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Industrial Relations Policy and Disciplinary Procedures
A. Introduction


 The Industrial Relations Policy and Disciplinary Procedures [abbreviated and referred to as IR Manual] and shall be used as a guideline in exercising disciplinary matters, to ensure equity and fairness. The IR Manual does not replace management or the decisions of management.

 In order to allow the organisation to operate effectively, standards of conduct at work must be maintained and the Industrial Relations Policy and Disciplinary Procedures are necessary for promoting justice, fairness, equity, reasonableness and consistency in the treatment of individuals.

 These procedures are also aligned with the Namibian Labour Legislation and principles.

 The business policy of the company supports material wealth creation and is measured via the return on investment, profit and other tangible financial measures. This is often perceived by employees to be in conflict with their demands for higher salaries and conditions of service. Furthermore, misconduct, workplace rule transgressions and poor work performance jeopardize the future and effective business operations of the company and from time to time it might be necessary to discipline employees.

 On the other hand, it might be that an employee wishes to raise an issue or to request that a situation or grievance be addressed. The employee shall then use the grievance procedure to bring the grievance to the attention of management. [Therefore, this IR Manual is accepted.]

 Normal day-to-day comment or criticism does not constitute formal disciplinary action and will be seen as corrective measures.

 The company has the prerogative to, from time to time, review, amend, improve or change the content of this IR Manual as well as the standards of performance and behaviour. The company and organised labour have the duty to make employees aware of the IR Manual and the amendments.

B. Purpose:

The decision making process with regard to disciplinary matters, needs to conform with standing Labour Law practices while ensuring that the effectiveness and sufficient continuation of the operations are not prejudiced. To ensure the aforesaid the following will be considered in industrial relations:

 Encourage joint problem solving by and between management and employees at all levels;

 Prevent and discipline misconduct and poor work performance by employees and ensure fair and equal treatment of employees when disciplined.

 Ensure consistent and fair treatment of colleagues, supervisors and management when employees feel aggrieved by adhering to the disciplinary procedures.

 Ensure that the means exist which will enhance an effective way of communication and consultation on relevant matters affecting employees in the employment environment.

 Regulate conduct and performance, and provide an equitable processes for conflict resolution.

 Correct employee performance and behaviour at the lowest possible level.

 Disciplinary action serves to correct unacceptable conduct and a progressive approach will be adopted.

 Codify the code of conduct as far as possible, however management has the right to formulate workplace rule transgressions whenever it deems necessary.

 Prior to formal disciplinary action corrective action through counseling and communication will be considered, and the counseling and guidance will be recorded for future references.

 Dismissal will only be considered if –

• No alternative penalty will be effective or practical; or

• Corrective measures, such as warnings and demotion are on probabilities not appropriate.

• The employee / employer relationship has been irretrievably broken down.

C. Disciplinary Procedure

The aim is to ensure procedural and substantive fairness as defined by Namibian Labour Law Principles.

Disciplinary action is divided into different steps, namely:

 Complaint / Transgression

 Investigation & Preparation

 Notice & Charge

 Hearing

 Decision

 Appeal

C.1 Complaint

1. If a transgression is committed, or alleged or there is reasonable suspicion thereof, the person / employee or supervisor must inform the immediate senior [supervisor /line-manager or department head] of the accused employee.

C.2 Investigation, Suspension & Preparation

2. The immediate senior must conduct an investigation, compile a brief description of the incident and list the names of the witnesses and documents relevant.

If applicable, the investigative process may include questioning of witnesses and preparation of written statements.

The purpose of the investigation is to ensure that the incident is recorded and all the information is gathered. If the facts regarding the incident are clear – the investigation shall merely consist of recording all the information and identification of the documents / witnesses, if any.

3. Management may at any time suspend an accused employee on full pay if:

- dishonesty is an element of the alleged misconduct, or

- if the life health and safety of any employee are at risk;

- if the company’s business might be prejudiced;

- if it is deemed necessary under the circumstances.

4. The suspension on full pay will be pending an investigation. The suspension must be confirmed in writing to the employee and conform to the pro forma on page 36, however the suspension may be given verbally and confirmed in writing at a later stage. The written suspension must inform the employee to be available during normal working hours and the place, days and time when he/she must report while being on suspension.

5. Management may at any time cancel the suspension, but the proceedings in connection with the charge of misconduct may be proceeded with notwithstanding the cancellation.

6. The immediate senior must request the Manager Human Resources or General Manager to nominate an initiator and chairperson. The immediate senior of the transgressor employee will usually be the initiator.

C.3 Notice and Charge

7. The immediate senior or initiator will be responsible to draft a notice and the charge sheet. The notice will be similar to the pro forma notice on page 37. The notice of the hearing or charge sheet must be handed to the transgressor employee as soon as possible, preferably within two days of the incident.

8. The purpose of the notice is to

- inform the accused employee when and where the hearing will be conducted,

- to ensure that the accused employee can relate and know which incident the allegations refer to,

- to allow the accused employee to prepare for his/her defence and arrange for his witnesses, if any,

- ensure that the accused employee is aware of his/her rights,

- ensure that the accused employee is aware of when and where the disciplinary hearing will be conducted.

9. The accused employee must sign for receipt of the notice. If he/she refuses, then the person handing the document to the accused employee must indicate this on the notice and inform the employee verbally to be present at the hearing, preferably in the presence of a witness.

10. The charge shall indicate alleged misconduct, and the time and place of the alleged transgression and the rights of the employee as indicated on the pro forma notice.

C.4 Hearing

11. Subject to the nature of the misconduct, the circumstances (e.g. plea of guilty or availability of persons) it is preferred that the following parties are involved in formal disciplinary action:

a) The chairperson

b) The accused employee

c) The initiator

d) HR representative and/or notary (Optional)

e) Representative of the employee

f) Witnesses

g) Interpreter, if applicable

12. The chairperson will be in control of the disciplinary hearing and will follow the basic steps as far as practically possible. It is recommended that the Chairperson’s Checklist [pages 32 – 35] is completed in the proceedings to ensure proof of procedural fairness. The chairperson may, at any time, ask questions to clarify any issue or statement:

Guideline for Chairperson

s) Ensure that a copy of the decision and summary of facts are handed to transgressing employee.

C.5 Decision

13. Two decisions will be made – whether the accused employee is guilty or innocent on a particular or related charge, and secondly what the appropriate sanction will be. These must be two separate considerations.

14. Having heard all the evidence the chairperson shall decide whether the employee is guilty and shall inform the transgressing employee accordingly.

15. Having heard and considered all arguments, facts and statements with regard to mitigating and aggravating circumstances, the chairperson shall decide upon an appropriate sanction and inform the transgressing employee accordingly. The chairperson will inform the employee of his/her right to appeal.

