HR Manual


Contract of Employment………………………………… ……..
Working hours……………………………………… …………….
Duty Station…………………………………… ……………….
Confidentiality…………………………… …………………….


Introduction……………………………… …………………….
Objectives………………………………… ……………………
Recruitment Authorisation Procedure…………………………….
Newly Created or Restructured Positions
Employment Procedure………………………………… ………
Employment Interview Panel……………………………………...
Age……………………………………… ……………………...
Appointment………………………………… …………………….
Personal Data……………………………………… ……………
Staff Transfer…………………………………… …………………
Induction………………………………… ……………………..


Introduction……………………………… ……………………..
Objectives………………………………… …………………….
Responsibilities of Manager/Supervisors………………………….

The Performance Management Process

3.4.1 Performance Planning ………………………………………
3.4.2 Monitoring..……………………………… ………………..
3.4.3 Performance Summary……………………………………
3.4.4 Recognition………………………………… ………………..


4.1 Introduction……………………………… ………………………..
4.2 Objectives………………………………… ………………………
4.3 Process and Criteria…………………………………… …………….



Introduction……………………………… ………………………..
Procedure and Documentation……………………………… …….
Special Cases……………………………………… …………………

Classification of Offences
6.4.1 Absenteeism………………………………… ………………
6.4.2 Offences related to Control at Work…………………………
6.4.3 Offences relating to indiscipline or disorderly behavior…….
6.4.4 Offences related to dishonesty……………………………….
6.4.5 Industrial Action…………………………………… ……..

6.5 Penalties
6.5.1 Verbal Warning…………………………………… ………
6.5.2 Recorded Warning…………………………………… ……
6.5.3 Severe Warning…………………………………… ………
6.5.4 Final Warning…………………………………… ………..
6.5.5 Dismissal………………………………… ………………..
6.5.6 Demotion…………………………………… ………………..
6.5.7 Transfer…………………………………… …………………
6.5.8 Alternative Penalty to Dismissal……………………………..
6.5.9 Dismissal Procedure………………………………… …….

Disciplinary Appeal Procedure


Introduction……………………………… ………………………..
Objectives………………………………… ……………………….
Procedure and Guideline………………………………… ………..


8.1 Introduction……………………………… ………………………...
8.2 Termination by Notice…………………………………… ……….
8.3 Retirement………………………………… ……………………….
8.4 Death of Staff Member…………………………………… ……….
8.5 Certificate of Service…………………………………… …………
8.6 Discharge Form……………………………………… …………….


9.1 Introduction……………………………… ………………………...
9.2 Objectives………………………………… ……………………….
9.3 Consultation……………………………… ………………………..
9.4 Assistance from SBCGT……………………………………… ………
9.5 Retrenchment Procedure………………………………… …………



11.1 Introduction……………………………… ………………………
11.2 Appointment………………………………… ……………………..
11.2.3 Terms of Service…………………………………… ………….
11.4 Short Term Consultants………………………………… ………….


12.1 Introduction……………………………… ………………………
12.2 Objectives………………………………… ……………………..
12.3 Security…………………………………… ………………………..
12.4 First Aid……………………………………… ………………….
12.5 Visitors…………………………………… …………………………
12.6 Smoking…………………………………… ……………………..
12.7 Emergencies………………………………… ………………………
12.8 Office Services…………………………………… …………………


13.1 Transfers………………………………… …………………….
13.2 Out of Station Travel on Official Duty…………………………
13.3 Overseas Trips……………………………………… ………………….
13.4 Travel Advances…………………………………… …………………….
13.5 Reimbursement of Expenses…………………………………… …


14.1 Introduction……………………………… ……………………….
14.2 Objectives………………………………… ………………………
14.3 Rights of Positive Employees………………………………… ….


15.1 Introduction……………………………… …………………….….
15.2 Objectives………………………………… ………………………
15.3Procedure……………………………… …………………………..


Appendix 1: Contract of Employment
Appendix 2: Employment Authorization Form
Appendix 3: Employee Personal Data Form
Appendix 4: Supply upward Feedback for Employees
Appendix 5: Supply upward Feedback for Supervisors
Appendix 6: Study Loan Application Form
Appendix 7: Complaint Form
Appendix 8: Notice of Disciplinary Hearing
Appendix 9: Grievance Form
Appendix 10: Field Travel and Authorisation Form
Appendix 11: Overseas Travel Form
Appendix 12: Reconcile Travel and Related costs

Org Structure



1.1 Contract of Employment

A Contract of Employment stipulating all the conditions of employment shall be signed by all employees on the first day of employment. See Appendix 1.

1.2 Working Hours

The workweek comprises a minimum of 40 hours, beginning Monday and ending Friday of each week. The official working hours are form 8h00am to 17h00pm with one hour brake between 13h00 and 14h00 for lunch. Each employee is required to put in at least eight hours per day. However the nature of work may require some variation and extension of these times. The Chief Executive Officer or his/her delegate must approve any deviation from
these hours. Refer to Section 27 of the Labour Act, 1992 (Act 6 of 1992).

1.3 Duty Station

Duty station shall be stated in the letter of appointment and any transfer to other field offices shall be communicated in writing. The workstation for each member of staff shall be specified in the letter of appointment. Employees will however be required to report to the SBCGT Head Office before proceeding to their place of posting. They shall meet their travel costs to Head Office while SBCGT shall meet the travel costs from Head Office to the place of posting. Where the employee is to report straight to their workstation, the employee shall meet the travel costs. Transfers are fully discussed in the policy for Staff Movements.

1.3 Confidentiality

All information related to SBCGT’s operations or future endeavours, shall be treated with udmost confidentiality.



2.1 Introduction

Recruitment and Selection aim to search and hire suitable candidate to fill vacancies in SBCGT with the view to satisfying human resources needs. The search may be internal and/or external.

Any position within SBCGT that become vacant will be filled, on completion of a requisition form by the immediate supervisor. Restructured on newly created positions will only be activated upon approval from the board.

The success and adaptability of a Company depends upon the recruitment of employees who are flexible, adaptable and committed to the success of the SBCGT.

2.2 Objectives

This section aims to promote and maintain high standards of professional recruitment practice by encouraging recruiters to adhere to best practices.

Its purposes are to:

a) Ensure that recruitment is considered an essential part of the human resource
b) Strategy and consequently an integral part of the overall business strategy;
c) Ensure and explain best practice for all types of recruitment;
d) Maintain professional standards whether recruits are easy to find;
e) Ensure that equality of opportunity is considered an integral part of good recruitment practices and procedure;

2.3 Recruitment Authorization Procedure


All authorisation procedure detailed below must be completed prior to the commencement on
any recruitment procedure.

a) Prior to the employment of any employee the Employment Authorisation Form (Appendix 2) must be completed.

b) The employment of all individuals for budgeted positions within SBCGT must be authorised by the Department Head and Chief Executive Officer.

c) Employment of Personnel to the position of Manager of Departments will require the authorisation of the Chief Executive Officer.


a) The Department Manager will complete the Employment Authorisation form.

b) The Department Manager is responsible to ensure correct authorization
procedures have been complied with.

c) The Department Head will provide the Human Resources Officer with a fully authorised Employment Authority Form and instruct commencement of Recruitment.

d) The Human Resources Officer will control that the correct authorisation has been obtained. When all is in order they shall commence the recruitment process.

2.4 Newly Created or Restructured Positions

Authority shall be vested in the Board to consider request for the activation of a newly created or restructured position.

a) Activation of a position shall be allowed by the submission of an Employment Authorisation Form by the Department Manager to the Human Resources Officer.

b) Once the need to fill a vacancy has been identified, the Department Manager will submit a motivated recommendation to the Board for the activation of the position.

c) Internal Advertisements shall be sent via e-mail or other means to all employees by the Human Resources Officer, while external advertisements shall be placed in specified local newspapers.

2.5 Employment Procedure

a) The Human Resources Officer shall receive all applications for employment and shall acknowledge receipt thereof in writing. All applicants for employment shall be addressed to the Human Resources Officer.

b) The Human Resources Officer shall sort all applications that meet the minimum appointment requirements as advertised, and then forward these applications to the Department Manager concerned, together with a full list of all applications received.

c) The Department Manager, in consultation with the Human Resources Officer, shall draw up the shortlist of candidates for interviewing.

d) The Human Resources Officer shall invite the short listed candidates for interviews, and will ultimately make a recommendation to the Chief Executive Officer for appointment.

e) SBCGT shall bear subsistence and travel and travel expenses of short listed candidates from places other than the duty station. A summary of the interviews shall be prepared by the Human Resources Officer and kept for record purposes.

f) The Human Resources Officer shall ensure that Reference Check on shortlist candidates is done, and then the employment offer in consultation with the relevant Department Manager to the selected candidate which upon acceptance shall be followed by an appointment letter signed by the Chief Executive Officer or his/her delegate. Once the selected candidate has accepted the employment offer, the Human Resources Officer shall send regret letters to all the unsuccessful candidates.

2.6 Employment Interview Panel

The Employment Interview Panel shall be provided with the ground rules of and procedures for interviewing (by the Human Resources Officer) prior to the actual commencement of interviews.

The Panel shall consist of the following persons:

a) The Department Manager concerned
b) The Human Resources Officer
c) For Management Positions the CEO as well as a selected Board Member shall attend
2.7 Age

SBCGT shall, in terms of section 42(b) of the Labour Act 1992 Act 6 of 1992), not
employ any person under the age of (16) years.

