0. INTRODUCTION
The workforce is considered as an important component of the organisation and so the organisation shall endeavour to maintain and improve performance by its employees. It is for this reason that disciplinary action is regarded as a manner in which unacceptable or intolerable behaviour and unsatisfactory performance could be improved.
1. PURPOSE AND SCOPE
The purpose of the Disciplinary Procedure and sanctions is to enable employees to correct unacceptable or intorarable behaviour and improve unsatisfactory performance. It encourages all employees to achieve and maintain required standard of conduct, thus creating a healthy working relationship between the employer and employee. Punishment should be considered as a last resort in the event an employee fails to heed corrective action.
It shall apply to all Staff.
This procedure shall be used in conjunction with the Internal Staff Regulations.
2. PRINCIPLES
It is the human resource department’s responsibility to ensure that employees are aware of general and specific rules, standards and procedures laid down for the regulation of work and conduct. The role that should be played by the employees is to ensure that they read and acquaint themselves with procedure, rules and regulations, adhere to them fully.
The human department will form a disciplinary committee which will consist of the following personnel’s to assist in conducting disciplinary hearings:
- Human Resource Coordinator
- Personnel Administration Manager
- Head of any other department
- 1 staff representative.
In cases of minor misconduct or unacceptable performance or behaviour, supervisors should exhaust all other means of achieving the required standards before formal disciplinary action is taken. This will include setting clearly defined objectives and standards, monitoring them over a reasonable time period and providing additional coaching or training. In some cases, this may also include reference to other appropriate sources of counselling and assistance such as mediation from the HR department.
The employer must follow correct disciplinary procedures before being able to apply a sanction.
When commencing an investigation into an allegation of misconduct there shall be no assumption that disciplinary action will automatically follow.
At every stage of the procedure, workers will be advised of the nature of the complaint against them and will be given the opportunity to state their case before any decision is made.
The disciplinary committee investigating a case must decide if further action should follow and assess the level at which the disciplinary hearing should be held.
Disciplinary action will only take place where it is decided, following a disciplinary hearing, that misconduct had occurred and disciplinary action is appropriate.
Employees have the right to be represented by a co employee or work colleague of their choice at all stages of this procedure, including an investigatory, disciplinary, or appeal hearing.
Employees will not be dismissed for a first breach of discipline, except in the case of gross misconduct.
The disciplinary procedure may be implemented at any stage if the alleged misconduct warrants such action.
Employees have the right to appeal against any disciplinary penalty imposed to them to the highest authority in the organisation.
At all stages of the disciplinary procedure, all the staff involved must ensure the confidentiality of events and discussions. This will not hinder sharing such confidence when seeking advice. Any discussions with witnesses should be confined to the specific areas on which the witnesses may have information.
Any unreasonable breach of confidence may itself be treated as a disciplinary case of misconduct.
All formal letters sent to a worker under the terms of this procedure shall either be handed to her/him personally or sent by Recorded Delivery. Copies of all correspondence shall be sent to his/her representative (fellow employee/ worker).
3. THE PROCEDURE
Where discussion, coaching, training or other informal action fails to achieve the required improvement in performance or behaviour, or where the matter is more serious, the following procedure shall be undertaken:
- The relevant supervisor or line manager will identify and clarify the issue by establishing the essence of the problem.
- A meeting with the concerned staff to inform him of the problem raised against him/her.
- A letter of demand of explanation will be issued to the concerned staff.
- The concerned staff will reply within 48hours.
- The matter must be investigated in a systematic and thorough manner by gathering information promptly, establishing relevant facts and taking into account statements of witnesses if appropriate.
- The worker will be expected to attend any investigatory hearing called. S/he may be accompanied by a work colleague. The meeting will be recorded and a written statement taken.
- In serious cases, (Head of Mission) will have the power to suspend the worker, with full pay, pending investigation of the allegations. Suspension in these circumstances does not constitute disciplinary action.
- Following the investigation, the worker should be served with a letter of the allegations, the possible consequences and be advised of the intention to hold a disciplinary hearing.
- It is imperative that the employee should be afforded enough time to prepare for the case and therefore section 10 of the internal regulations shall apply.
