DICIPLINARY CODE AND PROCEDURE
INTRODUCTION
This policy sets out the disciplinary code and procedures for all individuals employed
by (Name of business) and follows the guidelines laid down in the Code of Good
Practice Schedule 8 of the Labour Relations Act No. 66 1995.
POLICY STATEMENT
The key principle of this policy is that employers and employees should treat one
another with mutual respect. A premium is placed on both employment justice and
the efficient operation of the Company. While employees should be protected from
arbitrary action, employers are entitled to satisfactory conduct and work
performance from employees.
The policy is designed to help and encourage employees to achieve and maintain
acceptable standards of conduct and job performance. It is based on the employer
and the employees working in partnership to achieve mutually agreed objectives.
This procedure applies to all employees with the aim of ensuring fair and consistent
treatment for all.
If required, the Company reserves the right to invoke any stage of the disciplinary
procedure as appropriate, without having carried out an earlier stage.
DEFINITIONS
INFORMAL DISCUSSION OR REPRIMAND
On the first occasion, minor problems will be dealt with by informal advice and
counselling. Such a counselling session may be recorded in the employee’s
personnel file, but will not form part of the formal disciplinary procedure.
Written Warning (Stage 1)
A written warning will be given if the conduct dealt with during an informal
discussion/reprimand persists, or if the offence is considered sufficiently serious to
warrant a written warning in the first instance.
The employee’s direct manager will issue the warning. This will give details of the
complaint, the improvement required and the time scale. It will warn that action
under stage 2 will be considered if there is no satisfactory improvement.
This warning will remain in the employee’s personnel file from the date of issue and
is valid for a period of 6 months.
Written Warning (Stage 2)
A second written warning can be issued for repeat offences which are not that
serious. Written warnings can be issued more than twice for the same offence
instead of going to a final written warning if the manager in question feels that the
offence is not that serious.
Final Written Warning (Stage 3)
A final written warning will be given in the following circumstances:
 If the employee has still failed to improve her performance/conduct even
after previous written warnings had been issued for the same offence.
 If the misconduct is sufficiently serious to warrant an immediate final
warning without previous offences.
 The misconduct is insufficiently serious to justify dismissal.
This warning will remain in the employee’s personnel file from the date of the issue
and is valid for a period of 12 months.
Dismissal (Stage 4)
Dismissal will occur under the following circumstances:
 If conduct or performance is still unsatisfactory and the employee still fails to
reach the prescribed standards.
 If the misconduct is sufficiently serious to warrant dismissal in the first
instance.
This can only be carried out after consultation/agreement with a Human Resources
Expert. The employee will undergo a formal disciplinary enquiry beforehand. During
the course of this enquiry the employee shall be afforded the opportunity to state
his/her case in response to the allegations made by the Company. The employee
shall, during the process of this enquiry, be entitled to reasonable time to prepare
his/her response and to the assistance of a trade union (where applicable) or fellow
employee.
If the outcome of the enquiry is dismissal, the employee is to be provided, as soon as
is reasonably practicable, with a written outcome detailing reasons for the dismissal,
the date on which their employment will terminate etc.
GROSS MISCONDUCT
If an act of gross misconduct is confirmed, the Company reserves the right to dismiss
the employee summarily without notice or other benefits. Following the prescribed
procedures, the employee may well be dismissed in accordance with Stage 4 of this
policy. (Note: always after a formal hearing)
NOTE: For a list of instances of gross misconduct and offences which can warrant
final warnings, please see the Company Code of Conduct.
Suspension
An employee may be formally suspended, with pay, during the investigation of an
incident if the Company feels that the employee might do more harm if allowed back
into the workplace.
Alternative to Dismissal
Alternatives to dismissal may be considered if appropriate. Such measures could
include demotion (either permanent or temporary) or the introduction of an agreed
trial period in which the employee is given a deadline in which to improve. Any
alternative must be confirmed and agreed to by the employee, in writing.
INCAPACITY: POOR WORKING PERFORMANCE
A newly hired employee may be placed on probation for a period that is reasonable
given the circumstances of the job. The period will be determined by the nature of
the job, and the time it takes to determine the employee’s suitability for continued
employment. When appropriate, the Company will give the employee whatever
evaluation, instruction, training, guidance or counselling the employee requires
rendering a satisfactory service. An employee may be dismissed during this
probation period after the necessary disciplinary enquiry into an alleged case of
misconduct or poor work performance.