C.6 Appeal

16. Within 48 hours of being informed of the outcome (sanction) of the hearing, whether verbally or in writing, the transgressing employee shall give notice of the intention to appeal and submit the grounds of the appeal and indicate whether new evidence will be presented.

17. The notice of appeal shall be given to the chairperson of the hearing or the Human Resources Manager, Manager, General Manager or Managing Director, which ever is applicable.

18. The initiator shall consult the Human Resources Manager to appoint a chairperson of the appeal hearing.

19. The Human Resources Manager and/or initiator shall ensure that all documents, minutes (and/or audio tape recordings), summary and decision used during the disciplinary hearing be made available to the chairperson of the appeal hearing within three days of receiving the appeal notice.

20. Upon receipt of all the documents, the chairperson of the appeal hearing shall decide how the appeal will be conducted, either

a) A complete re-hearing. The procedures of the normal disciplinary hearing will be followed after the chairperson informed the original initiator of his/her decision. The initiator will then make the arrangements [to rectify procedural and substantive defects]; OR

b) Hearing of new evidence only. The chairperson will allow the transgressing employee/and or representative to present new evidence and then reconsider the initial decision based on the documents taking into account the new evidence. Statements and arguments by the transgressing employee and initiator will be allowed.

c) Appeal on record. Depending on the grounds of appeal, the nature of the initial hearing (plea of guilty), the record / summary and/or audiotapes of the initial hearing, the chairperson of the appeal can reconsider the outcome of the initial hearing.

21. The chairperson of the appeal hearing can make the following decisions:

a) Uphold the appeal and set aside (cancel) the decision of the original hearing, and find the employee not guilty;

b) Dismiss the appeal and confirm the original outcome of the hearing;

c) Confirm the decision of the original hearing, but replace the sanction/penalty with another;

d) Set aside the decision and replace the decision with another decision (guilty of another lessor misconduct) and issue an appropriate sanction.

General – Appeal:

Procedural irregularities during an initial disciplinary hearing may be corrected during the appeal hearing. The chairperson of the appeal hearing shall also consider whether the employee was prejudiced by such alleged procedural irregularities and shall, as far as possible, correct the procedure during the appeal hearing, e.g. if an employee was not allowed to state his/her case during the initial hearing, the employee shall be granted that opportunity during the appeal hearing.

22. The transgressing employee will be informed in writing of the outcome of the appeal. If the appeal is dismissed, i.e. confirm the outcome of the initial hearing, the effective date of the sanction shall be the date of the decision of the initial hearing. If the outcome of the appeal amends, revokes, set aside the outcome of the initial hearing, the effective date shall be the date of the decision of the appeal hearing

D. Disciplinary Procedures – re: Managers

 It is understood that all managers have a greater duty of loyalty, commitment, responsibility and reliability, which include working knowledge of workplace rules and disciplinary procedures.

 If it is alleged that a manager contravened a workplace rule or committed a misconduct, the facts will be reduced to writing and the manager shall be requested to admit or deny the facts in a round table conference with the GM / MD as chair and the Human Resource Manager as Observer to advise the chair on procedural and substantive fairness.

 If necessary, and if no agreement can be reached on how the issue should be resolved, formal disciplinary action will be instituted and the procedures of this document will be followed.

E. Disciplinary Action

Disciplinary action may include educational, corrective, rehabilitative or punitive action.

E.1 Educational Action

Each employee has the responsibility to understand what level of performance is required and shall request his/her line manager or supervisor for guidance.

Line management and supervisors will ensure that an individual employee is aware of unacceptable performance, behaviour or conduct and the consequences which might follow if the performance or conduct is not improved or corrected. The educational guidance will normally take place during application of working rules and practices, however, it might be furthered during induction or informal guidance.

Educational guidance is NOT regarded as a disciplinary sanction, however may be recorded for future counseling or disciplinary action.

E.2 Rehabilitative Action

A line manager or supervisor may issue informal verbal warnings, stipulating the required performance, behaviour or conduct.

Rehabilitative action is not regarded as disciplinary action, however, may be recorded for future counseling or disciplinary action.

E.3 Disciplinary Sanctions

The objective of discipline is corrective and not punitive. Disciplinary action will be used to affect corrective behaviour and should that fail, and there is no prospect of continuance with the employment relationship, dismissal will be the last resort. However, some misconduct justifies summary dismissal and shall be issued under appropriate circumstances. (See F on page 14 and further)

Disciplinary sanctions more serious than written warnings will only be issued after a fair hearing in accordance with the Disciplinary Procedures.

The recommended sanctions are only a guideline to be used by the chairperson. The chairperson may issue a more severe or lesser sanction, depending on the aggravating and mitigating circumstances. To contribute to consistency among different chairperson’s, a schedule is annexed [see page 46 and 47] as guideline.

The disciplinary sanctions are:

Verbal warning

Written warning

Final written warning

Monetary penalty (fine)

Permanent or temporary Demotion in status and/or grade/level

Dismissal

All the disciplinary sanctions will be recorded / placed on the personnel file of the employee. If the sanction / warning has not lapsed and the employee is found guilty on a second misconduct, a more serious sanction must be issued. However automatic dismissal will only take place under circumstances mentioned under E.9 on page 13. Warnings which lapsed, will remain on the file and may be considered to determine the conduct of the employee as mitigating or aggravating circumstances.

E.4 Verbal Warning

Verbal warnings are generally issued to first offenders of minor misconduct, or to the all the staff. Verbal warnings may be affected by verbally warn the employee, or by affecting a notice on the notice board (to all staff) or via memorandums.

Procedure:

- An employee is confronted with the allegation or accusation;

- The employee is given the opportunity to respond

- If no justification of the respond is found, the warning is explained and given;

- The supervisor or senior records the incident, the allegation and the employee’s response to the allegation. [see check list page 30]

- The employee is verbally warned to refrain from such conduct, and instructed to improve / correct his/her conduct. The details must be discussed to confirm whether everything is understood;

- The verbal warning is recorded on the personnel file of the employee. The employee is not required to sign the recording, however the senior/supervisor is required to sign.

- The verbal warning lapses after 3 months, but would stay on file.

E.5 Written Warning

Written warnings are formal sanctions and issued if a verbal warning was issued during the preceding three months (preceding the date of misconduct), OR if the employee is guilty of a more serious misconduct.

The written notice must contain the misconduct, the finding and warn the employee to correct his/her behaviour.

The manager must sign a written warning and the employee shall be required to sign for receipt of his. If the employee refuses to sign for receipt, the person issuing the warning must indicate the same on the notice. The notice will conform to the pro forma and shall include that the employee has the right to appeal against the decision.

More than one written warning may be issued. Written warnings shall lapse after six months but shall remain on the personnel file.

E.6 Final Written Warning

A final written warning is issued for very serious offences and is the last warning an employee might expect before dismissal. It gives an employee a final chance to rectify or correct his/her behaviour / performance. A disciplinary hearing precedes this disciplinary sanction.

