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CHARTER PING AN INSURANCE

CORPORATION

CODE OF CONDUCT

Table of Contents
SECTION I.

RATIONALE

SECTION II.

COVERAGE

SECTION III.

STANDARDS OF CONDUCT

ATTENDANCE AND PUNCTUALITY


PRESCRIBED WORK ATTIRE/IDENTIFICATION CARD
SECURITY AND SAFETY
CORPORATE PROPERTY AND INTERESTS
HONESTY AND INTEGRITY
RESPECT FOR SUPERIORS
PROPER WORK CONDUCT AND BEHAVIOR
RESPECT FOR CLIENTS/GUESTS/SUPPLIERS

SECTION IV. JURISDICTION

SECTION V. CLASSIFICATION OF OFFENSES

MINOR OFFENSES
LESS SERIOUS OFFENSES
SERIOUS OFFENSES

SECTION VI. KINDS OF PENALTIES

WRITTEN REPRIMAND
RESTITUTION
SUSPENSION
DISMISSAL

SECTION VII. WITHHOLDING OF BENEFITS

SECTION VIII. CIRCUMSTANCES AFFECTING ADMINISTRATIVE LIABILITY

MITIGATING CIRCUMSTANCES

AGGRAVATING CIRCUMSTANCES

SECTION IX. ADMINISTRATIVE PROCEDURES

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PREVENTIVE SUSPENSION
TEMPORARY TRANSFER AND/OR RE-ASSIGNMENT OF WORK
AND POSITION
REFERRAL TO LEGAL DEPARTMENT FOR FILING OF
APPROPRIATE ACTION
SECTION X. ADMINISTRATIVE INVESTIGATION & PRESCRIPTION OF PENALTY

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SECTION XI. SCHEDULE OF OFFENSES AND PENALTIES

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ATTENDANCE AND PUNCTUALITY


PRESCRIBED WORK ATTIRE/IDENTIFICATION CARD
SECURITY AND SAFETY
CORPORATE PROPERTY AND INTERESTS
HONESTY AND INTEGRITY
RESPECT FOR SUPERIORS
PROPER WORK CONDUCT AND BEHAVIOR
RESPECT FOR CLIENTS/GUESTS/SUPPLIERS

SECTION XII. REPEALING CAUSE

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SECTION XIII. EFFECTIVITY

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TABLE OF APPENDICES

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INVESTIGATION REPORT
NOTICE TO EXPLAIN
NOTICE OF HEARING
STERN WARNING
WRITTEN REPRIMAND
PREVENTIVE SUSPENSION
NOTICE OF DISMISSAL/SUSPENSION

A
B
C
D
E
F
G

CODE OF CONDUCT

SECTION I. RATIONALE
Charter Ping An Insurance Corp. (CPAIC), being a part of the Metrobank Group
of Companies, is committed to the interests and welfare of its customers,
business partners and shareholders and ensures responsiveness to their specific
needs by providing appropriate and competitive products and delivering timely,
reliable and superior services. It recognizes that this can be attained through the
unwavering support of a competent, highly professionalized, well-trained and
disciplined workforce.
Like its parent company, CPAIC recognizes the significance of discipline among its
employees to ensure efficiency and effectiveness in its business operations. The
desired level of productivity can only be attained by an empowered but disciplined
workforce.
This Code of Conduct (Code) embodies the prescribed moral code for CPAIC
employees. While it defines the offenses and the corresponding disciplinary
sanctions that may be imposed, its overall intent is to prevent any breach thereof
rather than the imposition of the disciplinary measures. Furthermore, while it states
the specific disciplinary measure for a specific offense, it does not preclude
Management from imposing a lesser or heavier penalty depending on the gravity
of the offense committed. It is also without prejudice to existing Company policies
on specific matters not covered herein and which provide for penalties in case of
non-compliance therewith. In case of conflict between the provisions of this Code
and existing Company policies on specific matters or procedures, the latter shall
prevail.

SECTION II. COVERAGE


This Code applies to all CPAIC employees regardless of rank or employment
status. The term employees refers to officers, rank and file employees including
probationary and contractual employees.
SECTION III. STANDARDS OF CONDUCT
This Code sets forth the standards of conduct expected of all employees and
enumerates the acts or omissions regarded as violative of the prescribed norms of
behavior of CPAIC or prejudicial to its interest.

A. ATTENDANCE AND PUNCTUALITY


All employees are expected to report for work on time and be regular in their
attendance. They should perform their job responsibilities during working hours.
Tardiness, absenteeism and loafing during work hours are frowned upon.
B. PRESCRIBED WORK ATTIRE/IDENTIFICATION CARD
When reporting for work, all employees must be in the prescribed office
attire/uniform. Identification cards must be worn at all times while inside the office
premises and are considered part of the prescribed office attire/uniform.

