KS Checklist

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• BUSINESS UNIT

• Date and time of the enquiry:

  Date

PARTICIPANTS:

Employee

• Employee Name

• Employee Number

• Employee Position

Chairperson of enquiry

• Name of Chairperson

• Employee Number

• Position of Chairperson

Employee Representative

• Name of Employee Representative

• Position of Representative

IMPORTANT NOTE TO CHAIRPERSON:

WHEN REQUEST FOR OUTSIDE REPRESENTATION BY THE EMPLOYEE

• Should the employee request outside representation, e.g. lawyer or union official, you should give the employee a opportunity to argue why it would be appropriate and fair to be afforded legal representation at the internal disciplinary proceedings and record those reasons. A request for legal presentation from an accused employee should, in other words, not be denied without giving the employee an opportunity to make representation on why he/she should be afforded legal representation at the internal disciplinary proceedings. The chairperson should then apply his/her mind and make a ruling on wether to deny or allow legal representation or outside representation. After you have recorded these reasons, adjourn the enquiry, reflect on these reasons AND contact the Regional HR Manager/Group IR Manager for advice. Then reconvene the enquiry and inform the employee of your decision. A Union Official or External Representative should however be allowed to wait on the premises should the employee wish to consult with them during the enquiry.

STAGE ONE: HEARING THE EVIDENCE

• Introduce yourself and ask the other parties to the enquiry (Initiator, employee and his/her representative and HR) to introduce them.<br><br>

  Yes

  No

  N/A

• "To ensure the accurate recording of the proceedings of this enquiry we will record the proceedings

  Yes

  No

  N/A

• "I as Chairperson will conduct this enquiry in English. Do you require an interpreter (Name)?

  Yes

  No

  N/A

• "I have been mandated by the Company to chair this enquiry."

  Yes

  No

  N/A

• "All queries/questions should be directed to me."

  Yes

  No

  N/A

• "I will control the enquiry and take my own notes."

  Yes

  No

  N/A

• TO COMPLAINANT/INITIATOR:<br>"You are here to state the company's case and lead evidence to prove the alleged contravention/misconduct of (Name of employee).

  Yes

  No

  N/A

• TO EMPLOYEE:<br>"You are here to state your case and lead evidence to discharge the alleged contravention/misconduct against you."

  Yes

  No

  N/A

• TO EMPLOYEE:<br>"You have the right to be represented by a fellow-employee or shop steward that is employed by the business unit. Do you have any representative?"

  Yes

  No

  N/A

• IF EMPLOYEE REPRESENTATIVE/SHOP STEWARD: <br>"You are here to assist the employee in his/her case"."Do you have mandate to represent (name of employee)."

  Yes

  No

  N/A

• "WITNESSES WILL BE CALLED IN BY CHAIRPERSON AT THE EMPLOYEE'S OR INITIATOR'S REUEST."

  Yes

  No

  N/A

• "DO YOU ALL UNDERSTAND YOUR ROLES?"

  Yes

  No

  N/A

• If any party answers "NO", explain further.

• Confirm whether the employee received written notification of the hearing and the charges and the date of the notification letter.

  Yes

  No

  N/A

• "Do you have sufficient time to prepare for your defense?"

  Yes

  No

  N/A

• If the answer is "NO" write down the reasons: (Note, if the reasons are given adjourn the enquiry and decide if you are going to postpone the enquiry).

Opening Statements

• "The enquiry will be conducted in the following manner."

• "I as chairperson will read out the charges against you."

  Yes

  No

  N/A

• "(Name of initiator) will lead the company's case/evidence, including witnesses."

  Yes

  No

  N/A

• "(Name of employee) will state his/her case/evidence including calling witnesses."

  Yes

  No

  N/A

• "Each party will be allowed to cross question the other party's evidence/witnesses."

  Yes

  No

  N/A

• "I will then consider all aspects of the enquiry, the facts and make a finding."

  Yes

  No

  N/A

• "If guilty, I will consider the mitigating factors put forward and all other factors having a bearing on this case and decide on the appropriate disciplinary action."

  Yes

  No

  N/A

• "Do all of you understand how the enquiry will be conducted?"

  Yes

  No

  N/A

Read Charges and employee plead

• Read out charges as per the notification letter given to (Name of employee) and the date of the notification letter.

  Yes

  No

  N/A

• "How do you plead to each of the alleged offenses?"

