010 110 0227
Mon - Fri 09:00-17:00

Institute Disciplinary Action In The Workplace

Training and Development

This Course is targeted at staff members in junior to middle leadership positions who will be exposed to, and/or be responsible for, the Maintenance of Discipline in the Workplace. Thus, anyone who has responsibility for handling or participating in disciplinary situations whether that is informally managing staff, running an investigation, or controlling a formal disciplinary hearing. This course will equip delegates with the knowledge of how to take both informal and formal disciplinary action against an employee fairly and within the current legislation.

 The course will address frequently asked questions such as:

  • What is the theory regarding the legalities in developing a Workplace Disciplinary Code?
  • What steps should I take during the investigation period?
  • How do I Correct Poor Performance
  • How do I Implement a Procedure to Handle Non-Dismissible and Dismissible Offences?
  • How do I represent an Accused at a Hearing?

NQF Level 5

Disciplinary Action

Who should attend?

  • Team Leaders
  • Supervisors
  • Junior and Middle Management Level Employees
  • Employees Who Have Been Earmarked for Succession into Management

Training Outline

Module 1: Disciplinary Action      

Outcome 1: Delegates must understand the theory regarding the legalities in developing a Workplace Disciplinary  Code
  • Identifying the need for Disciplinary Action
  • Principles of maintaining Discipline in the Workplace
  • Is Entrapment Legal?
  • Organisational Practice related to Transgressions
  • Basic structuring of the Disciplinary Code
  • The Organisation’s Disciplinary Procedures
  • Relevant Legal Requirements and Processes
    • Schedule 8
  • The Labour Relations Act
    • Introduction to the Act
    • General Codes of Good Practice
  • The Code of Good Practice – Dismissal
    • Broad Terms
    • Code of Good Practice – Dismissal – Detailed Discussion
      • Introduction
      • The Code provides some fair reasons for dismissal
      • The Code provides the Disciplinary Procedures prior to Dismissal being considered
      • Importantly, the Code provides for a fair Procedure for Dismissals for Misconduct
      • Regarding Disciplinary Records
      • Dismissals and Industrial Action
      • Guidelines in cases of Dismissal for Misconduct
      • The Code addresses Probation as well
      • The Code has Guidelines in cases of Dismissal for Poor Work Performance
      • Regarding Incapacity: Ill health and Injury
      • Guidelines in cases of Dismissal arising from Ill Health or Injury
  • Further discussion on Code of Good Practice – Dismissal
  • Procedure for Instituting Disciplinary Action
  • Procedural versus Substantive Fairness
  • Formal Vs. Informal Disciplinary Process
    • Informal Disciplinary Action
    • Formal Disciplinary Action
  • Disciplinary Sanctions
    • Types of Sanctions
    • Alternate to Dismissal
    • Examples of Sanctions
      • Verbal warning
      • Written Warning
      • Final Written Warning
      • Expired Sanctions
  • Legal Requirements for Instituting Disciplinary Action
  • Pre-Dismissal Arbitration Instead of Disciplinary Hearing
  • Applicable Timeframes for Instituting Disciplinary Action
  • Appointing a new Employee – is Probation legal?
Outcome 2: Gather Sufficient Information concerning the Alleged Transgression (The Investigation)
  • Principles of Evidence Gathering
    • Who should investigate?
    • What is the purpose of the investigation?
    • How long should the Investigation last?
    • Must the employee know of the Hearing?
    • Witness Statements
    • What makes a good investigator?
    • Types of Evidence
    • Classify the Transgression
    • Select the Correct Procedure for Handling the Transgression
  • Rules when using a Document as Evidence in an Internal Disciplinary Hearing or at the CCMA
  • Difference Between Poor Performance and Misconduct Issues
    • Poor Performance
    • Misconduct versus Poor Performance
    • Misconduct
    • Blurred lines…
  • Suspending an Employee While an Investigation Takes Place
    • Suspension Reasons Checklist
    • How to Suspend an Employee
    • Checklist to follow during this Discussion
  • Criminal Offences
Outcome 3: As part of the counselling Process, Delegates must be able to Correct Poor Performance
  • Guidelines for Correcting Poor Performance (not ill-health or injury related)
  • Class Activity 1:
    • Identify and Classify Typical Workplace Transgressions
    • Case Study – poor performance counselling

