary hearing (Notice for Disciplinary hearing see Appendix 8),
indicating the date, time and venue of the hearing. In addition, the responsible
person convening the hearing should advise the accused of his/her right of
representation.
b) In the event that the accused alleges that the Hearing Chairperson is implicated
in the case and therefore will not be unbiased, the accused may request the
appointment of an alternative Hearing Chairperson, giving a full motivation for
such a request. The decision whether to appoint another Hearing Chairperson or
not rests with the Human Resources Officer. Such requests shall however not
be unreasonable withheld.
Duties and Responsibilities of the Hearing Chairperson
The Hearing Chairperson shall be any employee on the same level as the direct supervisor of
the Complainant, but not the direct supervisor.
The Hearing Chairperson should not have been privileged to any information pertaining to the
inquiry prior to the inquiry.
Ideally the Chairperson of a disciplinary inquiry will be required to follow the guidelines
below when performing duties of a presiding official:
a) Introduce and identify all present, stipulate the purpose and format of
proceedings;
b) Ensure that the alleged offender has been given sufficient notification of the
inquiry, and that he/she has signed and acknowledged acceptance thereof.
Ensure that the alleged offender has understood his/her employee rights in this
regard;
c) Establish if witnesses are present and if so inform the hearing that they will be
excluded from proceedings once they have led evidence and have been cross
questioned;
d) Should it be established that the accused was not informed of his right to
representation or that the witnesses are not present, the Hearing Chairperson
will adjourn and reschedule the hearing for a later date;
e) Should the accused fail to attend the hearing, the Hearing Chairperson will
establish whether the accused was notified of the date, time and venue of the
hearing. It will be advisable to re-notify all parties to attend the disciplinary
hearing at a later date if notification was not given;
f) If the accused fails to attend a disciplinary hearing, the Hearing Chairperson
should in writing advise the accused of the date, time and venue of the hearing
and advise him that should he fail to attend, the hearing will proceed in his
absence;
g) Should the accused fail yet again to attend and if no prior notification for his
absence was given, he may be deemed to have waived his right to attend the
hearing. The Hearing Chairperson will then decide the case in absentia on the
facts available and the accused will be informed, in writing, of the outcome;
h) Having ascertained that the particulars on the complaint form are correct, the
Chairperson will inform the accused of the charge(s) against him/her, ascertain
his/her understanding thereof and the accused will be asked to plead on the
charges;
i) The accused should be permitted to make any further pertinent comments
should he/she wish to do so (whether or not he/she has already made a written
statement);
j) According to the plea entered by the accused, the Hearing Chairperson must
verify all facts and allegations by questioning the accused, Complainant and any
other parties in order to arrive at a decision. Only information provided in the
case documentation pertaining the charge in question and statements raised
during the inquiry will be used as facts pertaining to the disciplinary inquiry;
k) The Hearing Chairperson will allow the accused, with his/her representative, the
opportunity to express opinions on the case;
l) All witnesses should be called to give evidence and to have such evidence
examined by the hearing Chairperson, the Complainant and the accused and/or
the accusers representative;
m) If during the course of the hearing, the Hearing Chairperson finds it necessary to
obtain further information, the case should be adjourned to allow for further
investigation;
n) If the accused wishes further evidence to be submitted, this should be allowed,
provided that the Hearing Chairperson is of the opinion that such further
evidence could be of relevance;
o) Once the Hearing Chairperson is of the opinion that he/she has gathered
sufficient evidence surrounding the case, he/she should request any witness (as)
to leave the room;
p) At this stage the Hearing Chairperson may call for a recess during which he/she
may liase with the Human Resources Officer in order to obtain further advice
and information;
q) The Hearing Chairperson may call a recess at any stage of the proceedings and
may consider any call for a recess by any other party of the inquiry;
r) Once the Hearing Chairperson is satisfied that he/she is in a position to make a
decision on the guilt or innocence of the accused, he/she will reconvene the
inquiry and inform the accused and his/her representative of his/her findings.
The Complainant and Human Resources Official (where possible) should be
present when the decision of guilt or innocence is informed.
s) If it is the opinion of the Hearing Chairperson that the accused is not guilty, he
will inform him accordingly and the finding case dismissed will be entered on
the Complainant form and the employees disciplinary record will be cleared of
any reference to the case;
t) Where an employee is found guilty, the Hearing Chairperson will then take note
of the offenders record of service, disciplinary record, mitigating and
aggravating circumstances, seriousness of the offence, consistency of
application and any other circumstances he/she may deem necessary to
consider;
u) In all cases, current un-expired disciplinary warnings will be taken into account
when deciding on the appropriate action;
v) Depending on the nature and seriousness of the offence, the whole of the
employees disciplinary record may be considered;
w) The Hearing Chairperson will then record the penalty on the complaint form
and inform the offender of the penalty awarded in terms of Section 6.5 and the
reasons for arriving at the decision. The Hearing Chairperson will inform the
offender of the period for which the warning will remain on his/her record as a
valid entry. The Hearing Chairperson will also inform the offender of his/her
right to appeal in terms of Section 6.6 of this code;
x) With regard to corrective action, the Hearing Chairperson will, in liaison with
the immediate Supervisor, the employee and/or representative, and the Human
Resources Officer; formulate an action plan to address the required change in
behaviour. The employee will be required to assist in this process and make
proposals in this regard. The aim is to ensure that the process of correcting
unacceptable behaviour is addressed objectively and amicably;
y) Request the employee to acknowledge the disciplinary action proposed. Should
the employee opt not to sign, a witness should be requested to acknowledge that
the details of the inquiry have been communicated to the accused.
Recording of Proceedings
a) It is in the interest of SBCGT and the individual that all proven offences and
subsequent disciplinary action be accurately recorded.
b) The Chairperson will ensure that all other required administrative details on the
complaint form are completed before forwarding the document to the Human
Resources Officer for overall review and control.
c) Statements, Complainant forms and other disciplinary records will be retained
by the Human Resources Officer as these may be required even after an
employee has left SBCGTs services.
d) The Human Resources Officer will be responsible for the input of disciplinary
penalties on employees personal files.
6.3 Special Cases
Suspension
a) An employee may be suspended from work immediately if he/she has allegedly
committed or is allegedly involved in any one of the following offences:
Assault/attempted assault
Desertion
Sleeping on duty
Negligent loss, driving, damage or misuse of company property
Abuse of electronic/data facilities
Sexual Harassment
Fighting
Riotous Behaviour
Alcohol and drug offences
Wilful loss, damage or misuse of company property
Theft/Unauthorised possession of company property
Breach of Trust
Offences related to dishonesty
Offences related to Industrial Action
Any act or omission which intentionally endangers the health or safety
of others, or is likely to cause damage to Company property
Interference with disciplinary and/or grievance investigations
Abusive or provocative language (when it is likely to cause a
disturbance)
Insubordination (if the situation shows signs of getting out of control)
Persistent refusal to obey instructions.
In certain instances the Supervisor will recommend that the offender be
removed from the work place pending investigation of the case. He/she
will take immediate steps to report the matter to his/her immediate
Supervisor, who will raise the matter with the CEO. Irrespective of the
outcome, the employee will be paid for days he/she was suspended;
It is mandatory to liase with the Human Resources Officer prior to
suspending an employee in order to endure that the suspension is
procedurally and substantively fair.
Poor Work Performance
Cases involving substandard or deteriorating work performance are to treat differently from
those regarded as transgressions of misconduct.
The following guidelines should be considered when dealing with such cases. An attempt
should be made to resolve alleged poor work performance by means of counselling the
individual involved. Where poor the supervisor identifies work performance, the following
procedural action should be considered:
a) Investigate and identify the problem area(s)
b) Communicate this to the individual concerned, and jointly agree on the
appropriate plan of action in order to resolve the matter. If deemed necessary
and relevant, norms should be established by arranging appropriate task lists
and the time duration allowed for the completion of each task;
c) Consideration should be given to the appointment of a coach or mentor to assist
the employee to improve performance;
d) Accurately minute the agreed contents of any agreement put in place and
provide the Human Resources Officer with a copy for record keeping purposes;
e) Regular evaluation and follow up on the agreed plan of action should be made;
f) Should counseling fail to produce the desired improvement, alternative action
should be considered in liaison with the Human Resources Officer. Alternative
action could include, but is not limited to, termination of the employment
contract on the grounds of incapacity, demotion or a transfer to an alternative
position. The employee, throughout this process, will be entitled to
representation.
6.3 Offences outside normal working hours
SBCGT reserves the right to take any action it may deem appropriate against employees who
are, in the opinion of SBCGT, guilty of gross misconduct not merely in their working
situations. This is particularly so where the nature of the misconduct may affect the
employment relationship with any other party. Actions that directly relate to the nature of the
business are also liable for disciplinary action.
Court Actions
Where an employee has been criminally charged or legal action has been instituted for an
employment related breach, SBCGT reserves the right to take disciplinary action against the
employee for the alleged offence, in terms of this Code.
6.4 Classification of Offences:
Offences are classified into five major categories.
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior
6.4.4 Offences related to dishonesty
6.4.5 Industrial Action
6.4.1 Absenteesim
Absenteeism in the disciplinary context means being absent from work for an entire working
shift, or part thereof, without the expressed permission from a direct supervisor.
A sanction of dismissal can apply for the first offence of being absent without permission
provided that the employee was absent for three continuous working days without a valid
reason.
a) Absent without leave;
b) Desertion: Leave the work place without intending ever to return; leave without
help or support; abandon; leave without authority or permission.
6.4.2 Offences related to Control at Work
a) Poor Time Keeping and related offences
a) Reporting late for work
b) Leaving work early
c) Extended or unauthorised breaks during working hours
d) Persistently committing all or any of the above.
b) Sleeping on duty
Any employee who is found asleep on duty, whether or not such an action constitutes a hazard
to the safety and health of the offender or others or leads to damage to Company property, shall
be deemed guilty of an offence.
c) Negligent Loss, Driving, Damage or Misuse of Company property
a) Negligent loss of Company property: any act whereby an employee, through
carelessness or negligence, loses Company property or is unable to account for
it satisfactorily.
b) Negligent driving; driving a company owned or rented vehicle without due care,
whether such an act results in an accident or not.
c) Negligent damage to Company property: any act whereby an employee through
carelessness or negligence causes or allows Company property to become
damaged.
d) Misuse of Company property: using Company property for a purpose other than
that for which it was intended.
d) Unsatisfactory Work Performance
a) Carelessness: Performance of a task or duty without the exercise of due care an
attention.
b) Negligence: failure to exercise proper care and regard to the manner of
discharging duty to the extent that tasks have to be repeated or equipment or
persons are at risk of damage or injury.
c) Inefficiency: failure to carry out work at the required standard or failure to
complete tasks within the given reasonable time limits, without reasonable
cause. This includes poor supervision.
d) Loafing: passing time idly or failing without reasonable cause to complete tasks
set.
6.4.3 Offences Related to Indiscipline or disorderly behavior.
a) Disobedience and related offences
a) Refusing to obey an instruction: deliberate refusal to carry out a lawful and/or
reasonable instruction given by a person in authority and within the area of his
jurisdiction.
b) Failing to obey an instruction: failure to obey a lawful instruction given by a
person in authority and within the framework of his/her jurisdiction.
c) None-compliance with established procedure / standing instructions: failure to
follow establish procedures.
d) Abuse of electronic / Data facilities: excessive use / abuse of e-mail and
communication facilities; storage and/or transmission of material of
discriminatory nature; storage and/or transmission of pornographic material;
unauthorised monitoring and interception of electronic documentation.
6.4.3.1 Abuse and related offences
a) Abusive Language:
The uttering of any words or the publication of any writing expressing or showing hatred,
ridicule or contempt for any person or group of persons.
The offence I more serious when it is wholly or mainly because of his/her/their nationality,
race, colour, ethnic origin, sex, marital status, religion, creed, political opinion, social or
economic status, degree of physical or mental ability, sexual orientation or culture.
b) Insubordination:
Insolence towards a superior shown by action or words.
6.4.3.2 Disorderly behaviour and related offences
a) Disorderly behaviour:
Indulging in rough or unruly behaviour or practical jokes whether or not such behaviour
endangers the safety or health of others or the smooth running of the work place.
b) Threatening violence:
Threatening to do physical injury to any other person.
c) Fighting:
Physical contact between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
d) Riotous behaviour:
Unruly behaviour between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
e) Sexual Harassment:
Any unwanted or unwelcome sexual advances, requests for sexual favours and other verbal or
physical conduct of a sexual nature when submission to or rejection of this conduct explicitly
or implicitly affects an individuals employment, causes unreasonable interference with an
individuals work performance or creates an intimidating, hostile or offensive work
environment.
f) Discrimination:
Any act whereby an employee discriminates against any other employee or group of employees
on the grounds of nationality, race, colour, ethnic origin, sex, marital status, religion, creed,
political opinion, social or economic status, degree of physical or mental ability, sexual
orientation or culture.
Willful loss, damage or misuse of Company property
Willful loss: any act whereby an employee willfully or deliberately loses or causes Company
property to be lost.
Willful damage: any act whereby an employee willfully or deliberately damages, or allows or
causes damage to Company property.
Willful misuse: any act whereby an employee willfully or deliberately misuses Company
property.
6.4.5 Offences Related to Dishonesty
Disciplinary cases involving the following offences must be reported to the Human Resources
Officer.
Bribery or Corruption
Giving or receiving or attempting to give or receive any bribe or inducing or attempting to
induce any person to perform any corrupt act.
False Evidence
Deliberately giving untrue, erroneous or misleading information or testimony whether
verbally or in writing.
Forgery and uttering
Falsifying or changing any documentation with fraudulent intent or attempting to do so.
Uttering or attempting to utter fraudulent or false statements or documents.
Misappropriation
Applying or attempting to apply to a wrong use or for any unauthorised purpose, any funds,
assets or property belonging to SBCGT.
Theft of or unauthorised possession of Company property
Stealing or attempting to deprive SBCGT permanently of its rightful ownership.
Being in possession or disposing of Company property without due authorisation.
Fraud
The unlawful making of a misrepresentation with intent to defraud, which causes actual or
potential prejudice to another party.
Breach of Trust
Actions or conduct of an employee that cause a reasonable suspicion of dishonesty or mistrust
and for which there exist extraneous evidence to prove a breakdown in the relationship of trust
between the concerned employee and SBCGT. This will include a situation where the conduct
of the employee has created mistrust, which is counterproductive to SBCGTs commercial
activities or to the public interest, thereby making the continued employment relationship an
intolerable one.
6.4.5 Industrial Action
Intimidation
Any act by an employee, whether by himself or in concert with other persons (whether or not
such other persons are employees of SBCGT), to intimidate any employee with the object of
compelling him to take part in any strike or other action which interferes with the normal
operations of SBCGT. Intimidation is an offence even if all the procedures for the settlement
of the industrial disputes and grievances and the Law have been exhausted.
Sabotage
Any deliberate action by an employee that results in the interference with the normal
operations of SBCGT by damaging any machinery, or equipment or by interrupting any
supplies of power, or services necessary to the operations.
Illegal Strike/Lockouts
Participation in any illegal strike action, lockouts, boycott or any other form of work disruption
not in accordance with the applicable statute that constitutions a blatant refusal to work.
