CWP-HR-30, Code of Discipline

Document Code:
CWP-HR-30
Page:
1 of 8
Effective Date:
Core Work Processes March 1, 2017
Document Title: Revision No:
CODE OF DISCIPLINE 0
1.0 PURPOSE
1.1 To create a structured understanding of the boundaries within the company and the standards
set for interaction among employees and external stakeholders.
1.2 To have a formal and comprehensible code of discipline thatwill help safeguardtheimageand
legal standing of the company.
2.0 SCOPE
2.1 This policy covers all employees, regardless of status and engagement.
3.0 DEFINITION OF TERMS
3.1 Code of Discipline (COD) – is a set of rules outlining the norms, rules and regulations of, or
proper behavior for all employees working in the Company.
3.2 Corrective Action –Where after inquiry and investigation, an employee is found to have
committed a breach on the Code of Discipline, a Notice of Ccorrective Action shall be served by
the Immediate Superior and the HR Manager.
3.3 Dismissal – termination from work resulting from the serious infraction committed by an
employee against Company policies. Necessary Notices as mandated by law shall likewise be
served prior to the actual termination from work.
3.4 Due Process – Conduct of proceedings strictly according to established principles and
procedures, laid down to ensure that employees are given the opportunity to be heard and
warrant an objective assessment.
3.5 Notice to Explain – is a process where the employee is allowed to present his side and explain, in
writing, on charges made against him.
3.6 Preventive Suspension – Will be imposed when the employee’s continued employment poses a
serious and imminent threat to the life or property of the employer or of the employee’s co-
workers.
3.7 Suspension – The temporary cessation of work without pay for the prescribed number of days for
a repeated or serious infraction of the Companys’ Rules and Policies.
3.8 Verbal Warning – Act of counselling with the stern verbal warning that will be recorded and
documented. This will be filed in the employees’ 201 File.
3.9 Written Warning – A written document issued to an employee, enumerating the offense
committed and the penalties imposed. This will be a discussion between the Immediate Superior
and the employee concerned, identifying the need for a written warning for an offense that merits
such penalty.
Prepared by: Reviewed and Approved by:
________ JORDAN S. PASCUAL

HR Manager Chief Executive Officer
This is a controlled document and must not be printed, photocopied without prior permission from the QMR and/ or CEO.
Document Code:
JS PHILIPPINES CWP-HR-30
GLOBAL CORPORATION Page:
2 of 8
Effective Date:
4.0 REFERENCE
None
5.0 OTHER CONSIDERATIONS
5.1 The Company believes that every employee, owing to his inherent goodness, is capable of
conducting himself uprightly through self-discipline. Thus, the Code of Discipline (COD), like
other Company rules and regulations, are not meant to supplant such discipline but instead,
complement them by clarifying the acceptable standards of behavior and deviations thereof.
5.2 The COD shall govern the conduct of employees in the performance of their duties,
responsibilities, or functions. The COD, however, is not designed to be permanent or inflexible.
Thus, the Company may, from time to time, amend, alter, modify, change or repeal the COD
and/or add other rules that it may deem appropriate to promulgate.
5.3 It is the sincere desire of the Company to help all employees in every way possible to succeed in
their respective endeavors. However, willful or inexcusable breaches of the COD will be dealt
with firmly under a uniform policy such that the provisions of the COD, unless provided for in
specific company policies, shall apply to all employees of the Company regardless of status, level
or position.
5.4 The Company views disciplinary sanctions as a corrective and preventive action rather than a
punitive one. The Company realizes that the promulgation of the COD becomes necessary to
protect its interests and the interests of its employees, customers, suppliers, contractors, and
guests and to ensure that everyone is safe, secure, and satisfied within the group.
5.5 The COD does not cover all acts or omissions which may run contrary to the acceptable
standards of conduct and behavior. With respect to such acts or omissions, these shall be dealt
with by analogy to similar provisions in the COD.
5.6 The provisions of the COD notwithstanding, the Company has the right to impose such other
sanctions as maybe provided by the Labor Code and/or other pertinent laws, rules, and
regulations. The imposition of corrective action against an employee under the COD does not
prejudice the right of the Company to file a civil, criminal, or such other appropriate action against
the employee concerned.
