1.

DISCIPLINARY PROCEDURES

1.1 PROCEDURAL FAIRNESS

1. INCIDENT MUST BE DISPOSED OF AS SOON AS POSSIBLE.
2. PERIOD OF NOTICE – ANNEXURES A AND B.
3. IF NECESSARY ARRANGE FOR ASSISTANCE/WITNESSES.
4. ENSURE THAT DOCUMENTATION IS IN ORDER.
5. AVAILABILITY OF WITNESS, WHERE NECESSARY.
6. ADHERE TO PROCEDURE.
7. STATE ALLEGED INFRIGEMENT CLEARLY.
8. LISTEN TO EMPLOYEE’S VERSION.
9. TAKE SERVICE RECORD INTO CONSIDERATION.

1.2 SUBSTANTIVE FAIRNESS

1. FACTS MUST BE PROPERLY VERIFIED.
2. STEPS CONTEMPLATED SHOULD FIT THE INFRINGEMENT.
3. TAKE THE BALANCE OF PROPABILITIES INTO CONSIDERATION.
4. NEVER MAKE A DECISION WHEN UPSET.
5. TAKE BOTH AGGRAVATING AND MITIGATING CIRCUMSTANCES INTO
CONSIDARION.

1.3 LEGAL
1. DETERMINE WHETHER LEGAL ASPECTS HAVE TO BE CLEARED.
2. ENSURE THAT THERE IS NO CONFLICT WITH SERVICE CONDITIONS,
REGULATIONS, POLICY, ETC.

RIGHTS OF EMPLOYEE
 TO BE NOTIFIED IN ANNEXTURE A OF THE NATURE OF THE ALLEGED
INFRINGEMENT.
 THAT DISCIPLINE BE DISPOSED OF AS SOON AS POSSIBLE.
 TO BE ASSISTED AT A HEARING.
 TO BE INFORMED IN ADVANCE IN ARDER THAT HE/SHE CAN PREPARE
HIMSELF/HERSELF FOR A DISCIPLINARY HEARING.
 TO CALL WITNESSES.
 TO AN INTERPRETER, IF NECESSARY.
 TO A FAIR HEARING.
 TO CROSS-EXAMINE WITNESSES.
 TO STATE HIS/HER CASE AND TO DEFEND HIMSELF/HERSELF AND/ OR TO MAKE
A STSTEMENT IF HE/SHE SO DESIRES (NOT ENFORCEBLE).
 TO BE INFORMED OF THE DECISION TAKEN.

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 TO PRESENT EVIDENCE IN MITIGATION OF THE ACTION IMMEDIETELY AFTER THE
HEARING, WHEREAFTER IT MUST BE CONFIRMED IN WRITING (ANNEXTURE C).

CATEGORY A

INFRINGMENTS OF A LESS SERIOUS NATURE

 ABSENCE FROM DUTY WITHOUT AUTHORITY.

 REPORTING LATE FOR DUTY.
 LEAVING PLACE OF WORK WITHOUT AUTHORITY.
 FAILURE TO REPORT ILLNESS OR OTHERWISE ARRANGE FOR THE
CIRCUMSTANCES TO BE REPORTED.
 DEREGARDING A REASONABLE AND LAWFUL ORDER FROM COMPETENT
AUTHORITY.

THE ABOVE ARE MERELY SOME INFRINGEMENTS OF LESS SERIOUS NATURE BUT ARE
NOT RESTRICTED THERE TO .

ACTIONS

 A VERBAL WARNING (ANNEXTURE A1)

 A WRITTEN WARNING (ANNEXTURE A2)

PROCEDURE

DETREMINE WHERETER A REGULATION OR A RULE WAS VIOLATED AND/OR ACTION

CONSTITUDES A DISCILPINARY INFRINGEMENT. IF CONVINCED, THE FOLLOWING
STEPS MUST BE TAKEN:

STEP 1

 THE EMPLOYER CONTROLING OFFICER OR HIS DELEGATED AN INTRVIEW

WITH THE EMPLOYEE.
 THE CASE CAN SUMMARILY BE DISPOSED OF WITH A VERBAL WARNING.