4. DISCIPLINARY SANCTIONS/STEPS
Disciplinary action shall depend on the offence committed and as well as the sanction to be imposed thereafter as contained in the code of conduct. And shall include one or more of the following;
- Verbal Warning
- Written warning (First, Second, Final warning)
- Suspension with or without pay
- Termination
- Summary dismissal for gross misconduct.
Stage 1- verbal Warning
A verbal warning shall be accompanied by counselling.
A verbal warning may be issued in the event of any minor form of misconduct or poor performance contained in the disciplinary Code for which verbal warning is justified.
The employee would be notified of the action that would be carried out should the offence be repeated.
Stage 2 – Written Warning
A written warning is taken in the event of a disruptive behaviour of an Employee. The objective is to formally notify the Employee, to redirect him/her to his/her obligations and responsibilities, and request that he/she corrects this behaviour and/or refrains from similar actions in the future.
A written warning shall be signed by the supervisor/line manager of the staff with the HR department as a witness.
The Employee must acknowledge receipt of the warning by signing the warning letter. In case the subject Employee refuses to sign, BRAINWAVE shall request two fellow Employees to witness and sign the warning letter and the subject Employee shall be deemed to have received the warning personally.
A written warning will remain valid for a period of twelve (12) months after it is issued. After that, it will remain in the Employee’s file but cannot be accumulated with other warnings for the purpose of further disciplinary action.
Final Written Warning will be given after previous written warnings have been issued or in the event one of the more serious offences has been committed. This shall expire after 12 months.
Stage 3- Suspension with or without pay
Suspension with pay is not a disciplinary action and shall be on full pay. It should only take place where the allegation being investigated would, if substantiated, constitute gross misconduct or where it was considered in the best interest of all parties if the worker was not to remain at work. Such suspension will only be imposed after careful consideration and will be reviewed to ensure it is not unnecessarily protracted.
Suspension without pay is a sanction that involves the temporary suspension of the employment of contract without payment of the salary, for a maximum of fifteen (15) days in any six (6) months.
Stage 4 and 5 – Termination and Summary Dismissal.
If conduct or performance is still unsatisfactory and the worker fails to reach the prescribed standards, or if the offence constitutes gross misconduct, dismissal will normally result.
The worker will be provided with written reasons for dismissal, the date on which his/her employment will terminate and be advised of the right of appeal.
BRAINWAVE manager may have recourse to disciplinary dismissal when the misconduct is sufficiently serious to justify permanent exclusion from the mission.
Dismissal for misconduct may also be used after the issue of three written warnings (or fewer, depending on the terms of the internal regulations).
5. CATEGORIES OF DISCIPLINARY OFFENCES
Misconduct is defined as failure in personal conduct, persistent poor performance or deliberate infringement of policies, rules and procedures. In order that a consistent approach is made in treatment of disciplinary cases, a suggested list of possible disciplinary offences follows.
The list is provided as a guideline. The decision to take disciplinary action or the sanction imposed may vary according to the exact circumstances of the case. Reasons for disciplinary action may include but are not limited to:
(Refer to sections 2 and 10 of the Internal Regulations)
CATERGORY 1: VERY SERIOUS OFFENCES: Non-Exhaustive
| Offence | DESCRIPTION | First offence | Second offence | |
| DISHONESTY | ||||
| 1. Theft | Theft or unauthorised possession of company, or another employee’s property | Dismissal | ||
| 2. Bribery | Giving or receiving or attempting to give or receiving any bribe to perform a corrupt act. | Dismissal | ||
| 3. Fraud or Forgery | Falsifying records, information results sick certificates for personal gain. | Dismissal | ||
| 4. Misappropriation | Using company money for any unauthorised purpose. | Dismissal | ||
| 5. Gross negligence | Intentional failure to exercise proper care and regard to the manner of executing each person’s duties, such that other employees, are injured in the process. Failure to comply with rules, regulations, and procedure. Being negligent in the performance of duties. | Dismissal | ||
