DISCIPLINARY CODE AND PROCEDURE
1.
Maintenance of Discipline
1.1
The Management of the CSIR is responsible for the maintenance of discipline, the
promotion of stability, job security and the fair and equal treatment of all employees.
All levels of Management are therefore responsible for the maintenance of discipline.
1.2
Every allegation of misconduct in terms of the Conditions of Service must be
reported by the responsible staff member. Alleged misconduct will be subject to a
preliminary investigation, as more fully set out hereunder.
2.
Application
This document forms an integral part of these Conditions of Service dated 1 April 2002,
which applies to all employees and to each case where discipline must be applied.
3.
Purpose
The purpose of this document is to encourage disciplined conduct amongst all employees,
which will be to the advantage as well as for the safety of each individual. The Disciplinary
Code is intended to promote the CSIR’s Code of Conduct and to correct improper conduct of
employees.
4.
Minor Offences, Informal Counselling and Warnings
In so far as it is reasonably possible, Disciplinary Action will only be taken to maintain
standards after informal counselling and warnings have failed to produce the desired results.
5.
Reporting Misconduct
The reporting of misconduct and the investigation of allegations will occur as follows:
5.1
Alleged misconduct will be reported to the Human Resources Manager of the
relevant Business Unit where the employee suspected of misconduct is employed.
Reporting will be done in writing by the Supervisor of the relevant employee. The
Human Resources Manager will conduct an investigation and institute actions as set
out in Paragraph 6 of this document.
5.2
If a Human Resources Manager is suspected of misconduct, it will be reported to the
Human Resources Executive Vice-President who will then act as Human Resources
Manager for purposes of Disciplinary Action;
5.3
If the Head of a Business Unit is suspected of misconduct, it will be reported to the
President who will appoint an Executive Vice-President to take the actions
contemplated in Paragraph 6 of this document.
5.4
If an Executive Vice-President or the President is suspected of misconduct, it will be
reported to the Chairperson of the Board who will take the actions or appoint a Board
Member to take the actions as contemplated in Paragraph 6 of this document.
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6.
The Investigation
6.1
Consider the written report of alleged misconduct;
6.2
Written notification to the employee suspected of misconduct, informing him or her
of the reported alleged misconduct and that it is under investigation. This notification
should take place within 24 (twenty-four) hours of receiving the report or as soon as
possible thereafter;
6.3
During the investigation the relevant employee will not be required to answer any of
the allegations made against him or her or make any submissions to the persons
conducting the investigation;
6.4
Conducting interviews with witnesses, taking of witness declarations and collecting
of any documents and/or artefacts which may be used as evidence. If the evidence
shows that the source of the problem is a lack of knowledge, skill(s) or training, a
clash of personalities or a wrong placing of the employee, this Disciplinary Procedure
will not apply.
6.5
Deciding whether sufficient grounds exist for the institution of a Disciplinary
Hearing:
6.6
7.
if sufficient grounds for the institution of a Disciplinary Hearing does not
exist, written notification to the relevant employee and the person who
reported the alleged misconduct that no further action is considered;
6.5.2
if sufficient grounds for a Disciplinary Hearing exists, the referral of the
matter to the person responsible for appointing a Disciplinary Committee.
A recommendation to the Disciplinary Committee regarding the possible suspension
of the relevant employee, pending the outcome of the Disciplinary Hearing. Such
suspension can only be for a reasonable period during which the employee shall not
be entitled to attend work or represent the CSIR in any dealings but shall be entitled
to his or her normal salary and benefits.
Notice of Disciplinary Action and Preparation of Charges
7.1
An employee shall receive at least 7 (seven) working days’ written notice of the
Disciplinary Hearing. The notice should summarise the events or conduct in question
and must provide sufficient detail to enable the employee to prepare for the
Disciplinary Hearing. The notice shall remind the employee of his or her rights and
obligations.
7.2
8.
6.5.1
All alleged offences must be covered in clear and concise terms, and where and when
these were committed, stated. Sufficient detail must be given to enable the employee
to understand the charge.
Constitution and Appointment of Disciplinary Committees
8.1
A Disciplinary Hearing will be conducted by a Disciplinary Committee which will
consist of at least 2 but not more than 3 Members. At least 2 (two) Members of the
Disciplinary Committee will be of appropriate stature, and who have not been directly
involved in the events or conduct in question.
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9.
10.
11.
8.2
The Chairperson will be appointed by the Members of the Disciplinary Committee.
The Chairperson must be impartial and objective and must not have a vested interest
in the matter.