A final written warning should not be issued prematurely since the warning indicates that the next misconduct would justify dismissal.

The final written warning must contain the misconduct, the finding and warn the employee to correct his/her behaviour.

The manager must sign a final written warning and the employee shall be required to sign for receipt of his. If the employee refuses to sign for receipt, the person issuing the warning must indicate the same on the notice. The notice will conform to the pro forma and shall include that the employee has the right to appeal against the decision.

Final written warnings shall lapse after nine months but shall remain on the personnel file

E.7 Fine

A monetary penalty (in terms of section 37 (f) of the Labour Act) may be issued on its own or in conjunction with other warnings in instances where the employment relationship has not been irretrievably broken down; and only to recover actual losses or damages by the company as a result of the conduct of the employee.

E.8 Demotion

An employee may be permanently or temporarily demoted in status and/or level of remuneration as an alternative to dismissal. Demotion will be limited to instances where the trust relationship has not been irretrievably broken down as a result of the misconduct and provided that the demotion is manageable and practical. The Manager must be consulted to determine whether demotion will be manageable and possible.

E.9 Dismissal

Dismissal is the very last option and resort, and only utilised where the employment relationship is no longer viable, due to the employee’s conduct.

Dismissal will be the appropriate sanction if:

 No alternative sanction will be effective or practical; or

 Corrective measures, such as warnings and demotion are on probabilities not appropriate; or

 The misconduct / transgression results in a material breach of the employment agreement;

 The misconduct (or the repetition thereof) is of sufficient serious nature under the circumstances which leaves the continuation of the employment agreement impossible [i.e. the employee / employer relationship has irretrievably broken down].

If an employee has at any time three or more valid written warnings, which have not lapsed on his/her file, disciplinary action may be instituted against such employee to consider whether the employment of the employee should continue,

i.e. automatic dismissal.

F. Misconduct

An employee is guilty of a misconduct or transgression when he/she willfully or negligently and knowingly contravenes a workplace rule (whether common law or according to the IR Manual), or formulated by management.

It is accepted that it is the duty of an employee to be aware of all the workplace rules and /or misconduct. It is confirmed that a reasonable employee should be aware of what constitutes a misconduct, taking into consideration the experience, position and time of employment of the employee.

The Company is entitled to set reasonable standards, work place rules and/or code of conducts to which the employees must comply. The degree of diligence and high standards may be set provided that such criteria are not misplaced or unreasonable.

As a guideline, sanctions are listed below and work place rules and the code of conduct are set, which may be varied from time to time at the discretion of the company. The list is by no means exhaustive and serves as a guideline. Any alleged transgression or misconduct must be clearly stated in the notice of a hearing.

F.1 Insubordination

Challenging the authority of a senior / management. Insubordination can include, under the circumstances:

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- Refusal to obey a reasonable instruction;

- Refusal to work or to be present at work;

- Absence without leave of a person in a managerial position / function;

- Wilfully ignoring the operational requirements and procedures;

- Deliberate and serious challenge of management’s authority;

Depending on the circumstances, dismissal is justified for first offenders.

If an employee has at a particular time three of more valid written warnings, which have not lapsed, it will be deemed that such an employee is guilty of insubordination as a result of accumulating transgression or continuous unacceptable behaviour. The termination of the employment agreement is warranted, depending on the outcome of a hearing to determine the same.

F.2 Incapacity / Poor Work Performance

The employee is incapable to manage or meet the requirements of the job and/or unable to perform the duties. This is a misconduct even in cases where the nature / cause of the incapability is beyond the control of the employee BUT includes Poor Work Performance.

If the incapacity can not be corrected or avoided in the near future, on a balance of probabilities, the employee may be dismissed provided that counseling or some form of warning was given to the employee prior to dismissal, affording the employee the opportunity to rectify his/her position.

Dismissal will be justified if the employee was granted an opportunity to correct or improve his/her performance.

Incapacity shall include the inability to work owing to any sickness or injury, lack of experience, qualification or skill level.

F.3 Negligence / Incompetence

Incompetence is negligent conduct. The skill level of the employee is sufficient; however, under the circumstances the employee acted negligently and transgressed a workplace rule. Although not of a permanent nature, the employee is incompetent if he/she is unable to manage the requirements of the job.

Negligence is a failure to comply with the standard of care which would be exercised in the circumstances by a reasonable employee, in the position of the employee. The transgression may take place even where there was no wilfulness or intent.

Negligence may be constituted by an act of negligence, or negligently failing to act and may result in damage to company property or losses.

Depending on the severity of the circumstances, dismissal of a first offender is justified.

F.4 Disrespectfulness

This transgression constitutes itself in insolence, arrogance or insulting behaviour towards management or co-employees or clients/customers of the company. Although disrespectfulness is an element of insubordination, it is less serious and does not constitute a clear challenge of authority.

This misconduct includes:

 The use of abusive or insulting words towards other employees and clients.

 Failure to uphold the good name of the Company.

Mere cheekiness or rudeness, unless continuous repetitive conduct, does not constitute disrespectfulness.

Dismissal is only justified if willful and serious, or gross, or if the employee received a final written warning for a misconduct within six months preceding the date of the offence.

F.5 Disobedience / Failure to follow Company Procedures

This is the refusal to obey lawful instructions, or failure to follow, or adhere to company procedures and practices. It is less serious than insubordination since it does not constitute a clear challenge of authority.

This misconduct includes:

 Failure to observe safety rules or to wear protective clothing, or equipment, and is regarded as serious;

 Failure to adhere to rules, practices or regulations with regard to the specific position / job;

 Loitering after working hours or being at work, but absent from the workstation, and is regarded as less serious;

 Posting or distribution of notices, and posters without prior permission or soliciting of any kind, and is regarded as less serious.

Dismissal for a first offender is not justified, unless gross losses, or damages for the company were resulted from the transgression

F.6 Incompatibility

The employee`s personality is not compatible with that of colleagues or seniors, however the work performance of the employee is good / sufficient.

Dismissal is not justified, even for second and third offence. Counseling, guidance and training must be arranged for the persons concerned. It is often difficult to prove objectively since two individuals are involved and no two persons are the same.

F.7 Conflict of Interests / Competing with the Company / Breach of Confidentiality

This transgression includes:

 Disclosing confidential information to parties who are not entitled to have access to it.

 Using confidential information for purposes other than in the scope of normal duties.

 Utilising company resources for personal gain or interests.

 Attend to personal, or other business, interests during normal working hours without prior permission.

 Partaking in an act in direct competition with the company while being in the employment of the company, or where the employee stands to make secret profits.

 If an employee enters into employment with another company while being employed by the Company, unless written permission is obtained prior to such other employment.