C. SECURITY AND SAFETY


All employees shall maintain their work areas clean, secure and safe to ensure
office security as well as their health and safety and that of their co-employees as
well.
D. CORPORATE PROPERTY AND INTERESTS
All employees shall exercise the highest degree of care in handling and using
Corporate property and assets and shall protect it from loss or damage.
Corporate property and assets shall be used only for official purposes. Its use for
any private or personal purpose is prohibited.
All employees are likewise expected to safeguard the interests of the Company in
all their dealings and in the performance of their duties. They shall not expose the
Company to any risk, whether financial or reputational.

E. HONESTY AND INTEGRITY


The importance of honesty and integrity in an employee cannot be
overemphasized. All employees are expected to be honest, truthful, upright and
conscientious in the discharge of their functions, in the handling of company funds
and properties, and in their dealings with their superiors, subordinates, fellow
employees, customers and business partners. Any form of dishonesty or fraud is
unacceptable and no employee shall commit any such act nor conceal the same,
facilitate or aid in the commission thereof.

F. RESPECT FOR SUPERIORS


All employees shall observe courtesy and respect in dealing not only with their coemployees but with their superiors as well. They should exert cooperation and
support for their specific work units and follow their superiors assigned tasks to
them.

G. PROPER WORK CONDUCT AND BEHAVIOR


All employees are expected to observe proper decorum and conduct themselves
in accordance with the values of CPAIC at all times within or outside of the work
premises. They should realize that they are carrying the good name of CPAIC and
its mother company, Metrobank, and hence, they are obligated to protect its
reputation and image to ensure and maintain the confidence and trust of its clients
and the public in general.
All employees shall perform their jobs with efficiency, conscientiousness and
dedication and with the highest degree of professionalism, diligence, excellence
and skill.

H. RESPECT FOR CLIENTS/GUESTS/SUPPLIERS


Pursuant to CPAICs commitment to deliver excellent service to its customers and
acknowledging that they are the lifeblood of our business, all employees are
expected to treat them with utmost importance and courtesy.
SECTION IV. JURISDICTION
Except for offenses on tardiness, absenteeism, failure to time in or time out, failure
to file proceed forms or application for leave which shall be monitored by the
Human Resources Department, the Administrative Investigation Committee (AIC)
shall exercise jurisdiction over all violations of the provisions of this Code. It is
composed of the President acting as the Chairman with the Executive Vice
President, Head of Marketing, Head of Underwriting, Head of Branch Operations,
Special Assistant to the Group Controller and Head of Legal/HRD as members.
The latter also acts as the Secretary.

SECTION V. CLASSIFICATION OF OFFENSES

A.MINOR OFFENSES
Refer to
An act by an employee which results in the violation of any Company policy,
rule or regulation without causing financial loss to CPAIC, physical injury to
any CPAIC employee or third party or damage to CPAIC property or
reputation.
Those which constitute an omission or oversight.
Those which arise from simple negligence, not malicious intent, without
resulting in serious disadvantage to CPAIC or any of its employees or
clients.

B. LESS SERIOUS OFFENSES


Refer to offenses which indicate a disregard of CPAICs interests including
repeated violations within a relatively short period of time (a period of less than
one year) of policies, rules and regulations and which otherwise would have been
minor offenses, or the culpable commission or omission of an act which results in
serious embarrassment or inconvenience to CPAIC or any of its employees or
clients.
C. SERIOUS OFFENSES
Refer to acts or omissions, characterized by:
Wanton, deliberate and malicious intent
Gross negligence
Habitual disregard of established procedures
Serious undermining of authority
Breach of trust relative to confidential information or CPAIC funds or
property
Public scandal and consequent erosion or loss of confidence
Financial loss or administrative/operational difficulty or corporate
embarrassment to CPAIC or physical harm to its stockholders, public,
officers or employees.

SECTION VI. KINDS OF PENALTIES

A. WRITTEN REMINDER/WARNING
This is a minor admonition for a light offense or violation committed by an
employee requiring him to exercise extra care and diligence in observing
established Company policies and operating procedures or generally acceptable
work behavior and moral standards so as to prevent repetition of an offense or
violation. This shall be included in the erring employees 201 files but shall not be
considered as part of his derogatory records for purposes of performance
evaluation.
B. WRITTEN REPRIMAND
This is a strong admonition for a less serious offense requiring and forewarning an
employee to be more cautious in adhering to established Company policies and
operating procedures or generally acceptable work behavior and moral standards
with a warning that a repetition of the same or similar offense shall warrant a more
stringent disciplinary action. This shall form part of the employees 201 files and
shall be considered a derogatory record which shall have a consequent effect on
the employees performance evaluation.

C.RESTITUTION
If the employees act or omission arising from his fault or negligence results to any
loss or damage to CPAIC, the employee shall, in addition to the prescribed
penalty, be required to restitute or restore the loss to allow full recovery of the loss
or damage by CPAIC.
D.SUSPENSION
This is a stricter written sanction for a more serious violation involving the physical
detachment from service of the erring employee for a specific period of time
without pay depending on the gravity of offense or violation. This serves as an
ultimate warning to the employee that any further repetition of the same or similar
serious offense committed shall warrant termination of his employment for cause.
This shall form part of the employees 201 files and shall be considered a
derogatory record which shall have a consequent effect on the employees
performance evaluation.