STEP 2

 SHOULD A VERBAL WARNING NOT HAVE THE DESIRED EFFECT OR IS

INSUFFICIENT, A WRITTEN WARNING IS GIVEN.

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STEP 3

 REPEATED OFFENCES OF A LESS SERIOUS NATURE MAY LEAD TO

DISCIPLINARY ACTIONS OF A SERIOUS NATURE (CATEGORY B).

CATEGORY B

INFRINGEMENTS OF A SERIOUS NATURE

 THEFT.
 FRAUD.
 DISHONESTY.
 DISREGARDING A REASONABLE AND LAWFUL ORDER FROM COMPETENT
AUTHORITY.
 INTOXICATION/UNDRE THE INFLUENCE OF DEPENDECE-PRODUCING DRUGS
WHILE ON DUTY.
 SERIOUS NEGECT OF DUTY.
 ASSAULT.
 ASSUMIMNG A THREATENING ATTITUDE TOWARDS A FELLOW EMPLOYEE.

THE ABOVE ARE MERELY SOME INFRINGEMENTS OF A SERIOUS NATURE BUT ARE
NOT RESTRICTED THERETO.

ACTIONS

 A WRITTEN WARNING THAT WILL BE VALID FOR SIX MONTHS

 A FINAL WRITTEN WARNING THAT WILL BE VALID FOR SIX MONTHS IN
WHICH IT IS MADE CLEAR TO THE EMPLOYEE CONCERNED THAT
FURTHER INFRINGEMENT MAY LEAD TO DISMISSAL , OR
 DISMISSAL FROM THE TIME AND DATE ON WHICH THE DISCIPLINARY
ACTION IS VERBALY CONVEYED TO THE EMPLOYEE.

PROCEDURE

STEP 1

 COMPLETE ANNEXURE A. FURNISH A COPY TO THE EMPLYOYEE.

STEP 2

 AFTER THE LAPSE OF THE PRECSCIBED PERIOD OF FIVE (5) DAYS. A

DISCIPLINARY HEARING MUST BE ARRANGED.

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PREPARATION PROIR TO HEARING

 COMPLETE ANNEXURE B (NOTIFICATION TO ALLEGED OFFENDER

REGERDING HEARING).
 ENSURE THAT AL RELEVANT DOCUMENTS ARE AVAILABLE .
 ENSURE THAT ALL RELEVANT DOCUMENTS ARE AVAILABLE.
 ENSURE THAT ALLEGED OFFENDER IS NOTIFIED OF ARRANGEMENTS
REGARDING THE HEARING
 ENSURE THAT ARRANGEMENTS HAVE BEEN MADE FOR MINUTES TO
BE KEPT.

THE ALLEGED OFFENDER IS PERSONALY RESPONSIBLE FOR THE FOLLOWING

ARRANGEMENTS:

(A) HIS/HER ASSISTANT AND

(B) IF HE/SHE DESIRES PRIVATE WITNESSES(NOT EMPLOYEES)

HEARING PROCEDURES

 INTRODUCE EVERYBODY TO EACH OTHER.

 READ INFRINGEMENTS OUT AND ENSURE THAT ALLEGED OFFENDER
UNDERSTANDS IT.
 ALLEGED OFFENDER PLEADS ON ALLEGED OFFENCES.
 KEEP COMPLETE MINUTES OF PROCEEEDINGS.
 HAVE WITNESSES BEEN HEARD?
 ALLEGED OFENDER MUST BE AFFORDED THE OPPORTUNITY TO GIVE
EVIDENCE HIMSELF/HERSELF AND/OR TO MAKE A STATEMENT IF
HE/SHE SO DESIRES.

AN ASSISTANT MUST BE AFFORDED THE OPPORTUNITY TO ADDRESS THE

MERITS OF THE CASE.

TEMPORARY ADJOURNMENT OF HEARING

 IS ALLEGED OFFENDER GUILTY? YES OR NO.