The misconduct is based on the fact that an employee must devote his time, energy and skills to the furthering of the interests of the company`s business and has the obligation to maintain good faith, as an essential element of the employment agreement.

Dismissal is justified for first offenders, taking into account the degree of dishonesty (if any) and the actual or potential prejudice to the company.

F.8 Dishonesty / Breach of Trust

A Breach of Trust is constituted by any form of conduct which compromises the trust relationship between the employee and the company. Dishonesty is used to cover a number of misconduct ranging from bribery, falsification of documents and time sheets / clock cards, fraudulent conduct and dishonest use of certificates of sickness and qualifications.

Dishonesty is any wilful (intentional) conduct which demonstrates a deception or misrepresentation on the part of the employee. Losses and prejudice as a result of the conduct may be actual or potential and the extent will only be regarded as mitigating or aggravating circumstances.

The conduct of the employee might constitute allegations of fraud (criminal offence) however, an employee should be disciplined for Dishonesty rather than fraud (see criminal charges below).

Dismissal of a first offender is justified.

F.9 Unauthorised Possession or Use of Company Property

Unauthorised possession of company property usually also constitutes the common law crime of “theft”. Being in possession of company property without permission is sufficient to constitute this transgression. Any other employee who knowingly participated in the transgression is equally liable. This misconduct covers the situation where the employee:

 Is in the process of removing the property from the premises, or

 Avers that the property was only borrowed without permission, or

 Consumed products without permission.

 Misappropriated or improperly used company funds.

The intention to steal and/or permanently deprive the company of ownership are not elements of this misconduct.

First offenders should be dismissed, regardless of the losses suffered by the company of the value of the item, but depending on the element of dishonesty and breach of trust.

Unauthorised use of company property refers usually to the use of company vehicles without permission or for purposes other than in the scope of duties. However the use of other equipment without permission also constitutes this misconduct.

This misconduct is sufficiently serious to warrant dismissal of first offenders.

F.10 Criminal Crimes

There is a difference between criminal crimes and misconduct. Even if criminal charges were filed against the employee the internal disciplinary action shall continue and not be barred or stayed, notwithstanding the fact that the criminal proceedings are based on the same facts. The acquittal of the employee by a court of law shall not bar or set aside the internal disciplinary action.

If an employee is convicted by a criminal court, whether inside or outside Namibia, of a criminal offence and is sentenced to serve imprisonment, the employee shall be guilty of a misconduct and shall be dismissed without notice.

If an employee is convicted by a criminal court, whether inside or outside Namibia, of a criminal offence of which dishonesty is an element, the employee shall be guilty of a misconduct and may be dismissed, depending on the circumstances and the position of the employee.

F.11 Assault

Assault is the unlawful and intentional application of force/violence to a colleague, co-employee or client/customer of the company. If the threat of force and violence causes the victim to believe that force /violence may imminently be applied, the misconduct is committed. The misconduct assault is not limited to the company premises.

Threats of and intimidation are also covered by this misconduct.

Provocation or any other reason which resulted in the assault must be taken into account when the sanction is considered.

Depending on the circumstances of each case, dismissal of a first offender is warranted.

F.12 Sexual Harassment

Sexual harassment is any unwanted sexual behaviour, comment or suggestion, which has an incriminating effect of the recipient..

Sexual harassment can take place between persons of the same or opposite gender and is regarded as a violation of the right to dignity and integrity.

On the one side the company has the duty to protect its employees at the workplace and on the other hand false accusations can be made to discredit another employee or senior. Therefore, upon receipt of such complaint, the investigator shall obtain written statements from both parties, signed by the parties before the formal disciplinary hearing is held.

The gravity of the sanction will depend on the circumstances, but it is regarded as a serious transgression.

F.13 Absence Without Leave

An employee may not be absent from work without approved leave or without a valid reason. The employee has the obligation to make his/her services available to the company, even if the workload does not require the presence of the employee.

Absence without leave on five consecutive working days warrants summary termination of employment based on desertion. The employee shall be afforded the right to appeal against the termination within 5 days of becoming aware of such termination.

Participation in illegal industrial action is regarded as absence without leave with aggravating circumstances.

Absence without leave for short periods (late for work / punctuality) does not justify formal disciplinary action unless the employee persist with the conduct. However, the employee will not be remunerated for the period of absence without leave and the amount will be deducted from the remuneration of the employee whether or not a disciplinary hearing was conducted (in accordance with section 37 (g) (ii) of the Labour Act.)

An employee who is absent from work without leave on any working day before or after a public holiday is guilty of a misconduct and an amount not exceeding the remuneration which would have been payable to him/her in respect of the said working day and the said public holiday will be deducted from his/her normal remuneration.

Disciplinary action will be taken against an employee, irrespective of the deductions made from his/her salary.

Annual leave is granted at the discretion of the company and upon written application prior to the period of leave.

F.14 Drunkenness / Drinking While on Duty / Under the influence of alcohol (drugs) while on duty.

An employee may not be under the influence of alcohol or any other intoxicating substance at work, regardless of whether his/her ability to do the job is impaired.

The use of a breathalyser test is permitted, though not essential. Evidence with regard to the employee`s gait, manner of speech, attitude, unsteadiness et cetera will provide evidence of the condition of the employee which supports the conclusion that he/she was under the influence.

The misconduct must be distinguished from a condition where it is the manifestation of an underlying dependence or addiction. If the latter seems to be the case, a disciplinary hearing regarding the incapability of the employee must be conducted, separately from the misconduct of drunkenness.

Although remedial and/or corrective sanctions should be considered, dismissal is warranted for first offenders depending on the prejudice to the good name of the company and/or the potential danger caused to the employee and his/her co-employees.

F.15 Information Technology Transgressions

It is a misconduct to operate or use computer equipment in such a way that it would create a risk for the effective operation and functioning of the network, network system or individual computers.

The misconduct includes:

 To install any software programme on any office equipment, including the personal computer in any office without authorisation;

 To copy any software programme on the computer or network to be used or installed by a third person;

 To use another person`s or employee`s LOGIN ID, or to allow another person to use the employee`s LOGIN ID;

 To open, repair or adjust any computer or printer without permission of the Information Technology Department;

 To move or transport any computer equipment under the control of an employee to any other place or office, excluding the normal use of portable computers in the execution and scope of duties.

 To obtain access during normal office hours to any web-site which is not directly related to the execution and scope of normal duties in the employ of the Company, unless prior permission is obtained.

 To participate in any mail forwarding or lucky draw or chain-letter scheme, via e-mail and/or Internet from the workplace or via the OLFITRA server.

Dismissal is warranted for first offenders depending on the seriousness of the result caused by the transgression

F.16 Prejudice the Good Name of the Company

It is a misconduct to, either willingly or negligently, behave or act in a way which may prejudices the good name of the company, including unauthorised and unwarranted press releases that might prejudice the good name of the company.