E.DISMISSAL
This is the termination of an employees services for cause and the maximum
penalty for the commission of gross, willful or repetitive violation of established
Company policies and operating procedures or generally acceptable work
behavior and moral standards which include fraud, irregularities or dishonest acts
committed by an employee. The erring employee shall automatically forfeit all
benefits which would normally accrue to him on retirement or separation for
reason/s other than for cause.
SECTION VII. WITHHOLDING OF BENEFITS
An employee cited in audit or under investigation or with pending administrative
case may, subject to the approval of Management, be allowed to retire/resign from
the service. The payment of any and all monetary benefits shall be held in
abeyance until he shall have been cleared from all liability, both internally and
externally (all Metrobank group subsidiaries). The total amounts of liability shall be
deducted from whatever monetary benefits that may be due to the employee.
SECTION VIII. CIRCUMSTANCES AFFECTING ADMINISTRATIVE LIABILITY

A. MITIGATING CIRCUMSTANCES
This refers to those circumstances by reason of which the penalty corresponding
to the offense committed by an employee is made lighter or less severe than what
is usually imposed for such offense. Among others, these include past
performance, degree of participation, first time offenses or, in general, such
circumstances which may support the imposition of lesser penalties than what are
prescribed in the schedule of penalties. However, mitigating circumstances shall
not be considered in offenses involving gross dishonesty or fraud.
B. AGGRAVATING CIRCUMSTANCES
This refers to those circumstances by reason of which the penalty corresponding
to an offense committed by an employee is increased or made more severe than
what is usually imposed for such offense. Among others, these include past record
of offenses, habituality in the commission of offenses, the accompanying adverse
publicity stirred by the offense which tends to erode CPAICs corporate image or,
in general, such circumstances which may support the imposition of more severe
penalties than what are usually prescribed in the schedule of penalties.

SECTION IX. ADMINISTRATIVE PROCEDURES


Administrative investigations and related proceedings shall be brief and
expeditious. The technical rules of procedure or the rules on evidence shall not
apply.
An administrative investigation may be commenced by any of the following:
1. The Internal Audit Department in the course of its regular or special audit;
2. The Division or Department to which the employee belongs and which
discovers the commission or omission of an act in the course of the employees
discharge of his functions. Upon his discovery of such commission or omission,
the Division or Department Head must immediately report the same to
Management;
3. The Department of Internal Affairs (DIA) of Metrobank in cases where its
assistance is sought by CPAIC to make initial investigations of offenses committed
by employees.
An initial investigation shall be conducted by any of the aforementioned group by
gathering facts and evidence in the commission of the anomaly or irregularity.
Regardless of the result of the investigation, i.e., whether there is a chargeable
offense or not, a written report shall be submitted to AIC within ten (10) working
days from the end of the initial investigation.
Should the report support the finding of a violation of a minor offense which is
committed for the first time, the AIC shall endorse/refer the matter to the erring
employees Division/Department Head for the issuance of the appropriate
disciplinary measure in accordance with this Code. The same shall be served on
the said erring employee within three (3) days from receipt by the
Division/Department Head of the endorsement from AIC, copy furnished the
Human Resources Department for inclusion of the memo in the latters 201 files.
If, on the other hand, the offense is either less serious or serious in nature, a
Notice to Explain from the AIC shall be served on the respondent employee
requiring him to submit his written explanation within a non-extendible period of
five (5) working days. Said Notice shall state the specific charges or accusations.
The written explanation must be signed by the respondent employee otherwise it
shall not be admitted or considered. Other employees who have knowledge or
participation on the matter sought to be investigated shall also be required to
submit their written statements as well.

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Within five (5) working days from its receipt of the respondent employees written
explanation and the written statements of the other employees, the AIC shall set
the formal hearing/investigation on the matter. A Notice of Formal
Hearing/Investigation will be served on the respondent employee. Other
employees who shall act as witnesses shall likewise be invited.
A respondent employee who fails to submit his written explanation or attend the
formal hearing/investigation shall be deemed to have waived his right to be heard
and the AIC shall decide the matter based on the evidence available on record.
Immediately after the formal hearing/investigation, should the AIC find the
evidence on hand sufficient to support a decision, then it shall decide accordingly
based on the appropriate provision of the Code. If, on the other hand, it needs
additional information before it can make a decision, it shall adjourn the
hearing/investigation and shall continue on another date not later than five (5)
working days from such adjournment. It may invite other witnesses or recall other
witnesses for further questioning.