Examples of such action include, inter alia, work-to-rule: overtime ban; go-slow.
Any disciplinary matter referred to in this subsection will not preclude SBCGT from exercising
its common law rights to terminate the employment contract in the case of illegal industrial
action.
6.5 Penalties
Classification of Penalties:
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning
6.5.5 Dismissal
6.5.6 Demotion
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal
6.5.1 Verbal Warning
Any supervisor may, at any time and at his discretion, reprimand an employee without
completing a complaint form, in which case there will be no entry made on the
employees disciplinary record. When a verbal warning if given, the supervisor must
ensure that the employee being reprimanded is made aware of the existence and
function of the Disciplinary Code. A verbal warning is usually issued where the
offence is of a minor nature.
6.5.2 Recorded Warning
Application: This may be given for a repetition of an offence for which an unrecorded
warning has been given, or it may be given for a first offence.
Validity Period: The employee must be informed that the warning will remain in force
for a period of six months.
6.5.3 Severe Warning
Application: Given for a repetition of the same offence or similar offence during a
period when a recorded warning is still in effect, or for a first offence of a more serious
nature.
Validity Period: The employee must be informed that the warning will remain in force
for a period of nine months.
6.5.4 Final Warning
Application: Given for a repetition of the same offence or a similar offence during a
period when a severe warning is still in effect or depending on the nature thereof, for a
first offence of a serious nature. In the case of an employee being found guilty of an
offence of a dissimilar nature within the prescribed period, the hearing official may, at
his discretion, issue a comprehensive final warning on the understanding that if any
offence is committed within the next 12 months, it will render him liable for dismissal.
Validity Period: A final warning is effective for a period of twelve months. The
employee is advised in writing by the official hearing the case of the period applicable
and reminded that a repetition of the offence or the committing of any similar serous
offence within the prescribed period will render him liable for dismissal. A copy of the
notice shall be forwarded to the Human Resources Department.
6.5.5 Dismissal
Application: Dismissal is the final sanction and should be used:
when other forms of disciplinary action have failed;
when an employee on a final warning commits a serous offence;
when the offence committed is of such a serious nature that it amounts to a
serous breach or repudiation of the employees contractual obligations;
in cases relating to dishonesty e.g. theft, fraud or corruption;
in the case of any employee who is absent from work without permission for
a period of three continuous working days or more. In this case the
employee will be dismissed in absentia after the third day if no reason for
such absence is receive. Should the employee return to work after he has
already been dismissed, he may request that the case be re-opened?
Once an employee has been dismissed in accordance with the procedure contained in
this Code, under no circumstances will he be considered for re-employment should he
re-apply at a later stage. If it is discovered that a dismissed employee has obtained reemployment
with SBCGT either inadvertently or through deception, his services will
be terminated immediately.
6.5.6 Demotion
Demotion is not an acceptable corrective action and is therefore, not used as a
punishment for a specific offence. It is used only where the employee is unable to meet
the requirements of his present job but is suitable for continued employment in a lower
capacity.
6.5.7 Transfer
Transfer is not permitted as a tool for disciplining employees. A transfer shall only be
effective in terms of SBCGTs Conditions of Employment and Service. Transfer, as
the result of the outcome of a disciplinary action, will be considered in special
circumstances.
6.5.8 Alternative Penalty to Dismissal
A comprehensive final warning may be considered at the discretion of the Hearing
Chairperson as an alternative penalty to dismissal in instances where an employee is
found guilty of an offence of a dissimilar nature to a valid final warning on his personal
record.
The sanctioning of a comprehensive final warning will only be considered in
circumstances warranting corrective action and liaison between the Hearing
Chairperson and the Human Resources Officer is encouraged before such a penalty is
imposed.
A comprehensive final warning will be valid for twelve months from the date of the
imposed penalty.
The Role of the HR Officer
The maintenance of workplace discipline is strictly a function of line management. Human
Resources Officer should be available to assist line management where required. As far as
possible, the Human Resources Officer should, in consultation with the official chairing
hearing, ensure that disciplinary action taken is procedurally and substantively fair.
The Human Resources Officer should be available to advise and assist all employees on all
disciplinary matters.
The Human Resources Officer must not impose penalties, nor hear appeals in respect of own
subordinates or immediate Supervisors.
The Human Resources Officer is responsible for:
Ensuring that the complaint form properly identifies the offence and is otherwise
correctly completed
Ensuring that the alleged offender is aware of the charges against him/her
Interviewing and taking statements from the Complainant, accused and any witness
Investigating the domestic circumstances of the alleged offender, when necessary
Ensuring that all facts are collated marshalled and presented without bias.
Advising the Complainant, accused, witness (as) and representative of their roles
and rights
Ensuring that documentation pertaining to the hearing is forwarded to the
appropriate officials
Advising the accused and his representatives of progress made for cases that are
pending or in recess.
The Human Resources Officer may at his/her discretion recommend that a concluded
disciplinary case be reopened in instances where gross non-compliance to the Disciplinary
Code is evident.
The Role of the Representative
Any employee, against whom formal disciplinary proceedings are held may at his request, be
accompanied at the initial and any subsequent hearing by a colleague from the same working
section, or in the case of an employee who is represented by a properly constituted consultative
committee, by a member of such a committee. An employee who is a Union member may be
represented by the appropriate Part-time or Full-time Shop Steward, in accordance with the
provisions of the Recognition and Procedural Agreement between SBCGT and Union. Legal
representation or representation by non-Company persons during internal Company enquiries
is not permitted.
The representative has no right to insist on the employee being accompanied if he does not
wish it; that is, a representative will attend a disciplinary hearing only at the request of the
employee. He will be invited to comment on the evidence.
The representative may ask question and cross-question during the disciplinary hearing, but
may not give evidence during such hearings.
The representative may make submissions to the hearing official on the guilt or otherwise of
the accused prior to the hearing official making his finding. He may also make submissions to
the hearing officials on the mitigating factors to be considered and on the penalty to be
imposed.
Should the representatives comments at the hearing be of such a nature as to warrant reconsideration
of certain matters or further investigations, time should be allowed for this and, if
necessary, the enquiry recessed.
6.5.9 Dismissal Procedure
a) A direct Department Manager may recommend that an employee be dismissed.
b) For the purpose of the dismissal procedure, a direct Department Manager is
defined as an employee graded D-lower or above who has a supervisory link to
the employee concerned.
c) Following a disciplinary hearing outcome being advised to the employee who
results in the recommendation for a dismissal and the employee accepts the
recommendation; the Hearing Official will refer the case documentation for
review to the relevant Manager for the department concerned.
d) The relevant Manager will endeavor to review the case within forty-eight
hours/two working days and endorse or reject the recommendation.
e) If the recommendation for dismissal is endorsed, the hearing official shall refer
the recommendation to the Human Resources Officer who will review the case
with the relevant Head of Department.
f) If the recommendation for dismissal is rejected, the case shall be referred to the
Human Resources Officer and the original hearing official.
g) The relevant Manager may sanction the recommendation in writing, thereby
effecting dismissal, or reject it. If the recommendation is rejected, action 8.6
From India, Lucknow
Hi Rinky
Thank u Very much for your help. such a great help quikly. thanks once again. do inform me anyissue/help u require to share.
Regards
Srinivas
09392470619
[quote:4e5640b4f6="rinkysharma2000"]Hi Srinivas,
The information which I am sharing with you is from our own group only... I m also a learner like you .. Its not my own ... I ma just sharing with you....Is this you want ... I am just giving you the point for Hr Policy .... but you have to develop Policy as per your requirement......
1. CONDITIONS OF SERVICE
Contract of Employment ..
Working hours .
Duty Station .
Confidentiality .
2. RECRUITMENT AND SELECTION POLICY
Introduction .
Objectives
Recruitment Authorisation Procedure .
Newly Created or Restructured Positions
Employment Procedure
Employment Interview Panel ...
Age ...
Appointment .
Personal Data
Staff Transfer
Induction ..
3. PERFORMANCE MANAGEMENT POLICY
Responsibilities of Manager/Supervisors .
The Performance Management Process
3.4.1 Performance Planning
3.4.2 Monitoring.. ..
3.4.3 Performance Summary
3.4.4 Recognition ..
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction ..
4.2 Objectives
4.3 Process and Criteria .
5. LEAVE POLICY
6. DICIPLINARY CODE
Introduction ..
Procedure and Documentation .
Special Cases
Classification of Offences
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior .
6.4.4 Offences related to dishonesty .
6.4.5 Industrial Action ..
6.5 Penalties
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning ..
6.5.5 Dismissal ..
6.5.6 Demotion ..
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal ..
6.5.9 Dismissal Procedure .
Disciplinary Appeal Procedure
7. GRIEVANCE POLICY
Introduction ..
Objectives .
Procedure and Guideline ..
8. TERMINATION OF EMPLOYMENT POLICY
8.1 Introduction ...
8.2 Termination by Notice .
8.3 Retirement .
8.4 Death of Staff Member .
8.5 Certificate of Service
8.6 Discharge Form .
9. RETRENCHMENT POLICY
9.1 Introduction ...
9.2 Objectives .
9.3 Consultation ..
9.4 Assistance from HOD
9.5 Retrenchment Procedure
10. COMPENSATION POLICY
11. POLICY FOR TEMPORARY EMPLOYEES
11.1 Introduction
11.2 Appointment ..
11.2.3 Terms of Service .
11.4 Short Term Consultants .
12. HEALTH AND SAFETY POLICY
12.1 Introduction
12.2 Objectives ..
12.3 Security ..
12.4 First Aid .
12.5 Visitors
12.6 Smoking ..
12.7 Emergencies
12.8 Office Services
13. STAFF MOVEMENTS
13.1 Transfers .
13.2 Out of Station Travel on Official Duty
13.3 Overseas Trips .
13.4 Travel Advances .
13.5 Reimbursement of Expenses
15. SUCCESION PLAN POLICY
15.1 Introduction . .
15.2 Objectives
15.3Procedure ..
Appendices
Appendix 1: Contract of Employment
Appendix 2: Employment Authorization Form
Appendix 3: Employee Personal Data Form
Appendix 4: Supply upward Feedback for Employees
Appendix 5: Supply upward Feedback for Supervisors
Appendix 6: Study Loan Application Form
Appendix 7: Complaint Form
Appendix 8: Notice of Disciplinary Hearing
Appendix 9: Grievance Form
Appendix 10: Field Travel and Authorisation Form
Appendix 11: Overseas Travel Form
Appendix 12: Reconcile Travel and Related costs
1. CONDITIONS OF SERVICE POLICY
1.1 Contract of Employment
A Contract of Employment stipulating all the conditions of employment shall be signed by all employees on the first day of employment.
1.2 Working Hours The workweek comprises a minimum of 40 hours, beginning Monday and ending Friday of each week. The official working hours are form 8h00am to 17h00pm with one hour brake between 13h00 and 14h00 for lunch. Each employee is required to put in at least eight hours per day. However the nature of work may require some variation and extension of these times.
The Chief Executive Officer or his/her delegate must approve any deviation from
these hours. Refer to Section 27 of the Labour Act, 1992 (Act 6 of 1992).
1.3 Duty Station
Duty station shall be stated in the letter of appointment and any transfer to other field offices shall be communicated in writing. The workstation for each member of staff shall be specified in the letter of appointment. Employees will however be required to report to the Head Office before proceeding to their place of posting. They shall meet their travel costs to Head Office while HOD shall meet the travel costs from Head Office to the place of posting.
Where the employee is to report straight to their workstation, the employee shall meet thetravel costs. Transfers are fully discussed in the policy for Staff Movements.
1.3 Confidentiality
All information related to HOD's operations or future endeavours, shall be treated with udmost confidentiality.
2. RECRUITMENT AND SELECTION POLICY
2.1 Introduction
Recruitment and Selection aim to search and hire suitable candidate to fill vacancies in SBCGT
with the view to satisfying human resources needs. The search may be internal and/or external.
Any position within SBCGT that become vacant will be filled, on completion of a requisition
form by the immediate supervisor. Restructured on newly created positions will only be
activated upon approval from the board.
The success and adaptability of a Company depends upon the recruitment of employees who
are flexible, adaptable and committed to the success of the SBCGT.
2.2 Objectives
This section aims to promote and maintain high standards of professional recruitment practice
by encouraging recruiters to adhere to best practices.
Its purposes are to:
a) Ensure that recruitment is considered an essential part of the human resource
b) Strategy and consequently an integral part of the overall business strategy;
c) Ensure and explain best practice for all types of recruitment;
d) Maintain professional standards whether recruits are easy to find;
e) Ensure that equality of opportunity is considered an integral part of good
recruitment practices and procedure;
2.3 Recruitment Authorization Procedure
Authorisation
All authorisation procedure detailed below must be completed prior to the commencement on
any recruitment procedure.
a) Prior to the employment of any employee the Employment Authorisation Form
(Appendix 2) must be completed.
b) The employment of all individuals for budgeted positions within SBCGT must
be authorised by the Department Head and Chief Executive Officer.
c) Employment of Personnel to the position of Manager of Departments will
require the authorisation of the Chief Executive Officer.
Procedure
a) The Department Manager will complete the Employment Authorisation form.
b) The Department Manager is responsible to ensure correct authorization
procedures have been complied with.
c) The Department Head will provide the Human Resources Officer with a fully
authorised Employment Authority Form and instruct commencement of
Recruitment.
d) The Human Resources Officer will control that the correct authorisation has
been obtained. When all is in order they shall commence the recruitment
process.
2.4 Newly Created or Restructured Positions
Authority shall be vested in the Board to consider request for the activation of a newly
created or restructured position.
a) Activation of a position shall be allowed by the submission of an Employment
Authorisation Form by the Department Manager to the Human Resources
Officer.
b) Once the need to fill a vacancy has been identified, the Department Manager
will submit a motivated recommendation to the Board for the activation of the
position.
c) Internal Advertisements shall be sent via e-mail or other means to all employees
by the Human Resources Officer, while external advertisements shall be placed
in specified local newspapers.
2.5 Employment Procedure
a) The Human Resources Officer shall receive all applications for employment and
shall acknowledge receipt thereof in writing. All applicants for employment
shall be addressed to the Human Resources Officer.
b) The Human Resources Officer shall sort all applications that meet the minimum
appointment requirements as advertised, and then forward these applications to
the Department Manager concerned, together with a full list of all applications
received.
c) The Department Manager, in consultation with the Human Resources Officer,
shall draw up the shortlist of candidates for interviewing.
d) The Human Resources Officer shall invite the short listed candidates for
interviews, and will ultimately make a recommendation to the Chief Executive
Officer for appointment.
e) SBCGT shall bear subsistence and travel and travel expenses of short listed
candidates from places other than the duty station. A summary of the interviews
shall be prepared by the Human Resources Officer and kept for record purposes.
f) The Human Resources Officer shall ensure that Reference Check on shortlist
candidates is done, and then the employment offer in consultation with the
relevant Department Manager to the selected candidate which upon acceptance
shall be followed by an appointment letter signed by the Chief Executive
Officer or his/her delegate. Once the selected candidate has accepted the
employment offer, the Human Resources Officer shall send regret letters to all
the unsuccessful candidates.
