POLICIES AND

Human Resource Division

PROCEDURES MANUAL

Subject: Code of Discipline Code Number: 046

New Guidelines  Effective Date: Nov 2, 2019
Revised Guidelines  Revised Date: Oct 30, 2019
Prepared By: Reviewed By: Approved By:

Juliet Abonalla Aurora Irene Pitahin Allee Lourdes T. Sun

Assistant HRAD Manager Corporate Finance Head Chairperson / President

Bernadette Alzuelo Michael Ang

Assistant HRAD Manager Corporate Audit Head

Cris Culminas
HRAD Manager
Reynaldo Emilio Roa
HRAD Head

The role of managing human resources in the organization has at no time been more demanding and
challenging than it is today. While the organization is fast growing, there now prevails a need for a systematic
approach to objective, consistent, prompt and fair management of people. This is a challenge for all of us,
because we are a people coming from different backgrounds, temperaments, perspective and values who are
all in agreement to work harmoniously with one another.

It is on this premise that the Code of Discipline becomes imperative. The Code of Discipline clearly defines
the expected norms of conduct and behavior at all levels in the organization.

It is also a communication tool between management and employees, where harmony with and respect for
one another are of prime importance. It is by this very objective that this Code of Discipline was conceived –
to lead us – as one organization – in the achievement of our goal of excellence.

RULE 1 – Acts of Dishonesty and Fraud (Alphabetical)

Being Reported as Not at Home

Betrayal of Company Trust

Borrowing, Accepting or Soliciting from Suppliers / Customer

Bribery / Special Treatment or Privilege

Eating Leftover Foods

Engaging in Competitive Operations

False Testimony

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Falsification of Documents

Food and Beverage Pilferage

Fraudulent Acts

Fraudulent Reporting

Giving False Information

Hiding a contagious disease

Kickbacks

Lost and Found Items

Padding Customer Chits, etc.

Partaking of Duty Meal Outside Duty Hours or Rest Days

Robbery, Theft, Pilferage and Misappropriation of Funds

Sending “Sick Notice”

Signing Another’s Employee’s Time Sheet or Officer’s Check

Substituting Company Products, etc.

Swindling

Swiping Another Employee’s Time Card

Tampering with Employee Locker

Unauthorized Brining Into or Taking Out any article

Unauthorized Possession of Another’s Property

Unauthorized Possession of Master key, Duplicate keys, etc.

Unauthorized Sale of Another’s Property

Use of Company Time, Premises, etc. for Personal Benefit

Using Another Employee’s Meal Card

Other Acts of Dishonesty

RULE II – Acts Against Decency and Good Conduct ( Alphabetical)

Indecent Acts

Indecent Utterances

Pornographic Exhibits or Show

Prying into Privacy

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

RULE III – Criminal Acts ( Alphabetical)

Carrying Guns or Dangerous Weapons

Commission of Crime within company premises

Conviction

Use of Prohibited Drugs

Rule IV – Acts Against Peace and Order (Alphabetical)

Assaulting or Inflicting Bodily Harm

Destruction of Property

Disregard of Security Standards

Driving Recklessly

Endangering Safety

Entering /Using Restricted Areas

Failure to Comply with Control Procedures

Failure to Conform with Safety and Security Regulations

Inducing, Coercing, Bribing or Abetting Employees to Violate Rules

Involvement in Riots and Disorders

Posters / Announcements / Notice

Refusing to Comply with Prescribed Procedures on Accidents

Sabotage

Smoking in Restricted Areas

Tampering with Fire Equipment

Threatening, Intimidating, Insulting, Quarrelling

Unauthorized Distribution of Printed Matters

Other Acts Disturbing Peace and Order

Rule V – Undesirable Conduct and Behavior (Alphabetical)

Abuse of Authority

Discourtesy and Use of Disrespectful Language

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Drinking Alcoholic Beverage

Engaging in any Form of Gambling

Engaging in Usury

Horseplay

Libel

Non-Cooperation on Energy Conservation

Refusing to Accept Work, Change of Shift or Work Locations

Refusing to Attend a Scheduled Training Session or Seminar

Refusing to Carry out instructions

Refusing to Comply with Government Requirements

Refusing to Comply with Sanitation Rules

Refusing to Cooperate with other Employees

Refusing to go Home

Refusing to Leave Place of Work

Refusing to Notify

Refusing to Render Overtime

Refusing to Submit to Required Medical Examination

Refusing to Work

Reporting to the Place of Work while Drunk

Unauthorized Removal of Posters

Uncontrolled Temper

Using Guest Communication Lines and other Facilities

Vandalism

Other Acts of Discourtesy

RULE VI – Violation of Work Standards

Absenteeism

AWOL In Excess of One (1) Calendar Day

AWOL Not Exceeding One (1) Calendar Day

Bringing in / Storing of Personal Belongings

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Conducting Personal Business