A decision of the AIC shall contain the following:


1. Findings of facts;
2. Offense/s committed and/or company policy violated;
3. Determination and disposition of the monetary liability of the respondent
employee;
4. Rationale of the decision
The decision of the AIC shall be immediately executory. The President, as
Chairman of AIC, shall issue to the respondent employee a notice informing him of
the result of the investigation and stating that upon due consideration of all the
circumstances and careful deliberation, grounds have been established to justify
his termination from service or suspension from work or absolving him from all
charges or may state a stern warning or written reprimand. The notice shall be
served on the respondent employee either by personal service or via courier or via
registered mail with return card at his last known address.
Administrative cases involving Senior Officers shall be investigated by the AIC
whose recommended action shall be submitted to the Executive Committee for its
consideration. Final decision on the disciplinary measure to be taken is with the
Executive Committee.
Disciplinary action shall be consistently and uniformly applied to all employees
regardless of rank and position taking into account the circumstances of each
case.

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Human Resources Department shall be given a copy of all notices, including but
not limited to Notice to Explain, Notice of Investigation, Preventive Suspension
Order or Notice of Decision, served upon the respondent employee for his 201
files.

A. PREVENTIVE SUSPENSION
The respondent employee may be placed under preventive suspension at any
time, either prior to or during the formal hearing/investigation or in case of its
adjournment as provided above, if, in the determination of AIC, his continued
employment poses a serious and imminent threat to the life or property of his
employer or his co-workers. The Preventive Suspension Order shall be issued by
the AIC and shall last not more than thirty (30) days.

A decision to reinstate the respondent employee after the lapse of the preventive
suspension period shall be without prejudice to the prerogative of the AIC to
assign him to an office other than his former station pending the resolution of the
case.
The thirty (30) day preventive suspension is neither a penalty nor a disciplinary
action arising from the administrative case but only a protective measure granted
to the Company by the Labor Code of the Philippines.
B. TEMPORARY TRANSFER AND/OR RE-ASSIGNMENT OF WORK AND
POSITION
In cases where no preventive suspension was imposed and so as not to impair the
conduct of the investigation, preserve the records/evidence and protect the
interests of CPAIC, the AIC may order the transfer and/or re-assignment of the
erring employee to any office other than his original work station pending the
resolution of his case.
Such transfer or re-assignment shall be without diminution of rank, salary and
benefits of the respondent employee but shall be without prejudice to the
imposition of a preventive suspension if evidence further warrants.

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C. REFERRAL TO LEGAL DEPARTMENT FOR FILING OF APPROPRIATE


LEGAL ACTION
It is understood that the decision of the AIC shall be without prejudice to the filing
of the appropriate legal action against the erring employee if the circumstances so
warrant. Hence, the AIC may, at any time, even prior to the conduct of the formal
hearing/investigation, refer the case to the Legal Department for the evaluation of
the case and if it is determined that a cause of action exists, the necessary legal
action shall be undertaken. The Legal Department shall submit a written report on
its recommendation to the AIC as to whether or not to proceed with the filing of the
legal action as may be warranted by the facts of the case.
SECTION X. ADMINISTRATIVE INVESTIGATION & PRESCRIPTION OF
PENALTY
Administrative investigation of any offense is not barred by lapse of time. However,
no penalties shall be imposed on the erring employee, except restitution for any
monetary loss that CPAIC may suffer due to the act or omission of the employee,
if management fails to take action against the employee within the prescribed
period, as follows:
a. Minor offense one year from discovery of the offense by Management
b. Less serious offense two years from discovery of the offense by
Management
c. Serious offense three years from discovery of the offense by Management

SECTION XI. SCHEDULE OF OFFENSES AND PENALTIES


As a matter of policy, an employee who has been served a written reprimand
and/or suspended three (3) times as a disciplinary measure for various offenses
as enumerated hereunder within a 12-month period, may be dismissed from the
service on the 4th offense.

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A. ATTENDANCE AND PUNCTUALITY


ST

nd

rd

th

th

1
Offense

2
Offense

3
Offense

4
Offense

5
Offense

Written
Reminder/
Warning

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reminder/
Warning

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3)
days
suspension

Seven (7)
days
suspension

Dismissal

Written
Reminder/
Warning

Written
Reprimand

Three (3)
days
suspension

Seven (7)
days
suspension

Written
Reprimand

Three (3)
days
Suspension

Written
Reminder/
Warning

Written
Reprimand

A.1 Tardiness of at least three (3) times in


a month or committing undertime three (3)
times and/or more than 60 minutes within a
month.
A.2 Failure to return to work after availing
of a break/exceeding break time allowed
(abandonment of post).
A.3 Habitual absenteeism due to trivial
reasons or unsupported medical/health
reasons

A.4 Absence without official leave (range of


1-4 days) or failure to give notice of an
absence within the first two (2) hours of
official work schedule through any means
possible.
A.5 Absence without official leave for five
(5) consecutive working days (considered

Dismissal

as abandonment of work)
A.6 Claiming absence due to illness but
later found out to be malingering
A.7 Failure to file official leave (in case of
unexpected absence) within the first twenty
four (24) hours upon return to work
A.8 Failure to report for work after availing
of a leave without acceptable reason
A.9 Change of work hours without his unit
heads written authorization
A.10 Failure to time-in or time-out in the
prescribed timekeeping machine