2.6 Employment Interview Panel
The Employment Interview Panel shall be provided with the ground rules of and procedures
for interviewing (by the Human Resources Officer) prior to the actual commencement of
interviews.
The Panel shall consist of the following persons:
a) The Department Manager concerned
b) The Human Resources Officer
c) For Management Positions the CEO as well as a selected Board Member shall
attend
2.7 Age
SBCGT shall, in terms of section 42(b) of the Labour Act 1992 Act 6 of 1992), not
employ any person under the age of (16) years.
Applicants of sixty (60) years and older can only be appointed on approval by the Chief
Executive Officer or by the Board. Employees so appointed can only be appointed can only
be appointed in a temporary capacity, and such cannot become members of the pension Fund.
2.8 Appointment
All staff will be appointed by the SBCGT Board of Trustees or as delegated
Letters of Appointment: The formal letter of appointment will bear the signature of the Chief
Executive Officer or as delegated. The letter shall require the signature of the appointee before
the appointment is considered effective.
Job Description: On appointment, an employee shall be given a job description. This shall
specify the scope and terms of reference for their position. Each member of staff is expected to
devote their time and attention to their work and not engage in activities that may conflict with
SBCGTs interests or negatively affect their performance. Job Descriptions shall be reviewed
yearly.
Probation: Any appointment made on SBCGT shall be subject to a probation period as
specified in the letter of appointment. One month towards the end of the probation period,
employees immediate supervisor shall make an appraisal report recommending a confirmation
or termination of the employees services. Where necessary, the probation period may be
extended as considered necessary by SBCGT. An employee who is on probation may have his
appointment terminated at any time without notice. In the event of such termination, the
employee is paid for the period worked up to the time of termination
Confirmation of appointment. On recommendation from the immediate supervisor, the Chief
Executive Officer shall in writing, confirm the appointment
Duration of employment: Unless otherwise stated, employment for all staff shall be on
permanent basis subject to satisfactory completion of the probation period and availability of
funds.
2.9 Personal Data
On acceptance of an appointment, the new staff member is required to complete the Employee
Personal Data form - (See Appendix 3). New employees must also furnish SBCGT with a
declaration of dependants, that is spouse and own children; next of kin and provide
photocopies of certificates and other testimonials.
Any changes in personal status shall be reported promptly to the Human Resources Officer by
completing a fresh Personal Data Form. Staff records and related correspondence shall be
treated confidentially at all times.
2.11 Induction
All new staff shall undergo induction training to assist them in the process of becoming
integrated to the institution within the shortest time possible. The respective immediate
supervisor in collaboration with the HR Officer shall conduct induction training. See checklist
for induction as Annexure:
3. PERFORMANCE MANAGEMENT
3.1 Introduction
Decisions concerning career development, promotion, succession planning and compensation
depend on information provided through effective performance management. The new SBCGT
will therefore ensure that all new employees understand the requirements of their jobs as well
as the expected results. The actual assessment of how well they have done will be undertaken
at the end of each year through a comprehensive appraisal of their performance in relation to
these expectations.
3.2 Objectives
Staff appraisal is often viewed as a punitive measure where most junior staff looks it as a time
when their seniors would get even with them for whatever reason. SBCGT will therefore seek
first to promote a healthy understanding of this process in terms of being an avenue to promote
dialogue between staff and management as well as a system through which specific needs of
staff are identified and brought into the limelight. Specifically, the appraisal process at SBCGT
will be undertaken to:
a) review performance of the staff against assigned tasks and responsibility
b) identify the areas of weaknesses and provide positive feedback to the staff on
their individual and team performance;
c) identify the areas of strength in each staff
d) identify staff who can be developed to take up increased responsibilities
e) identify the staff training needs
f) create a basis for rewarding superior performance
g) plan for the following year
3.3 Responsibilities of Managers/Supervisors
Managers/Supervisors are responsible for conducting substantive discussions and taking
conclusive performance-related actions. These actions include selecting or
a) developing performance plans,
b) communicating outcomes and expectations to employees,
c) establishing employees' development plans,
d) providing performance-related feedback to employees at prescribed intervals,
e) preparing end-of-cycle summaries,
f) and discussing the summaries with employees.
3.4 The Performance Management Process:
3.4.1 Performance Planning
3.4.2 Monitoring
3.4.3 Performance Summary
3.4.4 Recognition
3.4.1 PERFORMANCE PLANNING:
A Performance Plan is a written document between an employee (or team) and his or her
manager. The performance plan describes what has to be done during the performance cycle,
how well it has to be done, and how the accomplishment will be measured. This part of the
plan is based primarily on the goals of SBCGT and the employee's job description
Performance Management shall be a continuous process with the following timeframes
attached:
OCTOBER
Performance Summary from previous year
a) Supervisor provides a consolidation of employee accomplishments throughout
the performance cycle, synopsis of formal feedback received during the
performance cycle, and highlights of developmental activities undertaken during
the period.
b) Employee provides a self-assessment of accomplishments
(outcomes/expectations and developmental activities) completed during the
performance cycle.
Description of Actual Performance
Major Accomplishments - Identify the most important accomplishments
achieved during this performance cycle that applies directly to you position.
Other Accomplishments - Identify other accomplishments achieved during
this performance cycle.
Performance Plan jointly developed for upcoming year
a) Supervisor provides work assigned to Department, work assigned to employee,
goals/objectives for Department (cascaded down from organizational goals),
and any other needs for accomplishment of departments goals/objectives.
b) Employee provides own objectives for accomplishment of SBCGT/Departments
goals/objectives and individual developmental needs, if any, for upcoming
performance cycle.
c) Required resources to accomplish the assigned work and objectives that are
identified within the jointly developed performance plan.
DECEMBER
Check-in meeting (Requested by employee)
a) Check the performance plan for reasonableness against the plan based on 3
months experience, modify if necessary
b) Employee informs supervisor of resource needs, if any, required to accomplish
agreed upon performance plan
Examples: Skill set; time; equipment etc.
APRIL
Mid cycle meeting
a) Formal feedback session
b) Employees provide self assessment to supplement supervisors' assessment
JULY
a) Employees supply upward feedback, through an anonymous automated system,
which goes directly to the supervisor. Form to be completed attached as
Annexure
b) Supervisors supply upward feedback to their managers through an automated
system, anonymity determined by supervisors. Form to be completed attached
as Annexure
Requirements for Temporary Positions: A performance plan should be established in all
cases where the duration of the temporary employee is uncertain. A new performance plan
must be established when a an employee is scheduled to work for 90 days or longer.
3.4.2 MONITORING
Monitoring is the process of making accurate and objective performance observations based on
the outcomes and expectations contained in an employee's performance plan. In addition, the
manager will provide timely feedback throughout the performance cycle to encourage
employees to maximize their performance. Performance observations will be provided from
multiple sources.
Employee's role: Provide self-evaluation twice per performance cycle, and provide upward
feedback once during the performance cycle. If applicable, provide performance input as a
peer, customer, or key members of cross functional teams/interface groups.
Manager's role: Collect data, provide feedback, make performance observations, document
results, and manage overall process.
Application to teams: When using this process in a team setting, the following need to be
considered:
a) Team has a strong peer input feedback mechanism in place.
b) Each team member must be willing to supply self-evaluation of the team's
performance.
Managing unacceptable performance: If at any time during the performance cycle the
employee is not performing to the level agreed upon in the performance plan, the employee is
placed into an opportunity to demonstrate performance, or any other applicable performance
improving tool in an attempt to bring the employee's performance up to an acceptable level.
3.4.3 PERFORMANCE SUMMARY
The performance summary is a consolidation, discussion, and acknowledgement of employee
accomplishments and effectiveness throughout the performance cycle.
a) Provides an assessment of actual achievements based on the outcomes and
expectations contained in the performance plan.
b) Includes a synopsis of formal feedback received during the performance cycle.
c) Contains highlights of developmental activities undertaken during the period.
The performance summary represents the review of record for the performance cycle.
Purpose:
Performance summaries may be used for:
a) Identifying developmental needs.
b) Determining compliance with the agreed upon performance plan.
c) Analyzing individual [or team] performance.
d) Basis for individual recognition.
e) Basis for team acknowledgement/recognition.
f) A point of consolidation of feedback from the performance cycle.
Performance summaries may not be used for:
a) Merit promotion eligibility.
b) Reduction in force.
c) Automatic triggers for increases to base pay and/or cash awards.
Frequency: Typically the performance summary is an annual process of documentation and
discussion between a manager and an employee. This discussion shall occur within 30 days
from the end of the performance cycle.
There are several conditions under which a performance summary may occur more frequently.
They include instances where
a) the performance plan represents a cycle shorter than a year.
b) the performance plan changes significantly during the year.
c) an employee transfers to another job, department, section, team, division, etc.
d) an employee is on a temporarily for a minimum of 90 days.
e) an employees manager transfers to another job within the or leave the SBCGT.
Time under performance plan: An employee must be in his or her current performance plan
for 90 days to receive a performance summary. This 90-day requirement also applies to details.
If a performance cycle includes a detail of 90 days or greater, the performance summary for the
performance cycle may include the performance summary for the detail period.
Documentation: A narrative discussion of the individual performance compared to the
outcome(s)/expectations(s) as spelled out in the performance plan. The summary is a narrative
describing employee accomplishments of the agreed upon outcomes/expectations in the
performance plan. The relationship of the narrative and the plan represents the employees'
annual performance review.
Recordkeeping requirements: The performance summary of record shall be maintained in the
Personnel File.
Relationship to performance based pay systems: The performance summary may be used as
a factor in determining eligibility for a pay increase in a performance based pay system.
Application to Teams: Teams can receive performance summaries; however, the
accomplishments of a team cannot be a primary or secondary outcome of an individual's
performance plan. Additionally, a team performance summary does not eliminate the
requirement for an individual performance summary.
Requirements for departing/transferring managers: A departing/transferring manager
should provide a performance summary for each of his or her employees before leaving. In a
situation where a manager leaves his or her position within the last 90 days of a performance
cycle, the departing/transferring manager should close out the current performance cycle by
completing and providing a performance summary for each of his or her employees. As a
result, the new performance cycle may cover up to 15 months.
3.4.4 RECOGNITION
A means of acknowledging employees for sustained outstanding performance/service and
providing incentives to continue provide outstanding performance/service. Recognition should
be linked to performance outcomes. For example, employees should be recognized/rewarded
for being results-oriented and customer-focused. Other contributing factors could be increased
morale, contribution to team cohesiveness, contribution to the success of the performance
management process, etc. Recognition does not necessarily have to be linked to a bonus
system, but can be for e.g.; time off, chance to attend conferences of choice etc.
COMPLIANCE: At an appropriate time during the performance cycle, upward feedback will
be used to assess manager compliance in supplying performance feedback based on the agreed
upon outcomes/expectations found within the managerial performance plan. Since the feedback
is for self-development, it shall be confidential between the employee and his or her manager.
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction
SBCGT strongly believes that a well-trained and efficient workforce is crucial for the
development of any institution. As such, SBCGT will always strive to attract and retain
employees of the highest caliber.
To achieve this, SBCGT will recruit all levels of staff strictly on merit. After their engagement,
the trust will further provide them with opportunities to advance skills and professional
expertise as well as give them adequate exposure.
4.2 Objectives
The objectives of the Training and Development Policy are to:
a) Explicitly communicate the commitment of SBCGTs Board Members, Chief
Executive Officer, and Management to the training and development of all
employees, primarily customised to suit the business philosophy, mission,
vision, and Business Plan;
b) Ensure that training and development are offered to employees of SBCGT
c) Recognise the fact that training and development can only take place when
matching resources are properly planned and budgeted for and be utilised
exclusively for training;
d) ensure that need-based training and development interventions are equitably
distributed to all categories of staff and at all levels of SBCGT, with particular
emphasis on the lower ranks;
e) Ensuring equal opportunity in training and development within all Department
of SBCGT.
f) Develop and maintain a pool of suitably qualified staff (technical,
administrative and professional) at SBCGT;
g) Ensure that provision is made for understudies to replace Non-Namibians at the
expiry of their contracts;
h) Create an environment that is conducive to self-development and career
advancement of staff members;
i) Provide financial and supportive assistance, within the confines of available
financial resources in terms of Study Loan Fund;
j) To contribute towards building a national pool of qualified and skilled
Namibians through the provision of Exchange Programmes.
4.3 Process and Criteria
SBCGT will as much as is possible handle staff training as an integral part of its institutional
development. It will endeavor to train its staff continuously and impart them with new skills,
through some of the following ways:
SBCGT shall from time to time identify training courses, seek funding, and identify staff
to attend such courses, which shall include exchange visits to relevant successful SME
organizations.
SBCGT will also encourage staff to pursue further training on their own, which it could
also support whenever there are funds available;
Professional staff such as certified accountants, economists, bankers, etc, shall be
encouraged to attend functions organized by their respective professional bodies.
Training or development programme shall only be offered after a through needs assessment by
the Human Resources Officer in consultation with the Department Managers.
SBCGT places a high premium on human resources training and development. Hence,
nominees are obliged to attend courses nominated for and agreed upon. Failure by a nominee
to attend a course amounts to misconduct and will be dealt with in accordance with the
Disciplinary Code.
In the event where a nominee cannot attend a particular course for one or the other reason, such
nominee should inform the Human Resources Officer in writing at least five working days
before the commencement of the course through his/her supervisor. Shorter notice through the
same procedure shall only apply in the event of unforeseen circumstances, such as illness,
death, unplanned leave, and the like.
Trainees shall be nominated by their respective immediate supervisors with relevance to their
Performance Plan, whereupon the Human Resources Officer will consider such nominations
for confirmation, or otherwise.
Employees who have been granted special leave to attend delegations and short courses within
and outside Namibia shall be required to submit brief reports thereon, within five (5) working
days upon return, to the Human Resources Officer through his/her supervisor who in turn will
recommend specific interventions to the Chief Executive Officer.
Any training identified by individuals shall also be considered. Where these activities are
deemed important by SBCGT, an equitable selection process of who shall attend the course
shall be made and SBCGT shall fully fund the activity subject to the following conditions:
The employee must submit a formal application to his supervisor;
The application shall be forwarded by the supervisor, with his/her recommendations
and comments to the Head of Department;
Approval will thereafter have to be obtained from the Human Resources Officer
The sequential process of the Human Resources Officer shall be to:
a) determine training and development needs that currently exist and projected
future needs threw ensuring that all employees have their own Individual
Development Plans which is to be developed by the immediate Supervisor with
Reference to Performance Plans;
b) select and write training and development objectives in order to determine and
sequence course contents per employee;
c) produce and procure suitable training and development programmes;
d) conduct training and/or co-ordinate training to be provided by others from
within or outside the SBCGT;
e) Specifically investigate opportunities for exchange visits with local and foreign
institutions involved in small and medium development or other professional
areas such as MIS, finance and SME research will be available whenever
possible.
Immediate Suppervisors shall be responsible for:
Individual Development Plans for all employees under their supervision, the relevant employee
shall be part of this process.
Obtaining a template from the HR Officer who will be of assistance during the process.