Applicants of sixty (60) years and older can only be appointed on approval by the Chief
Executive Officer or by the Board. Employees so appointed can only be appointed can only
be appointed in a temporary capacity, and such cannot become members of the pension Fund.

2.8 Appointment

All staff will be appointed by the SBCGT Board of Trustees or as delegated

Letters of Appointment: The formal letter of appointment will bear the signature of the Chief Executive Officer or as delegated. The letter shall require the signature of the appointee before the appointment is considered effective.

Job Description: On appointment, an employee shall be given a job description. This shall specify the scope and terms of reference for their position. Each member of staff is expected to devote their time and attention to their work and not engage in activities that may conflict with SBCGT’s interests or negatively affect their performance. Job Descriptions shall be reviewed yearly.

Probation: Any appointment made on SBCGT shall be subject to a probation period as specified in the letter of appointment. One month towards the end of the probation period, employee’s immediate supervisor shall make an appraisal report recommending a confirmation or termination of the employee’s services. Where necessary, the probation period may be extended as considered necessary by SBCGT. An employee who is on probation may have his appointment terminated at any time without notice. In the event of such termination, the employee is paid for the period worked up to the time of termination
Confirmation of appointment. On recommendation from the immediate supervisor, the Chief Executive Officer shall in writing, confirm the appointment

Duration of employment: Unless otherwise stated, employment for all staff shall be on permanent basis subject to satisfactory completion of the probation period and availability of funds.

2.9 Personal Data

On acceptance of an appointment, the new staff member is required to complete the Employee Personal Data form - (See Appendix 3). New employees must also furnish SBCGT with a declaration of dependants, that is spouse and own children; next of kin and provide photocopies of certificates and other testimonials.

Any changes in personal status shall be reported promptly to the Human Resources Officer by completing a fresh Personal Data Form. Staff records and related correspondence shall be treated confidentially at all times.

2.11 Induction

All new staff shall undergo induction training to assist them in the process of becoming integrated to the institution within the shortest time possible. The respective immediate supervisor in collaboration with the HR Officer shall conduct induction training. See checklist for induction as Annexure:


3.1 Introduction
Decisions concerning career development, promotion, succession planning and compensation depend on information provided through effective performance management. The new SBCGT will therefore ensure that all new employees understand the requirements of their jobs as well as the expected results. The actual assessment of how well they have done will be undertaken at the end of each year through a comprehensive appraisal of their performance in relation to these expectations.
3.2 Objectives

Staff appraisal is often viewed as a punitive measure where most junior staff looks it as a time when their seniors would get even with them for whatever reason. SBCGT will therefore seek first to promote a healthy understanding of this process in terms of being an avenue to promote dialogue between staff and management as well as a system through which specific needs of staff are identified and brought into the limelight. Specifically, the appraisal process at SBCGT will be undertaken to:

a) review performance of the staff against assigned tasks and responsibility
b) identify the areas of weaknesses and provide positive feedback to the staff on their individual and team performance;
c) identify the areas of strength in each staff
d) identify staff who can be developed to take up increased responsibilities
e) identify the staff training needs
f) create a basis for rewarding superior performance
g) plan for the following year
3.3 Responsibilities of Managers/Supervisors
Managers/Supervisors are responsible for conducting substantive discussions and taking conclusive performance-related actions. These actions include selecting or
a) developing performance plans,
b) communicating outcomes and expectations to employees,
c) establishing employees' development plans,
d) providing performance-related feedback to employees at prescribed intervals,
e) preparing end-of-cycle summaries,
f) and discussing the summaries with employees.
3.4 The Performance Management Process:
3.4.1 Performance Planning
3.4.2 Monitoring
3.4.3 Performance Summary
3.4.4 Recognition


A Performance Plan is a written document between an employee (or team) and his or her manager. The performance plan describes what has to be done during the performance cycle, how well it has to be done, and how the accomplishment will be measured. This part of the plan is based primarily on the goals of SBCGT and the employee's job description

Performance Management shall be a continuous process with the following timeframes attached:


Performance Summary from previous year
a) Supervisor provides a consolidation of employee accomplishments throughout the performance cycle, synopsis of formal feedback received during the performance cycle, and highlights of developmental activities undertaken during the period.
b) Employee provides a self-assessment of accomplishments (outcomes/expectations and developmental activities) completed during the performance cycle.
· Description of Actual Performance
· Major Accomplishments - Identify the most important accomplishments achieved during this performance cycle that applies directly to you position.
· Other Accomplishments - Identify other accomplishments achieved during this performance cycle.

Performance Plan jointly developed for upcoming year
a) Supervisor provides work assigned to Department, work assigned to employee, goals/objectives for Department (cascaded down from organizational goals), and any other needs for accomplishment of departments goals/objectives.
b) Employee provides own objectives for accomplishment of SBCGT/Departments goals/objectives and individual developmental needs, if any, for upcoming performance cycle.
c) Required resources to accomplish the assigned work and objectives that are identified within the jointly developed performance plan.


Check-in meeting (Requested by employee)
a) Check the performance plan for reasonableness against the plan based on 3 months experience, modify if necessary
b) Employee informs supervisor of resource needs, if any, required to accomplish agreed upon performance plan
· Examples: Skill set; time; equipment etc.

Mid cycle meeting
a) Formal feedback session
b) Employees provide self assessment to supplement supervisors' assessment


a) Employees supply upward feedback, through an anonymous automated system, which goes directly to the supervisor. Form to be completed attached as Annexure

b) Supervisors supply upward feedback to their managers through an automated system, anonymity determined by supervisors. Form to be completed attached as Annexure
Requirements for Temporary Positions: A performance plan should be established in all cases where the duration of the temporary employee is uncertain. A new performance plan must be established when a an employee is scheduled to work for 90 days or longer.
Monitoring is the process of making accurate and objective performance observations based on the outcomes and expectations contained in an employee's performance plan. In addition, the manager will provide timely feedback throughout the performance cycle to encourage employees to maximize their performance. Performance observations will be provided from multiple sources.
Employee's role: Provide self-evaluation twice per performance cycle, and provide upward feedback once during the performance cycle. If applicable, provide performance input as a peer, customer, or key members of cross functional teams/interface groups.
Manager's role: Collect data, provide feedback, make performance observations, document results, and manage overall process.
Application to teams: When using this process in a team setting, the following need to be considered:
a) Team has a strong peer input feedback mechanism in place.
b) Each team member must be willing to supply self-evaluation of the team's performance.
Managing unacceptable performance: If at any time during the performance cycle the employee is not performing to the level agreed upon in the performance plan, the employee is placed into an opportunity to demonstrate performance, or any other applicable performance improving tool in an attempt to bring the employee's performance up to an acceptable level.
The performance summary is a consolidation, discussion, and acknowledgement of employee accomplishments and effectiveness throughout the performance cycle.
a) Provides an assessment of actual achievements based on the outcomes and expectations contained in the performance plan.
b) Includes a synopsis of formal feedback received during the performance cycle.
c) Contains highlights of developmental activities undertaken during the period.
The performance summary represents the review of record for the performance cycle.
Performance summaries may be used for:
a) Identifying developmental needs.
b) Determining compliance with the agreed upon performance plan.
c) Analyzing individual [or team] performance.
d) Basis for individual recognition.
e) Basis for team acknowledgement/recognition.
f) A point of consolidation of feedback from the performance cycle.
Performance summaries may not be used for:
a) Merit promotion eligibility.
b) Reduction in force.
c) Automatic triggers for increases to base pay and/or cash awards.
Frequency: Typically the performance summary is an annual process of documentation and discussion between a manager and an employee. This discussion shall occur within 30 days from the end of the performance cycle.
There are several conditions under which a performance summary may occur more frequently. They include instances where
a) the performance plan represents a cycle shorter than a year.
b) the performance plan changes significantly during the year.
c) an employee transfers to another job, department, section, team, division, etc.
d) an employee is on a temporarily for a minimum of 90 days.
e) an employee’s manager transfers to another job within the or leave the SBCGT.
Time under performance plan: An employee must be in his or her current performance plan for 90 days to receive a performance summary. This 90-day requirement also applies to details. If a performance cycle includes a detail of 90 days or greater, the performance summary for the performance cycle may include the performance summary for the detail period.
Documentation: A narrative discussion of the individual performance compared to the outcome(s)/expectations(s) as spelled out in the performance plan. The summary is a narrative describing employee accomplishments of the agreed upon outcomes/expectations in the performance plan. The relationship of the narrative and the plan represents the employees' annual performance review.
Recordkeeping requirements: The performance summary of record shall be maintained in the Personnel File.
Relationship to performance based pay systems: The performance summary may be used as a factor in determining eligibility for a pay increase in a performance based pay system.
Application to Teams: Teams can receive performance summaries; however, the accomplishments of a team cannot be a primary or secondary outcome of an individual's performance plan. Additionally, a team performance summary does not eliminate the requirement for an individual performance summary.
Requirements for departing/transferring managers: A departing/transferring manager should provide a performance summary for each of his or her employees before leaving. In a situation where a manager leaves his or her position within the last 90 days of a performance cycle, the departing/transferring manager should close out the current performance cycle by completing and providing a performance summary for each of his or her employees. As a result, the new performance cycle may cover up to 15 months.
A means of acknowledging employees for sustained outstanding performance/service and providing incentives to continue provide outstanding performance/service. Recognition should be linked to performance outcomes. For example, employees should be recognized/rewarded for being results-oriented and customer-focused. Other contributing factors could be increased morale, contribution to team cohesiveness, contribution to the success of the performance management process, etc. Recognition does not necessarily have to be linked to a bonus system, but can be for e.g.; time off, chance to attend conferences of choice etc.
COMPLIANCE: At an appropriate time during the performance cycle, upward feedback will be used to assess manager compliance in supplying performance feedback based on the agreed upon outcomes/expectations found within the managerial performance plan. Since the feedback is for self-development, it shall be confidential between the employee and his or her manager.