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Dismissal

One (1) day


suspension

Three (3)
days
suspension

B. PRESCRIBED WORK ATTIRE/IDENTIFICATION CARD

B.1

Failure

or

refusal

to

wear

the

Written
Reminder/
Warning

Written
Reprimand

Three (3) days


suspension

Seven (7)
days
suspension

B.2 Failure to observe cleanliness and

Written
Reminder/
Warning

Written
Reprimand

Three (3) days


suspension

Seven (7)
days
suspension

Written
Reminder/
Warning

Written
Reprimand

Three (3) days


suspension

Seven (7)
days
suspension

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3) days


Suspension

Written
Reprimand

Seven (7)
days
Suspension

Dismissal

Written
Reminder/
Warning

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

prescribed uniform/office attire

corporate grooming
B.3 Failure to wear identification card

C. SECURITY AND SAFETY


C.1 Unauthorized carrying of firearms and/
Dismissal

or explosives inside Company premises.


C.2 Reporting for work under the influence
of prohibited drugs or substance or alcohol
C.3 Drunkenness/drinking liquor or any
alcoholic

beverages

within

company

premises during or beyond office hours


except on certain occasions or social events
when tolerated by Management
C.4 Refusing to submit for inspection to
Companys authorized personnel/failure to
abide by the security regulations of general
safety practices of the Company
C.5

Allowing

and/or

failing

to

report

unauthorized persons entering restricted


areas without permission
C.6 Willful disregard of office directives on
cleanliness like littering, spitting, urinating,
etc.
C.7 Committing disorder, violence or use of
force

toward

co-employee

within

the

Dismissal

Company premises.
C.8 Failure to report within 24 hours any
incident or injury/damage occurring on

Written
Reprimand

15

Dismissal

incident or injury/damage occurring on


Company time or property
C.9

Unauthorized

stay

in

Company

premises after office hours


C.10 Smoking in restricted areas
C.11 Unauthorized entry into restricted area
within the Company premises

Written
Reminder/
Warning

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Written
Reminder/
Warning

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Three (3) days


Suspension

Dismissal

Three (3) days


Suspension

Dismissal

Written
Reprimand

Dismissal

C.12 Willful withholding of information from


the Company of having contagious disease
that may endanger the health of co-

Written
Reprimand

employees

C.13 Disclosure or release of Company


records or confidential information of any
nature from Company premises without any

Seven (7)
days
Suspension

Dismissal

Written
Reminder/
Warning

Written
Reprimand

authorization
C.14 Entry into the Company premises
during off-hours without necessary overtime
authorization or official permit

Three (3) days


Suspension

Five (5) days


Suspension

D. CORPORATE PROPERTY AND INTERESTS


1ST Offense
D.1 Intentionally damaging Company
properties
D.2 Performing unauthorized work
using Company time and/or doing an
act in direct or indirect conflict with
the interest of the Company

D.3 Unauthorized use of Company


name and properties like vehicles,
equipment, etc. This covers the use
of Company building for personal,
illegal or immoral purposes.
D.4 Unauthorized lending or usage
of Company vehicle
D.5 Failure to shut off lights, motors,

2nd Offense

3rd Offense

4th Offense

5th
Offense

3rd Offense

4th Offense

5th
Offense

Dismissal
Seven (7)
days
Suspension

Dismissal

1ST Offense

2nd Offense

Seven (7)
days
Suspension

Dismissal

Seven (7)
days
Suspension
Written

Dismissal

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Seven (7)
days
Suspension

appliances and faucets when not in


use.
D.6 Entertaining personal visitors
and personal telephone calls during
Company time without permission
from superior which disrupts work.
D.7 Placing long distance calls not
related to work or without
authorization from superior

D.8 Unauthorized revelation to any


company or entity confidential
information such as but not limited
to Company trade secrets, finances,
etc.
D.9 Competing with the Companys
business or working for another
person or Company engaged in the
same business.
D.10 Doing work other than those
relative to assigned duties or the
orders of the superior.
D.11 Unauthorized disbursement
and/or misappropriation of Company
funds or disposal of Company
property.
D.12 Driving Company vehicle under
the influence of liquor or prohibited
drugs.
D.13 Writing on walls or posting
unauthorized written materials,
notices, signs, or other printed
materials on the wall or the bulletin
board.
D.14 Removing or defacing any
official notice or announcement on
Company bulletin boards and other
areas without prior authorization.
D.15 Soliciting donations, selling
merchandise or tickets, peddling any
type of goods or service to
employees during work hours.
D.16 Circulating petitions or similar
literature during work hours without
specific approval of Management.
D.17 Carelessness which caused
wastage, spoilage or damage of
Company properties.
D.18 Substituting Company property,
materials, or equipment for another
with inferior quality or lesser value.
D.19 Causing, inciting others to
disturbance, disorder or plot which
results in the disruption of operation
of the Company.
D.20 Deliberate slowing down or
restricting production output.