8.3
The Chairperson and all other Committee Members will be furnished with a copy of
the charges and all the statements of the witnesses to enable the Committee to prepare
for the Disciplinary Hearing.
8.4
"Appropriate stature" shall refer to experienced and/or qualified individuals in the
field of Human Resources and/or Legal procedures (respectively) and shall typically
involve a Human Resources Manager and a Legal Advisor of the CSIR.
8.5
In the event of Financial Misconduct, an additional Member shall be co-opted to the
Committee whom shall have a financial background and extensive experience in the
Internal Audit function of the CSIR, and be appointed for purposes thereof by the
Accounting Authority.
Disciplinary Committees will be appointed by:
9.1
In the event of a Hearing against an employee in a Business Unit, the relevant Head
of the Business Unit; should he or she decline on the basis of involvement, the
Industrial Relations Manager;
9.2
In the event of a Hearing against the Human Resources Manager of a Business Unit,
the Human Resources Executive Vice-President.
9.3
In the event of a Hearing against a Head of a Business Unit or an Executive VicePresident, the President;
9.4
In the event of the President, the Chairperson of the Board.
The Employee’s Rights
The employee may be represented by a co-employee or Union Representative who consents
to do this. Legal representation will be allowed with the consent of the Disciplinary
Committee. The employee and/or his or her representative will be permitted to question and
to challenge the testimony of each witness called to give evidence against him or her.
10.1
After all the witnesses supporting the allegations against the employee have given
their evidence the employee will be given an opportunity to give evidence, to call
witnesses in rebuttal and to respond to any comments by the Chairperson.
10.2
At the conclusion of the Disciplinary Hearing, the Chairperson should permit the
investigator and the employee and/or his or her representative to address him or her
on the question of whether or not the charges have been established.
Disciplinary Inquiries
11.1
The Disciplinary Hearing will be held as soon as possible after the alleged
contravention comes to the CSIR’s notice, provided that the employee will be
afforded a reasonable time to prepare for his or her defence.
11.2
Arrangements must be made for the accurate recording of the proceedings during the
Disciplinary Hearing.
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11.3
The Disciplinary Hearing should be held in a place that is removed from noise and
possible outside interference while the Disciplinary Hearing is in progress.
11.4
The employee should be present at the Disciplinary Hearing. If he or she does not
attend the Disciplinary Hearing, the Disciplinary Committee may decide to continue
with the Disciplinary Hearing in the absence of the employee or to reconvene the
Disciplinary Hearing for another occasion or time. Should the Disciplinary
Committee, based on information available, form the view that the employee is
avoiding attendance at the Disciplinary Hearing without sufficient reason, the
Disciplinary Hearing should proceed.
11.5
Evidence should first be led on behalf of the CSIR, whose evidence and submissions
should be presented by the Manager or Supervisor involved in the matter. The CSIR
must call witnesses necessary to support its allegations and the employee may
question these witnesses or evidence.
11.6
When the CSIR has completed its evidence and submissions, the Chairperson should
invite the employee to present his or her reply. The employee will similarly have the
right to call witnesses and produce evidence. The CSIR's representative may question
those witnesses or evidence.
11.7
If at any stage the Disciplinary Committee of the Disciplinary Hearing needs to ask
questions to clarify anything, they should do so. They should not, however, ask
questions in such a manner which may be construed as indicating any bias with
respect to the CSIR or the employee.
11.8
At the conclusion of all the evidence, the Disciplinary Committee should take time to
consider their decision and can adjourn the Disciplinary Hearing for that purpose.
11.9
The Disciplinary Committee shall first decide, on a balance of probabilities and
having due regard only to evidence at the Disciplinary Hearing, whether the
allegations against the employee have been substantiated. This decision should be
taken as soon as reasonably practicable.
11.10
If it was adjourned, the Disciplinary Hearing should be reconvened to inform the
employee of the Disciplinary Committee’s initial finding. If the finding is that the
employee is guilty of the allegations against him or her, the Disciplinary Committee
should ask the employee to state anything relevant to assessing the appropriate
penalty. This would include any factors that mitigate the blameworthiness of the
employee.
11.11
In deciding on a penalty the Disciplinary Committee is entitled to have regard to the
employee's work record or previous warnings relating to similar misconduct as well
as the cost and impact, if any, to the CSIR of the employee's misconduct. Warnings
for unrelated types of offences shall not be taken into account. Warnings more than 6
(six) months old should also be disregarded. In particularly serious cases, it may be
appropriate to dismiss an employee summarily.
11.12
The CSIR shall as far as practically possible act consistently in imposing similar
penalties where the circumstances and merits are similar.