4.1 Introduction

SBCGT strongly believes that a well-trained and efficient workforce is crucial for the development of any institution. As such, SBCGT will always strive to attract and retain employees of the highest caliber.

To achieve this, SBCGT will recruit all levels of staff strictly on merit. After their engagement, the trust will further provide them with opportunities to advance skills and professional expertise as well as give them adequate exposure.

4.2 Objectives

The objectives of the Training and Development Policy are to:

a) Explicitly communicate the commitment of SBCGT’s Board Members, Chief Executive Officer, and Management to the training and development of all employees, primarily customised to suit the business philosophy, mission, vision, and Business Plan;

b) Ensure that training and development are offered to employees of SBCGT

c) Recognise the fact that training and development can only take place when matching resources are properly planned and budgeted for and be utilised exclusively for training;

d) ensure that need-based training and development interventions are equitably distributed to all categories of staff and at all levels of SBCGT, with particular emphasis on the lower ranks;

e) Ensuring equal opportunity in training and development within all Department of SBCGT.

f) Develop and maintain a pool of suitably qualified staff (technical, administrative and professional) at SBCGT;

g) Ensure that provision is made for understudies to replace Non-Namibians at the expiry of their contracts;

h) Create an environment that is conducive to self-development and career advancement of staff members;

i) Provide financial and supportive assistance, within the confines of available financial resources in terms of Study Loan Fund;

j) To contribute towards building a national pool of qualified and skilled Namibians through the provision of Exchange Programmes.

4.3 Process and Criteria

SBCGT will as much as is possible handle staff training as an integral part of its institutional development. It will endeavor to train its staff continuously and impart them with new skills, through some of the following ways:

  • SBCGT shall from time to time identify training courses, seek funding, and identify staff to attend such courses, which shall include exchange visits to relevant successful SME organizations.
  • SBCGT will also encourage staff to pursue further training on their own, which it could also support whenever there are funds available;
  • Professional staff such as certified accountants, economists, bankers, etc, shall be encouraged to attend functions organized by their respective professional bodies.

Training or development programme shall only be offered after a through needs assessment by the Human Resources Officer in consultation with the Department Managers.

SBCGT places a high premium on human resources training and development. Hence, nominees are obliged to attend courses nominated for and agreed upon. Failure by a nominee to attend a course amounts to misconduct and will be dealt with in accordance with the Disciplinary Code.

In the event where a nominee cannot attend a particular course for one or the other reason, such nominee should inform the Human Resources Officer in writing at least five working days before the commencement of the course through his/her supervisor. Shorter notice through the same procedure shall only apply in the event of unforeseen circumstances, such as illness, death, unplanned leave, and the like.

Trainees shall be nominated by their respective immediate supervisors with relevance to their
Performance Plan, whereupon the Human Resources Officer will consider such nominations
for confirmation, or otherwise.

Employees who have been granted special leave to attend delegations and short courses within and outside Namibia shall be required to submit brief reports thereon, within five (5) working days upon return, to the Human Resources Officer through his/her supervisor who in turn will recommend specific interventions to the Chief Executive Officer.

Any training identified by individuals shall also be considered. Where these activities are deemed important by SBCGT, an equitable selection process of who shall attend the course shall be made and SBCGT shall fully fund the activity subject to the following conditions:

  • The employee must submit a formal application to his supervisor;
  • The application shall be forwarded by the supervisor, with his/her recommendations and comments to the Head of Department;
  • Approval will thereafter have to be obtained from the Human Resources Officer

The sequential process of the Human Resources Officer shall be to:

a) determine training and development needs that currently exist and projected future needs threw ensuring that all employees have their own Individual Development Plans which is to be developed by the immediate Supervisor with Reference to Performance Plans;

b) select and write training and development objectives in order to determine and sequence course contents per employee;

c) produce and procure suitable training and development programmes;

d) conduct training and/or co-ordinate training to be provided by others from within or outside the SBCGT;

e) Specifically investigate opportunities for exchange visits with local and foreign institutions involved in small and medium development or other professional areas such as MIS, finance and SME research will be available whenever possible.

Immediate Suppervisor’s shall be responsible for:

Individual Development Plans for all employees under their supervision, the relevant employee shall be part of this process.

Obtaining a template from the HR Officer who will be of assistance during the process.

5. Leave Policy

Annual Leave
Annual leave is earned at the rate of 30 working
Sick Leave
Maternity Leave
Leave without Pay
Compassionate and Special Leave with pay
Official holidays
Study Leave
Religious Holidays
Absence without notice


6.1 Introduction

a) This document is an expression of SBCGT’s policy on discipline and a guide to all company employees.

b) Discipline is a system designed to promote orderly conduct.

c) Formal disciplinary action should be the final course of action in rectifying employee behaviour.

d) Disciplinary action should be supported through investigation, reasonable evidence of guilt and careful consideration of the circumstances of each case before formal action is taken.

e) Disciplinary action should always be prompt, fair and firm.

f) While every attempt has been made to ensure that this Disciplinary Code is applicable to general disciplinary instances in SBCGT, the requirement for use of discretion within the framework of and in accordance with the spirit of the code may be required.

g) A successful disciplinary system and climate is dependant on the good judgement, understanding and consistent treatment of the parties involved in disciplinary action.
6.2 Procedure and Documentation

6.2.1 Action of supervisor when an alleged offence has been committed or is reported to have been committed

When an offence is alleged to have been committed, the Supervisor concerned will investigate or have the matter investigated, and take any form of the following actions:

a) Dismiss the case;
b) Counsel the employee;
c) Give a verbal warning;
d) Give a recorded warning;
e) Initiate a formal disciplinary enquiry;

6.2.2 Informal disciplinary action

It is desirable for sound interpersonal relations within SBCGT that Supervisor where possible resolves disciplinary matters by means of informal disciplinary action. Informal disciplinary action can take the form of either a verbal warning or counselling.

An employee found to have committed an offence of a minor nature should be counselled by the Supervisor, without an entry being made on the employee’s personal record. The Supervisor may however, make a record of the counselling session to allow for an assessment of the employee’s performance record, should this be necessary at the time, and with the employee’s knowledge and understanding thereof, formulate a plan of corrective action.

During the counselling, the Supervisor should ensure that the employee is made aware of the nature of the offence and the standard of the conduct or performance that will be expected in the future.

6.2.3 Procedure for formal complaints

a) A supervisor handling a formal complaint must investigate the case with the assistance of the Human Resources Officer, where possible, and ensure that the relevant sections of the complaint form (Appendix 7) are correctly completed within 48 hours of the offence having been committed or the supervisor having been made aware of the fact that an offence has been committed.

b) A copy of the complaint form should be passed without delay to the Human Resources Officer who will advise whether:

c) The accused should be suspended pending full investigation (if this has not already been done);

d) Advise the supervisor on whether to continue with a formal complaint

e) The Complainant and the accused must provide names of all persons who should be regarded as witnesses as their statements will assist in ensuring a fair hearing of a case. Where possible, should there be witnesses who are non-employees, formal statements should be recorded from them as they may be invited to attend the disciplinary hearing.

6.2.4 Disciplinary Inquiries

The Human Resources Officer will be responsible for the overall application of the code and should where possible:

a) Advise and guide all participant on the Disciplinary Code;

b) Ensure that the code is applied fairly and consistently in all cases (procedurally and substantively);

c) When all documentation pertinent to the matter has been collected, the Human Resources Officer shall serve the papers on the accused and/or his/her representative to allow the employee to fully prepare himself prior to the hearing;

d) The Hearing Chairperson will hear the case within four full working days of the complaint being lodged – only when further investigate is required shall this period be extended;

e) The Human Resources Officer will be responsible for arranging a suitable venue and date for the inquiry, informing all the relevant parties; informing the accused of his/her rights to representation; informing the accused of his/her right to appeal against the decision and arranging for all relevant statements to be taken.

f) The complainant shall be responsible to complete the Complaint form.

Attendance at the Inquiry

The following persons must be in attendance at any hearing inquiry:

a) Hearing Chairperson
b) Complainant
c) Alleged Offender (accused)
d) Representative of alleged offender (if requested by alleged offender)
e) Witness (as) (as and only when required for the duration of the testimony)
f) Human Resources Officer.

The Hearing/Inquiry

a) The accused should be given at least 48 hours notice in advance of the disciplinary hearing (Notice for Disciplinary hearing see Appendix 8), indicating the date, time and venue of the hearing. In addition, the responsible person convening the hearing should advise the accused of his/her right of representation.

b) In the event that the accused alleges that the Hearing Chairperson is implicated in the case and therefore will not be unbiased, the accused may request the appointment of an alternative Hearing Chairperson, giving a full motivation for such a request. The decision whether to appoint another Hearing Chairperson or not rests with the Human Resources Officer. Such requests shall however not be unreasonable withheld.