5. Leave Policy
Annual Leave
Annual leave is earned at the rate of 30 working
Sick Leave
Maternity Leave
Leave without Pay
Compassionate and Special Leave with pay
Official holidays
Study Leave
Religious Holidays
Absence without notice
6. DICIPLINARY CODE
6.1 Introduction
a) This document is an expression of SBCGTs policy on discipline and a guide to
all company employees.
b) Discipline is a system designed to promote orderly conduct.
c) Formal disciplinary action should be the final course of action in rectifying
employee behaviour.
d) Disciplinary action should be supported through investigation, reasonable
evidence of guilt and careful consideration of the circumstances of each case
before formal action is taken.
e) Disciplinary action should always be prompt, fair and firm.
f) While every attempt has been made to ensure that this Disciplinary Code is
applicable to general disciplinary instances in SBCGT, the requirement for use
of discretion within the framework of and in accordance with the spirit of the
code may be required.
g) A successful disciplinary system and climate is dependant on the good
judgement, understanding and consistent treatment of the parties involved in
disciplinary action.
6.2 Procedure and Documentation
6.2.1 Action of supervisor when an alleged offence has been committed or is reported to
have been committed
When an offence is alleged to have been committed, the Supervisor concerned will investigate
or have the matter investigated, and take any form of the following actions:
a) Dismiss the case;
b) Counsel the employee;
c) Give a verbal warning;
d) Give a recorded warning;
e) Initiate a formal disciplinary enquiry;
6.2.2 Informal disciplinary action
It is desirable for sound interpersonal relations within SBCGT that Supervisor where possible
resolves disciplinary matters by means of informal disciplinary action. Informal disciplinary
action can take the form of either a verbal warning or counselling.
An employee found to have committed an offence of a minor nature should be counselled by
the Supervisor, without an entry being made on the employees personal record. The
Supervisor may however, make a record of the counselling session to allow for an assessment
of the employees performance record, should this be necessary at the time, and with the
employees knowledge and understanding thereof, formulate a plan of corrective action.
During the counselling, the Supervisor should ensure that the employee is made aware of the
nature of the offence and the standard of the conduct or performance that will be expected in
the future.
6.2.3 Procedure for formal complaints
a) A supervisor handling a formal complaint must investigate the case with the
assistance of the Human Resources Officer, where possible, and ensure that the
relevant sections of the complaint form (Appendix 7) are correctly completed
within 48 hours of the offence having been committed or the supervisor having
been made aware of the fact that an offence has been committed.
b) A copy of the complaint form should be passed without delay to the Human
Resources Officer who will advise whether:
c) The accused should be suspended pending full investigation (if this has not
already been done);
d) Advise the supervisor on whether to continue with a formal complaint
e) The Complainant and the accused must provide names of all persons who
should be regarded as witnesses as their statements will assist in ensuring a fair
hearing of a case. Where possible, should there be witnesses who are nonemployees,
formal statements should be recorded from them as they may be
invited to attend the disciplinary hearing.
6.2.4 Disciplinary Inquiries
The Human Resources Officer will be responsible for the overall application of the code and
should where possible:
a) Advise and guide all participant on the Disciplinary Code;
b) Ensure that the code is applied fairly and consistently in all cases (procedurally
and substantively);
c) When all documentation pertinent to the matter has been collected, the Human
Resources Officer shall serve the papers on the accused and/or his/her
representative to allow the employee to fully prepare himself prior to the
hearing;
d) The Hearing Chairperson will hear the case within four full working days of the
complaint being lodged only when further investigate is required shall this
period be extended;
e) The Human Resources Officer will be responsible for arranging a suitable venue
and date for the inquiry, informing all the relevant parties; informing the
accused of his/her rights to representation; informing the accused of his/her
right to appeal against the decision and arranging for all relevant statements to
be taken.
f) The complainant shall be responsible to complete the Complaint form.
Attendance at the Inquiry
The following persons must be in attendance at any hearing inquiry:
a) Hearing Chairperson
b) Complainant
c) Alleged Offender (accused)
d) Representative of alleged offender (if requested by alleged offender)
e) Witness (as) (as and only when required for the duration of the testimony)
f) Human Resources Officer.
The Hearing/Inquiry
a) The accused should be given at least 48 hours notice in advance of the
disciplinary hearing (Notice for Disciplinary hearing see Appendix 8),
indicating the date, time and venue of the hearing. In addition, the responsible
person convening the hearing should advise the accused of his/her right of
representation.
b) In the event that the accused alleges that the Hearing Chairperson is implicated
in the case and therefore will not be unbiased, the accused may request the
appointment of an alternative Hearing Chairperson, giving a full motivation for
such a request. The decision whether to appoint another Hearing Chairperson or
not rests with the Human Resources Officer. Such requests shall however not
be unreasonable withheld.
Duties and Responsibilities of the Hearing Chairperson
The Hearing Chairperson shall be any employee on the same level as the direct supervisor of
the Complainant, but not the direct supervisor.
The Hearing Chairperson should not have been privileged to any information pertaining to the
inquiry prior to the inquiry.
Ideally the Chairperson of a disciplinary inquiry will be required to follow the guidelines
below when performing duties of a presiding official:
a) Introduce and identify all present, stipulate the purpose and format of
proceedings;
b) Ensure that the alleged offender has been given sufficient notification of the
inquiry, and that he/she has signed and acknowledged acceptance thereof.
Ensure that the alleged offender has understood his/her employee rights in this
regard;
c) Establish if witnesses are present and if so inform the hearing that they will be
excluded from proceedings once they have led evidence and have been cross
questioned;
d) Should it be established that the accused was not informed of his right to
representation or that the witnesses are not present, the Hearing Chairperson
will adjourn and reschedule the hearing for a later date;
e) Should the accused fail to attend the hearing, the Hearing Chairperson will
establish whether the accused was notified of the date, time and venue of the
hearing. It will be advisable to re-notify all parties to attend the disciplinary
hearing at a later date if notification was not given;
f) If the accused fails to attend a disciplinary hearing, the Hearing Chairperson
should in writing advise the accused of the date, time and venue of the hearing
and advise him that should he fail to attend, the hearing will proceed in his
absence;
g) Should the accused fail yet again to attend and if no prior notification for his
absence was given, he may be deemed to have waived his right to attend the
hearing. The Hearing Chairperson will then decide the case in absentia on the
facts available and the accused will be informed, in writing, of the outcome;
h) Having ascertained that the particulars on the complaint form are correct, the
Chairperson will inform the accused of the charge(s) against him/her, ascertain
his/her understanding thereof and the accused will be asked to plead on the
charges;
i) The accused should be permitted to make any further pertinent comments
should he/she wish to do so (whether or not he/she has already made a written
statement);
j) According to the plea entered by the accused, the Hearing Chairperson must
verify all facts and allegations by questioning the accused, Complainant and any
other parties in order to arrive at a decision. Only information provided in the
case documentation pertaining the charge in question and statements raised
during the inquiry will be used as facts pertaining to the disciplinary inquiry;
k) The Hearing Chairperson will allow the accused, with his/her representative, the
opportunity to express opinions on the case;
l) All witnesses should be called to give evidence and to have such evidence
examined by the hearing Chairperson, the Complainant and the accused and/or
the accusers representative;
m) If during the course of the hearing, the Hearing Chairperson finds it necessary to
obtain further information, the case should be adjourned to allow for further
investigation;
n) If the accused wishes further evidence to be submitted, this should be allowed,
provided that the Hearing Chairperson is of the opinion that such further
evidence could be of relevance;
o) Once the Hearing Chairperson is of the opinion that he/she has gathered
sufficient evidence surrounding the case, he/she should request any witness (as)
to leave the room;
p) At this stage the Hearing Chairperson may call for a recess during which he/she
may liase with the Human Resources Officer in order to obtain further advice
and information;
q) The Hearing Chairperson may call a recess at any stage of the proceedings and
may consider any call for a recess by any other party of the inquiry;
r) Once the Hearing Chairperson is satisfied that he/she is in a position to make a
decision on the guilt or innocence of the accused, he/she will reconvene the
inquiry and inform the accused and his/her representative of his/her findings.
The Complainant and Human Resources Official (where possible) should be
present when the decision of guilt or innocence is informed.
s) If it is the opinion of the Hearing Chairperson that the accused is not guilty, he
will inform him accordingly and the finding case dismissed will be entered on
the Complainant form and the employees disciplinary record will be cleared of
any reference to the case;
t) Where an employee is found guilty, the Hearing Chairperson will then take note
of the offenders record of service, disciplinary record, mitigating and
aggravating circumstances, seriousness of the offence, consistency of
application and any other circumstances he/she may deem necessary to
consider;
u) In all cases, current un-expired disciplinary warnings will be taken into account
when deciding on the appropriate action;
v) Depending on the nature and seriousness of the offence, the whole of the
employees disciplinary record may be considered;
w) The Hearing Chairperson will then record the penalty on the complaint form
and inform the offender of the penalty awarded in terms of Section 6.5 and the
reasons for arriving at the decision. The Hearing Chairperson will inform the
offender of the period for which the warning will remain on his/her record as a
valid entry. The Hearing Chairperson will also inform the offender of his/her
right to appeal in terms of Section 6.6 of this code;
x) With regard to corrective action, the Hearing Chairperson will, in liaison with
the immediate Supervisor, the employee and/or representative, and the Human
Resources Officer; formulate an action plan to address the required change in
behaviour. The employee will be required to assist in this process and make
proposals in this regard. The aim is to ensure that the process of correcting
unacceptable behaviour is addressed objectively and amicably;
y) Request the employee to acknowledge the disciplinary action proposed. Should
the employee opt not to sign, a witness should be requested to acknowledge that
the details of the inquiry have been communicated to the accused.
Recording of Proceedings
a) It is in the interest of SBCGT and the individual that all proven offences and
subsequent disciplinary action be accurately recorded.
b) The Chairperson will ensure that all other required administrative details on the
complaint form are completed before forwarding the document to the Human
Resources Officer for overall review and control.
c) Statements, Complainant forms and other disciplinary records will be retained
by the Human Resources Officer as these may be required even after an
employee has left SBCGTs services.
d) The Human Resources Officer will be responsible for the input of disciplinary
penalties on employees personal files.
6.3 Special Cases
Suspension
a) An employee may be suspended from work immediately if he/she has allegedly
committed or is allegedly involved in any one of the following offences:
Assault/attempted assault
Desertion
Sleeping on duty
Negligent loss, driving, damage or misuse of company property
Abuse of electronic/data facilities
Sexual Harassment
Fighting
Riotous Behaviour
Alcohol and drug offences
Wilful loss, damage or misuse of company property
Theft/Unauthorised possession of company property
Breach of Trust
Offences related to dishonesty
Offences related to Industrial Action
Any act or omission which intentionally endangers the health or safety
of others, or is likely to cause damage to Company property
Interference with disciplinary and/or grievance investigations
Abusive or provocative language (when it is likely to cause a
disturbance)
Insubordination (if the situation shows signs of getting out of control)
Persistent refusal to obey instructions.
In certain instances the Supervisor will recommend that the offender be
removed from the work place pending investigation of the case. He/she
will take immediate steps to report the matter to his/her immediate
Supervisor, who will raise the matter with the CEO. Irrespective of the
outcome, the employee will be paid for days he/she was suspended;
It is mandatory to liase with the Human Resources Officer prior to
suspending an employee in order to endure that the suspension is
procedurally and substantively fair.
Poor Work Performance
Cases involving substandard or deteriorating work performance are to treat differently from
those regarded as transgressions of misconduct.
The following guidelines should be considered when dealing with such cases. An attempt
should be made to resolve alleged poor work performance by means of counselling the
individual involved. Where poor the supervisor identifies work performance, the following
procedural action should be considered:
a) Investigate and identify the problem area(s)
b) Communicate this to the individual concerned, and jointly agree on the
appropriate plan of action in order to resolve the matter. If deemed necessary
and relevant, norms should be established by arranging appropriate task lists
and the time duration allowed for the completion of each task;
c) Consideration should be given to the appointment of a coach or mentor to assist
the employee to improve performance;
d) Accurately minute the agreed contents of any agreement put in place and
provide the Human Resources Officer with a copy for record keeping purposes;
e) Regular evaluation and follow up on the agreed plan of action should be made;
f) Should counseling fail to produce the desired improvement, alternative action
should be considered in liaison with the Human Resources Officer. Alternative
action could include, but is not limited to, termination of the employment
contract on the grounds of incapacity, demotion or a transfer to an alternative
position. The employee, throughout this process, will be entitled to
representation.
6.3 Offences outside normal working hours
SBCGT reserves the right to take any action it may deem appropriate against employees who
are, in the opinion of SBCGT, guilty of gross misconduct not merely in their working
situations. This is particularly so where the nature of the misconduct may affect the
employment relationship with any other party. Actions that directly relate to the nature of the
business are also liable for disciplinary action.
Court Actions
Where an employee has been criminally charged or legal action has been instituted for an
employment related breach, SBCGT reserves the right to take disciplinary action against the
employee for the alleged offence, in terms of this Code.
6.4 Classification of Offences:
Offences are classified into five major categories.
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior
6.4.4 Offences related to dishonesty
6.4.5 Industrial Action
6.4.1 Absenteesim
Absenteeism in the disciplinary context means being absent from work for an entire working
shift, or part thereof, without the expressed permission from a direct supervisor.
A sanction of dismissal can apply for the first offence of being absent without permission
provided that the employee was absent for three continuous working days without a valid
reason.
a) Absent without leave;
b) Desertion: Leave the work place without intending ever to return; leave without
help or support; abandon; leave without authority or permission.
6.4.2 Offences related to Control at Work
a) Poor Time Keeping and related offences
a) Reporting late for work
b) Leaving work early
c) Extended or unauthorised breaks during working hours
d) Persistently committing all or any of the above.
b) Sleeping on duty
Any employee who is found asleep on duty, whether or not such an action constitutes a hazard
to the safety and health of the offender or others or leads to damage to Company property, shall
be deemed guilty of an offence.
c) Negligent Loss, Driving, Damage or Misuse of Company property
a) Negligent loss of Company property: any act whereby an employee, through
carelessness or negligence, loses Company property or is unable to account for
it satisfactorily.
b) Negligent driving; driving a company owned or rented vehicle without due care,
whether such an act results in an accident or not.
c) Negligent damage to Company property: any act whereby an employee through
carelessness or negligence causes or allows Company property to become
damaged.
d) Misuse of Company property: using Company property for a purpose other than
that for which it was intended.
d) Unsatisfactory Work Performance
a) Carelessness: Performance of a task or duty without the exercise of due care an
attention.
b) Negligence: failure to exercise proper care and regard to the manner of
discharging duty to the extent that tasks have to be repeated or equipment or
persons are at risk of damage or injury.
c) Inefficiency: failure to carry out work at the required standard or failure to
complete tasks within the given reasonable time limits, without reasonable
cause. This includes poor supervision.
d) Loafing: passing time idly or failing without reasonable cause to complete tasks
set.
6.4.3 Offences Related to Indiscipline or disorderly behavior.
a) Disobedience and related offences
a) Refusing to obey an instruction: deliberate refusal to carry out a lawful and/or
reasonable instruction given by a person in authority and within the area of his
jurisdiction.
b) Failing to obey an instruction: failure to obey a lawful instruction given by a
person in authority and within the framework of his/her jurisdiction.
c) None-compliance with established procedure / standing instructions: failure to
follow establish procedures.
d) Abuse of electronic / Data facilities: excessive use / abuse of e-mail and
communication facilities; storage and/or transmission of material of
discriminatory nature; storage and/or transmission of pornographic material;
unauthorised monitoring and interception of electronic documentation.