Module 2:

Outcome 1: Delegates must be able to Implement a Procedure to Handle Non-Dismissible Offences
  • Introduction
  • Prepare for a Hearing
    • Step 1: Investigate the Alleged Offence
      • Inform the Employee of the Offence
      • Step 2: Present the Evidence to the Employee
      • Step 3: Allow the Employee to State His/Her Case
      • Step 4: Decide on Appropriate Disciplinary Action
        • Verbal and Written Warnings
      • Step 5: Inform the Employee of the Action Taken
      • Step 6: Record the Action Taken
  • Class Activity 2
    • Case Study – Implement Procedure to Handle Non-Dismissible Offences

Module 3:

Outcome 1: Delegates must be able to Implement a Procedure to Handle Dismissible Offences
  • Introduction
  • Prepare for a Hearing
    • Conduct Further Investigation and Gather Detailed Information
  • Conduct the Formal Disciplinary Process
    • Step 1: Confirm Preliminary Matters
    • Step 2: Hear the Pleadings
    • Step 3: Hear the Evidence and Cross-Examination Presented by the Parties
      • Principles of Presenting Evidence
      • Step 4: Summarise and Categorise the Evidence
      • Step 5: Establish the Facts and Make a Decision (Verdict)
        • Conclude a Decision
        • Guidelines for Appropriate Disciplinary Sanctions
        • Letters of Warning
      • Step 6: Communicate the Decision (Verdict)
      • Step 7: Hear Mitigation and Aggravation
      • Step 8: Decide on the Sanction (Penalty)
      • Step 9: Communicate the Sanction (Penalty)
      • Step 10: Inform the Employee of His/Her Rights Regarding Appeals
      • Step 11: Record the Disciplinary Hearing
  • Disciplinary Records
  • Confidentiality of Decisions
  • Ensure That the Process Meets Procedural Requirements
    • The Legal Tests to Ensure Procedural and Substantive Fairness
      • Procedural Quicklist. (have we followed a fair procedure)
      • Substantive Fairness – Misconduct (is my reason good enough to justify dismissal)
      • Substantive Fairness – Incapacity – Poor Work Performance
      • Substantive Fairness – Incapacity – Ill Health
      • Operational Requirements – retrenchments
  • Class Activity 3:
    • Case Study: Implement Procedure to Handle Dismissible Offences

Module 4:

Outcome 1: Delegates must know how to represent an Accused at a Hearing
  • Represent an Employee at Disciplinary Hearing
  • Who is responsible for the training of representatives?
  • Guidelines for shop stewards in terms of disciplinary hearings.
    • Phase 1 – Employee receives Notification of Disciplinary Hearing
    • Phase 2 – Prepare for the Hearing:
    • Phase 3 – The Hearing
    • Phase 4 – The Chairperson makes his finding:
    • Phase 5 – Mitigating circumstances
    • Phase 6 – Circumstances in aggravation
    • Phase 7 – The Sanction
    • Phase 8 – The Appeal
  • The deregistered Trade Union
  • Class Activity 4:
    • Case Study: Represent an Employee at Disciplinary Hearing
  • Class Activity 5:
    • Case Study: Participate in a Disciplinary Hearing
  • Class Discussions:
  • Disciplinary Hearing Checklist:
    • The Chairperson’s Step-By-Step Guide

Additional Information

Course Duration: 2 Days

Presented : In-house and online



  • Comprehensive manual
  • Framed certificate of attendance
  • Notepad & Pen
  • Superior training venue with delicious lunch, teas and refreshments

Contact us for more information