Duties and Responsibilities of the Hearing Chairperson

The Hearing Chairperson shall be any employee on the same level as the direct supervisor of the Complainant, but not the direct supervisor.

The Hearing Chairperson should not have been privileged to any information pertaining to the inquiry prior to the inquiry.

Ideally the Chairperson of a disciplinary inquiry will be required to follow the guidelines below when performing duties of a presiding official:

a) Introduce and identify all present, stipulate the purpose and format of proceedings;

b) Ensure that the alleged offender has been given sufficient notification of the inquiry, and that he/she has signed and acknowledged acceptance thereof. Ensure that the alleged offender has understood his/her employee rights in this regard;

c) Establish if witnesses are present and if so inform the hearing that they will be excluded from proceedings once they have led evidence and have been cross questioned;

d) Should it be established that the accused was not informed of his right to representation or that the witnesses are not present, the Hearing Chairperson will adjourn and reschedule the hearing for a later date;

e) Should the accused fail to attend the hearing, the Hearing Chairperson will establish whether the accused was notified of the date, time and venue of the hearing. It will be advisable to re-notify all parties to attend the disciplinary hearing at a later date if notification was not given;

f) If the accused fails to attend a disciplinary hearing, the Hearing Chairperson should in writing advise the accused of the date, time and venue of the hearing and advise him that should he fail to attend, the hearing will proceed in his absence;

g) Should the accused fail yet again to attend and if no prior notification for his absence was given, he may be deemed to have waived his right to attend the hearing. The Hearing Chairperson will then decide the case in absentia on the facts available and the accused will be informed, in writing, of the outcome;

h) Having ascertained that the particulars on the complaint form are correct, the Chairperson will inform the accused of the charge(s) against him/her, ascertain his/her understanding thereof and the accused will be asked to plead on the charges;

i) The accused should be permitted to make any further pertinent comments should he/she wish to do so (whether or not he/she has already made a written statement);

j) According to the plea entered by the accused, the Hearing Chairperson must verify all facts and allegations by questioning the accused, Complainant and any other parties in order to arrive at a decision. Only information provided in the case documentation pertaining the charge in question and statements raised during the inquiry will be used as facts pertaining to the disciplinary inquiry;

k) The Hearing Chairperson will allow the accused, with his/her representative, the opportunity to express opinions on the case;

l) All witnesses should be called to give evidence and to have such evidence examined by the hearing Chairperson, the Complainant and the accused and/or the accuser’s representative;

m) If during the course of the hearing, the Hearing Chairperson finds it necessary to obtain further information, the case should be adjourned to allow for further investigation;

n) If the accused wishes further evidence to be submitted, this should be allowed, provided that the Hearing Chairperson is of the opinion that such further evidence could be of relevance;

o) Once the Hearing Chairperson is of the opinion that he/she has gathered sufficient evidence surrounding the case, he/she should request any witness (as) to leave the room;

p) At this stage the Hearing Chairperson may call for a recess during which he/she may liase with the Human Resources Officer in order to obtain further advice and information;

q) The Hearing Chairperson may call a recess at any stage of the proceedings and may consider any call for a recess by any other party of the inquiry;

r) Once the Hearing Chairperson is satisfied that he/she is in a position to make a decision on the guilt or innocence of the accused, he/she will reconvene the inquiry and inform the accused and his/her representative of his/her findings. The Complainant and Human Resources Official (where possible) should be present when the decision of guilt or innocence is informed.

s) If it is the opinion of the Hearing Chairperson that the accused is not guilty, he will inform him accordingly and the finding “case dismissed” will be entered on the Complainant form and the employee’s disciplinary record will be cleared of any reference to the case;

t) Where an employee is found guilty, the Hearing Chairperson will then take note of the offender’s record of service, disciplinary record, mitigating and aggravating circumstances, seriousness of the offence, consistency of application and any other circumstances he/she may deem necessary to consider;

u) In all cases, current un-expired disciplinary warnings will be taken into account when deciding on the appropriate action;

v) Depending on the nature and seriousness of the offence, the whole of the employee’s disciplinary record may be considered;

w) The Hearing Chairperson will then record the penalty on the complaint form and inform the offender of the penalty awarded in terms of Section 6.5 and the reasons for arriving at the decision. The Hearing Chairperson will inform the offender of the period for which the warning will remain on his/her record as a valid entry. The Hearing Chairperson will also inform the offender of his/her right to appeal in terms of Section 6.6 of this code;

x) With regard to corrective action, the Hearing Chairperson will, in liaison with the immediate Supervisor, the employee and/or representative, and the Human Resources Officer; formulate an action plan to address the required change in behaviour. The employee will be required to assist in this process and make proposals in this regard. The aim is to ensure that the process of correcting unacceptable behaviour is addressed objectively and amicably;

y) Request the employee to acknowledge the disciplinary action proposed. Should the employee opt not to sign, a witness should be requested to acknowledge that the details of the inquiry have been communicated to the accused.

Recording of Proceedings

a) It is in the interest of SBCGT and the individual that all proven offences and subsequent disciplinary action be accurately recorded.

b) The Chairperson will ensure that all other required administrative details on the complaint form are completed before forwarding the document to the Human Resources Officer for overall review and control.

c) Statements, Complainant forms and other disciplinary records will be retained by the Human Resources Officer as these may be required even after an employee has left SBCGT’s services.

d) The Human Resources Officer will be responsible for the input of disciplinary penalties on employee’s personal files.

6.3 Special Cases


a) An employee may be suspended from work immediately if he/she has allegedly committed or is allegedly involved in any one of the following offences:

· Assault/attempted assault
· Desertion
· Sleeping on duty
· Negligent loss, driving, damage or misuse of company property
· Abuse of electronic/data facilities
· Sexual Harassment
· Fighting
· Riotous Behaviour
· Alcohol and drug offences
· Wilful loss, damage or misuse of company property
· Theft/Unauthorised possession of company property
· Breach of Trust
· Offences related to dishonesty
· Offences related to Industrial Action
· Any act or omission which intentionally endangers the health or safety of others, or is likely to cause damage to Company property
· Interference with disciplinary and/or grievance investigations
· Abusive or provocative language (when it is likely to cause a disturbance)
· Insubordination (if the situation shows signs of getting out of control)
· Persistent refusal to obey instructions.
· In certain instances the Supervisor will recommend that the offender be removed from the work place pending investigation of the case. He/she will take immediate steps to report the matter to his/her immediate Supervisor, who will raise the matter with the CEO. Irrespective of the outcome, the employee will be paid for days he/she was suspended;
· It is mandatory to liase with the Human Resources Officer prior to suspending an employee in order to endure that the suspension is procedurally and substantively fair.

Poor Work Performance

Cases involving substandard or deteriorating work performance are to treat differently from those regarded as transgressions of misconduct.

The following guidelines should be considered when dealing with such cases. An attempt should be made to resolve alleged poor work performance by means of counselling the individual involved. Where poor the supervisor identifies work performance, the following procedural action should be considered:

a) Investigate and identify the problem area(s)

b) Communicate this to the individual concerned, and jointly agree on the appropriate plan of action in order to resolve the matter. If deemed necessary and relevant, norms should be established by arranging appropriate task lists and the time duration allowed for the completion of each task;

c) Consideration should be given to the appointment of a coach or mentor to assist the employee to improve performance;

d) Accurately minute the agreed contents of any agreement put in place and provide the Human Resources Officer with a copy for record keeping purposes;

e) Regular evaluation and follow up on the agreed plan of action should be made;

f) Should counseling fail to produce the desired improvement, alternative action should be considered in liaison with the Human Resources Officer. Alternative action could include, but is not limited to, termination of the employment contract on the grounds of incapacity, demotion or a transfer to an alternative position. The employee, throughout this process, will be entitled to representation.

6.3 Offences outside normal working hours

SBCGT reserves the right to take any action it may deem appropriate against employees who are, in the opinion of SBCGT, guilty of gross misconduct not merely in their working situations. This is particularly so where the nature of the misconduct may affect the employment relationship with any other party. Actions that directly relate to the nature of the business are also liable for disciplinary action.

Court Actions

Where an employee has been criminally charged or legal action has been instituted for an employment – related breach, SBCGT reserves the right to take disciplinary action against the employee for the alleged offence, in terms of this Code.

6.4 Classification of Offences:

Offences are classified into five major categories.

6.4.1 Absenteeism
6.4.2 Offences related to Control at Work
6.4.3 Offences relating to indiscipline or disorderly behavior
6.4.4 Offences related to dishonesty
6.4.5 Industrial Action

6.4.1 Absenteesim

Absenteeism in the disciplinary context means being absent from work for an entire working shift, or part thereof, without the expressed permission from a direct supervisor.

A sanction of dismissal can apply for the first offence of being absent without permission provided that the employee was absent for three continuous working days without a valid reason.

a) Absent without leave;
b) Desertion: Leave the work place without intending ever to return; leave without help or support; abandon; leave without authority or permission.