• CHARGE 1

  GUILTY

  NOT GUILTY

• CHARGE 2

  GUILTY

  NOT GUILTY

• CHARGE 3

  GUILTY

  NOT GUILTY

• CHARGE 4

  GUILTY

  NOT GUILTY

• CHARGE 5

  GUILTY

  NOT GUILTY

• CHARGE 6

  GUILTY

  NOT GUILTY

Company's Opening Statement

• To Initiator: "May I please have the Company's opening statement?"

  Yes

  No

  N/A

• NOTES:

Employee's Opening Statement

• To Employee: "May I please have your opening statement?"

  Yes

  No

  N/A

• NOTES:

Company's case

• (Initiator) you now have the opportunity to state the Company's case, including calling witnesses and submit evidence.

  Yes

  No

  N/A

• NOTES:

• WITNESS 1: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• WITNESS 2: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• WITNESS 3: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• WITNESS 4: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

Employee's Case

• (Employee) you now have the opportunity to state the Company's case, including calling witnesses and submit evidence.

  Yes

  No

  N/A

• NOTES:

• WITNESS 1: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• WITNESS 2: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• WITNESS 3: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• WITNESS 4: "(Witness name), you are called by the Company Representative to give witness relating to the following charges against (Name of Employee": Read charges.<br>You are required to state the truth and answer any questions."

  Yes

  No

  N/A

• NOTES:

• "Does either party have any further questions for this witness?<br>"Thank you, You may wait outside/return to work.

  Yes

  No

  N/A

• Chairperson to ask clarity on any evidence, if any.

  Yes

  No

  N/A

• "Do any of the parties have any further information to add?"

  Yes

  No

  N/A

• NOTE:

• Adjourn the hearing for a few minutes to provide both parties opportunity to prepare their closing argument.

Closing Arguments

• Ask the initiator to present closing argument

  Yes

  No

  N/A

• NOTES:

• Ask the initiator to present closing argument

  Yes

  No

  N/A

• NOTES:

• Adjourn the hearing for a few minutes for chairperson to prepare a summary of the evidence by all parties

Summary of evidence

• "Chairperson gives summary of the evidence:'

• Chairperson to ask: Can I confirm that all parties are satisfied with the proceedings up to this point?

  Yes

  No

  N/A

• Adjourn the hearing to another day to decide on the outcome of the hearing. Agree when the parties must reconvene for the outcome.

  Yes

  No

  N/A

• Record the date when parties will reconvene the hearing for the finding:

  Yes

  No

  N/A

STAGE 2: DECIDING ON GUILT OR INNOCENCE AND MITIGATION

• Privately consider the evidence on the balance of probabilities decide on guilt or innocence of the employee.

• Reconvene the enquiry and communicate your finding and the reason for it:

• "The following is my finding:"

  GUILTY

  NOT GUILTY

• :My reason for finding you guilty/not guilty are the following:"

• Provide employee with written notice of your finding and reasons thereof.

  Yes

  No

  N/A

Mitigation/Aggravation

• "As I find you guilty, you will now be given an opportunity to make representations on your mitigating factors:"

• Ask the initiator to present aggravating factors, if any.

• "I will now make a decision based on all factors before me. I wish to adjourn and suggest we reconvene at (Time)."

  Yes

  No

  N/A

STAGE 3: DECIDING ON AND COMMUNICATING APPROPRIATE SANCTION

• In private, consider the offense/s, mitigating factors, employee's service, performance, disciplinary record and any valid warnings on employee's file and then decide on appropriate penalty,

• Before giving a sanction of dismissal, please contact the Regional HR Manager/Group IR Manager for advice on consistency and dismissal as the appropriate sanction.

• Reconvene the enquiry and communicate the allegation against the alleged offender which I have been asked to consider as Chairperson of this hearing is as follows:

• Reconvene the enquiry and communicate your sanction and the reasons for it:

• I have considered all the facts, mitigating factors as well as your service record. I have decided to impose the following sanction:"

  Written Warning

  Final Written Warning

  Dismissal - with notice pay

  Summary Dismissal - without notice pay.

• "You have the right to refer this matter to the CCMA within 30 days after receiving this notice".

• Provide the employee with written notice of the sanction.

  Yes

  No

  N/A

• Chairperson

  Sign

• Date:

  Date

• Employee

  Sign

• Date:

  Date

• Employee Representative

  Sign

• Date:

  Date

• HR Representative

  Sign

• Date:

  Date