Reprimand

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Dismissal

Written
Reprimand

Dismissal

Dismissal
Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Written
Reminder/
Warning

Written
Reprimand

Three (3)
days
Suspension

Written
Reminder/
Warning

Written
Reprimand

One (1) day


Suspension

Written
Reprimand

One (1) day


Suspension

Three (3)
days
Suspension

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3)
days
Suspension

Dismissal

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

D.21 Engaging in corporate sabotage

Seven (7)
days
Suspension
Three (3)
days
Suspension
Seven (7)
days
Suspension

Dismissal
Dismissal

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or any similar activity detrimental to


the good name of the Company.
D.22 Lending of Company funds to a
co-employee or non-employees
D.23 Personal borrowing of
Company funds

D.24 Installation and/or use of


unlicensed software including but
not limited to installation of games in
the Companys computers

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

1ST Offense

2nd Offense

3rd Offense

4th Offense

Written
Reprimand

Three (3)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Dismissal
Dismissal
5th
Offense

E. HONESTY AND INTEGRITY

E.1 Gambling within Company premises

1ST
Offense
Written
Reprimand

E.2 Stealing/unauthorized possession of Company


property.
E.3 Falsifying or tampering Company
records/documents.
E.4 Giving false pre-employment information that
would have been a critical consideration to hiring.
E.5 Delegating the swiping of ones ID card to a coemployee or swiping the ID card of another employee
or preparing fraudulent attendance sheet or altering
attendance records

Dismissal

E.6 Fraud or willful breach by the employee of the trust


reposed on him by the Company.
E.7 Permitting another to use ones ID or using
another ID for personal gain or for unlawful purposes.

Dismissal

E.8 Extending favors to clients that will compromise


the Company.

E.9 Commission of a crime or offense by the employee


against the person of his employer or any immediate
member of his family or his duly authorized
representatives.
E.10 Deliberate, careless, or negligent submission of
any item of fraudulent expense for Company account.
E.11 Issuing policies without corresponding invoices.

E.12 Causing the Company to lose time and/or money


through fault or negligence.
E.13 Tampering with or mishandling the timekeeping
machine causing it to malfunction and/or changing the

2nd
Offense
Seven (7)
days
Suspension

3rd
Offense
Dismissal

4th
Offense

5th
Offense

2nd
Offense

3rd
Offense

4th
Offense

5th
Offense

Seven (7)
days
Suspension
Dismissal

Dismissal

Dismissal
Dismissal
Dismissal

Seven (7)
days
Suspension
Seven (7)
days
Suspension
1ST
Offense
Dismissal

Dismissal

Dismissal

Dismissal
Written
Reprimand
Seven (7)
days
Suspension
Seven (7)
days

18

Dismissal

time/information.
E.14 Accepting or soliciting, directly or indirectly, any
sum of money, unauthorized commission either from
suppliers or reinsurers, offer or promise in
consideration of any act, contract, decision or service
involving the Company and the other party, which tend
to compromise the discharge of the employees official
duties towards his/her employer.

Suspension
Dismissal

E.15 Giving false testimony during Company


investigation.
E.16 Embezzlement, malversation and/or
misappropriation of Company funds or assets
E.17 Theft (whether Company property or property of
a co-employee, clients)

Dismissal
Dismissal
Dismissal
1ST
Offense
Dismissal

2nd
Offense

3rd
Offense

Three (3) days


suspension

Seven (7)
days
suspension

Dismissal

1ST
Offense
Written
Reprimand

2nd
Offense
Three (3) days
Suspension

F.2 Refusal to render overtime or holiday work despite


advance notice.

Written
Reprimand

Three (3) days


Suspension

F.3 Insubordination/refusal to obey orders on work


matter.

Seven (7)
days
Suspension
Seven (7)
days
Suspension
Dismissal

Dismissal

E.18 Concealment of ones knowledge of the


commission of fraud, deceit or other forms of
dishonesty.
E.19 Failure to report or to take action on the
commission of offenses of subordinates

4th
Offense

5th
Offense

3rd
Offense
Seven (7)
days
Suspension
Seven (7)
days
Suspension

4th
Offense
Dismissal

5th
Offense

3rd

4th

F. RESPECT FOR SUPERIORS

F.1 Refusing to perform assigned work.

F.4 Disrespect towards superior.

F.5 Serious misconduct or willful disobedience by the


employee of the lawful orders of his employer or its
representative in connection with his work.
F.6 Insult or willful disrespect by the employee on the
honor or person of his superior or any Company
officer.

Dismissal

Dismissal

Dismissal

G. PROPER WORK CONDUCT AND BEHAVIOR


1ST

19

2nd

5th

Offense
G.1 Any act of indecency or immorality committed
with or against a co-employee or a client within
Company premises or in carrying ones tasks.