6.4.2 Offences related to Control at Work

a) Poor Time Keeping and related offences

a) Reporting late for work
b) Leaving work early
c) Extended or unauthorised breaks during working hours
d) Persistently committing all or any of the above.

b) Sleeping on duty

Any employee who is found asleep on duty, whether or not such an action constitutes a hazard to the safety and health of the offender or others or leads to damage to Company property, shall be deemed guilty of an offence.

c) Negligent Loss, Driving, Damage or Misuse of Company property

a) Negligent loss of Company property: any act whereby an employee, through carelessness or negligence, loses Company property or is unable to account for it satisfactorily.

b) Negligent driving; driving a company owned or rented vehicle without due care, whether such an act results in an accident or not.

c) Negligent damage to Company property: any act whereby an employee through carelessness or negligence causes or allows Company property to become damaged.

d) Misuse of Company property: using Company property for a purpose other than that for which it was intended.

d) Unsatisfactory Work Performance

a) Carelessness: Performance of a task or duty without the exercise of due care an attention.

b) Negligence: failure to exercise proper care and regard to the manner of discharging duty to the extent that tasks have to be repeated or equipment or persons are at risk of damage or injury.

c) Inefficiency: failure to carry out work at the required standard or failure to complete tasks within the given reasonable time limits, without reasonable cause. This includes poor supervision.

d) Loafing: passing time idly or failing without reasonable cause to complete tasks set.

6.4.3 Offences Related to Indiscipline or disorderly behavior.

a) Disobedience and related offences

a)Refusing to obey an instruction: deliberate refusal to carry out a lawful and/or reasonable instruction given by a person in authority and within the area of his jurisdiction.

b) Failing to obey an instruction: failure to obey a lawful instruction given by a person in authority and within the framework of his/her jurisdiction.

c)None-compliance with established procedure / standing instructions: failure to follow establish procedures.

d) Abuse of electronic / Data facilities: excessive use / abuse of e-mail and communication facilities; storage and/or transmission of material of discriminatory nature; storage and/or transmission of pornographic material; unauthorised monitoring and interception of electronic documentation. Abuse and related offences

a) Abusive Language:

The uttering of any words or the publication of any writing expressing or showing hatred, ridicule or contempt for any person or group of persons.

The offence I more serious when it is wholly or mainly because of his/her/their nationality, race, colour, ethnic origin, sex, marital status, religion, creed, political opinion, social or economic status, degree of physical or mental ability, sexual orientation or culture.

b) Insubordination:

Insolence towards a superior shown by action or words. Disorderly behaviour and related offences

a)Disorderly behaviour:

Indulging in rough or unruly behaviour or practical jokes whether or not such behaviour endangers the safety or health of others or the smooth running of the work place.

b) Threatening violence:

Threatening to do physical injury to any other person.

c) Fighting:

Physical contact between two or more persons, engaging in or inciting a group of persons to indulge in disorderly behaviour or wilfully to damage Company property.

d) Riotous behaviour:

Unruly behaviour between two or more persons, engaging in or inciting a group of persons to indulge in disorderly behaviour or wilfully to damage Company property.

e) Sexual Harassment:

Any unwanted or unwelcome sexual advances, requests for sexual favours and other verbal or physical conduct of a sexual nature when submission to or rejection of this conduct explicitly or implicitly affects an individual’s employment, causes unreasonable interference with an individual’s work performance or creates an intimidating, hostile or offensive work environment.

f) Discrimination:

Any act whereby an employee discriminates against any other employee or group of employees on the grounds of nationality, race, colour, ethnic origin, sex, marital status, religion, creed, political opinion, social or economic status, degree of physical or mental ability, sexual orientation or culture.

Willful loss, damage or misuse of Company property

Willful loss: any act whereby an employee willfully or deliberately loses or causes Company property to be lost.

Willful damage: any act whereby an employee willfully or deliberately damages, or allows or causes damage to Company property.

Willful misuse: any act whereby an employee willfully or deliberately misuses Company property.

6.4.5 Offences Related to Dishonesty

Disciplinary cases involving the following offences must be reported to the Human Resources Officer.

Bribery or Corruption

Giving or receiving or attempting to give or receive any bribe or inducing or attempting to induce any person to perform any corrupt act.

False Evidence

Deliberately giving untrue, erroneous or misleading information or testimony whether
verbally or in writing.

Forgery and uttering

Falsifying or changing any documentation with fraudulent intent or attempting to do so.

Uttering or attempting to utter fraudulent or false statements or documents.


Applying or attempting to apply to a wrong use or for any unauthorised purpose, any funds, assets or property belonging to SBCGT.

Theft of or unauthorised possession of Company property

Stealing or attempting to deprive SBCGT permanently of its rightful ownership.

Being in possession or disposing of Company property without due authorisation.


The unlawful making of a misrepresentation with intent to defraud, which causes actual or potential prejudice to another party.

Breach of Trust

Actions or conduct of an employee that cause a reasonable suspicion of dishonesty or mistrust and for which there exist extraneous evidence to prove a breakdown in the relationship of trust between the concerned employee and SBCGT. This will include a situation where the conduct of the employee has created mistrust, which is counterproductive to SBCGT’s commercial activities or to the public interest, thereby making the continued employment relationship an intolerable one.

6.4.5 Industrial Action


Any act by an employee, whether by himself or in concert with other persons (whether or not such other persons are employees of SBCGT), to intimidate any employee with the object of compelling him to take part in any strike or other action which interferes with the normal operations of SBCGT. Intimidation is an offence even if all the procedures for the settlement of the industrial disputes and grievances and the Law have been exhausted.


Any deliberate action by an employee that results in the interference with the normal operations of SBCGT by damaging any machinery, or equipment or by interrupting any supplies of power, or services necessary to the operations.

Illegal Strike/Lockouts

Participation in any illegal strike action, lockouts, boycott or any other form of work disruption not in accordance with the applicable statute that constitutions a blatant refusal to work. Examples of such action include, inter alia, work-to-rule: overtime ban; go-slow.

Any disciplinary matter referred to in this subsection will not preclude SBCGT from exercising its common law rights to terminate the employment contract in the case of illegal industrial action.
6.5 Penalties

Classification of Penalties:

6.5.1 Verbal Warning
6.5.2 Recorded Warning
6.5.3 Severe Warning
6.5.4 Final Warning
6.5.5 Dismissal
6.5.6 Demotion
6.5.7 Transfer
6.5.8 Alternative Penalty to Dismissal

6.5.1 Verbal Warning

Any supervisor may, at any time and at his discretion, reprimand an employee without completing a complaint form, in which case there will be no entry made on the employee’s disciplinary record. When a verbal warning if given, the supervisor must ensure that the employee being reprimanded is made aware of the existence and function of the Disciplinary Code. A verbal warning is usually issued where the offence is of a minor nature.

6.5.2 Recorded Warning

Application: This may be given for a repetition of an offence for which an unrecorded warning has been given, or it may be given for a first offence.
Validity Period: The employee must be informed that the warning will remain in force for a period of six months.

6.5.3 Severe Warning

Application: Given for a repetition of the same offence or similar offence during a period when a recorded warning is still in effect, or for a first offence of a more serious nature.
Validity Period: The employee must be informed that the warning will remain in force for a period of nine months.

6.5.4 Final Warning

Application: Given for a repetition of the same offence or a similar offence during a period when a severe warning is still in effect or depending on the nature thereof, for a first offence of a serious nature. In the case of an employee being found guilty of an offence of a dissimilar nature within the prescribed period, the hearing official may, at his discretion, issue a comprehensive final warning on the understanding that if any offence is committed within the next 12 months, it will render him liable for dismissal.
Validity Period: A final warning is effective for a period of twelve months. The employee is advised in writing by the official hearing the case of the period applicable and reminded that a repetition of the offence or the committing of any similar serous offence within the prescribed period will render him liable for dismissal. A copy of the notice shall be forwarded to the Human Resources Department.

6.5.5 Dismissal

Application: Dismissal is the final sanction and should be used:

· when other forms of disciplinary action have failed;
· when an employee on a final warning commits a serous offence;
· when the offence committed is of such a serious nature that it amounts to a serous breach or repudiation of the employee’s contractual obligations;
· in cases relating to dishonesty e.g. theft, fraud or corruption;
· in the case of any employee who is absent from work without permission for a period of three continuous working days or more. In this case the employee will be dismissed in absentia after the third day if no reason for such absence is receive. Should the employee return to work after he has already been dismissed, he may request that the case be re-opened?

Once an employee has been dismissed in accordance with the procedure contained in this Code, under no circumstances will he be considered for re-employment should he re-apply at a later stage. If it is discovered that a dismissed employee has obtained re-employment with SBCGT either inadvertently or through deception, his services will be terminated immediately.

6.5.6 Demotion

Demotion is not an acceptable corrective action and is therefore, not used as a punishment for a specific offence. It is used only where the employee is unable to meet the requirements of his present job but is suitable for continued employment in a lower capacity.

6.5.7 Transfer

Transfer is not permitted as a tool for disciplining employees. A transfer shall only be effective in terms of SBCGT’s Conditions of Employment and Service. Transfer, as the result of the outcome of a disciplinary action, will be considered in special circumstances.

6.5.8 Alternative Penalty to Dismissal

A comprehensive final warning may be considered at the discretion of the Hearing Chairperson as an alternative penalty to dismissal in instances where an employee is found guilty of an offence of a dissimilar nature to a valid final warning on his personal record.

The sanctioning of a comprehensive final warning will only be considered in circumstances warranting corrective action and liaison between the Hearing Chairperson and the Human Resources Officer is encouraged before such a penalty is imposed.

A comprehensive final warning will be valid for twelve months from the date of the imposed penalty.
The Role of the HR Officer

The maintenance of workplace discipline is strictly a function of line management. Human Resources Officer should be available to assist line management where required. As far as possible, the Human Resources Officer should, in consultation with the official chairing hearing, ensure that disciplinary action taken is procedurally and substantively fair.