A final written warning is warranted for first offenders.

F.17 Damage to Property

This misconduct includes deliberate and malicious damage to the property of the company, a colleague or client of the company. Where the conduct was not intentionally or willfully aimed at causing damages, it would resort under negligent conduct, which is a lessor misconduct than Damage to Property.

It is not required that actual damages or losses are suffered, however if the employee is required to repay the damages [See E.7 Fine on page 13] the damages must have been actual and real.

Damage to property is an act which prejudices the trust relationship between the company and the employee and dismissal is normally justified.

Damage to property in the form of production or product sabotage is regarded as particular serious and summary dismissal is warranted.

F.18 Intimidation / Disruption of Work / Unlawful Strike

It is a misconduct to inspire other employees with fear or threats (physical or psychological) to influence their conduct. Any act or behaviour that results in undue influence on other employees either to do or not to do something constitutes intimidation.

It is a misconduct to either negligently or willingly cause a disruption in the normal business operations of the Company. It can be constituted by action or the deliberate failure to act by an employee.

Participation in an unlawful strike or influencing employees to participate in an unlawful strike, whether the strike is the refusal to work, to down tools, a sit-in strike or the retardation (go-slow strike) of work is irrelevant.

Dismissal of first offender is warranted.

G. General

performance did not improve or is not sustained, the employee must be handed a written notice informing the employee of the poor performance. The written notice must conform to the pro forma on page 37;

- that the level of performance is below standard / not acceptable, and

- stating the targets / criteria of evaluation, and

be granted three weeks to improve the performance, failing of which, the employee might face dismissal.

Step 4: If the standard of the performance is still not acceptable according to the targets and criteria set, disciplinary procedure must be instituted, alleging that the employee`s performance is below standard, resulting in incapability to perform his/her duties.

The following principles will be applicable:

 careful appraisal of the employees work performance;

 the employee must be afforded reasonable opportunity to improve performance;

 the working environment (such as support, proper guidance and supervision) will be considered whether the employee carried out his/her duties satisfactorily;

 the employee to be warned that termination of employment is a real consequence should his/her performance not improve,

 warnings of poor performance will not be applicable in cases where

 the employee is incapable of or unwilling to change, or

 poor performance resulted in serious consequences for the Company, or

 the employee is a senior manage

G.2 Employee’s Rights – Disciplinary action

An alleged offender employee has the following rights, which must be adhered to during a disciplinary hearing:

a) Notice.

 The right to receive notice of a disciplinary hearing. The notice must be in writing and conform to the pro forma.

 The notice must allow the employee at least 24 hours before the hearing commences and contain sufficient particulars of the allegation to enable to employee to prepare for his/her defence.

B. Representation

 The alleged offender has a right to be assisted or represented.

 The representative must be either a shopsteward or colleague. No person from outside the company has the right to be present during a disciplinary hearing. The hearing is an internal in-house procedure and legal practitioners, consultants or union officials who are not employees of the company are excluded.

 If an employee voluntary waives his/her right to make use of a representative (wishes to continue without) it would be fair. Should a representative not be present, the matter should be adjourned, unless it is the second or third time a postponement is forced.

 Only if the Company uses a legal practitioner or labour consultant as initiator in a disciplinary hearing due to the seriousness of the transgression, the accused employee has the right to appoint at his/her own expense a legal practitioner or labour consultants as representative.

C. Attendance.

 The employee has the right to be present during the hearing.

 If the employee refuse or fails to attend to the hearing, the hearing may continue in the absence of the employee. The hearing will be regarded as fair if concluded in the absence of the employee if:

• Notice of the hearing was given to the employee, and the

• Employee refused or failed to attend, and

• The chairperson is satisfied that failure to attend is not due to circumstances outside the control of the employee.

D. Right to state case / oppose allegations

 The employee has the right to state his/her case/defence.

 The employee has the right to call witnesses after the employee has made a statement. It is the duty of the employee to arrange, in time, for his/her witnesses to be present.

E. Right to ask questions

 The employee has the right to put questions to the witnesses to test their version.

 The employee has the right to ask questions to clarify any issue, or to receive more particulars.

F. Right to an interpreter

 The employee has the right to have an interpreter present to assist in understanding the allegations and statements in his/her own language.

 The official language will be English. If requested/necessary, it is the duty of the company to arrange a colleague to act as interpreter.

G.3 Disciplinary Decision

Guidelines for written decision:

Step 1: State the misconduct, as contained in the charge sheet and elaborated by evidence.
Step 2: Conclude on procedural fairness, re respect for the rights of employee as stated in the notice of the hearing and whether the employee was prejudiced by it.
Step 3: Summarise the facts / incident. A short summary of what each witness said. The truth and correctness of all evidence must be evaluated, and if found to be untrue, reasons for such a decision must be recorded and given.
Step 4: State the decision what misconduct the employee is guilty of, compare with IR Manual provisions (F. Misconduct).
Step 5: State that employee was allowed opportunity to represent mitigating circumstances.
Step 6: State the sanction issued and the reasons why, list all mitigating and aggravating circumstances which were considered.
Step 7: State the right of appeal.

G.4 Life Threatening Disease

The employee who has contracted a life threatening condition, and is charged either to him/herself or colleagues, will be transferred to a less risky department, away from direct and open contact with food and beverages or the manufacturing thereof. If there may be a risk of transmitting the disease or cause infections, appropriate precautionary measures will be taken to reduce the risk, which measures include transferal to another department / position.

Once the employee becomes incapable and/or unable to perform his/her duties, the standard procedures for ill health or disability will be initiated according to the pension fund rules with regard to disability.

In the process the employee will be relieved from duties and allowed the available sick leave benefits, where after the employee will be granted the accrued annual leave on full pay and then the employee will be encouraged to utilise the benefits as per Social Security Act or other relevant legislation.

The Olhthaver & List Group of Companies’s AIDS POLICY [Annexed] and REGULATIONS RELATING TO THE HEALTH & SAFETY OF EMPLOYEES AT WORK [Annexed] will be followed.

G.5 Resignation

In the event that an employee tenders voluntary resignation before a pending disciplinary hearing is instituted, the resignation may be accepted, provided that the hearing continues up and until the stage where a decision on guilt or not is taken. The disciplinary hearing must be conducted, with or without the employee being present.

In circumstances where an employee was found guilty of a misconduct and dismissal would be appropriate sanction, the employee may be allowed to tender voluntary resignation instead of dismissal, if sufficient mitigating circumstances are found to be relevant BUT only under exceptional circumstances – this recognition of mitigating circumstance must be motivated by the chairperson in writing and shall not create a precedent if allowed. The misconduct will still be recorded on the personnel file.