6.4.3.1 Abuse and related offences
a) Abusive Language:
The uttering of any words or the publication of any writing expressing or showing hatred,
ridicule or contempt for any person or group of persons.
The offence I more serious when it is wholly or mainly because of his/her/their nationality,
race, colour, ethnic origin, sex, marital status, religion, creed, political opinion, social or
economic status, degree of physical or mental ability, sexual orientation or culture.
b) Insubordination:
Insolence towards a superior shown by action or words.
6.4.3.2 Disorderly behaviour and related offences
a) Disorderly behaviour:
Indulging in rough or unruly behaviour or practical jokes whether or not such behaviour
endangers the safety or health of others or the smooth running of the work place.
b) Threatening violence:
Threatening to do physical injury to any other person.
c) Fighting:
Physical contact between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
d) Riotous behaviour:
Unruly behaviour between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
e) Sexual Harassment:
Any unwanted or unwelcome sexual advances, requests for sexual favours and other verbal or
physical conduct of a sexual nature when submission to or rejection of this conduct explicitly
or implicitly affects an individuals employment, causes unreasonable interference with an
individuals work performance or creates an intimidating, hostile or offensive work
environment.
f) Discrimination:
Any act whereby an employee discriminates against any other employee or group of employees
on the grounds of nationality, race, colour, ethnic origin, sex, marital status, religion, creed,
political opinion, social or economic status, degree of physical or mental ability, sexual
orientation or culture.
Willful loss, damage or misuse of Company property
Willful loss: any act whereby an employee willfully or deliberately loses or causes Company
property to be lost.
Willful damage: any act whereby an employee willfully or deliberately damages, or allows or
causes damage to Company property.
Willful misuse: any act whereby an employee willfully or deliberately misuses Company
property.
6.4.5 Offences Related to Dishonesty
Disciplinary cases involving the following offences must be reported to the Human Resources
Officer.
Bribery or Corruption
Giving or receiving or attempting to give or receive any bribe or inducing or attempting to
induce any person to perform any corrupt act.
False Evidence
Deliberately giving untrue, erroneous or misleading information or testimony whether
verbally or in writing.
Forgery and uttering
Falsifying or changing any documentation with fraudulent intent or attempting to do so.
Uttering or attempting to utter fraudulent or false statements or documents.
Misappropriation
Applying or attempting to apply to a wrong use or for any unauthorised purpose, any funds,
assets or property belonging to SBCGT.
Theft of or unauthorised possession of Company property
Stealing or attempting to deprive SBCGT permanently of its rightful ownership.
Being in possession or disposing of Company property without due authorisation.
Fraud
The unlawful making of a misrepresentation with intent to defraud, which causes actual or
potential prejudice to another party.
Breach of Trust
Actions or conduct of an employee that cause a reasonable suspicion of dishonesty or mistrust
and for which there exist extraneous evidence to prove a breakdown in the relationship of trust
between the concerned employee and SBCGT. This will include a situation where the conduct
of the employee has created mistrust, which is counterproductive to SBCGTs commercial
activities or to the public interest, thereby making the continued employment relationship an
intolerable one.
6.4.5 Industrial Action
Intimidation
Any act by an employee, whether by himself or in concert with other persons (whether or not
such other persons are employees of SBCGT), to intimidate any employee with the object of
compelling him to take part in any strike or other action which interferes with the normal
operations of SBCGT. Intimidation is an offence even if all the procedures for the settlement
of the industrial disputes and grievances and the Law have been exhausted.
Sabotage
Any deliberate action by an employee that results in the interference with the normal
operations of SBCGT by damaging any machinery, or equipment or by interrupting any
supplies of power, or services necessary to the operations.
Illegal Strike/Lockouts
Participation in any illegal strike action, lockouts, boycott or any other form of work disruption
not in accordance with the applicable statute that constitutions a blatant refusal to work.
Examples of such action include, inter alia, work-to-rule: overtime ban; go-slow.
Any disciplinary matter referred to in this subsection will not preclude SBCGT from exercising
its common law rights to terminate the employment contract in the case of illegal industrial
action.
6.5 Penalties
Classification of Penalties:
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning
6.5.5 Dismissal
6.5.6 Demotion
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal
6.5.1 Verbal Warning
Any supervisor may, at any time and at his discretion, reprimand an employee without
completing a complaint form, in which case there will be no entry made on the
employees disciplinary record. When a verbal warning if given, the supervisor must
ensure that the employee being reprimanded is made aware of the existence and
function of the Disciplinary Code. A verbal warning is usually issued where the
offence is of a minor nature.
6.5.2 Recorded Warning
Application: This may be given for a repetition of an offence for which an unrecorded
warning has been given, or it may be given for a first offence.
Validity Period: The employee must be informed that the warning will remain in force
for a period of six months.
6.5.3 Severe Warning
Application: Given for a repetition of the same offence or similar offence during a
period when a recorded warning is still in effect, or for a first offence of a more serious
nature.
Validity Period: The employee must be informed that the warning will remain in force
for a period of nine months.
6.5.4 Final Warning
Application: Given for a repetition of the same offence or a similar offence during a
period when a severe warning is still in effect or depending on the nature thereof, for a
first offence of a serious nature. In the case of an employee being found guilty of an
offence of a dissimilar nature within the prescribed period, the hearing official may, at
his discretion, issue a comprehensive final warning on the understanding that if any
offence is committed within the next 12 months, it will render him liable for dismissal.
Validity Period: A final warning is effective for a period of twelve months. The
employee is advised in writing by the official hearing the case of the period applicable
and reminded that a repetition of the offence or the committing of any similar serous
offence within the prescribed period will render him liable for dismissal. A copy of the
notice shall be forwarded to the Human Resources Department.
6.5.5 Dismissal
Application: Dismissal is the final sanction and should be used:
when other forms of disciplinary action have failed;
when an employee on a final warning commits a serous offence;
when the offence committed is of such a serious nature that it amounts to a
serous breach or repudiation of the employees contractual obligations;
in cases relating to dishonesty e.g. theft, fraud or corruption;
in the case of any employee who is absent from work without permission for
a period of three continuous working days or more. In this case the
employee will be dismissed in absentia after the third day if no reason for
such absence is receive. Should the employee return to work after he has
already been dismissed, he may request that the case be re-opened?
Once an employee has been dismissed in accordance with the procedure contained in
this Code, under no circumstances will he be considered for re-employment should he
re-apply at a later stage. If it is discovered that a dismissed employee has obtained reemployment
with SBCGT either inadvertently or through deception, his services will
be terminated immediately.
6.5.6 Demotion
Demotion is not an acceptable corrective action and is therefore, not used as a
punishment for a specific offence. It is used only where the employee is unable to meet
the requirements of his present job but is suitable for continued employment in a lower
capacity.
6.5.7 Transfer
Transfer is not permitted as a tool for disciplining employees. A transfer shall only be
effective in terms of SBCGTs Conditions of Employment and Service. Transfer, as
the result of the outcome of a disciplinary action, will be considered in special
circumstances.
6.5.8 Alternative Penalty to Dismissal
A comprehensive final warning may be considered at the discretion of the Hearing
Chairperson as an alternative penalty to dismissal in instances where an employee is
found guilty of an offence of a dissimilar nature to a valid final warning on his personal
record.
The sanctioning of a comprehensive final warning will only be considered in
circumstances warranting corrective action and liaison between the Hearing
Chairperson and the Human Resources Officer is encouraged before such a penalty is
imposed.
A comprehensive final warning will be valid for twelve months from the date of the
imposed penalty.
The Role of the HR Officer
The maintenance of workplace discipline is strictly a function of line management. Human
Resources Officer should be available to assist line management where required. As far as
possible, the Human Resources Officer should, in consultation with the official chairing
hearing, ensure that disciplinary action taken is procedurally and substantively fair.
The Human Resources Officer should be available to advise and assist all employees on all
disciplinary matters.
The Human Resources Officer must not impose penalties, nor hear appeals in respect of own
subordinates or immediate Supervisors.
The Human Resources Officer is responsible for:
Ensuring that the complaint form properly identifies the offence and is otherwise
correctly completed
Ensuring that the alleged offender is aware of the charges against him/her
Interviewing and taking statements from the Complainant, accused and any witness
Investigating the domestic circumstances of the alleged offender, when necessary
Ensuring that all facts are collated marshalled and presented without bias.
Advising the Complainant, accused, witness (as) and representative of their roles
and rights
Ensuring that documentation pertaining to the hearing is forwarded to the
appropriate officials
Advising the accused and his representatives of progress made for cases that are
pending or in recess.
The Human Resources Officer may at his/her discretion recommend that a concluded
disciplinary case be reopened in instances where gross non-compliance to the Disciplinary
Code is evident.
The Role of the Representative
Any employee, against whom formal disciplinary proceedings are held may at his request, be
accompanied at the initial and any subsequent hearing by a colleague from the same working
section, or in the case of an employee who is represented by a properly constituted consultative
committee, by a member of such a committee. An employee who is a Union member may be
represented by the appropriate Part-time or Full-time Shop Steward, in accordance with the
provisions of the Recognition and Procedural Agreement between SBCGT and Union. Legal
representation or representation by non-Company persons during internal Company enquiries
is not permitted.
The representative has no right to insist on the employee being accompanied if he does not
wish it; that is, a representative will attend a disciplinary hearing only at the request of the
employee. He will be invited to comment on the evidence.
The representative may ask question and cross-question during the disciplinary hearing, but
may not give evidence during such hearings.
The representative may make submissions to the hearing official on the guilt or otherwise of
the accused prior to the hearing official making his finding. He may also make submissions to
the hearing officials on the mitigating factors to be considered and on the penalty to be
imposed.
Should the representatives comments at the hearing be of such a nature as to warrant reconsideration
of certain matters or further investigations, time should be allowed for this and, if
necessary, the enquiry recessed.
6.5.9 Dismissal Procedure
a) A direct Department Manager may recommend that an employee be dismissed.
b) For the purpose of the dismissal procedure, a direct Department Manager is
defined as an employee graded D-lower or above who has a supervisory link to
the employee concerned.
c) Following a disciplinary hearing outcome being advised to the employee who
results in the recommendation for a dismissal and the employee accepts the
recommendation; the Hearing Official will refer the case documentation for
review to the relevant Manager for the department concerned.
d) The relevant Manager will endeavor to review the case within forty-eight
hours/two working days and endorse or reject the recommendation.
e) If the recommendation for dismissal is endorsed, the hearing official shall refer
the recommendation to the Human Resources Officer who will review the case
with the relevant Head of Department.
f) If the recommendation for dismissal is rejected, the case shall be referred to the
Human R
From India, Visakhapatnam
Thank u Very much for your help. such a great help quikly. thanks once again. do inform me anyissue/help u require to share.
Regards
Srinivas
09392470619
[quote:4e5640b4f6="rinkysharma2000"]Hi Srinivas,
The information which I am sharing with you is from our own group only... I m also a learner like you .. Its not my own ... I ma just sharing with you....Is this you want ... I am just giving you the point for Hr Policy .... but you have to develop Policy as per your requirement......
1. CONDITIONS OF SERVICE
Contract of Employment ..
Working hours .
Duty Station .
Confidentiality .
2. RECRUITMENT AND SELECTION POLICY
Introduction .
Objectives
Recruitment Authorisation Procedure .
Newly Created or Restructured Positions
Employment Procedure
Employment Interview Panel ...
Age ...
Appointment .
Personal Data
Staff Transfer
Induction ..
3. PERFORMANCE MANAGEMENT POLICY
Responsibilities of Manager/Supervisors .
The Performance Management Process
3.4.1 Performance Planning
3.4.2 Monitoring.. ..
3.4.3 Performance Summary
3.4.4 Recognition ..
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction ..
4.2 Objectives
4.3 Process and Criteria .
5. LEAVE POLICY
6. DICIPLINARY CODE
Introduction ..
Procedure and Documentation .
Special Cases
Classification of Offences
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior .
6.4.4 Offences related to dishonesty .
6.4.5 Industrial Action ..
6.5 Penalties
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning ..
6.5.5 Dismissal ..
6.5.6 Demotion ..
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal ..
6.5.9 Dismissal Procedure .
Disciplinary Appeal Procedure
7. GRIEVANCE POLICY
Introduction ..
Objectives .
Procedure and Guideline ..
8. TERMINATION OF EMPLOYMENT POLICY
8.1 Introduction ...
8.2 Termination by Notice .
8.3 Retirement .
8.4 Death of Staff Member .
8.5 Certificate of Service
8.6 Discharge Form .
9. RETRENCHMENT POLICY
9.1 Introduction ...
9.2 Objectives .
9.3 Consultation ..
9.4 Assistance from HOD
9.5 Retrenchment Procedure
10. COMPENSATION POLICY
11. POLICY FOR TEMPORARY EMPLOYEES
11.1 Introduction
11.2 Appointment ..
11.2.3 Terms of Service .
11.4 Short Term Consultants .
12. HEALTH AND SAFETY POLICY
12.1 Introduction
12.2 Objectives ..
12.3 Security ..
12.4 First Aid .
12.5 Visitors
12.6 Smoking ..
12.7 Emergencies
12.8 Office Services
13. STAFF MOVEMENTS
13.1 Transfers .
13.2 Out of Station Travel on Official Duty
13.3 Overseas Trips .
13.4 Travel Advances .
13.5 Reimbursement of Expenses
15. SUCCESION PLAN POLICY
15.1 Introduction . .
15.2 Objectives
15.3Procedure ..
Appendices
Appendix 1: Contract of Employment
Appendix 2: Employment Authorization Form
Appendix 3: Employee Personal Data Form
Appendix 4: Supply upward Feedback for Employees
Appendix 5: Supply upward Feedback for Supervisors
Appendix 6: Study Loan Application Form
Appendix 7: Complaint Form
Appendix 8: Notice of Disciplinary Hearing
Appendix 9: Grievance Form
Appendix 10: Field Travel and Authorisation Form
Appendix 11: Overseas Travel Form
Appendix 12: Reconcile Travel and Related costs
1. CONDITIONS OF SERVICE POLICY
1.1 Contract of Employment
A Contract of Employment stipulating all the conditions of employment shall be signed by all employees on the first day of employment.
1.2 Working Hours The workweek comprises a minimum of 40 hours, beginning Monday and ending Friday of each week. The official working hours are form 8h00am to 17h00pm with one hour brake between 13h00 and 14h00 for lunch. Each employee is required to put in at least eight hours per day. However the nature of work may require some variation and extension of these times.
The Chief Executive Officer or his/her delegate must approve any deviation from
these hours. Refer to Section 27 of the Labour Act, 1992 (Act 6 of 1992).
1.3 Duty Station
Duty station shall be stated in the letter of appointment and any transfer to other field offices shall be communicated in writing. The workstation for each member of staff shall be specified in the letter of appointment. Employees will however be required to report to the Head Office before proceeding to their place of posting. They shall meet their travel costs to Head Office while HOD shall meet the travel costs from Head Office to the place of posting.