The Human Resources Officer should be available to advise and assist all employees on all disciplinary matters.

The Human Resources Officer must not impose penalties, nor hear appeals in respect of own subordinates or immediate Supervisors.

The Human Resources Officer is responsible for:

· Ensuring that the complaint form properly identifies the offence and is otherwise correctly completed
· Ensuring that the alleged offender is aware of the charges against him/her
· Interviewing and taking statements from the Complainant, accused and any witness
· Investigating the domestic circumstances of the alleged offender, when necessary
· Ensuring that all facts are collated marshalled and presented without bias.
· Advising the Complainant, accused, witness (as) and representative of their roles and rights
· Ensuring that documentation pertaining to the hearing is forwarded to the appropriate officials
· Advising the accused and his representatives of progress made for cases that are pending or in recess.

The Human Resources Officer may at his/her discretion recommend that a concluded disciplinary case be reopened in instances where gross non-compliance to the Disciplinary Code is evident.
The Role of the Representative

Any employee, against whom formal disciplinary proceedings are held may at his request, be accompanied at the initial and any subsequent hearing by a colleague from the same working section, or in the case of an employee who is represented by a properly constituted consultative committee, by a member of such a committee. An employee who is a Union member may be represented by the appropriate Part-time or Full-time Shop Steward, in accordance with the provisions of the Recognition and Procedural Agreement between SBCGT and Union. Legal representation or representation by non-Company persons during internal Company enquiries is not permitted.

The representative has no right to insist on the employee being accompanied if he does not wish it; that is, a representative will attend a disciplinary hearing only at the request of the employee. He will be invited to comment on the evidence.

The representative may ask question and cross-question during the disciplinary hearing, but may not give evidence during such hearings.

The representative may make submissions to the hearing official on the guilt or otherwise of the accused prior to the hearing official making his finding. He may also make submissions to the hearing officials on the mitigating factors to be considered and on the penalty to be imposed.

Should the representative’s comments at the hearing be of such a nature as to warrant re-consideration of certain matters or further investigations, time should be allowed for this and, if necessary, the enquiry recessed.
6.5.9 Dismissal Procedure

a) A direct Department Manager may recommend that an employee be dismissed.

b) For the purpose of the dismissal procedure, a direct Department Manager is defined as an employee graded D-lower or above who has a supervisory link to the employee concerned.

c) Following a disciplinary hearing outcome being advised to the employee who results in the recommendation for a dismissal and the employee accepts the recommendation; the Hearing Official will refer the case documentation for review to the relevant Manager for the department concerned.

d) The relevant Manager will endeavor to review the case within forty-eight hours/two working days and endorse or reject the recommendation.

e) If the recommendation for dismissal is endorsed, the hearing official shall refer the recommendation to the Human Resources Officer who will review the case with the relevant Head of Department.

f) If the recommendation for dismissal is rejected, the case shall be referred to the Human Resources Officer and the original hearing official.

g) The relevant Manager may sanction the recommendation in writing, thereby effecting dismissal, or reject it. If the recommendation is rejected, action 8.6 above shall be applied.

h) The employee shall be notified of the decision verbally by the Hearing Official. If the employee is dismissed, the employee will be notified in writing. This notification shall be signed by the relevant Executive Committee Member.

i) Every employee has the right to appeal against a decision to dismiss him/her. The appeal procedure will apply as outlined in Section 9.
6.6 Disciplinary Appeal Procedure

6.6.1 Every employee has the right of appeal against any decision which involves any entry on his/her disciplinary record and which may thus affect his future employment prospects.

6.6.2 Any employee who wished to appeal against the outcome of any disciplinary hearing against him/he must notify the Human Resources Officer in writing within two days of being notified of the outcome of the disciplinary hearing. The right of appeal must be based on one or more of the following appeal grounds.

i Dispute of Guilt
ii Severity of Penalty/Mitigating Factors
iii Procedural Inconsistencies
iv New Evidence

6.6.3 Appeals against Verbal, Recorded and Severe Warnings in terms of 7.6.2 (i) and (ii) may be referred to the official at the level above the official who originally heard the case. The decision of the Appeal Hearing Official shall be final and no further appeal level shall be available.

6.6.4 Appeals against recommendations for Final Warnings and Dismissals shall be heard by the relevant Executive Committee member. If the sanction was originally imposed by a Manager, the accused may request the Disciplinary Review Committee to review the case.

6.6.5 Appeals in terms of 7.6.2 (iii) shall be reviewed by the Human Resources Officer may refer the case back to the original Hearing Official for further investigation and/or re-hearing, where after the procedure as per 7.6.3 and 7.6.4 above shall apply.

6.6.6 Appeals in terms of 7.6.2 (iv) shall be heard by the original hearing Officer and thereafter in terms of 7.6.3 and 7.6.4. The decision as to whether the grounds of appeal constitute new evidence shall rest with the Human Resources Officer with the employee representative.

6.6.7 The employee shall be present at the appeal hearing and shall be entitled to a representative in terms of Section 6 of the Disciplinary Code, except at the Disciplinary Review Committee level, where the procedure as outlined under 7.6.9 and 7.6.10 shall apply.

6.6.8 The Disciplinary Review Committee shall be chaired by the Operations manager and shall comprise the Human Resources Officer and Senior representatives of other Department. .

6.6.9 When an employee requests that his case be referred to the Disciplinary Review Committee for a review, he may at the same time request that he or his representative be invited to make representation or motivate his grounds of appeal in person. The Disciplinary Review Committee shall however review each case on its own merits and take decisions independently.

6.6.10 The Disciplinary Review Committee shall have the authority to uphold or reduce a penalty imposed by the Head of Department. It will also have the authority to impose a more severe disciplinary action should it be found that the offence committed warranted a more severe penalty. The Disciplinary Review Committee may refer a case back to the Head of Department or the Human Resources Officer for re-hearing or for further investigation.

6.6.11 The decision of the Disciplinary Review Committee will be final and should also be read in conjunction with 7.6.13. The Human Resources Officer shall inform the employee of the decision of the Disciplinary Review Committee. In addition, the Chairperson of the Disciplinary Review Committee will notify the employee of the decision, in writing.

6.6.12 Should an appeal against dismissal be successful, the employee will be reinstated retrospectively to the date on which his services were terminated and he will be advised in writing to return to work. This also applies where an appeal against a dismissal is reduced to a warning in terms of 7.6.3 (i).

6.6.13 In the event of the dismissal being upheld by the Disciplinary Review Committee, the dismissal shall be effective from the date of the employee’s services were terminated by the Head of Department. The Chairman of the Disciplinary Review Committee shall inform the employee in writing of the outcome of the Committee’s Review.

6.6.14 It should be noted that the Disciplinary Review Committee, referred to above, should only have the authority to review disciplinary cases that have been dealt with by Manager.

Classification of Offences – Guide to Disciplinary Action
Nature of Offence 1st Offence 2nd Offence 3rd Offence 4th Offence
Absenteeism SW FW DC
Desertion DC
Offences related to control at work
Poor time keeping VW/RW SW FW DC
Sleeping of duty SW FW DC
Sleeping on duty RW SW FW DC
Negligent loss, driving, damage or misuse of Company property RW SW FW DC
Unsatisfactory work performance RW SW FW DC
Offences related to Indiscipline or Disorderly behaviour
Disobedience & related offences (general) RW

Abuse and related offences
§ Abusive language
§ Insubordination
Disorderly behaviour and related offences
Disorderly Behaviour FW DC
Threatening violence FW DC
Assault/attempted assault FW DC
Fighting FW DC
Riotous behaviour FW DC
Sexual Harassment FW DC
Discrimination DC
Alcohol and drug offences
§ Intoxication while on duty
Wilful lose, damage or misuse of Company property FW DC
Offences related to dishonesty
§ Bribery or corruption
§ False evidence
§ Forgery and uttering
§ Misappropriation
§ Fraud
§ Theft of / unauthorised possession of Company property
§ Breach of Trust
Industrial Action
§ Intimidation
§ Sabotage
§ Illegal strike/lockout

The schedule of sanctions merely provides a guideline and the following factors shall be considered when arriving at a decision: Disciplinary record, length of service, position of employee, any other mitigating or aggravating circumstances raised at the hearing.

7.1 Introduction

Grievances may be real or imagined, but in either case, it is essential that the grievance is brought to light, discussed and the matter resolved to the satisfaction of all concerned. Failure to do so will only result in the grievance becoming a worsening source of conflict and eventually ending in a far more serious problem.

SBCGT regards it important that all it’s employees will have sufficient knowledge of such procedure and easy access to it. To this effect SBCGT has formulated a grievance procedure, which has as its main objective the speedy resolution of shop floor grievances and thereby eliminating possible and unnecessary causes of conflict.

7.2 Objectives

a) The Grievance Procedure is aimed at resolving work related grievances within SBCGT as fairly and as swiftly as possible. Grievances are feelings of injustice or dissatisfaction affecting an employee.

b) This Procedure is not used for appeals against disciplinary action. Such are to be carried out in accordance with Disciplinary and Appeal Procedure and Code.

c) This Procedure is neither used for the resolution of collective grievances related to wages or salaries as these form part of the collective bargaining system.

d) Employees may lodge grievances without fear of victimisation.

e) Grievances should be resolved at the lowest possible level within SBCGT.

f) Employees lodging grievances have the right to be represented by fellow employee of his/her choice.

g) Records will be kept of all statements and decisions.

h) Any Union member acting as a witness has the right to be accompanied by a representative of his/her choice.

