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Dear professional friends
Can any one send procedure/process/material of HR POLICIES/policy matters and its IMPLEMENTATION at the earliest for knowledge the follow in day to day assignments.
Regards
SRinivas

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

SBCGT’s 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,

employee’s immediate supervisor shall make an appraisal report recommending a confirmation

or termination of the employee’s 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 employee’s 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 SBCGT’s 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 Suppervisor’s 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 SBCGT’s 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 employee’s personal record. The

Supervisor may however, make a record of the counselling session to allow for an assessment

of the employee’s performance record, should this be necessary at the time, and with the

employee’s 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 accuser’s 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 employee’s 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 offender’s 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

employee’s 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 SBCGT’s services.

d) The Human Resources Officer will be responsible for the input of disciplinary

penalties on employee’s 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 individual’s employment, causes unreasonable interference with an

individual’s 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 SBCGT’s 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

employee’s 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 employee’s 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 SBCGT’s 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 representative’s 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

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

SBCGT’s 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,

employee’s immediate supervisor shall make an appraisal report recommending a confirmation

or termination of the employee’s 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 employee’s 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 SBCGT’s 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 Suppervisor’s 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 SBCGT’s 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 employee’s personal record. The

Supervisor may however, make a record of the counselling session to allow for an assessment

of the employee’s performance record, should this be necessary at the time, and with the

employee’s 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 accuser’s 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 employee’s 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 offender’s 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

employee’s 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 SBCGT’s services.

d) The Human Resources Officer will be responsible for the input of disciplinary

penalties on employee’s 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 individual’s employment, causes unreasonable interference with an

individual’s 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 SBCGT’s 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

employee’s 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 employee’s 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 SBCGT’s 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 representative’s 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

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