Where the employee is to report straight to their workstation, the employee shall meet thetravel costs. Transfers are fully discussed in the policy for Staff Movements.
1.3 Confidentiality
All information related to HOD's operations or future endeavours, shall be treated with udmost confidentiality.
2. RECRUITMENT AND SELECTION POLICY
2.1 Introduction
Recruitment and Selection aim to search and hire suitable candidate to fill vacancies in SBCGT
with the view to satisfying human resources needs. The search may be internal and/or external.
Any position within SBCGT that become vacant will be filled, on completion of a requisition
form by the immediate supervisor. Restructured on newly created positions will only be
activated upon approval from the board.
The success and adaptability of a Company depends upon the recruitment of employees who
are flexible, adaptable and committed to the success of the SBCGT.
2.2 Objectives
This section aims to promote and maintain high standards of professional recruitment practice
by encouraging recruiters to adhere to best practices.
Its purposes are to:
a) Ensure that recruitment is considered an essential part of the human resource
b) Strategy and consequently an integral part of the overall business strategy;
c) Ensure and explain best practice for all types of recruitment;
d) Maintain professional standards whether recruits are easy to find;
e) Ensure that equality of opportunity is considered an integral part of good
recruitment practices and procedure;
2.3 Recruitment Authorization Procedure
Authorisation
All authorisation procedure detailed below must be completed prior to the commencement on
any recruitment procedure.
a) Prior to the employment of any employee the Employment Authorisation Form
(Appendix 2) must be completed.
b) The employment of all individuals for budgeted positions within SBCGT must
be authorised by the Department Head and Chief Executive Officer.
c) Employment of Personnel to the position of Manager of Departments will
require the authorisation of the Chief Executive Officer.
Procedure
a) The Department Manager will complete the Employment Authorisation form.
b) The Department Manager is responsible to ensure correct authorization
procedures have been complied with.
c) The Department Head will provide the Human Resources Officer with a fully
authorised Employment Authority Form and instruct commencement of
Recruitment.
d) The Human Resources Officer will control that the correct authorisation has
been obtained. When all is in order they shall commence the recruitment
process.
2.4 Newly Created or Restructured Positions
Authority shall be vested in the Board to consider request for the activation of a newly
created or restructured position.
a) Activation of a position shall be allowed by the submission of an Employment
Authorisation Form by the Department Manager to the Human Resources
Officer.
b) Once the need to fill a vacancy has been identified, the Department Manager
will submit a motivated recommendation to the Board for the activation of the
position.
c) Internal Advertisements shall be sent via e-mail or other means to all employees
by the Human Resources Officer, while external advertisements shall be placed
in specified local newspapers.
2.5 Employment Procedure
a) The Human Resources Officer shall receive all applications for employment and
shall acknowledge receipt thereof in writing. All applicants for employment
shall be addressed to the Human Resources Officer.
b) The Human Resources Officer shall sort all applications that meet the minimum
appointment requirements as advertised, and then forward these applications to
the Department Manager concerned, together with a full list of all applications
received.
c) The Department Manager, in consultation with the Human Resources Officer,
shall draw up the shortlist of candidates for interviewing.
d) The Human Resources Officer shall invite the short listed candidates for
interviews, and will ultimately make a recommendation to the Chief Executive
Officer for appointment.
e) SBCGT shall bear subsistence and travel and travel expenses of short listed
candidates from places other than the duty station. A summary of the interviews
shall be prepared by the Human Resources Officer and kept for record purposes.
f) The Human Resources Officer shall ensure that Reference Check on shortlist
candidates is done, and then the employment offer in consultation with the
relevant Department Manager to the selected candidate which upon acceptance
shall be followed by an appointment letter signed by the Chief Executive
Officer or his/her delegate. Once the selected candidate has accepted the
employment offer, the Human Resources Officer shall send regret letters to all
the unsuccessful candidates.
2.6 Employment Interview Panel
The Employment Interview Panel shall be provided with the ground rules of and procedures
for interviewing (by the Human Resources Officer) prior to the actual commencement of
interviews.
The Panel shall consist of the following persons:
a) The Department Manager concerned
b) The Human Resources Officer
c) For Management Positions the CEO as well as a selected Board Member shall
attend
2.7 Age
SBCGT shall, in terms of section 42(b) of the Labour Act 1992 Act 6 of 1992), not
employ any person under the age of (16) years.
Applicants of sixty (60) years and older can only be appointed on approval by the Chief
Executive Officer or by the Board. Employees so appointed can only be appointed can only
be appointed in a temporary capacity, and such cannot become members of the pension Fund.
2.8 Appointment
All staff will be appointed by the SBCGT Board of Trustees or as delegated
Letters of Appointment: The formal letter of appointment will bear the signature of the Chief
Executive Officer or as delegated. The letter shall require the signature of the appointee before
the appointment is considered effective.
Job Description: On appointment, an employee shall be given a job description. This shall
specify the scope and terms of reference for their position. Each member of staff is expected to
devote their time and attention to their work and not engage in activities that may conflict with
SBCGTs interests or negatively affect their performance. Job Descriptions shall be reviewed
yearly.
Probation: Any appointment made on SBCGT shall be subject to a probation period as
specified in the letter of appointment. One month towards the end of the probation period,
employees immediate supervisor shall make an appraisal report recommending a confirmation
or termination of the employees services. Where necessary, the probation period may be
extended as considered necessary by SBCGT. An employee who is on probation may have his
appointment terminated at any time without notice. In the event of such termination, the
employee is paid for the period worked up to the time of termination
Confirmation of appointment. On recommendation from the immediate supervisor, the Chief
Executive Officer shall in writing, confirm the appointment
Duration of employment: Unless otherwise stated, employment for all staff shall be on
permanent basis subject to satisfactory completion of the probation period and availability of
funds.
2.9 Personal Data
On acceptance of an appointment, the new staff member is required to complete the Employee
Personal Data form - (See Appendix 3). New employees must also furnish SBCGT with a
declaration of dependants, that is spouse and own children; next of kin and provide
photocopies of certificates and other testimonials.
Any changes in personal status shall be reported promptly to the Human Resources Officer by
completing a fresh Personal Data Form. Staff records and related correspondence shall be
treated confidentially at all times.
2.11 Induction
All new staff shall undergo induction training to assist them in the process of becoming
integrated to the institution within the shortest time possible. The respective immediate
supervisor in collaboration with the HR Officer shall conduct induction training. See checklist
for induction as Annexure:
3. PERFORMANCE MANAGEMENT
3.1 Introduction
Decisions concerning career development, promotion, succession planning and compensation
depend on information provided through effective performance management. The new SBCGT
will therefore ensure that all new employees understand the requirements of their jobs as well
as the expected results. The actual assessment of how well they have done will be undertaken
at the end of each year through a comprehensive appraisal of their performance in relation to
these expectations.
3.2 Objectives
Staff appraisal is often viewed as a punitive measure where most junior staff looks it as a time
when their seniors would get even with them for whatever reason. SBCGT will therefore seek
first to promote a healthy understanding of this process in terms of being an avenue to promote
dialogue between staff and management as well as a system through which specific needs of
staff are identified and brought into the limelight. Specifically, the appraisal process at SBCGT
will be undertaken to:
a) review performance of the staff against assigned tasks and responsibility
b) identify the areas of weaknesses and provide positive feedback to the staff on
their individual and team performance;
c) identify the areas of strength in each staff
d) identify staff who can be developed to take up increased responsibilities
e) identify the staff training needs
f) create a basis for rewarding superior performance
g) plan for the following year
3.3 Responsibilities of Managers/Supervisors
Managers/Supervisors are responsible for conducting substantive discussions and taking
conclusive performance-related actions. These actions include selecting or
a) developing performance plans,
b) communicating outcomes and expectations to employees,
c) establishing employees' development plans,
d) providing performance-related feedback to employees at prescribed intervals,
e) preparing end-of-cycle summaries,
f) and discussing the summaries with employees.
3.4 The Performance Management Process:
3.4.1 Performance Planning
3.4.2 Monitoring
3.4.3 Performance Summary
3.4.4 Recognition
3.4.1 PERFORMANCE PLANNING:
A Performance Plan is a written document between an employee (or team) and his or her
manager. The performance plan describes what has to be done during the performance cycle,
how well it has to be done, and how the accomplishment will be measured. This part of the
plan is based primarily on the goals of SBCGT and the employee's job description
Performance Management shall be a continuous process with the following timeframes
attached:
OCTOBER
Performance Summary from previous year
a) Supervisor provides a consolidation of employee accomplishments throughout
the performance cycle, synopsis of formal feedback received during the
performance cycle, and highlights of developmental activities undertaken during
the period.
b) Employee provides a self-assessment of accomplishments
(outcomes/expectations and developmental activities) completed during the
performance cycle.
Description of Actual Performance
Major Accomplishments - Identify the most important accomplishments
achieved during this performance cycle that applies directly to you position.
Other Accomplishments - Identify other accomplishments achieved during
this performance cycle.
Performance Plan jointly developed for upcoming year
a) Supervisor provides work assigned to Department, work assigned to employee,
goals/objectives for Department (cascaded down from organizational goals),
and any other needs for accomplishment of departments goals/objectives.
b) Employee provides own objectives for accomplishment of SBCGT/Departments
goals/objectives and individual developmental needs, if any, for upcoming
performance cycle.
c) Required resources to accomplish the assigned work and objectives that are
identified within the jointly developed performance plan.
DECEMBER
Check-in meeting (Requested by employee)
a) Check the performance plan for reasonableness against the plan based on 3
months experience, modify if necessary
b) Employee informs supervisor of resource needs, if any, required to accomplish
agreed upon performance plan
Examples: Skill set; time; equipment etc.
APRIL
Mid cycle meeting
a) Formal feedback session
b) Employees provide self assessment to supplement supervisors' assessment
JULY
a) Employees supply upward feedback, through an anonymous automated system,
which goes directly to the supervisor. Form to be completed attached as
Annexure
b) Supervisors supply upward feedback to their managers through an automated
system, anonymity determined by supervisors. Form to be completed attached
as Annexure
Requirements for Temporary Positions: A performance plan should be established in all
cases where the duration of the temporary employee is uncertain. A new performance plan
must be established when a an employee is scheduled to work for 90 days or longer.
3.4.2 MONITORING
Monitoring is the process of making accurate and objective performance observations based on
the outcomes and expectations contained in an employee's performance plan. In addition, the
manager will provide timely feedback throughout the performance cycle to encourage
employees to maximize their performance. Performance observations will be provided from
multiple sources.
Employee's role: Provide self-evaluation twice per performance cycle, and provide upward
feedback once during the performance cycle. If applicable, provide performance input as a
peer, customer, or key members of cross functional teams/interface groups.
Manager's role: Collect data, provide feedback, make performance observations, document
results, and manage overall process.
Application to teams: When using this process in a team setting, the following need to be
considered:
a) Team has a strong peer input feedback mechanism in place.
b) Each team member must be willing to supply self-evaluation of the team's
performance.
Managing unacceptable performance: If at any time during the performance cycle the
employee is not performing to the level agreed upon in the performance plan, the employee is
placed into an opportunity to demonstrate performance, or any other applicable performance
improving tool in an attempt to bring the employee's performance up to an acceptable level.
3.4.3 PERFORMANCE SUMMARY
The performance summary is a consolidation, discussion, and acknowledgement of employee
accomplishments and effectiveness throughout the performance cycle.
a) Provides an assessment of actual achievements based on the outcomes and
expectations contained in the performance plan.
b) Includes a synopsis of formal feedback received during the performance cycle.
c) Contains highlights of developmental activities undertaken during the period.
The performance summary represents the review of record for the performance cycle.
Purpose:
Performance summaries may be used for:
a) Identifying developmental needs.
b) Determining compliance with the agreed upon performance plan.
c) Analyzing individual [or team] performance.
d) Basis for individual recognition.
e) Basis for team acknowledgement/recognition.
f) A point of consolidation of feedback from the performance cycle.
Performance summaries may not be used for:
a) Merit promotion eligibility.
b) Reduction in force.
c) Automatic triggers for increases to base pay and/or cash awards.
Frequency: Typically the performance summary is an annual process of documentation and
discussion between a manager and an employee. This discussion shall occur within 30 days
from the end of the performance cycle.
There are several conditions under which a performance summary may occur more frequently.
They include instances where
a) the performance plan represents a cycle shorter than a year.
b) the performance plan changes significantly during the year.
c) an employee transfers to another job, department, section, team, division, etc.
d) an employee is on a temporarily for a minimum of 90 days.
e) an employees manager transfers to another job within the or leave the SBCGT.
Time under performance plan: An employee must be in his or her current performance plan
for 90 days to receive a performance summary. This 90-day requirement also applies to details.
If a performance cycle includes a detail of 90 days or greater, the performance summary for the
performance cycle may include the performance summary for the detail period.
Documentation: A narrative discussion of the individual performance compared to the
outcome(s)/expectations(s) as spelled out in the performance plan. The summary is a narrative
describing employee accomplishments of the agreed upon outcomes/expectations in the
performance plan. The relationship of the narrative and the plan represents the employees'
annual performance review.
Recordkeeping requirements: The performance summary of record shall be maintained in the
Personnel File.
Relationship to performance based pay systems: The performance summary may be used as
a factor in determining eligibility for a pay increase in a performance based pay system.
Application to Teams: Teams can receive performance summaries; however, the
accomplishments of a team cannot be a primary or secondary outcome of an individual's
performance plan. Additionally, a team performance summary does not eliminate the
requirement for an individual performance summary.
Requirements for departing/transferring managers: A departing/transferring manager
should provide a performance summary for each of his or her employees before leaving. In a
situation where a manager leaves his or her position within the last 90 days of a performance
cycle, the departing/transferring manager should close out the current performance cycle by
completing and providing a performance summary for each of his or her employees. As a
result, the new performance cycle may cover up to 15 months.
3.4.4 RECOGNITION
A means of acknowledging employees for sustained outstanding performance/service and
providing incentives to continue provide outstanding performance/service. Recognition should
be linked to performance outcomes. For example, employees should be recognized/rewarded
for being results-oriented and customer-focused. Other contributing factors could be increased
morale, contribution to team cohesiveness, contribution to the success of the performance
management process, etc. Recognition does not necessarily have to be linked to a bonus
system, but can be for e.g.; time off, chance to attend conferences of choice etc.
COMPLIANCE: At an appropriate time during the performance cycle, upward feedback will
be used to assess manager compliance in supplying performance feedback based on the agreed
upon outcomes/expectations found within the managerial performance plan. Since the feedback
is for self-development, it shall be confidential between the employee and his or her manager.
4. TRAINING AND DEVELOPMENT POLICY
4.1 Introduction
SBCGT strongly believes that a well-trained and efficient workforce is crucial for the
development of any institution. As such, SBCGT will always strive to attract and retain
employees of the highest caliber.
To achieve this, SBCGT will recruit all levels of staff strictly on merit. After their engagement,
the trust will further provide them with opportunities to advance skills and professional
expertise as well as give them adequate exposure.