DICIPLINARY ENQUIRY PREPARATION
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This process should be followed after an investigation when a disciplinary
enquiry is deemed necessary
The employee will be given at least (minimum) 2 working days’ notice (48 hours)
of the meeting to be confirmed in writing
The employee will be made aware of the following:
 The full nature of the complaint
 Where and when the enquiry will take place
 The right to be accompanied by a work colleague
 Employee is entitled to question witnesses called by the Company and to
call witnesses to support his/her case
 That if the employee wishes to obtain documentation or access to
witnesses this must be arranged with the Chairperson of the enquiry
The employee should also be informed who will be present at the enquiry. This
will usually be the appropriate HR manager along with the designated outside
chairperson
A chairperson will be appointed, usually the internal HR Manager, or a
designated outside HR Manager
The chairperson must not have been directly involved in the matter or be
involved in the investigation
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The chairperson of the disciplinary enquiry will be given a copy of the notification
given to the employee as well as all documentation which the HR manager
intends to utilise at the enquiry prior to the hearing
The HR manager will enquire from the employee whether any witnesses or
documentation are required by the employee and if so, such documentation
and/or witnesses be made available
The chairperson will keep minutes of the enquiry proceedings (not required to be
verbatim minutes)
The minutes will be made available to the employee on request
CONDUCTING THE DICIPLINARY ENQUIRY
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The chairperson will check that the employee is ready to proceed, make sure that
his/her witnesses are available, and check if an interpreter is needed
The Chairperson will read the charges to the employee
The employee will be asked to plead to the charges
The HR manager/ investigator will state the full facts emerging from the
investigation along with supporting evidence
The HR manager/ investigator will call any witnesses to support the Company’s
allegations
The employee or the employee’s representative should be allowed to question
the witnesses called by the Company (only one of them may conduct the
defence)
The employee should be allowed to lead evidence to answer the allegations and
to call witnesses to support his/her version of events
Both parties will then make their closing remarks
The chairperson should then adjourn the enquiry so that all circumstances can be
considered by the chairperson
The enquiry proceedings should be documented/recorded
Once a decision has been made, the enquiry should be reconvened. If possible,
this should be on the same day, but must be no later than 3 working days after
the original interview, unless agreed to by all parties.
The employee will be informed of the decision and afforded the opportunity to
place evidence in mitigation before the chairperson if he/she is found to be guilty
The HR manager/investigator will be afforded the opportunity to place evidence
of the employee’s disciplinary record and any aggravating circumstances before
the chairperson of the enquiry
Depending upon the complexity of the case, the disciplinary enquiry could then
be adjourned once more so that the chairperson can reach a decision with regard
to the sanction. In reaching a decision, consideration should be given to the
employee’s past record; whether this procedure points to the likely sanction;
action taken in previous cases; any mitigating circumstances; and whether the
proposed penalty is reasonable in all the circumstances.
Once a decision has been made, the enquiry should be reconvened. If possible
this should be on the same day, but it must be no later than 3 working days after
the original enquiry, unless agreed by all the parties.
The chairperson will inform the employee of the penalty
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If a warning is given, the employee should be informed of the stage at which the
warning is being given; the timescale within which improvement is expected;
how long the warning will last; the consequences of meeting/not meeting the
objectives set. It will be explained to the employee that they will receive formal
notification in writing
If dismissal is the outcome of the hearing, the employee will be told of his/her
right to refer the matter to the CCMA writing 30 days of the dismissal, as well as
being issued with all relevant documentation within a reasonable time.
POST-DICIPLINARY ENQUIRY ACTION
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Once the disciplinary process has been completed, the disciplinary action must
be confirmed to the employee in writing and a record kept of the meeting, to be
put on the employees’ file. Copy to be signed by all the employee and
chairperson.
Where a warning has been issued, the HR manager must ensure that it is issued
and signed, and then monitor the employee’s performance regularly and discuss
it with them.
Below is an indication of who would issue sanctions and at what stage
Type of Warning
Reprimand
Warning
nd
2 Written
Warning
Final written
Dismissal
1st Written
Given by
HR Manager
HR Manager
HR Manager
Right to be
accompanied
Yes
Yes
Yes
Recorded
Yes – 6 months
Yes – 6 months
Yes – 6 months
Right of
Appeal
No
No
No
Chairman
Chairman
Yes
Yes
Yes – 12 month
Yes
CCMA
CCMA
EMPLOYEE NAME: _________________________________________________
SIGNATURE: ________________________________________________________
DATE: ______________________________________________________________