| 6. Unauthorised use of employer’s property | Intentional use of employer’s property without permission (for example; cars, drugs, computer: non exhaustible list) | Dismissal |
CATERGORY 2- SERIOUS OFFENCES: Non-Exhaustive
| OFFENCE | DESCRIPTION | FIRST OFFENCE | SECOND OFFENCE | THIRD OFFENCE |
| BEHAVIOR OR ATTITUDE | ||||
| False Testimony | Intentional false testimony to protect somebody or to hide the reality of a given situation | Final Written Warning | Dismissal | |
| Alcohol and illegal drug consumption | Under the influence of alcohol or any kind of drugs | Final Written Warning | Dismissal | |
| Unauthorised absence | Absence without authority and knowledge of your employer. | Final Written Warning | Dismissal | |
| Fabrication of Information | Intentional fabrication of information to tarnish someone’s reputation and image. | Final Written Warning | Dismissal | |
| Breach of Confidentiality | Divulgence of professional confidential information. | Final Written Warning and Dismissal | Dismissal | |
| Insolence | Offensive, condescending action. Showing contempt towards authority, being rude and disrespectful. | Final written warning | Dismissal | |
| GROSS INSURBODINATION | Rebellious, unsubmissive. Unruly | Final Written Warning | Dismissal | |
| SLEEPING ON THE JOB | Sleeping while on duty. | Final Written Warning | Dismissal | |
| Use of abusive language / physical abuse | Swearing at, using abusive language, words to or inflicting bodily harm. | Final written Warning and Dismissal | Dismissal | |
| PERFOMANCE | ||||
| 1. Poor or unsatisfactory work performance | Not performing up to required standard. Output not due to incapacity ill health or lack of training or any other valid reason | Written Warning | Final written Warning | Dismissal |
| Horseplay | Playing in the work place during working hours. FOOLING around such that other employees are being endangered in the process. And as well as equipment. | Written Warning | Final Written warning | Dismissal |
| 2. Negligence | Failure to exercise proper care and regard to the manner of executing each person’s duties, such that other employees, are injured in the process. Failure to comply with rules, regulations, and procedure. Being negligent in the performance of duties. | Written Warning | Final Written warning | Dismissal |
| 3. Refusal to obey Instruction and Procedure | Refusing to adhere to a reasonable and lawful legal instruction and procedure given by any person in authority. | Written Warning | Final Written warning | Dismissal |
CATERGORY 3-LESS SERIOUS: Non-Exhaustive
| OFFENCE | DESCRIPTION | FIRST OFFENCE | SECOND OFFENCE | THIRD OFFENCE | FOURTH OFFENCE |
| 1ARRIVING LATE AT PLACE OF WORK. OR POOR TIME KEEPING | Arriving late at work, leaving early taking extended breaks. | Counselling Verbal Warning | First written warning | Final Written Warning | Dismissal |
Note: Nothing in this procedure shall affect a worker’s right to make a complaint in accordance with relevant employment legislation. It is recommended that before taking such action the worker seeks appropriate legal advice.
6. DISCIPLINARY HEARING
The Disciplinary committee will conduct the disciplinary hearing.
The worker’s immediate supervisor who has conducted the investigation will be the Presenting Officer responsible for presenting the case against the employee.
The worker has the right to be accompanied and assisted by work colleague.
Where possible, a note-taker, who must be uninvolved in the case, will take down a record of the proceedings.
Witnesses should not be present throughout the hearing. They should be called in, one by one, to give their evidence and asked to withdraw once they have done so.
The Presenting Officer (Human Resource Coordinator) will open the proceedings with an explanation of the purpose of the hearing and the procedure to be followed, introducing those present. S/he will read aloud the allegations and ask the employee if he/she wishes to take the opportunity to admit or deny them.
- If the worker admits the allegations, s/he will be asked if S/he or the representative wish to offer any explanation for the misconduct or to have any mitigating circumstances taken into account.
- The employee, his/her representative shall withdraw and the disciplinary committee will deliberate on the case.
- If the worker denies the allegations, the following steps will take place:
- The Presenting Officer will state the case against the worker in the presence of the worker and his/her representative.
- The worker or his/her representative shall be given an opportunity to reply to the allegations and ask questions of the Presenting Officer.
- The Presenting Officer may call witnesses.
- The worker or his/her representative shall have the opportunity to question any witnesses called by the Presenting Officer.