11.13
The final decision and the reasons therefore should be recorded in writing and given
to the employee and his or her representative. The written decision should also set
out the consideration(s) that substantiate(s) the allegation(s) against the employee,
and the penalty.
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12.
11.14
The Chairperson will be responsible for collating and forwarding all documentation
to the Human Resources Manager of the relevant employee.
11.15
If it is found at a Disciplinary Hearing or Appeal that the allegations or conduct in
question have not been substantiated, but that other allegations or conduct may
warrant Disciplinary Action against the same employee, the CSIR may take such
Disciplinary Action by way of a further Disciplinary Hearing or otherwise.
Penalties
12.1
The Chairperson announces the penalty and gives his or her reasons for the decision
in the presence of the employee and his or her representative and explains the
consequences of the penalty to the employee.
12.2
Penalties that may be imposed for failure to maintain the CSIR’s standards or for
unsatisfactory and/or unacceptable behaviour:
12.2.1 dismiss the employee summarily or with such notice as is deemed expedient
under the circumstances;
12.2.2 dismiss an employee with pay in lieu of notice;
12.2.3 written warnings;
12.2.4 by agreement with the employee and as an alternative to dismissal suspend
the employee from service without pay for a maximum period of 14
(fourteen) days;
12.2.5 informal warning or reprimand an employee;
12.2.6 impose any other appropriate measure.
12.3
13.
The Disciplinary Committee may suspend the implementation of any one of the
measures set out above for a specified period.
Review of Hearing
13.1
An employee who has been disciplined in terms of the CSIR Conditions of Service
has the right to Appeal for Review to the President and/or any Member of the
Executive Board as approved by the President or in the case of a Member of the
Management Board to the Chairperson of the Board against the conviction and the
penalty, within 10 (ten) working days of receipt of notice of such penalty.
13.2
The Appeal referred to in Sub-Paragraph 13.1 above shall be noted in writing with the
Industrial Relations Manager of the CSIR and will clearly and concisely set forth the
grounds of Appeal and whether the verdict and the penalty, or only the penalty, is
appealed against.
13.3
The President and/or any Member of the Executive Management Board as approved
by the President shall request the Chairperson of the Disciplinary Committee to
furnish written reasons for the Committee's decision, which reasons will be furnished
within 10 (ten) working days from such request.
13.4
An employee who wishes to refer any dispute arising from a decision of a
Disciplinary Committee to the Council for Conciliation, Mediation and Arbitration
(CCMA) or to either a competent Labour Court or High Court by invoking the
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provisions of the Labour Relations Act, 1995 (Act No 66 of 1995), as amended, shall
only be able to do so after all the CSIR's internal remedies and/or procedures have
been exhausted.
14.
Recovery of Losses and Damage
14.1
An employee who has been ordered in terms of Section 17 of the Scientific and
Research Council Act, 1988 (Act No 46 of 1988), to pay an amount to the CSIR by
way of compensation may, within a period of 30 (thirty) days from the date of such
Order:
14.1.1 Appeal to the Chairperson of the Board in writing, stating the grounds or his
or her Appeal; or
14.1.2 apply to a competent Court for an Order setting aside such Order or reducing
such amount.
14.2
In the case of Sub-Paragraph 14.1.1 the Board may after further investigation, dismiss
the Appeal or Order that the appellant be exempted either completely or partially, as
the Board may consider fair and reasonable, from payment of such amount.
14.3
In the case of Sub-Paragraph 14.1.2, the Court may make an Order setting aside such
Order or reducing the amount, as the case may be, if it is not convinced that the Order
was rightly made or that the amount is correct.
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Flow Chart of Disciplinary Procedure
The alleged misconduct is
reported to the responsible
official
Written notification to the relevant
employee of the report of alleged
misconduct and investigation
(See Paragraph 5)
Full investigation into the report of
alleged misconduct to determine whether
sufficient grounds for a Disciplinary
Hearing exists (see Paragraph 6)
If sufficient grounds for Disciplinary
Inquiry do not exist: -
If sufficient grounds for a Disciplinary
Inquiry do exist, refer the matter to the
person who is responsible for appointing
a Disciplinary Committee
Written notification to relevant
employee and person who reported
the alleged misconduct
Relevant employee to be notified at least
7 (seven) working days’ in advance
Notification to the
relevant employee's
representative
Disciplinary Inquiry is appointed
Inquiry – the verdict (and penalty if
applicable) must be communicated to
the relevant employee (and his or her
representative) (see Paragraph 11)
Review of Disciplinary Inquiry –
If applicable
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