Disciplinary Policy and Procedure

Purpose:

The purpose of the disciplinary policy and procedure is to set and

maintain standards of conduct within the organization, and in doing so,
ensure that all employees are treated fairly and consistently.
It is designed to help and encourage all employees to achieve and
maintain satisfactory standards of conduct.
For newly appointed employees who are in their probationary period, the Organization
retains the discretion to vary the procedure accordingly in respect of formal warnings,
up to and including termination for the breach of conduct rules
The disciplinary procedure is normally only used where other
interventions have failed to produce the required improvement or
when the conduct matter is sufficiently serious to require immediate
formal action.

Scope:
This policy refers to everyone in the company regardless of position or
status.
Definitions:
Performance issues.
Disciplinary procedure starts at stage 1. It includes but is not limited
to:

I. Failure to meet performance objectives.

II. Attendance issues.
III. Failure to meet deadlines.

Misdemeanors/One-time minor offense.

Disciplinary procedure starts at stage 1. It includes but is not limited
to:

I. Rude behavior to customers or partners.

II. On-the-job minor mistakes.
III. Breach of dress code/open door policy etc.
IV. Involuntary Discrimination.

Misconduct/Frequent offender.
Disciplinary procedure starts at stage 5. It includes but is not limited
to:
 I. Lack of response to counseling and corrective actions.
II. Lost temper in front of customers or partners.
III. On-the-job major mistakes.
IV. Unwillingness to follow health and safety standards.

Severe offensive behavior/Felony.

Disciplinary procedure starts at stage 6. It includes but is not limited
to:

I. Breach of employment agreement.

II. Harassment/ Voluntary discrimination.
III. Substance Abuse.

Gross Misconduct
Disciplinary procedure starts at stage 6. It includes but is not limited
to:

I. Serious negligence which causes unacceptable loss,

damage or injury
II. Serious violation of health and safety rules
III. Serious bullying or harassment as defined in the bullying
and harassment policy and procedure
IV. Physical violence or intimidation
V. Deliberate and serious damage to property
VI. Theft, fraud, corruption and deliberate falsification of
records
VII. Intentional damage to the property / people.
VIII. Any criminal acts.
IX. Breach of the Bribery Acts and any serious breach of the
ant bribery and anti-corruption policy
X. Serious incapability whilst on duty brought on by
consumption of alcohol or illegal drugs
XI. Failure to disclose a sexual, familial or other significant
relationship with any employee of the organization in
circumstances where there is a professional
responsibility for the employee and the potential for
corruption and/or discrimination exists.
XII. Failure to disclose a sexual, familial or other significant
relationship with an employee of the organization in
circumstances where there is the potential for corruption
and/or control over promotion or reward for that
employee.
XIII. Fraudulent behavior
We need to include all the clauses as per our employment contract !

The above examples are neither exhaustive nor exclusive.

Stages of Actions:

1. Verbal warning
2. Corrective Actions/Counseling
3. Official written reprimand
4. Disciplinary meeting with appropriate supervisor or manager
5. Final written warning
6. Detraction of benefits
7. Indefinite suspension or demotion
8. Termination
9. Summary Dismissal.

Principles:

 Where appropriate, informal action will be considered before

recourse to the formal procedure.
 The procedure may be implemented at any stage if the
employee’s alleged misconduct warrants it.
 All employees will be treated in line with the company policy.
 For formal action, the employee will be told of the nature of the
complaint and an investigation will normally be undertaken
before any decision to hold a disciplinary hearing.
 Employees may choose to be accompanied by any of his
convenient representative or a workplace colleague throughout
the formal stages of the procedure.
 This procedure sets timescales to ensure that any disciplinary
matter is dealt with quickly and efficiently. However, they may be
extended in consultation with human resources to ensure a fair
process.
 Before a disciplinary hearing, employees will be provided, if
available, with written copies of evidence and relevant witness
statements.
 An employee may appeal against any formal disciplinary action.
 Audio/visual recordings of the proceedings are not acceptable at
any stage of the disciplinary procedure and are not admissible
within this process, unless agreed as a reasonable adjustment for
an employee with a disability.
  All information will be retained on a confidential basis.
 Where the employee raises a grievance against any disciplinary
action in relation to him/her, the grievance procedure is not
normally available to the employee whilst the disciplinary matter
is being considered, unless the investigating manager or chair
decides that there are grounds for hearing the grievance first.
Due consideration will be given as to whether in these particular
circumstances the grievance should be dealt with before
proceeding with the disciplinary matter and/or whether another
line manager should deal with the disciplinary case.

Where the employee has taken out a grievance against the

complainant manager, and it has been decided to hear the grievance
first, the formal letter of notification of a disciplinary hearing will be
sent within three (3) working days of the outcome of the grievance procedure. If, in
light of the grievance outcome, it is decided not to proceed with the disciplinary
hearing, the employee will be informed within five working days.

Procedures:

Notifying the Employee of the allegations without delay:

This would involve, firstly, a preliminary gathering of the facts and,

Secondly, an invite to the employee to attend a, meeting to lay the
allegation. The employee should be told he can bring a work colleague
to this meeting.

It is important that strict confidentiality is maintained as the employee

is innocent until proven otherwise and is entitled or the protection of
his good name.

Investigation:

 An investigation will be carried out and the employee may be

suspended with pay, pending the outcome of this investigation.
 It should be carried out as quickly as possible by a party / parties
with the necessary expertise, agreeable to employer and
employee, and in accordance with the terms of reference for the
investigation.
  The terms of reference should set out the timescale of the
investigation that decides whether or not the allegation has been
upheld.
 A written record of all meetings should be kept and confidentiality
maintained.
 The investigator should be able to interview any employee who
may be able to assist the investigation.
 The employee against whom the allegation has been made
should be given copies of all written notes prior to and during the
investigation process.

Once the investigation has completed, a written report setting out the
investigator’s decision, based on the balance of probabilities, will be
required by Senior Management and the employee.

Disciplinary Hearing:

 The employee should be advised of the disciplinary meeting in

writing and told.
 It is a formal disciplinary meeting under the actions of stages
from Stage-03 to 08.
 The purpose of the meeting is to hear representations on behalf
of the employee and o decide whether a disciplinary sanction is
appropriate.
 The possible outcome of the hearing
 The right to be accompanied.
 Once the representations have been made, and the hearing is not
to look into the allegations again, the meeting will then be
adjourned to allow the decision maker to decide what action, if
any, is to be taken.
 The meeting will be reconvened and the decision advised to the
employee who will also be told of his right to appeal the decision.

Concluding Note:

 None of the above will apply to situations of Gross Misconduct

and Severe Offensive Behavior / Felony which may lead to instant
dismissal.
  Also, more serious transgressions of conduct may lead to the
procedure being started with a written warning or at a different
point in the procedure.
 The key point is that there is a procedure that is fair and
transparent and both Employer and Employee know where they
stands.
 Equally important is that other employees see the procedures as
fair and equitable and that they will get fair procedures when
there is a problem.

Responsibility:
HRM of the respective unit is responsible for the effective Disciplinary
Hearings.

Review:
As usual, applicable for all policies.