4.2 Objectives
The objectives of the Training and Development Policy are to:
a) Explicitly communicate the commitment of SBCGTs Board Members, Chief
Executive Officer, and Management to the training and development of all
employees, primarily customised to suit the business philosophy, mission,
vision, and Business Plan;
b) Ensure that training and development are offered to employees of SBCGT
c) Recognise the fact that training and development can only take place when
matching resources are properly planned and budgeted for and be utilised
exclusively for training;
d) ensure that need-based training and development interventions are equitably
distributed to all categories of staff and at all levels of SBCGT, with particular
emphasis on the lower ranks;
e) Ensuring equal opportunity in training and development within all Department
of SBCGT.
f) Develop and maintain a pool of suitably qualified staff (technical,
administrative and professional) at SBCGT;
g) Ensure that provision is made for understudies to replace Non-Namibians at the
expiry of their contracts;
h) Create an environment that is conducive to self-development and career
advancement of staff members;
i) Provide financial and supportive assistance, within the confines of available
financial resources in terms of Study Loan Fund;
j) To contribute towards building a national pool of qualified and skilled
Namibians through the provision of Exchange Programmes.
4.3 Process and Criteria
SBCGT will as much as is possible handle staff training as an integral part of its institutional
development. It will endeavor to train its staff continuously and impart them with new skills,
through some of the following ways:
SBCGT shall from time to time identify training courses, seek funding, and identify staff
to attend such courses, which shall include exchange visits to relevant successful SME
organizations.
SBCGT will also encourage staff to pursue further training on their own, which it could
also support whenever there are funds available;
Professional staff such as certified accountants, economists, bankers, etc, shall be
encouraged to attend functions organized by their respective professional bodies.
Training or development programme shall only be offered after a through needs assessment by
the Human Resources Officer in consultation with the Department Managers.
SBCGT places a high premium on human resources training and development. Hence,
nominees are obliged to attend courses nominated for and agreed upon. Failure by a nominee
to attend a course amounts to misconduct and will be dealt with in accordance with the
Disciplinary Code.
In the event where a nominee cannot attend a particular course for one or the other reason, such
nominee should inform the Human Resources Officer in writing at least five working days
before the commencement of the course through his/her supervisor. Shorter notice through the
same procedure shall only apply in the event of unforeseen circumstances, such as illness,
death, unplanned leave, and the like.
Trainees shall be nominated by their respective immediate supervisors with relevance to their
Performance Plan, whereupon the Human Resources Officer will consider such nominations
for confirmation, or otherwise.
Employees who have been granted special leave to attend delegations and short courses within
and outside Namibia shall be required to submit brief reports thereon, within five (5) working
days upon return, to the Human Resources Officer through his/her supervisor who in turn will
recommend specific interventions to the Chief Executive Officer.
Any training identified by individuals shall also be considered. Where these activities are
deemed important by SBCGT, an equitable selection process of who shall attend the course
shall be made and SBCGT shall fully fund the activity subject to the following conditions:
The employee must submit a formal application to his supervisor;
The application shall be forwarded by the supervisor, with his/her recommendations
and comments to the Head of Department;
Approval will thereafter have to be obtained from the Human Resources Officer
The sequential process of the Human Resources Officer shall be to:
a) determine training and development needs that currently exist and projected
future needs threw ensuring that all employees have their own Individual
Development Plans which is to be developed by the immediate Supervisor with
Reference to Performance Plans;
b) select and write training and development objectives in order to determine and
sequence course contents per employee;
c) produce and procure suitable training and development programmes;
d) conduct training and/or co-ordinate training to be provided by others from
within or outside the SBCGT;
e) Specifically investigate opportunities for exchange visits with local and foreign
institutions involved in small and medium development or other professional
areas such as MIS, finance and SME research will be available whenever
possible.
Immediate Suppervisors shall be responsible for:
Individual Development Plans for all employees under their supervision, the relevant employee
shall be part of this process.
Obtaining a template from the HR Officer who will be of assistance during the process.
5. Leave Policy
Annual Leave
Annual leave is earned at the rate of 30 working
Sick Leave
Maternity Leave
Leave without Pay
Compassionate and Special Leave with pay
Official holidays
Study Leave
Religious Holidays
Absence without notice
6. DICIPLINARY CODE
6.1 Introduction
a) This document is an expression of SBCGTs policy on discipline and a guide to
all company employees.
b) Discipline is a system designed to promote orderly conduct.
c) Formal disciplinary action should be the final course of action in rectifying
employee behaviour.
d) Disciplinary action should be supported through investigation, reasonable
evidence of guilt and careful consideration of the circumstances of each case
before formal action is taken.
e) Disciplinary action should always be prompt, fair and firm.
f) While every attempt has been made to ensure that this Disciplinary Code is
applicable to general disciplinary instances in SBCGT, the requirement for use
of discretion within the framework of and in accordance with the spirit of the
code may be required.
g) A successful disciplinary system and climate is dependant on the good
judgement, understanding and consistent treatment of the parties involved in
disciplinary action.
6.2 Procedure and Documentation
6.2.1 Action of supervisor when an alleged offence has been committed or is reported to
have been committed
When an offence is alleged to have been committed, the Supervisor concerned will investigate
or have the matter investigated, and take any form of the following actions:
a) Dismiss the case;
b) Counsel the employee;
c) Give a verbal warning;
d) Give a recorded warning;
e) Initiate a formal disciplinary enquiry;
6.2.2 Informal disciplinary action
It is desirable for sound interpersonal relations within SBCGT that Supervisor where possible
resolves disciplinary matters by means of informal disciplinary action. Informal disciplinary
action can take the form of either a verbal warning or counselling.
An employee found to have committed an offence of a minor nature should be counselled by
the Supervisor, without an entry being made on the employees personal record. The
Supervisor may however, make a record of the counselling session to allow for an assessment
of the employees performance record, should this be necessary at the time, and with the
employees knowledge and understanding thereof, formulate a plan of corrective action.
During the counselling, the Supervisor should ensure that the employee is made aware of the
nature of the offence and the standard of the conduct or performance that will be expected in
the future.
6.2.3 Procedure for formal complaints
a) A supervisor handling a formal complaint must investigate the case with the
assistance of the Human Resources Officer, where possible, and ensure that the
relevant sections of the complaint form (Appendix 7) are correctly completed
within 48 hours of the offence having been committed or the supervisor having
been made aware of the fact that an offence has been committed.
b) A copy of the complaint form should be passed without delay to the Human
Resources Officer who will advise whether:
c) The accused should be suspended pending full investigation (if this has not
already been done);
d) Advise the supervisor on whether to continue with a formal complaint
e) The Complainant and the accused must provide names of all persons who
should be regarded as witnesses as their statements will assist in ensuring a fair
hearing of a case. Where possible, should there be witnesses who are nonemployees,
formal statements should be recorded from them as they may be
invited to attend the disciplinary hearing.
6.2.4 Disciplinary Inquiries
The Human Resources Officer will be responsible for the overall application of the code and
should where possible:
a) Advise and guide all participant on the Disciplinary Code;
b) Ensure that the code is applied fairly and consistently in all cases (procedurally
and substantively);
c) When all documentation pertinent to the matter has been collected, the Human
Resources Officer shall serve the papers on the accused and/or his/her
representative to allow the employee to fully prepare himself prior to the
hearing;
d) The Hearing Chairperson will hear the case within four full working days of the
complaint being lodged only when further investigate is required shall this
period be extended;
e) The Human Resources Officer will be responsible for arranging a suitable venue
and date for the inquiry, informing all the relevant parties; informing the
accused of his/her rights to representation; informing the accused of his/her
right to appeal against the decision and arranging for all relevant statements to
be taken.
f) The complainant shall be responsible to complete the Complaint form.
Attendance at the Inquiry
The following persons must be in attendance at any hearing inquiry:
a) Hearing Chairperson
b) Complainant
c) Alleged Offender (accused)
d) Representative of alleged offender (if requested by alleged offender)
e) Witness (as) (as and only when required for the duration of the testimony)
f) Human Resources Officer.
The Hearing/Inquiry
a) The accused should be given at least 48 hours notice in advance of the
disciplinary hearing (Notice for Disciplinary hearing see Appendix 8),
indicating the date, time and venue of the hearing. In addition, the responsible
person convening the hearing should advise the accused of his/her right of
representation.
b) In the event that the accused alleges that the Hearing Chairperson is implicated
in the case and therefore will not be unbiased, the accused may request the
appointment of an alternative Hearing Chairperson, giving a full motivation for
such a request. The decision whether to appoint another Hearing Chairperson or
not rests with the Human Resources Officer. Such requests shall however not
be unreasonable withheld.
Duties and Responsibilities of the Hearing Chairperson
The Hearing Chairperson shall be any employee on the same level as the direct supervisor of
the Complainant, but not the direct supervisor.
The Hearing Chairperson should not have been privileged to any information pertaining to the
inquiry prior to the inquiry.
Ideally the Chairperson of a disciplinary inquiry will be required to follow the guidelines
below when performing duties of a presiding official:
a) Introduce and identify all present, stipulate the purpose and format of
proceedings;
b) Ensure that the alleged offender has been given sufficient notification of the
inquiry, and that he/she has signed and acknowledged acceptance thereof.
Ensure that the alleged offender has understood his/her employee rights in this
regard;
c) Establish if witnesses are present and if so inform the hearing that they will be
excluded from proceedings once they have led evidence and have been cross
questioned;
d) Should it be established that the accused was not informed of his right to
representation or that the witnesses are not present, the Hearing Chairperson
will adjourn and reschedule the hearing for a later date;
e) Should the accused fail to attend the hearing, the Hearing Chairperson will
establish whether the accused was notified of the date, time and venue of the
hearing. It will be advisable to re-notify all parties to attend the disciplinary
hearing at a later date if notification was not given;
f) If the accused fails to attend a disciplinary hearing, the Hearing Chairperson
should in writing advise the accused of the date, time and venue of the hearing
and advise him that should he fail to attend, the hearing will proceed in his
absence;
g) Should the accused fail yet again to attend and if no prior notification for his
absence was given, he may be deemed to have waived his right to attend the
hearing. The Hearing Chairperson will then decide the case in absentia on the
facts available and the accused will be informed, in writing, of the outcome;
h) Having ascertained that the particulars on the complaint form are correct, the
Chairperson will inform the accused of the charge(s) against him/her, ascertain
his/her understanding thereof and the accused will be asked to plead on the
charges;
i) The accused should be permitted to make any further pertinent comments
should he/she wish to do so (whether or not he/she has already made a written
statement);
j) According to the plea entered by the accused, the Hearing Chairperson must
verify all facts and allegations by questioning the accused, Complainant and any
other parties in order to arrive at a decision. Only information provided in the
case documentation pertaining the charge in question and statements raised
during the inquiry will be used as facts pertaining to the disciplinary inquiry;
k) The Hearing Chairperson will allow the accused, with his/her representative, the
opportunity to express opinions on the case;
l) All witnesses should be called to give evidence and to have such evidence
examined by the hearing Chairperson, the Complainant and the accused and/or
the accusers representative;
m) If during the course of the hearing, the Hearing Chairperson finds it necessary to
obtain further information, the case should be adjourned to allow for further
investigation;
n) If the accused wishes further evidence to be submitted, this should be allowed,
provided that the Hearing Chairperson is of the opinion that such further
evidence could be of relevance;
o) Once the Hearing Chairperson is of the opinion that he/she has gathered
sufficient evidence surrounding the case, he/she should request any witness (as)
to leave the room;
p) At this stage the Hearing Chairperson may call for a recess during which he/she
may liase with the Human Resources Officer in order to obtain further advice
and information;
q) The Hearing Chairperson may call a recess at any stage of the proceedings and
may consider any call for a recess by any other party of the inquiry;
r) Once the Hearing Chairperson is satisfied that he/she is in a position to make a
decision on the guilt or innocence of the accused, he/she will reconvene the
inquiry and inform the accused and his/her representative of his/her findings.
The Complainant and Human Resources Official (where possible) should be
present when the decision of guilt or innocence is informed.
s) If it is the opinion of the Hearing Chairperson that the accused is not guilty, he
will inform him accordingly and the finding case dismissed will be entered on
the Complainant form and the employees disciplinary record will be cleared of
any reference to the case;
t) Where an employee is found guilty, the Hearing Chairperson will then take note
of the offenders record of service, disciplinary record, mitigating and
aggravating circumstances, seriousness of the offence, consistency of
application and any other circumstances he/she may deem necessary to
consider;
u) In all cases, current un-expired disciplinary warnings will be taken into account
when deciding on the appropriate action;
v) Depending on the nature and seriousness of the offence, the whole of the
employees disciplinary record may be considered;
w) The Hearing Chairperson will then record the penalty on the complaint form
and inform the offender of the penalty awarded in terms of Section 6.5 and the
reasons for arriving at the decision. The Hearing Chairperson will inform the
offender of the period for which the warning will remain on his/her record as a
valid entry. The Hearing Chairperson will also inform the offender of his/her
right to appeal in terms of Section 6.6 of this code;
x) With regard to corrective action, the Hearing Chairperson will, in liaison with
the immediate Supervisor, the employee and/or representative, and the Human
Resources Officer; formulate an action plan to address the required change in
behaviour. The employee will be required to assist in this process and make
proposals in this regard. The aim is to ensure that the process of correcting
unacceptable behaviour is addressed objectively and amicably;
y) Request the employee to acknowledge the disciplinary action proposed. Should
the employee opt not to sign, a witness should be requested to acknowledge that
the details of the inquiry have been communicated to the accused.
Recording of Proceedings
a) It is in the interest of SBCGT and the individual that all proven offences and
subsequent disciplinary action be accurately recorded.
b) The Chairperson will ensure that all other required administrative details on the
complaint form are completed before forwarding the document to the Human
Resources Officer for overall review and control.
c) Statements, Complainant forms and other disciplinary records will be retained
by the Human Resources Officer as these may be required even after an
employee has left SBCGTs services.
d) The Human Resources Officer will be responsible for the input of disciplinary
penalties on employees personal files.
6.3 Special Cases
Suspension
a) An employee may be suspended from work immediately if he/she has allegedly
committed or is allegedly involved in any one of the following offences:
Assault/attempted assault
Desertion
Sleeping on duty
Negligent loss, driving, damage or misuse of company property
Abuse of electronic/data facilities
Sexual Harassment
Fighting
Riotous Behaviour
Alcohol and drug offences
Wilful loss, damage or misuse of company property
Theft/Unauthorised possession of company property
Breach of Trust
Offences related to dishonesty
Offences related to Industrial Action
Any act or omission which intentionally endangers the health or safety
of others, or is likely to cause damage to Company property
Interference with disciplinary and/or grievance investigations
Abusive or provocative language (when it is likely to cause a
disturbance)
Insubordination (if the situation shows signs of getting out of control)
Persistent refusal to obey instructions.
In certain instances the Supervisor will recommend that the offender be
removed from the work place pending investigation of the case. He/she
will take immediate steps to report the matter to his/her immediate
Supervisor, who will raise the matter with the CEO. Irrespective of the
outcome, the employee will be paid for days he/she was suspended;
It is mandatory to liase with the Human Resources Officer prior to
suspending an employee in order to endure that the suspension is
procedurally and substantively fair.
Poor Work Performance
Cases involving substandard or deteriorating work performance are to treat differently from
those regarded as transgressions of misconduct.