An employee who resigns without giving notice as stated in the employment agreement or the Labour Act, may be required to pay to the Company an amount equal to the remuneration of the notice period as contemplated in section 47 (4) (b) of the Act, UNLESS the employee and the Company agree to shorten the notice period, in which case the employee will only receive remuneration until the last actual working day.

H. Committee System

 The purpose of a Committee system is to allow the employees to organise themselves in an employee representatives committee or workers committee to communicate collectively to management on matters of mutual interests, including compulsory affirmative action meetings, pension fund meetings et cetera.

 The employees will appoint or elect employee representatives who will form an employee representative committee, which committee will act on behalf of the employees.

 It is important that such meetings are workable and manageable and it is recommended that such a committee is formed by the staff in consultation with the Human Resources Department.

 Subject to the provisions of the Labour Act, the employee representative committee (committee system) shall consist of a maximum of three members, elected by the staff. The committee will be created by the staff, for the staff, and will arrange at least four meetings annually with representatives of management to discuss matters of mutual interests.

 If a trade union is/was recognised as an exclusive bargaining agent, the collective / recognition agreement will supercede the committee system and any other employee committee system will fall away, for purposes of a particular bargaining unit.

 If more than one trade union represent staff members, the trade unions will agree with the Human Resources Department on an appropriate workable employee representative committee – system in order to create a forum for the purposes of the committee system.

I. Initiator’s Check List

The supervisor or manager, who will act as initiator may use the following checklist to ensure proper preparation with regard to an intended disciplinary hearing. The seriousness and nature of the incident / alleged misconduct will determine to what extend the items will be followed.

1. Complaint received from …………….................………………………………….(first report)

2. Complaint received on ………....................………………………………………………..(date)

3. Incident took place at …………………………………………………….…… ……………………………………………................………………(date, time/period, place)

4. Possible misconduct / transgression of staff rule in accordance with IR Manual.: ……………………………………………......................................................................………………………………………..

5. List the names of witnesses and documentary evidence: ………….................................………

………………………....................................................................…………………………………………………………………

………………………................……………………………………………………………….…

6. Summarise statements of witnesses.

7. Evaluate statements.

8. Determine whether a disciplinary hearing should be conducted.

9. Arrange interview with employee in presence of a witness / shopsteward (voluntary)

10. Arrange for appointment of chairperson and place, date and time of hearing.

11. Draft notice and formulate charges as per pro forma.

12. Ensure that notice is handed to employee at least 24 hours prior to the hearing and that employee signs for receipt ( if employee refuses, indicate the same)

13. Determine whether an interpreter will be required, if so make such arrangements.

14. Arrange logistics, i.e. tape recorder, tape cassettes, HR Observer, copy of IR Manual and checklist, witnesses and documents, if applicable.

J. Chairperson’s Checklist

It is recommended that the Chairperson follow each item and tick it as done, or to mark it as N/A (not applicable). If the item is not done, the chairperson must indicate why not. Any observations with regard to the procedure must be inserted. The minutes or summary with regard to the substantive fairness (content of statements) must be kept separately.

1. Determine which language the Employee prefers and if an interpreter is required


2. Open the hearing by greeting all and introducing yourself.


3. Determine whether an interpreter will be needed, and in which language the proceedings will be conducted.


4. make sure the audio recording device is switched on. Inform the parties an audio tape recording (if applicable) will be made. State that an audio copy will be made on request and submission of a clean tape cassette and that no transcription will be made.


5. Determine who will keep minutes if no recording will be made.


6. Explain that the role of the chairperson is to determine the correct facts, if a misconduct was committed, and if so to determine the sanction.


7. Request each person to identify himself/herself (name) and to identify his/her role (representative, initiator etc.)


If no representative is present
N/A
7.1 Explain to the employee that he/she has a right to use a representative (colleague or shopsteward) to assist him/her in understanding the charge, the procedures and represent him in general during the proceedings.


7.2 Ask employee whether he/she understands
YesNo
7.3 Ask the employee whether he/she would like to continue without a representative and whether the right to representation is waived. If not, determine when the employee will obtain a representative and when will he/she be able to continue. (HR Observer / initiator to assist the chairperson)


8. Determine whether witnesses will be called and if they are present.


9. Explain the procedure which will be followed during the hearing. When what person /witness will speak and when opportunity will be given for questions.


10. Read the notice and the charge.


11. Ask employee whether he/she had enough opportunity to prepare. Determine when the notice of the hearing was handed to the employee and the date and place of the hearing.


12. Ask if employee has an objection against any person present. If so, determine whether the objection has merits and take a decision on the point.


13. Ask employee if he understands the charge, i.e. of what he/she is accused of and which incident caused the hearing.


14. Ask employee whether he/she pleads guilty or not guilty
GuiltyNoNot Guilty
15. Ask initiator to make an opening statement and to indicate what he/she would like to prove.


16. Ask representative to make an opening statement, if any; and to indicate which facts are in dispute


17. Request initiator to lead evidence. The witness must make his/her statement / describe the incident or read his/her statement to all present.[Substantive part of hearing]


18. Allow representative/employee opportunity to put questions to the witness and to indicate with which facts he/she does not agree.


19. Chairperson may put questions to the witness to clarify issues.


20. Points 16 – 18 must be followed with every witness


21. After the initiator presented all evidence, the employee will be allowed to make a statement and/or present evidence in defence. The procedure in 16 – 18 will be followed and the initiator may put questions to them


22. Request initiator to present arguments, i.e. on what charge must employee be found guilty and why.


23. Request representative/employee to present arguments, i.e. why the employee must be found not guilty.


24. Ask employee if he/she would like to add anything, and if he/she is satisfied with the procedure until now, if not, take corrective steps taking into account recommendations made by the HR observer


25. Adjourn to decide whether employee is guilty or not. Determine the time / date when the decision will be announced and warn every person to be present at that time.


26. Consider the evidence behind closed doors (chairperson alone), determine the correct facts, the charge and the reasons in support of the decision.


27. Reconvene the hearing as per point 24 and inform the employee whether he/she is guilty or not guilty and on which charge(s).


28. If the employee is found guilty, request representative and employee to present mitigating circumstances.


29. If guilty, request initiator to present aggravating circumstances, including previous warnings and the level of performance/conduct of the employee.


30. Determine what penalty/sanction is recommended in terms of the disciplinary procedures and what was the penalty issued in the past for similar misconduct.


31. Adjourn (at least 25 minutes) and decide which sanction/penalty will be issued, and determine the reasons (mitigating / aggravating) in support of the sanction.


32. Inform the employee of your decision before the decision is made known to the management / human resources department.


33. Inform employee of his/her right to appeal, which must be noted in accordance with the procedures.


Appeal Chairperson’s Checklist

It is recommended that the Chairperson of the Appeal hearing follow each item and tick it as done, or to mark it as N/A (not applicable). If the item is not done, the chairperson must indicate why not. Any observations with regard to the procedure must be inserted. The minutes or summary with regard to the substantive fairness (content of statements) must be kept separately.