RESUMPTION OF HEARING

 ALLEGED OFFENDER MUST BE NOTIFIED OF THE DECISION

(GIULTY/ NOT GUILTY).
 IF GUILTY, FURNISH MOTIVATED REASONS AND OFFENDER MUST
BE AFFORDED THE OPPORTUNITY TO SUBMIT REASONS IN
MITIGATION.
 HAS SERVICE RECORDBEEN TAKEN INTO CONSIDERATION?

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 ANNEXURE: A

ALLEGED OFFENCE OF A SERIOUS NATURE

NAME:…………………………………………………………………. ID NO:……………………………………………….

ALLEGED OFFENCE (INCLUDING DATE, TIME, AND PLACE)

……………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
……………….WITNESESS (IF ANY)
……………………………………………………………………………………………………………………………………………………………………………
………………………………………………………………………………………………………..

STATEMENT BY EMPLOYER INSTITUTING DISCIPLINARY PROCEEDINGS:

SIGNATURE……………………………………….. DATE……………………………………………..

I TAKE COGNIZANCE OF THE ABOVE-MENTIONED ALLEGED OFFENCE THAT HAS BEEN AGAINST ME AND THAT I
MUST FURNISH PARTICULARS OF WITNESS I WISH TO CALL (IF ANY) AND OF MY ASSISTANCE (IF I WISH TO
AVAIL MYSELF OF ASSISTANCE) WITHIN FIVE DAYS.

SIGNATURE………………………………………….. DATE…………………………………………………

SHOULD THE ALLEGED OFFENDER REFUSE TO SIGN:

THE ALLEGED OFFENDER HAS BEEN INFORMED VERBALLY OF THE ALLEGED OFFENCES AND THAT DETAIL OF
HIS ASSISTANCE / WETNESSES (IF ANY MUST BE FURNISHED WITHIN FIVE DAYS.

SIGNATURE OF WITNESS…………………………………….. DATE……………………………………………..

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 ANNEXURE: B

ARRANGEMENTS FOR DISCIPLINARY HEARING

NAME…………………………………………………………… ID NO……………………………………………………………

ON ACCOUNT OF THE ALLEGED OFFENCES……………………………………………………………………………………., OF WHICH

YOU HAVE TAKEN COGNISANCE ON……………………………………………………………………………………………………………………,
THE HEARING OF THE CASE WILL TAKE PLACE AT…………………………………………(TIME)…………………………………………..
(DATE) IN (PLACE)……………………………………………………………………………..

ARRANGEMENTS HAVE BEEN MADE FOR THE FOLLOWING PERSON TO ATTEND THE HEARING AS WITNESS:

……………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
SIGNATURE………………………………………………………………………… DATE…………………………………………………………………….
(EMPLOYER)

ALLEGED OFFENDER INFORMED OF HEARING ARRANGEMENTS ON ……………………………………………………… (DATE)

REPORT ON PROCEEDINGS DURING DISCIPLINARY HEARING (ATTACH ADDITIONAL PAGES IF NECESSARY)

SIGNATURE………………………………………………………………..

(EMPLOYEE……………………..)

CERTIFICATE:

I/WE DECLARE VOLUNTARILY THAT I AM/ WE ARE ENTIRELY SATISFIED WITH THE WAY IN WHICH THIS
HEARING TOOK PLACE.

SIGNATURE: ALLEGED OFFENDER…………………………………………………….

ASSISTANCE………………………………………………………………………

SHOULD ALLEGED OFFENDER REFUSE TO SIGN:

SIGNATURE OF WITNESS……………………………………………………. DATE………………………………………

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 ANNEXURE: A2

WRITTEN CONFIRRMATION OF ACTION

(INFRINGMENTS OF A LESS SERIOUS NATURE)

NAME …………………………………………………………………………… ID NO ……………………………………………………………..

DATE…………………………………………………………..

WITH REFERENCE TO THE DISCIPLINARY HEARING HELD ON………………………………………………………………………………

REGARDING THE ALLEGED OFFENCE

CONCERNING………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………
I FIND YOU GUILTY OF THE OFFENCES AND I HAVE DECIDED
TO………………………………………………………………………………………………………………………………………………………………………
……………………………………………………………………………………………………………………………………………………………………………

SIGNATURE:………………………………………………..
(EMPLOYER)

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