The following guidelines should be considered when dealing with such cases. An attempt
should be made to resolve alleged poor work performance by means of counselling the
individual involved. Where poor the supervisor identifies work performance, the following
procedural action should be considered:
a) Investigate and identify the problem area(s)
b) Communicate this to the individual concerned, and jointly agree on the
appropriate plan of action in order to resolve the matter. If deemed necessary
and relevant, norms should be established by arranging appropriate task lists
and the time duration allowed for the completion of each task;
c) Consideration should be given to the appointment of a coach or mentor to assist
the employee to improve performance;
d) Accurately minute the agreed contents of any agreement put in place and
provide the Human Resources Officer with a copy for record keeping purposes;
e) Regular evaluation and follow up on the agreed plan of action should be made;
f) Should counseling fail to produce the desired improvement, alternative action
should be considered in liaison with the Human Resources Officer. Alternative
action could include, but is not limited to, termination of the employment
contract on the grounds of incapacity, demotion or a transfer to an alternative
position. The employee, throughout this process, will be entitled to
representation.
6.3 Offences outside normal working hours
SBCGT reserves the right to take any action it may deem appropriate against employees who
are, in the opinion of SBCGT, guilty of gross misconduct not merely in their working
situations. This is particularly so where the nature of the misconduct may affect the
employment relationship with any other party. Actions that directly relate to the nature of the
business are also liable for disciplinary action.
Court Actions
Where an employee has been criminally charged or legal action has been instituted for an
employment related breach, SBCGT reserves the right to take disciplinary action against the
employee for the alleged offence, in terms of this Code.
6.4 Classification of Offences:
Offences are classified into five major categories.
6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior
6.4.4 Offences related to dishonesty
6.4.5 Industrial Action
6.4.1 Absenteesim
Absenteeism in the disciplinary context means being absent from work for an entire working
shift, or part thereof, without the expressed permission from a direct supervisor.
A sanction of dismissal can apply for the first offence of being absent without permission
provided that the employee was absent for three continuous working days without a valid
reason.
a) Absent without leave;
b) Desertion: Leave the work place without intending ever to return; leave without
help or support; abandon; leave without authority or permission.
6.4.2 Offences related to Control at Work
a) Poor Time Keeping and related offences
a) Reporting late for work
b) Leaving work early
c) Extended or unauthorised breaks during working hours
d) Persistently committing all or any of the above.
b) Sleeping on duty
Any employee who is found asleep on duty, whether or not such an action constitutes a hazard
to the safety and health of the offender or others or leads to damage to Company property, shall
be deemed guilty of an offence.
c) Negligent Loss, Driving, Damage or Misuse of Company property
a) Negligent loss of Company property: any act whereby an employee, through
carelessness or negligence, loses Company property or is unable to account for
it satisfactorily.
b) Negligent driving; driving a company owned or rented vehicle without due care,
whether such an act results in an accident or not.
c) Negligent damage to Company property: any act whereby an employee through
carelessness or negligence causes or allows Company property to become
damaged.
d) Misuse of Company property: using Company property for a purpose other than
that for which it was intended.
d) Unsatisfactory Work Performance
a) Carelessness: Performance of a task or duty without the exercise of due care an
attention.
b) Negligence: failure to exercise proper care and regard to the manner of
discharging duty to the extent that tasks have to be repeated or equipment or
persons are at risk of damage or injury.
c) Inefficiency: failure to carry out work at the required standard or failure to
complete tasks within the given reasonable time limits, without reasonable
cause. This includes poor supervision.
d) Loafing: passing time idly or failing without reasonable cause to complete tasks
set.
6.4.3 Offences Related to Indiscipline or disorderly behavior.
a) Disobedience and related offences
a) Refusing to obey an instruction: deliberate refusal to carry out a lawful and/or
reasonable instruction given by a person in authority and within the area of his
jurisdiction.
b) Failing to obey an instruction: failure to obey a lawful instruction given by a
person in authority and within the framework of his/her jurisdiction.
c) None-compliance with established procedure / standing instructions: failure to
follow establish procedures.
d) Abuse of electronic / Data facilities: excessive use / abuse of e-mail and
communication facilities; storage and/or transmission of material of
discriminatory nature; storage and/or transmission of pornographic material;
unauthorised monitoring and interception of electronic documentation.
6.4.3.1 Abuse and related offences
a) Abusive Language:
The uttering of any words or the publication of any writing expressing or showing hatred,
ridicule or contempt for any person or group of persons.
The offence I more serious when it is wholly or mainly because of his/her/their nationality,
race, colour, ethnic origin, sex, marital status, religion, creed, political opinion, social or
economic status, degree of physical or mental ability, sexual orientation or culture.
b) Insubordination:
Insolence towards a superior shown by action or words.
6.4.3.2 Disorderly behaviour and related offences
a) Disorderly behaviour:
Indulging in rough or unruly behaviour or practical jokes whether or not such behaviour
endangers the safety or health of others or the smooth running of the work place.
b) Threatening violence:
Threatening to do physical injury to any other person.
c) Fighting:
Physical contact between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
d) Riotous behaviour:
Unruly behaviour between two or more persons, engaging in or inciting a group of persons to
indulge in disorderly behaviour or wilfully to damage Company property.
e) Sexual Harassment:
Any unwanted or unwelcome sexual advances, requests for sexual favours and other verbal or
physical conduct of a sexual nature when submission to or rejection of this conduct explicitly
or implicitly affects an individuals employment, causes unreasonable interference with an
individuals work performance or creates an intimidating, hostile or offensive work
environment.
f) Discrimination:
Any act whereby an employee discriminates against any other employee or group of employees
on the grounds of nationality, race, colour, ethnic origin, sex, marital status, religion, creed,
political opinion, social or economic status, degree of physical or mental ability, sexual
orientation or culture.
Willful loss, damage or misuse of Company property
Willful loss: any act whereby an employee willfully or deliberately loses or causes Company
property to be lost.
Willful damage: any act whereby an employee willfully or deliberately damages, or allows or
causes damage to Company property.
Willful misuse: any act whereby an employee willfully or deliberately misuses Company
property.
6.4.5 Offences Related to Dishonesty
Disciplinary cases involving the following offences must be reported to the Human Resources
Officer.
Bribery or Corruption
Giving or receiving or attempting to give or receive any bribe or inducing or attempting to
induce any person to perform any corrupt act.
False Evidence
Deliberately giving untrue, erroneous or misleading information or testimony whether
verbally or in writing.
Forgery and uttering
Falsifying or changing any documentation with fraudulent intent or attempting to do so.
Uttering or attempting to utter fraudulent or false statements or documents.
Misappropriation
Applying or attempting to apply to a wrong use or for any unauthorised purpose, any funds,
assets or property belonging to SBCGT.
Theft of or unauthorised possession of Company property
Stealing or attempting to deprive SBCGT permanently of its rightful ownership.
Being in possession or disposing of Company property without due authorisation.
Fraud
The unlawful making of a misrepresentation with intent to defraud, which causes actual or
potential prejudice to another party.
Breach of Trust
Actions or conduct of an employee that cause a reasonable suspicion of dishonesty or mistrust
and for which there exist extraneous evidence to prove a breakdown in the relationship of trust
between the concerned employee and SBCGT. This will include a situation where the conduct
of the employee has created mistrust, which is counterproductive to SBCGTs commercial
activities or to the public interest, thereby making the continued employment relationship an
intolerable one.
6.4.5 Industrial Action
Intimidation
Any act by an employee, whether by himself or in concert with other persons (whether or not
such other persons are employees of SBCGT), to intimidate any employee with the object of
compelling him to take part in any strike or other action which interferes with the normal
operations of SBCGT. Intimidation is an offence even if all the procedures for the settlement
of the industrial disputes and grievances and the Law have been exhausted.
Sabotage
Any deliberate action by an employee that results in the interference with the normal
operations of SBCGT by damaging any machinery, or equipment or by interrupting any
supplies of power, or services necessary to the operations.
Illegal Strike/Lockouts
Participation in any illegal strike action, lockouts, boycott or any other form of work disruption
not in accordance with the applicable statute that constitutions a blatant refusal to work.
Examples of such action include, inter alia, work-to-rule: overtime ban; go-slow.
Any disciplinary matter referred to in this subsection will not preclude SBCGT from exercising
its common law rights to terminate the employment contract in the case of illegal industrial
action.
6.5 Penalties
Classification of Penalties:
6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning
6.5.5 Dismissal
6.5.6 Demotion
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal
6.5.1 Verbal Warning
Any supervisor may, at any time and at his discretion, reprimand an employee without
completing a complaint form, in which case there will be no entry made on the
employees disciplinary record. When a verbal warning if given, the supervisor must
ensure that the employee being reprimanded is made aware of the existence and
function of the Disciplinary Code. A verbal warning is usually issued where the
offence is of a minor nature.
6.5.2 Recorded Warning
Application: This may be given for a repetition of an offence for which an unrecorded
warning has been given, or it may be given for a first offence.
Validity Period: The employee must be informed that the warning will remain in force
for a period of six months.
6.5.3 Severe Warning
Application: Given for a repetition of the same offence or similar offence during a
period when a recorded warning is still in effect, or for a first offence of a more serious
nature.
Validity Period: The employee must be informed that the warning will remain in force
for a period of nine months.
6.5.4 Final Warning
Application: Given for a repetition of the same offence or a similar offence during a
period when a severe warning is still in effect or depending on the nature thereof, for a
first offence of a serious nature. In the case of an employee being found guilty of an
offence of a dissimilar nature within the prescribed period, the hearing official may, at
his discretion, issue a comprehensive final warning on the understanding that if any
offence is committed within the next 12 months, it will render him liable for dismissal.
Validity Period: A final warning is effective for a period of twelve months. The
employee is advised in writing by the official hearing the case of the period applicable
and reminded that a repetition of the offence or the committing of any similar serous
offence within the prescribed period will render him liable for dismissal. A copy of the
notice shall be forwarded to the Human Resources Department.
6.5.5 Dismissal
Application: Dismissal is the final sanction and should be used:
when other forms of disciplinary action have failed;
when an employee on a final warning commits a serous offence;
when the offence committed is of such a serious nature that it amounts to a
serous breach or repudiation of the employees contractual obligations;
in cases relating to dishonesty e.g. theft, fraud or corruption;
in the case of any employee who is absent from work without permission for
a period of three continuous working days or more. In this case the
employee will be dismissed in absentia after the third day if no reason for
such absence is receive. Should the employee return to work after he has
already been dismissed, he may request that the case be re-opened?
Once an employee has been dismissed in accordance with the procedure contained in
this Code, under no circumstances will he be considered for re-employment should he
re-apply at a later stage. If it is discovered that a dismissed employee has obtained reemployment
with SBCGT either inadvertently or through deception, his services will
be terminated immediately.
6.5.6 Demotion
Demotion is not an acceptable corrective action and is therefore, not used as a
punishment for a specific offence. It is used only where the employee is unable to meet
the requirements of his present job but is suitable for continued employment in a lower
capacity.
6.5.7 Transfer
Transfer is not permitted as a tool for disciplining employees. A transfer shall only be
effective in terms of SBCGTs Conditions of Employment and Service. Transfer, as
the result of the outcome of a disciplinary action, will be considered in special
circumstances.
6.5.8 Alternative Penalty to Dismissal
A comprehensive final warning may be considered at the discretion of the Hearing
Chairperson as an alternative penalty to dismissal in instances where an employee is
found guilty of an offence of a dissimilar nature to a valid final warning on his personal
record.
The sanctioning of a comprehensive final warning will only be considered in
circumstances warranting corrective action and liaison between the Hearing
Chairperson and the Human Resources Officer is encouraged before such a penalty is
imposed.
A comprehensive final warning will be valid for twelve months from the date of the
imposed penalty.
The Role of the HR Officer
The maintenance of workplace discipline is strictly a function of line management. Human
Resources Officer should be available to assist line management where required. As far as
possible, the Human Resources Officer should, in consultation with the official chairing
hearing, ensure that disciplinary action taken is procedurally and substantively fair.
The Human Resources Officer should be available to advise and assist all employees on all
disciplinary matters.
The Human Resources Officer must not impose penalties, nor hear appeals in respect of own
subordinates or immediate Supervisors.
The Human Resources Officer is responsible for:
Ensuring that the complaint form properly identifies the offence and is otherwise
correctly completed
Ensuring that the alleged offender is aware of the charges against him/her
Interviewing and taking statements from the Complainant, accused and any witness
Investigating the domestic circumstances of the alleged offender, when necessary
Ensuring that all facts are collated marshalled and presented without bias.
Advising the Complainant, accused, witness (as) and representative of their roles
and rights
Ensuring that documentation pertaining to the hearing is forwarded to the
appropriate officials
Advising the accused and his representatives of progress made for cases that are
pending or in recess.
The Human Resources Officer may at his/her discretion recommend that a concluded
disciplinary case be reopened in instances where gross non-compliance to the Disciplinary
Code is evident.
The Role of the Representative
Any employee, against whom formal disciplinary proceedings are held may at his request, be
accompanied at the initial and any subsequent hearing by a colleague from the same working
section, or in the case of an employee who is represented by a properly constituted consultative
committee, by a member of such a committee. An employee who is a Union member may be
represented by the appropriate Part-time or Full-time Shop Steward, in accordance with the
provisions of the Recognition and Procedural Agreement between SBCGT and Union. Legal
representation or representation by non-Company persons during internal Company enquiries
is not permitted.
The representative has no right to insist on the employee being accompanied if he does not
wish it; that is, a representative will attend a disciplinary hearing only at the request of the
employee. He will be invited to comment on the evidence.
The representative may ask question and cross-question during the disciplinary hearing, but
may not give evidence during such hearings.
The representative may make submissions to the hearing official on the guilt or otherwise of
the accused prior to the hearing official making his finding. He may also make submissions to
the hearing officials on the mitigating factors to be considered and on the penalty to be
imposed.
Should the representatives comments at the hearing be of such a nature as to warrant reconsideration
of certain matters or further investigations, time should be allowed for this and, if
necessary, the enquiry recessed.
6.5.9 Dismissal Procedure
a) A direct Department Manager may recommend that an employee be dismissed.
b) For the purpose of the dismissal procedure, a direct Department Manager is
defined as an employee graded D-lower or above who has a supervisory link to
the employee concerned.
c) Following a disciplinary hearing outcome being advised to the employee who
results in the recommendation for a dismissal and the employee accepts the
recommendation; the Hearing Official will refer the case documentation for
review to the relevant Manager for the department concerned.
d) The relevant Manager will endeavor to review the case within forty-eight
hours/two working days and endorse or reject the recommendation.
e) If the recommendation for dismissal is endorsed, the hearing official shall refer
the recommendation to the Human Resources Officer who will review the case
with the relevant Head of Department.
f) If the recommendation for dismissal is rejected, the case shall be referred to the
Human R
From India, Visakhapatnam
Kindly click on the following link, it will give you some required information,
https://www.citehr.com/search_new.ph...TION&submit=Go
From India, Coimbatore
https://www.citehr.com/search_new.ph...TION&submit=Go
From India, Coimbatore
Community Support and Knowledge-base on business, career and organisational prospects and issues - Register and Log In to CiteHR and post your query, download formats and be part of a fostered community of professionals.
HR Policies and their implementation in factories.pdf
Aligning HR Policies to Business Objectives.ppt