1. Open the hearing by greeting all and introducing yourself.


2. Inform the parties an audio tape recording (if applicable) will be made. Switch it on. State that an audio copy will be made on request and submission of a clean tape cassette and that no transcription will be made.


3. Determine who will keep minutes if no recording will be made.


4. Explain that the appeal is still an internal matter (in-house) and part of the disciplinary process.


5. Request each person to identify himself/herself (name) and to identify his/her role (representative, initiator etc.)


If no representative is present.
N/A
a. Explain to the employee that he/she has a right to use a representative (colleague or shopsteward) to assist him/her in understanding the charge, the procedures and represent him in general during the proceedings.


b. Ask employee whether he/she understands.
YesNo
c. Ask the employee whether he/she would like to continue without a representative and whether the right to representation is waived. If not, determine when the employee will obtain a representative and when will he/she be able to continue. (HR Observer / initiator to assist the chairperson)


6. Determine whether an interpreter will be needed, and in which language the proceedings will be conducted


7. Explain what an internal appeal hearing is all about. That it can be either of the following


a) A complete re-hearing. The procedures of the normal disciplinary hearing will be followed after the chairperson informed the original initiator of his/her decision. The initiator will then make the arrangements [to rectify procedural and substantive defects]; OR

b) Hearing of new evidence only. The chairperson will allow the transgressing employee/and or representative to present new evidence and then reconsider the initial decision based on the documents taking into account the new evidence. Statements and arguments by the transgressing employee and initiator will be allowed.

c) Appeal on record. Depending on the grounds of appeal, the nature of the initial hearing (plea of guilty), the record / summary and/or audiotapes of the initial hearing, the chairperson of the appeal can reconsider the outcome of the initial hearing.

The chairperson of the appeal hearing can make the following decisions:

d) Uphold the appeal and set aside (cancel) the decision of the original hearing, and find the employee not guilty;

e) Dismiss the appeal and confirm the original outcome of the hearing;

f) Confirm the decision of the original hearing, but replace the sanction/penalty with another;

g) Set aside the decision and replace the decision with another decision (guilty of another lessor misconduct) and issue an appropriate sanction.

8. Explain which the procedure [a, b or c] which will be followed during the appeal. When what person /witness will speak and when opportunity will be given for questions.


9. Read the decision of the original hearing, the grounds of appeal and ask employee / representative to add any points they would like to bring under the attention of the appeal.


10. Ask if employee has an objection against any person present. If so, determine whether the objection has merits and take a decision on the point.


11. Ask employee if he/she understands the process and purpose of the appeal.


12. Request the employee/representative to lead any new evidence. The witness must make his/her statement / describe the incident or read his/her statement to all present.[Substantive part of hearing]


13. Allow the initiator opportunity to put questions to the witness and to indicate with which facts he/she does not agree


14. Chairperson may put questions to the witness to clarify issues.


15. Points 12 – 14 must be followed with every new witness.


16. After the employee/representative presented all evidence, the initiator will be allowed to make a statement and/or present evidence ito respond on the new evidence, if any. The procedure in 12 – 14 will be followed and the initiator may put questions to them.


17. Chairperson to ensure whether grounds of appeal relating to procedural fairness have been addressed, if not, put questions to initiator and/or employee/representative.


18. Request representative/employee to present arguments, i.e. why the appeal should be successful and add mitigating circumstances, if any.


19. Request initiator to present arguments why the appeal should not be successful and add aggravating circumstances, if any.


20. Adjourn and consider the minutes of the initial hearing, the procedures, the facts and the decision reached and the new evidence, plus the procedural aspects of the initial hearing.


21. Reconvene the appeal hearing and inform the employee of the outcome of the appeal.


CASE CONCLUDED

SIGNED : ……………………………..” (Appeal Chairperson) DATE: …………………..

Letter of Suspension

Date: …………………..

TO:……………………..(Employee)

Dear Sir / Madam

Kindly be informed that you are suspended from work and duties on full remuneration as from ………………………,(date), pending the outcome of an investigation with regard to allegations of the misconduct ………………………………………

An investigation will be conducted to determine whether allegations with regard to any misconduct have substance. In the event that a disciplinary hearing will be held you will receive proper notice. The suspension will last until further notice, alternatively until conclusion of a disciplinary hearing, if any.

You are instructed to be available and are reminded that you are not on leave and are still subject to the terms and conditions of your employment.

You have to report to ………………………………..(name of manager) every day at ………….(time).



________________________________ Manager Co.

Original handed to employee on ………………… date

Employee to sign for receipt of this notice: ……………………….


NOTICE TO APPEAR BEFORE

A DISCIPLINARY HEARING

Date:………………………

TO: (Employee):……………………………….

Dear Sir / Madam

Kindly be informed that you have to appear before a Disciplinary Hearing to answer on the allegation that you have committed the misconduct:

1. ………………………………………………………………..;, in that on or about / during the period ………………………………………….., you allegedly (specify particulars)……………………………………………………………

......................................................................................................

......................................................................................................

The hearing will be held on the ………. day of …………………………….....................…, in the office / room …………………………………………………….........…….. at the company building………………………………………………………....... and will commence at ………………………(Time)

The Chairperson will be …………………………………………..

You may submit voluntary statements / explanation indicating whether you intend to plea guilty / not guilty or admit any fact or allegation.

Kindly take note that you have the right to:

a) be represented/assisted by a fellow employee or shopsteward;

b) make use of an interpreter;

c) state your case / defence and present evidence;

d) put questions to any witness in your defence;

e) call witnesses or present documents in your defence;

f) If found guilty, present mitigating circumstances;

g) To appeal against the outcome of the hearing.

________________________________ [Signed Manager / Initiator]

Employee signed for receipt of notice:

Signature: ……………… Date & Time:…………………….

[OR, employee refused, notice left with him/her told to be at hearing: Signed ……………………..


WARNING

“TO: …………………………. DATE:………………….

(Employee)

Dear Sir / Madam

The Disciplinary Hearing held on …………………………… (date) concluded that your conduct constitute a misconduct. You have been found guilty of the misconduct ………………………………. In that on or about / during the period ………………………………… you have (particulars of incident)

………………………………………………………………………………………

………………………………………………………………………………………

You are given a

Written Warning

Final Written Warning

[delete which is not applicable]

This is your first / second / third warning. [delete which is not applicable]

You are advised to improve and correct your behaviour. Should you need any guidance, kindly request your superiors to assist you. You are warned that should you be found guilty of any misconduct in future, your employment might be at risk.

In case of a final written warning, or a third written warning, you should take notice that you have a last opportunity to improve your behaviour / conduct/ performance.

Kindly sign for receipt of this warning. If you are not satisfied with the findings, you have the right to appeal, but is required to still sign for receipt.