Three (3) days


Suspension
1ST
Offense

G.2 Using abusive language in addressing any person


on Company time or premises.
G.3 Causing ill-will and/or defiance among coemployees or toward superior.
G.4 Creating malicious statements/fomenting intrigues
concerning any employee/rumor mongering.
G.5 Gross or habitual negligence in the performance
of duty.
G.6 Loafing, loitering or leaving work post premises
during office hours without permission of superior.
G.7 Being convicted of a crime.
G.8 Threatening, coercing, harassing, or quarreling
with physical contact against/with fellow workers
within Company premises.
G.9 Abuse of position in the Company for personal
benefit or to take advantage of the employee/s under
his supervision.
G.10 Sleeping while on duty.

G.11 Undue failure to perform an act within the scope


of an assigned task.
G.12 Irresponsible conduct or act apt to show job
disinterest.

G.13 Making noise or disturbance that may distract


other employees in the performance of their duties.
G. 14 Abuse of position to gain profit or to take
advantage of the employee/s under his supervision.
G.15 Conduct of grossly indecent nature.
G.16 Disorderly conduct, which includes engaging in
horseplay or use of disrespectful, insulting or profane
language within Company premises
G.17 Sexual harassment as defined under RA 7877

G.18 Showing or exhibiting obscene materials,


pictures, etc. within the Company premises not for
the sake of art or in the interest of art
G.19 Simple negligence or dereliction of duty without
resulting to serious disadvantage to the Company

G.20 Failure to observe prescribed standards of work


or to fulfill reasonable work assignments due to
inefficiency (includes failure to attain work goals or

Three (3) days


Suspension

Offense
Seven (7)
days
Suspension
2nd
Offense
Seven (7)
days
Suspension

Seven (7)
days
Suspension

Dismissal

Three (3) days


Suspension

Seven (7)
days
Suspension

Offense

Offense

Offense

4th
Offense

5th
Offense

Dismissal
3rd
Offense
Dismissal

Dismissal

Dismissal
Written
Reprimand
Dismissal
Seven (7)
days
Suspension
Seven (7)
days
Suspension

Three (3) days


Suspension

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Written
Reprimand

Three (3) days


Suspension

Seven (7)
days
Suspension

Dismissal

Dismissal

Dismissal
Seven (7)
days
Suspension

Dismissal
Dismissal

20

Dismissal

work quotas, either by failing to complete within the


allotted period or by producing unsatisfactory results
which may be reflected in the employees
performance appraisal for a period of one year)
G.21 Failure to comply with the provisions of the
Manual on Signing Authority

Seven (7)
days
Suspension

Fifteen (15)
days
Suspension

Dismissal

H. REGARD TO CLIENT/GUESTS/SUPPLIERS
1ST
Offense
H. 1 Any form of disrespect or discourtesy toward
customers, suppliers, guests.
H. 2 Quarreling with customers, suppliers, guests

H. 3 Using offensive language, behavior or signs


towards anyone in the presence of the customers,
suppliers, guests

Written
Reprimand
Seven (7)
days
Suspension
Seven (7)
days
Suspension

2nd
Offense
Seven (7)
days
Suspension

3rd
Offense

4th
Offense

Dismissal

Dismissal

SECTION XII. REPEALING CLAUSE

All other rules and regulations on the conduct of employee or parts thereof which
are inconsistent with this Code are hereby repealed, amended or modified
accordingly.

SECTION XIII. EFFECTIVITY

This Code shall take effect upon its dissemination to all employees.
Done this 31st day of March 2010 at Makati, Philippines.

21

5th
Offense

ANNEX A

MEMORANDUM

FOR

: ADMINISTRATIVE INVESTIGATION COMMITTEE

FROM

: Name & Rank of Reporting Officer

DATE

SUBJECT

: NATURE OF IRREGULARITY/ANOMALY

The undersigned submits this report on our investigation/audit of the subject


irregularity/anomaly conducted on (state date).
BASIS OF THE REPORT (if applicable)
This investigation was conducted based on the (specify)
SCOPE OF INVESTIGATION/VERIFICATION (mention the extent
review/verification made. Also, indicate or describe the nature of the loss)

of

PERSONNEL
PRIMARILY
INVOLVED
(state
the
name
and
position/unit/department and other pertinent employment information/history of the
employee and whether he had been charged or involved in the past for any
infraction. Also state the specific act or omission that was committed)
OTHER CITED PERSONNEL (these are employees who by reason of their
violation of policies and procedures have facilitated the commission of the
irregularity or anomaly of the personnel primarily involved. State the pertinent
employment information/history of these employees and their commission in the
past of any violation of policies and procedures)
BACKGROUND INFORMATION (any antecedent information that led to the
discovery of the anomaly/irregularity)