- The Disciplinary Committee (or Panel) may ask questions for clarification of the Presenting Officer and any witnesses.
- The Presenting Officer shall have the opportunity to ask questions of the worker, his/her representative and of any witnesses called by the worker
- The employee or his/her representative shall defend his/her case in the presence of the Presenting Officer.
- The Presenting Officer shall have the opportunity to sum up the case against the worker, but may not introduce any new material.
- The employee or his/her representative shall have the opportunity to sum up the his/her case, but may not introduce any new material.
- If recall is necessary, both parties are to return regardless of the point giving rise to doubt.
- The Disciplinary committee shall consider the case in private:
S/he must first decide whether on the balance of probabilities, taking due regard of all the facts, the case against the worker is proven.
If the case against the worker is proven, and before imposing a disciplinary penalty s/he must consider:
- the level of disciplinary penalty indicated by the procedure;
- any special, mitigating circumstances which might make it appropriate to lessen the penalty;
- the worker’s disciplinary record, general record, position and length of service;
- whether there are any other ‘live’ warnings;
- how the organisation has dealt with similar cases in the past;
- Whether the proposed penalty is reasonable in view of all the circumstances.
- The Disciplinary committee shall inform the worker of the decision at the conclusion of the deliberations, if practicable. In any case, s/he shall provide the worker with written confirmation of the decision within five working days of the hearing. This will include notifying the worker of his/her right of appeal and the procedure to be followed.
7. CRIMINAL OFFENCE OUTSIDE BRAINWAVE
An employee will not be dismissed or otherwise disciplined simply because s/he has been charged with or convicted of a criminal offence outside. The consideration will be whether the conduct warrants action because of its employment implications. However, where the conduct requires the ORGANISATION prompt attention; there will be no need to await the outcome of the prosecution before taking reasonable action.
8. FAILURE TO ATTEND A DISCIPLINARY HEARING
If a worker is unable to, or decides not to take part in any of the meetings under this procedure, s/he must notify the manager responsible for conducting the meeting in writing, specifying the reasons for non-attendance. This must be done 48 hours in advance of the meeting.
If sickness prevents a worker from attending, then normal procedures for informing sickness absence apply.
If a worker does not attend a disciplinary hearing and does not provide prior written explanation giving reasonable justification of non-attendance, the disciplinary Committee will send the worker a recorded delivery letter. The letter will instruct him/her to attend a hearing at a new date which may include an additional charge of failure to attend and inform.
If the worker does not attend the disciplinary hearing at this new date and time and does not provide prior written explanation giving reasonable justification for non-attendance, the disciplinary committee will proceed to hold the hearing at the set date inviting the worker’s representative to be present. Such a hearing will normally include the additional charge of failure to attend and inform.
9. APPEAL
A worker may appeal against any formal disciplinary action taken under this procedure to the highest authority of the organisation (HoM). Theappeal may be lodged against the decisions of the disciplinary hearing as regard to the finding and/or outcome. It may also be lodged against failure to follow this procedure adequately.
The employee shall appeal in writing against a disciplinary decision, within ten working days of receiving written notification of the disciplinary action, stating grounds for appeal.
Any supporting documents should be submitted together with the letter of appeal.
The Appeal Shall be chaired by the highest authority within the organisation other than the person who acted as the presiding officer at the disciplinary hearing.
At the appeal hearing the employee shall enjoy the same rights as at the initial hearing i.e. disciplinary hearing.
The proceedings of the hearing shall be minuted, verified by the parties and filed for future purposes. These records (in writing or tape) will be kept confidential and retained in accordance with this disciplinary procedure.
It is prohibited to apply any discriminatory sanctions based on the employee’s sex, age, trade union activity, physical appearance or sexual preference, and more generally anything related to the employee’s personal life.
The choice of the sanction implies consequences for the employee and requires that BRAINWAVE can actually prove the reality and seriousness of the misconduct. In order to prevent the risk of disputes it is necessary to assess what BRAINWAVE can actually prove, and whether financial sanction on the employee is appropriate.
It is better to have a successful dismissal for simple misconduct, than an unsuccessful or disputed dismissal for serious misconduct.