________________________________ Manager Co.

Original handed to employee on …………………………. (date) and a copy will be placed on your file.

Signature: …………………


Notice of Poor Performance

Written Warning

Date: ……………………

TO: …………………………….

(Employee)

Dear Sir / Madam

The conversation cum counseling session with myself /……………….. (name of supervisor) on ………………………………. (date of verbal warning) has reference.

It is confirmed that your work performance is not satisfactory in that you

[list poor performance, issues not done et cetera]

………………………………………………………………………………………

………………………………………………………………………………………

………………………………………………………………………………………

………………………………………………………………………………………

To enable you to improve your performance you are advised that the following should be attended to:

[List the requirements / criteria for improvement]

………………………………………………………………………………………

………………………………………………………………………………………

………………………………………………………………………………………

………………………………………………………………………………………

Should you need any further guidance or assistance to enable you to improve your performance you are invited to make an appointment as soon as possible with ………………………………… (name manager / supervisor).

It is required that should improve to meet the requirements set within three / four/ five / six weeks [delete which is not applicable].

Your performance will be re-evaluated on a continuous basis and should your performance not improve alternative steps will be taken, which might effect your future position or employment.

Thank You

________________________________ Manager

Original handed to employee on ………………….. (date)

L. Grievance Procedures

A grievance of an employee or group of employees can be:

 Any personal dissatisfaction, or

 Feeling of injustice with regard to the employment environment, or

 Any complaint with regard to treatment by colleagues or seniors, or

 Any dissatisfaction with regard to terms and conditions of service, or

 Feeling of unhappiness related to the employment environment.

The grievance procedure must be respected in the same way as the disciplinary procedure and not be disregarded by management or staff. It is a dispute preventative measure which builds the relationship and safeguards the employee against victimisation.

The pro forma grievance form must be used to ensure that the grievance is properly dealt with as soon as possible and to keep record of the action.

L.2 Purpose

The grievance procedure is intended to bring grievances of an employee to the attention of management.

The grievance procedure creates an in-house upward communication channel to resolve issues / grievances in a mutually acceptable manner without disruption of business operations

L.3 Guideline

Every grievance should be resolved on the lowest possible level, and therefore the following principles must be followed by the supervisor / manager dealing with the complaint / grieve.

 Allow employee to elaborate freely without interference.

 Listen and attempt to identify the real issue.

 Request employee to explain the desired solution.

 Interview other employees to determine the concern / grievance, if other employees were involved or are implicated.

 Determine the facts of the incident / grievance and summarise the facts briefly.

 Invite and facilitate possible solutions to the employee’s grievance and record it as objectively as possible.

 Suggest an action plan based on the proposed solutions to resolve the grievance and determine whether the action will be accepted.

 Explain the reasons for the action and the business operations to the employee.

 Give feedback if necessary of action taken or follow up on action plan and whether grievance was resolved.

 Advise the employee to seek higher authority if the suggestions were not accepted and provide the employee with the original completed grievance form and retain a copy

L.4 Grievance Procedure Steps to be followed by the Employee

“Step 1:” The employee should discuss grievance with his/her immediate supervisor on an informal basis. If the immediate supervisor is implicated, the employee is entitled to go directly to the manager of the supervisor.
“Step 2:” If the grievance is not resolved informally, the employee must obtain a grievance form from the Human Resources Department / Personnel Department and complete it. The employee may use the assistance of a shopsteward or colleague to formulate the grievance and the desired solution
“Step 3:” The employee must keep a copy of the completed grievance form, submit it to his/her supervisor and request a meeting within two days. The supervisor is obliged to grant a meeting within two working days. Ensure that the date of submission is indicated
“Step 4:” The employee must attend the appointment with the supervisor and explain the grievance in detail. A shopsteward or colleague may be present to provide assistance. The supervisor must minute the suggested solution and the reaction of the employee on the proposed solution / plan of action
“Step 5:” If a solution is found, or an action plan is accepted, the grievance is resolved and the detail must be indicated on the grievance form, of which the employee must keep a copy.
“Step 6:” If the grievance was not satisfactorily resolved, the completed grievance form must be handed to the employee and the employee must submit the form to the manager of the supervisor and request a meeting within two working days. The manager is obliged to grant a meeting within two days.
“Step 7:” The employee must attend the meeting conducted by the manager. The Manager must mediate the grievance to reach a solution / action plan to resolve the issue. The manager shall confirm the validity of the information on the grievance form and his/her recommended resolution and the reaction of the employee
“Step 8:” If a solution is found, or an action plan is accepted, the grievance is resolved and the detail must be indicated on the grievance form, of which the employee must keep a copy, and the Manager must forward the original to the Human Resource / Personnel Department.
“Step 9:” If the grievance remains unresolved, or the time period lapsed without any arrangement, the grievance may be submitted directly to either the office of the Managing Director or General Manager or Human Resource Manager for action, in which case the particular manager is obliged to follow Step 7 & 8.
“Step 10:” The decision of the respective manager with regard to the resolution of the grievance is final as far as the company procedure is concerned. The employee is entitled to a copy of the form and the original must be forwarded to the Human resource / Personnel Department to be placed on file.
“Step 11:” If the grievance remains unresolved, any other lawful avenues may be followed to resolve the grievance


Grievance Procedure Form

Name of Employee: ……………………………………........................................

Department / Section: ………………………………….........................................

Name of Employee’s Supervisor: ………...................................................

Date of Incident: …………………….… Date of submission: ….………..…

_____________________________________________ Description of Grievance / What is the problem?:

...........................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

[Use back of page if necessary]

_____________________________________________ Desired solution / What does the employee want?:

...........................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

..........................................................................................................................................................

...........................................................................................................................................................

Signature of Employee ………………………Signature of Representative………………….Date:………

_____________________________________________ Date of First Grievance meeting:

List names of persons present:: …………………………………………

...........................................................................................................................................................

Action / solution suggested to employee [Step 4]: ………………………

...........................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

Grievance has been resolved / action plan accepted
YesNo...
________________________________ Signature of Employee
________________________________ Supervisor / Manager
___________________________ Date


Grievance Procedure Form

Page Two of Two

Date of Second Grievance meeting: ………………………………………

List names of persons present: ……………………………………………

...................................................................................................................

Manager`s Summary of grievance: ……………………………………….............................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

Steps /Action taken by Manager to resolve grievance: …………….….............................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

Action / solution suggested to employee [Step 7]: ..............................................................................................................................................................

...........................................................................................................................................................

...........................................................................................................................................................

Grievance has been resolved / action plan accepted
YesNo...

Signature of Employee Supervisor / Manager Date

___________________________________________________

Received by Human Resource Department on …………………………….….. [date]

File

Mediate

Report Risk

Signature of HR Manager Action taken by HR Manager

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