7.3 Procedure and Guideline

The Grievance Procedure will be implemented as follows:

Step 1 - Immediate Superior

1. In step 1 the employee must discuss his grievance with his immediate superior or the latter’s superior in the event of a grievance against an immediate superior.

2. The superior must endeavour to solve the problem within two (2) working days and inform the employee.

3. Should the employee not be satisfied with the outcome, he may proceed to Step 2.
Step 2 - Department Manager

1. The employee completes a grievance form with all relevant details. (See Appendix 9). He may be assisted by the Human Resources Officer in completing the form. The form is handed to the Department Manager.

2. The Department Manager shall endeavour to solve the problem within two (2) working days and inform the employee.

3. Should the employee not be satisfied with the outcome, he may proceed to step 3.
Step 3 - Grievance Hearing

1. The matter is referred to the Chief Executive Officer by handing him the grievance form together with any other further relevant written information.

2. The CEO shall convene a grievance hearing and attempt to resolve the matter within a period of ten (10) working days. His decision shall be final.

Procedure to be followed by a Group of Employees

If a grievance to be raised affects not one employee, but a group then a spokesman for the Group, accompanied (if he so wishes) by a delegation of not more than ten (10) of the employees concerned, should proceed with Step 2 as for an individual grievance.


8.1 Introduction

Subject to the Provisions of the Employment Act of Namibia, the services of an employee may be terminated as hereunder:

8.2 Termination by Notice

An employee who has given notice to resign will be required to liquidate all loans with SBCGT (where applicable) before their last month’s dues is paid to them.

Notice Period

At least one working day notice of termination of service will be given during the first
Uninterrupted period of four weeks of employment.

At least two-calendar weeks notice of termination of service will be given after the expiration of the first four weeks of uninterrupted employment and before the expiration of 12 months of employment.

During the period of the employee’s probation, either the employee or SBCGT may give the other party two calendar weeks’ written notice (should the employee be a monthly paid employee) to terminate the contract of employment. Thereafter, such notice periods shall be extended to one month.

At least one month notice of termination of service will be given after any uninterrupted period of employment of 12 months or longer.

During the first uninterrupted period of four weeks of employment notice can be given on any working day.

The employee’s service with SBCGT shall terminate on the day on which the notice of termination of service expires.

After the expiration of the first four weeks of uninterrupted employment and before the expiration of 12 months of employment.

To be given on or before the usual payday and shall run from the day after such payday.

After any uninterrupted period of employment of 12 months or longer - to be given on or before the first day of a month and shall run from such first day.

A period of notice given by either party in terms of the above may not run concurrently with annual leave,
sick leave or maternity leave.

An employee who has given notice to resign will be required to liquidate all loans with SBCGT (where applicable) before their last month’s dues is paid to them.

The aforementioned stipulations may be deviated from only when there are compelling
reasons for doing so and the supervisor concerned to that effect makes a

8.3 Retirement

Age: The normal retirement age shall be 60 years. An extension of appointment beyond this age requires authority form the Board of Trustees.

Medical grounds: SBCGT may, on the basis of a medical opinion form a qualified medical practitioner, call upon an employee to retire on medical grounds.

8.4 Death of Staff member

In the event of the death of a staff member, SBCGT shall notify the labour office in the prescribed form

All wages and teminal benefits due shall be paid to the next of kin, as specified in the Personal Data Form.

SBCGT will assist the family by consulting with the Social Security Commission and the Pension Institution with a view to meeting part of the burial costs of the deceased SBCGT staff member

8.5 Certificate of Service

Certificate of Service shall be issued to each staff member every five years of successful service or upon resignationon request. This certificate is neither a reference nor a statement of the staff performance.

In addition to the Certificate of Service the CEO may therefore authorize the issuance of any other testimonials

8.6 Discharge Form

All employees leaving SBCGT employment will be required to submit duly filled discharge form (Appendix 5) to the Finance and Administration Department before their dues is paid to them.

9.1 Introduction

SBCGT may terminate a staff member’s appointment after giving a two –month’s notice, if there are insufficient funds to carry forward the program or when the program comes to an end or no other assignment is available.

The employee shall be entitled to her/his terminal benefits plus any other compensation provided for by the Labour Act section on Retrenchment Sec………...SBCGT strives to provide guidelines for handling all retrenchments sensitively, understanding the psychological and social effects, as well as the industrial relations implications. It intends to ensure that a uniform procedure is utilised throughout SBCGT.

Termination of employment due to retrenchment must be handled strictly according to the
stipulations contained in Part VI of eh Labour Ac, 1992 (Act 6 of 1992), or as otherwise
mutually agreed upon between SBCGT and the recognised Trade Union. SBCGT’s
MANAGMENT or its delegate shall only grant approval for such service termination

9.2 Objectives

SBCGT is committed to full employment for all its employees at all times. However, in the
event of unforeseen economic and changes to SBCGT, certain employees may become
redundant and need to be retrenched. In the unlikely event of this occurring, the following
will apply:

a. All possible cost-saving measures to avoid the retrenchment will be considered.

b. Retrenched employees will be paid out according to salary and length of service, subject to the Labour Act of 1992.

c. With the aim of maintaining the principles of equity and fairness within the boundaries of reasonability and legal constrains, the following alternatives to retrenchments are to be explored:

· Introduction of an embargo on recruitment.

· The cessation of overtime.

· The re-deployment of staff (with training, if relevant and practical) upwards,
· sideways and downwards.

· The option of voluntary early retirement.

· "Laying-off" of employees, where such employees' services are suspended for
· a specified time, during which their fringe benefits continue, and their service is regarded as continuous, but they do not receive any remuneration. This step will obviously only be taken if SBCGT can guarantee their jobs after the specified period has expired.

· The implementation of retrenchment on a LIFO (last in, first out) basis, except

· where there is a need to retain specialist skills.

· A possible reduction in remuneration.

9.3 Consultation

a) Although retrenchment and redundancy falls largely within the scope of managerial prerogative, there is a requirement that full and formal consultations with affected employees be held prior to the decision to retrench being taken. Action to this extent is set out in the following paragraphs.

b) Should SBCGT believe that a reduction in the number of its staff members may be necessary, it shall give all staff members who may be affected and their Registered Trade Unions, one month's written notice to the effect that retrenchment is a possibility as well as inform them that alternatives will be considered. The notice will explain:

· The reasons for the proposed reduction in staff.
· The timing.
· The method of selection of employees for retrenchment.
· The alternatives that have been, or are being considered; and the reasons if these alternatives are regarded as impractical.
· Both the categories and number of staff members who may be affected.

c) SBCGT and affected staff members, and/or their internal representatives, will hold a meeting within one week to endeavour to discuss suitable alternatives to retrenchment e.g. other cost-saving mechanisms, transfers to other divisions/ offices, early retirement. In addition, the selection criteria will usually focus on the retention of necessary skills and attributes. However, other principles, such as LIFO (last in, first out) may also be applied. If necessary, follow-up meetings to discuss suitable alternatives/ selection criteria will be held before SBCGT makes its final decision. Once the redundancies have been finalised, the management of SBCGT must ensure that unaffected employees are informed of decisions/consultations through a uniform brief, which will be issued by the Human Resources Department.
9.4 Assistance from SBCGT

SBCGT will endeavor to assist employees who are retrenched as far as possible, including the following:

a) Where applicable, SBCGT uses job placement firms to assist individuals in finding a new job.

b) Where non-applicable, individuals will receive orientation in job search, in resume writing, interviewing and telephone skills.

c) Providing a Certificate of Service.

d) If an employee is able to find alternative employment before the date of retrenchment, SBCGT may be prepared to release the employee earlier to take up such employment should the employee so desire, with no loss of benefits.

e) Where applicable, provide Social Security contributor's card, and assist-retrenched employees to obtain their Social Security benefits.

f) The Department Manager will allow time off to attend interviews for prospective employment opportunities, provided permission shall not be unreasonably withheld.

In determining who will be affected by the reduction in force, management must satisfy itself that its actions are consistent with all applicable laws, particularly those prohibiting discrimination. An employee's eligibility for future employment will be considered as openings arise.

9.5 Retrenchment Procedures

a) Identify which positions are to be eliminated; don’t target individuals, as it would constitute an unfair labour practice.

b) After making the decision about the extent of the reduction in workforce, consult all key members of management, the consultative committee or any other representative structures of the employees, including Registered Trade Unions.

c) Provide proof for the necessity of retrenchment and show that all other alternatives have been considered.

d) Agree on retrenchment packages with the concerned stakeholders.

e) Apply the criteria to select retrenches. Let Managers evaluate the people in targeted positions against set criteria. If there are multiple incumbents for the position/s that is/are to be eliminated or consolidated, all employees within the same job classification or sphere of work must be compared with each other based on the applicable criteria.

f) Upper management will review the selection of people to guard against individual biases.

g) Conduct statistical analysis to determine whether the retrenchments will have a negative impact on equity targets.

h) Brief Management and employee representatives of proposed list.

i) Decide on the final list.

j) Notify the concerned employees and managers

k) Prepare forms and pay.

l) Provide the necessary assistance to those retrenched.

m) An employee's service will only be terminated if found guilty of an offence, confirmed by a disciplinary hearing and when becoming redundant consequential to reorganisation and not being absorbable in another department of SBCGT.
10. Compensation

Procedures for Payment of Salary and Salary Advances
Bonus System
Housing Allowance
Pension fund
Medical Aid
Social Security
Acting Allowance


11.1 Introduction

Temporary staffs are various persons who fill one-time positions established to undertake a particular piece of work or assist with a particular administrative matter, whose skills will not be needed by SBCGT on a continuing basis

This category includes part-time, casual workers and short-term consultants.