22

MODUS OPERANDI (briefly state the scheme used in committing the


anomaly/irregularity)
FINDINGS/OBSERVATIONS (present the details of the anomaly/irregularity and
the supporting documents)
VIOLATION OF POLICIES, PROCEDURES, INTERNAL CONTROLS (include in
this section the lapses committed by the other cited personnel which facilitated the
commission of the anomaly/irregularity)
WRITTEN EXPLANATION OF THE ERRING EMPLOYEE AND THE OTHER
CITED EMPLOYEES
ACTIONS TAKEN BY THE UNIT/DEPARTMENT/DIVISION TO WHICH THE
ERRING EMPLOYEE AND THE OTHER CITED EMPLOYEES BELONG
RECOMMENDATIONS

Signature over printed name of the reporting officer

23

ANNEX B

MEMORANDUM

FOR

Name of Employee

FROM

ADMINISTRATIVE INVESTIGATION COMMITTEE

DATE

SUBJECT

NOTICE TO EXPLAIN

This refers to the attached Investigation Report/Audit Report dated ______


alleging acts you committed which constitute (specify the offense and the specific
provision of the Code of Conduct violated) and which, if proven to be true, may
result to (state the penalty as provided by the Code of Conduct).
In this regard, please explain in writing within five (5) working days from your
receipt hereof why no such disciplinary action should be imposed upon you. Your
failure to submit your written explanation shall be taken as a waiver of your right to
be heard and this matter shall be submitted for resolution and/or hearing based on
the records and available evidence.
For your strict compliance.

Signed
Chairman AIC

Cc: 201 Files

24

ANNEX C

MEMORANDUM

FOR

Name of Employee

FROM

ADMINISTRATIVE INVESTIGATION COMMITTEE

DATE

SUBJECT

NOTICE OF HEARING

Please be informed that a formal hearing on your reported violation of our Code of
Conduct will be held on (date of hearing) at (time of hearing) at (venue of hearing).
You are therefore required to appear at the hearing and present your side on the
matter. We wish to reiterate that the hearing is intended to afford you the
opportunity to present your side on the charges against you. Your failure to appear
shall mean a waiver of your right to be heard and the Committee will proceed with
the deliberation on the issues raised against you and make the appropriate
decision based on the available evidence.
For your information.

Signed
Chairman AIC

cc:

201 Files

25

ANNEX D

MEMORANDUM

FOR

: Name of Employee

FROM

: ADMINISTRATIVE INVESTIGATIONCOMMITTEE/
DEPARTMENT/DIVISION HEAD

DATE

SUBJECT

: STERN WARNING

After due investigation and hearing, it has been established that you have violated
(state provision of the Code of Conduct) which is punishable by (state penalty).
Pursuant thereto, you should have been meted the appropriate penalty. However,
by reason of (state the circumstance justifying the issuance of a stern warning
rather than the penalty provided by the Code of Conduct, i.e., length of service,
degree of participation, first time offender, etc.), Management is instead issuing
this stern and final warning that your repetition of the same offense or any violation
of our Code of Conduct shall be dealt with more severely.

Signed
Chairman AIC/Division/Department Head

cc:

201 files

26

ANNEX E

MEMORANDUM

FOR

: Name of Employee

FROM

: ADMINISTRATIVE INVESTIGATIONCOMMITTEE/
DEPARTMENT/DIVISION HEAD

DATE

SUBJECT

: WRITTEN REPRIMAND

After due investigation and hearing, it has been established that you have violated
(state provision of the Code of Conduct) which is punishable by (state penalty).
Pursuant thereto, you are hereby issued a Written Reprimand.
We wish to stress that your failure to comply with Company policies and/or a
repetition of the same offense shall be dealt with more severely in accordance with
our Code of Conduct.

Signed
Chairman AIC/Division/Department Head

cc:

201 files

27

ANNEX F

MEMORANDUM

FOR

Name of Employee

FROM

ADMINISTRATIVE INVESTIGATION COMMITTEE

DATE

SUBJECT :

PREVENTIVE SUSPENSION

This refers to the ongoing investigation/audit of your reported violation of (state


specific act or omission being investigated).
Pending completion of the investigation/audit, please be informed that pursuant to
the provisions of Department Order No. 9, Series of 1997 Amending the Rules
Implementing Book V of the Labor Code, As Amended, you are hereby placed
under preventive suspension effective ___________ until _________. Please
understand that such suspension shall be without pay. Should your presence be
further required in the investigation, you shall be so informed.
For your information.

Signed
Chairman AIC

cc: 201 Files

28

ANNEX G

MEMORANDUM

FOR

Name of Employee

FROM

ADMINISTRATIVE INVESTIGATION COMMITTEE

DATE

SUBJECT

NOTICE OF DISMISSAL/SUSPENSION

Please be informed that after investigation and hearing and consideration and evaluation of
your testimony and your written explanation and the testimony of the witnesses, the
Administrative Investigating Committee has found you guilty of violating (specify
provision of the Code of Conduct) which carries a penalty of (specify the penalty of either
dismissal or suspension).
Accordingly, you are hereby dismissed for cause from the services of the Company
effective (state the date)/suspended without pay for a period of (state the period of
suspension).

Signed
Chairman - AIC

cc:

201 Files

29