Disregard of Security Standards

Eating Outside Dining Room

Exit / Entrance

Failure to Attend a Scheduled Training Session of Seminar

Without justifiable reason

Failure to Carry ID and Nameplate

Failure to Comply with Control Procedures

Failure to Follow Guidelines on Energy Conservation

Failure to Comply with Government Requirements

Failure to Comply with Locker and Locker Room Policy

Failure to Comply with Sanitation Rules

Failure to Comply with Prescribed Procedures on Accidents

Failure to Conform

Failure to Conform with Safety and Security Regulations

Failure to Notify Contagious Disease

Failure to Notify HRD of Change of Data

Failure to Provide Necessary Supplies

Failure to Report Loss of Company Property

Failure to Report to Work

Failure to Serve Members / Guests / Officers

Failure to Sign In or Out

Failure to Submit to Annual Examination

Failure to Swipe In or Out

Failure to Wear Nameplate

Grooming

Holding or Unauthorized Meeting

Improper Use of Uniform

Leaving Duty Area/s and Going Outside Company Premises

Loafing or Loitering After End of Working Hours

This document is a confidential property of Thunderbird Resorts and Casinos.
Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Loafing or Loitering While on Duty

Loss or Causing Damage to Company Equipment

Loss Through Negligence

Mishandling of Members / Guests / Officers

Non-Observance of Service Standards

Overloading

Prolonging Rest Periods

Receiving Unsatisfactory Ratings

Receiving Visitors

Riding on Fenders Within or Outside Company Premises

Sleeping While on Duty

Smoking / Chewing Gum

Tardiness

Working or Indulging In Strenuous Activity

Violating Office and Company Policies and Procedures

OBJECTIVES:

The Code of Discipline aims to promote, ensure and achieve the following:

 To understand and internalize the conduct expected of Company employees.

 To ensure that corrective actions are consistent, objective and fair.
 To provide constructive measures for employees to realize and learn from their mistakes.

SCOPE:

The Code of Discipline shall apply to all employees regardless of employment status and rank and shall cover
all violations committed whether on Company time or within its premises. “Company premises” shall include
areas where the employee performs official duties even if such areas are physically outside of the Company.
Accordingly, this code shall apply to any and all the following:

Officials and regular employees of the Company

Probationary employees

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Contractual employees

Project employees

Casual employees

POLICY GUIDELINES:

Disciplinary action or penalties shall be imposed immediately or as soon as possible after the offense has
been established.

The rules and disciplinary action shall be imposed with fairness and justice. Due process of law and the right
to a prompt hearing will be accorded to the employee.

Disciplinary actions will be corrective rather that punitive. The disposition of disciplinary action must be
commensurate to the infraction committed.

The responsibility for maintaining discipline of employees shall be the primary concern of the Department
Head who shall have the authority to initiate any disciplinary action against his subordinates whenever a
violation of the rules is committed.

Disciplinary actions should be limited to counseling, verbal reprimand, written reprimand, suspension, or
dismissal and should in no instance be violative of labor laws and fair labor practices.

All suspensions from work shall be without pay. Offenses, which call for preventive suspension, shall be
implemented in accordance with the Labor Code as amended.

DEFINITION OF ROLES:

The responsibility of ensuring that discipline exists in the Organization is jointly vested upon the Supervisors,
Division / Department Heads and the Human Resources Division (HRD).

Supervisors

Maintains discipline and promote efficiency among his subordinates in order to achieve the desired goals of
his section.

Ensures that policies and guideline prescribed in this Code are followed in so far as his section is concerned.

In cases of deviation / infringement of any of the Company’s rules and regulations by any of the subordinates,
he investigates the matter and observes due process of law in accordance with the provisions and guidelines
set in this Code.

Prepares the required reports on cases investigated and / or corrective actions meted out for submission to
the Division / Department Head.

Recommends the necessary Management action.

This document is a confidential property of Thunderbird Resorts and Casinos.

Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Division / Department Heads

Ensures that all his supervisors are fully aware of their responsibilities in maintaining discipline and
understand all relevant rules and regulations.

Reviews and approves, with concurrences of the GM and HRD corrective actions recommends by supervisors
to ensure objectivity and fairness prior to implementation.

Assists in the settlement of grievances, which may arise in connection with this Code.

Implements the approved corrective disciplinary actions.

Human Resources Division

Monitors proper implementation of the policies / guidelines contained in this Code.

Advises other departments as to how policies and guidelines should be implemented.

Ensures that appropriate measures or control systems are laid down by respective Departments to prevent
recurrence of said infringement.

Ensures that such policies, rules and regulations are regularly updated based on the needs of the different
sections / departments in the organization. This should be done in close consultation with the Executive
Committee and the Legal Counsels (Internal and External).

Advises other departments on how to handle disciplinary cases involving dismissal or preventive suspension
leading to a dismissal.

Clarifies matters about the interpretation of the Code on Personnel Discipline.

Encourages the development of an atmosphere where positive discipline will be second nature to everyone.

DEFINITION OF TERMS:

Discipline is the unquestioned respect, obedience and recognition of authority if it is lawful and in accordance
with Company policies and procedure.

Disciplinary action is the corrective measures meted out to employees arrived at bringing about a fuller
comprehension of and conformity with the Company rules and regulations and established authority.

Corrective Interviews, taken by the immediate superior or Department Head in case of light infractions by
discussing with the errant employee the specific nature of the infraction and by counseling him/her on the
correct action to be taken in the future, such interview to be recorded in the Disciplinary Action Form and
made part of his 201 file.

Verbal warning or reprimand is an oral admonition or counsel given an employee for an infraction of a rule
and warning him that repetition of the offense will be dealt with more severely.

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Written warning or reprimand is a written admonition prepared upon an employee’s repetition of an offense
in which a verbal warning or reprimand was previously given, or of a more serious offense which requires a
stronger disciplinary action so that a repetition of the same will subject him to a suspension.

Suspension is a temporary lay-off without pay made in writing and warns the employee that repetition of the
same offense will mean dismissal.

Dismissal is the termination of an employee for a cause.

This document is a confidential property of Thunderbird Resorts and Casinos.

Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

NOTICE TO EXPLAIN

DATE : ____________________________

TO : ____________________________

FROM : ____________________________

Please explain in writing within forty-eight (48) hours upon receipt of this notice why you should not be given
any disciplinary action for the offense mentioned below in detail:

This is not a corrective action, however, your failure to respond within the deadline shall mean
admission of guilt and waiver of your right to be heard, and we shall then affect the corresponding penalty as
stated in the Code of Discipline.

For your strict compliance.

___________________________________

Superior’s signature over printed name

Received by Employee: _______

Date & Time Received: _______

This document is a confidential property of Thunderbird Resorts and Casinos.

Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Important:

This form should be accomplished in duplicate-Copy A and Copy B. Copy “A” is given to the
concerned employee while Copy “B” should be marked “received” by him/her, with date and time. As soon
as employee submits his/her written explanation, attach it to “Copy B” and proceed with the investigation.

QUESTIONS TO ASK IN HANDLING DISCIPLINARY CASES

In getting the facts, I ask:

How serious is the case?

Do I understand fully all the laws, rules and regulations which apply in this case?

Are the facts that I have the real facts?

Did I make every effort to check upon the reliability of my information?

Did I consider all other sources of information?

Did I give the employee a chance to tell his side of the story? (The law of due process)

Did I check his past record?

Did I avoid embarrassing the employee by talking to him in private?

How I check the employee:

Have I tried to discover his motives?

Have I put myself in his place to check what my feelings and reactions would be?

Is my nose clean – am I to blame in any way?

Have I jumped to conclusions?

Have I talked to others who might give me a clue to his actions?

Decide on a course of action and how to take it:

Will my actions correct the situation?

How will it affect the individual, the group, and the Company?

Will the action be appropriate in view of the offense?

Did I remember the Golden Rule: “Do unto others as you want others do unto me”?

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Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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 POLICIES AND
Human Resource Division
PROCEDURES MANUAL

Is my action fair?

Remember: “You can’t punish a man and make him like it.”

This document is a confidential property of Thunderbird Resorts and Casinos.

Reproduction in whole or in part is strictly prohibited.

Prepared by: HRAS Department

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