11.2 Appointment

Appointment of temporary staff shall be effected by signing of a contract specifying terms and condition of the employment, the duration and the remuneration thereof.

The CEO on the recommendation of the department managers shall hire temporary employees.

Temporary staff shall not be entitled to any other benefits or overtime.

11.3 Terms of Service

Temporary employees shall enter into a contract with SBCGT, which shall specify the terms of reference, duration of the assignment and fee. The contract shall also have disclaimers from SBCGT regarding insurance, medical and other benefits. It shall place the onus of reporting income to the tax authorities on the temporary staff.

The contract will not be valid unless signed by both the CEO and the contracted temporary employee.

11.4 Short-term consultants

Consultants to undertake and provide services to SBCGT shall be hired by the CEO, and approved by the Board of Trustees

The Consultants shall enter into a contract with SBCGT for the services to be provided as stated in the Terms of Reference.



12.1 Introduction

SBCGT shall take all such steps as prescribed by the Regulations made under the Labour Act, 1992 (Act 6 of 1992) in order to ensure the health, safety and welfare of all the employees in the employment of SBCGT.

12.2 Objectives

a) To prevent all downgrading incidents, which could result in personal injuries, fire, property damage and waste, and to create and maintain a safe and healthy working environment for all our employees;

b) To promote and maintain the highest possible degree of mental and social well being of all our employees;

c) To promote and maintain good working conditions so as to safeguard our employees against injuries and occupational health and safety hazards, and to conduct our operations with due consideration to the protection of the environment;

d) To train employees at the workplace so that they are well equipped to participate fully in the identification, reporting and management of unsafe acts and conditions;

e) To strive for maximum employee participation in creating a healthy and safe working environment at all hierarchical levels through effective communication.

Management shall:

a) At all times provide the correct attitude for safety consciousness and leadership;

b) Supply materials, tools and all requirements for safe practices and operations, within reasonable limits;

c) Encourage all employees at all levels within SBCGT to make suggestions for the improvement of health and safety, through the appropriate managers, and supervisors.

d) Publicise, praise and criticise safety practices and initiatives wherever warranted.

12.3 Security

A number of measures are in place to ensure adequate security around the office. The entrance to the premises is guarded round the clock.

The doors to the building as well as those of individual offices are locked after working hours. Staff members expecting to work late or over the weekend should obtain a key and an athorit to operate the security locking system from the Finance and Administration Manager

Staff members working after hours should ensure that all the windows are closed and the lights turned off before leaving.

No money or valuables should be left unattended. The insurance for the building does not cover personal property.

12.4 First Aid

SBCGT will provide a first aid kid and ensure that at least two staff members are trained on how to use the aid adequate.

12.5 Visitors

All visitors should report to the reception

12.6 Smoking

Smoking shall not be allowed inside the building. All employees are urged to make sure that their visitors adhere to this.

12.7 Emergencies

In the event of an emergency, e.g. fire:

  • raise the alarm
  • inform the relevant authority e.g. in the case of fire, inform the Fire Brigade or the Police explaining what kind of fire it is;
  • disconnect all machinery and close all the windows;
  • evacuate the building. DO NOT LEAP OUT OF THE WINDOWS; AND

If the situation is life threatening;

  • Raise the alarm;
  • Evacuate the building immediately. DO NOT STOP TO CLEAR YOUR DESK OR

12.8 Office Services


All computers should be strictly used for official purposes. Only authorized persons may access the computers. GAMES ARE STRICTLY PROHIBITED. Private diskettes are not allowed to be used on SBCGT computes except with granted permission and upon scanning for viruses. Permission must be sought from the Finance Manager for borrowing of portable computers equipment or accessories


All trunk and international telephone calls should be made through the receptionist. It is important that the receptionist is notified of all calls so that they are charged appropriately.


All faxes must be made by the receptionist and recorded appropriately.


A photocopier is available throughout the day to meet photocopying needs. It is to be used for official use but could be used for limited personal use. The Finance and Administration manager should authorize any personal use.

All official copies made should be entered in a register organized per department.

E-mail and Internet Facilities

An E-Mail service is available for official use but staff is allowed to use it for personal mail, strictly during the work breaks-lunch break or at end of the day.


Currently, the administrative assistant handles mail. All incoming mail and hand deliveries are received and stamped the date of receipt before being filed on the running file and distributed to the respective persons. All outgoing mail must be photocopied and filed before being sent out.


13.1 Transfers

The new SBCGT is structured in a way that will require the staff often to work away form the office, mostly the field. The staff working out of office should inform their immediate supervisor , and the administrative assistant of their whereabouts, how they can be contacted and how long they expect to be gone

If an employee requests a transfer for their own convenience and it is granted, the employee shall bear all the costs incurred in travel, transportation and accommodation. Where the institution transfers a staff member, SBCGT will cover all expenses related to the transfer accommodation and transportation for the employee and the immediate family

Requests for transfers shall be in writing to the immediate supervisor and must contain the following information:

a) Reasons for requesting transfer;
b) Duration of employee services at current station
c) Positions held
d) Whether employee has previously requested for transfer and the outcome of the application.

The employee’s immediate supervisor will comment and forward the request to the respective department head that in turn will forward it the Chief Executive Officer.

13.2 Out of Station Travel on Official Duty

All out of station travel must be authorized by the CEO and countersigned by the Finance and Administration Manager via the Field Travel and Authorization Form, Appendix10.

No claims will be reimbursed without the authorization.

13.3 Overseas Trips

Overseas trips require the authority of the CEO and the Board of Trustees. When staff members travel to destination outside the country for official purposes, the daily per diem rate is normally determined by the schedule of rates to be established that would be revised form time to time. The staff shall have their trip authorized through the Overseas Travel Form – (see Appendix 11.)

No staff will be allowed to leave without authorization and proper handover of the tasks to be undertaken by a specific person.

13.4 Travel Advances

Staff members may apply for travel advances for travel that has been duly authorized.

The advance must be reconciled within 5 days upon return form the trip failure of which the advance will be recovered from the salary without reference to the staff member concerned. SBCGT staff to reconcile the travel advance and related costs will use the claim form on Appendix 12.

13.5 Reimbursement of Expenses

All staff members traveling beyond the boundary of their workstation for official purposes will be entitled to the reimbursement of the expenses incurred. The daily subsistence and travel allowance caters for accommodation, meals and out of pocket as outlined in the SBCGT schedule of rates

The rates are based on the staff grade and the town of destination



14.1. Introduction

SBCGT strives to ensure a working environment where:
HIV positive employees are protected from unfair discrimination and stigmatisation; and
All employees have access to training, information and counselling services
relating to HIV/Aids.

14.2 Objectives:

a) Prevent unfair discrimination and prejudice against HIV positive employees.
Minimise fear and panic among employees.
b) Ensuring stability and productivity in the workplace.
c) Encourage disclosure by HIV positive employees without fear of victimisation or prejudice.
d) Enable line management to respond appropriately in the event of:
e) An employee reporting that he/she is HIV positive;
f) Rumours that an employee is HIV positive;
g) Employees refusing to work with an HIV positive colleague.
h) Minimise SBCGT’s liability for wrongful conduct by its employees in relation to HIV and Aids.
i) Prevent the spread of HIV and Aids by educating and training of employees.

14.3 An HIV positive employee has the same rights as all other employees and therefore will be:
a) Protected against unfair discrimination.
b) Treated with dignity, compassion and respect.
c) Managed in the same way as employees with other disabling conditions, diseases or terminal illnesses.
d) Entitled to employee benefits as determined by the rules of such schemes.
e) Allowed to continue his/her normal work as long as he/she is able to maintain the required performance standards of the job.
f) Expected to meet the same performance requirements that apply to other employees.
g) When necessary, provided with reasonable accommodation to enable him/her to meet established performance standards.
h) Transferred to another department only if his/her doctor requests this in writing for medical reasons.
i) Encouraged to inform the medical aid fund of his/her condition.
j) Employees refusing to work with HIV-positive colleagues could face disciplinary action in line with SBCGT’s disciplinary process.

SBCGT grievance procedure will apply to HIV- or Aids- related grievances.


15.1 Introduction

The staff compliment of SBCGT is very limited and thus the need to have succession planning in place. If an employee is not available one should always have someone skilled and ready to act as a replacement.

15.2 Objectives

• To identify replacement needs
• To provide opportunities for high potential workers (retention)
• To increase pool of promotable employees
• To support implementation of business plan
• To guide individuals in their career paths
• To encourage the advancement of diverse groups
• To improve ability to respond to changing environmental demands
• To improve employee morale
• To cope with the effects of downsizing, attrition, retirements

15.3 Procedure

• Assess the potential vacancies in leadership and other key positions (who is of retirement age? Which positions/departments/divisions are most affected?
• Assess the readiness of current staff to assume the positions (competencies, IDP’s discussed under Training and Development)
• Develop strategies to address these needs based on the skill gaps.