5.7 All employees are obligated to report any knowledge of violation of the COD to their superiors
and/or to HR. Failure on the part of the employee to perform this obligation shall be considered
an act of omission and shall be dealt with appropriately in accordance with the provisions of the
COD.
5.8 The Company has sole jurisdiction to administer the COD. The due process requirements as
provided for by law shall be observed in all the proceedings. Ignorance of the COD shall not be
an excuse for any infraction and its corresponding corrective or legal action(s). Employees are
expected to manifest obedience to the rules of orderly conduct, exercise self-control, show
respect to their superiors and co-employees, be considerate of the rights of others, and to accept
the consequences of their acts.
5.9 Employees are expected to show respect for the Company by keeping all areas clean, neat and
orderly. They should report damages done to Company property, whether they are responsible
for these or not. They should handle vehicles, equipment, furniture and fixtures, and any other
Company property with reasonable care and fidelity. They should secure prior written approval in
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Effective Date:
case they will use Company property for personal purposes within or outside the Company
premises.
5.10 The corrective action specified for any of the unacceptable conduct and behavior shall be the
general guide for any infraction thereof. The Company may reduce or increase the severity of the
corrective action on a case-to-case basis, subject to the mitigating or aggravating circumstances
surrounding the situation in which the infraction was committed, the degree of trust and
confidence bestowed on the employee who committed the infraction, and the extent of damage
or loss suffered by the Company because of said infraction.
5.11 The imposition of suspensions shall be consecutive and not concurrent. An employee who is
meted out two or more suspensions resulting from a series of acts or omissions shall therefore
serve all suspensions one after the other.
5.12 Where unacceptable conduct or behavior proceeds from a series of acts or incidents involving
two or more distinct infractions, the more severe corrective action for these infractions shall be
imposed and served first.
5.13 For purposes of determining the continuity of successive infractions of similar nature, an
employee may be considered cleared of previous misconduct or misbehavior if, within a
prescribed period counted from the date of the commission of the last offense, an employee has
not committed any other offense of similar nature. The prescriptive period for offenses shall be
as follows;
5.13.1 For Category 1 to 3 offenses, a period of one (1) year from the commission of the
immediately preceding offense.
5.13.2 For Category 4 offenses, a period of three (3) years from the commission of the
immediately preceding offense.
5.14 If an employee commits another offense of a similar nature before the prescribed period of his
previous offense has elapsed, the new offense shall be considered as a continuation of his
previous offense. However, if an employee commits another offense of similar nature after the
prescriptive period has elapsed, the new offense shall again be considered as a 1st Offense.
5.15 It is expressly understood that all the corrective actions provided in the COD shall only be
implemented after all the legal requisites of procedural due process have been completed.
5.16 All previously issued rules and regulations, orders, directives, memoranda, instructions, notices
and circulars shall continue to have force and effect unless the same are in conflict with the
provisions of the COD in which case the former are deemed accordingly amended, modified or
repealed as the case may be.
5.17 Other rules and regulations, orders, directives, memoranda, instructions, notices, and circulars
issued supplemental or in addition to, modifying, implementing, interpreting or repealing any
provisions of the COD shall take effect forty-eight (48) hours after its posting in the bulletin
boards within Company premises.
5.18 A copy of the Code of Discipline shall be given to each employee of the Company, receipt of
which shall be acknowledged by each employee. The receipts shall be kept in the employees
201’ Files.
5.19 All new employees shall be issued his copy of the COD upon his employment with the Company.
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Effective Date:
5.20 Any existing employee of the Company, by the continuance of his employment in the Company,
is deemed to have accepted the COD and binds himself to comply with its provisions.
5.21 The employee charged may be placed under Preventive Suspension, pending investigation of his
case, for a period not to exceed thirty (30) days, if the offense committed is grave and the
evidences are strong against the employee, and/or where the employee’s continuous presence
poses an imminent or actual danger to person and property.
If the case is not resolved within the said 30-day period, or the preventive suspension has
already lapsed without any resolution yet, the employee shall be reinstated to work with pay. If
the employee, after hearing and investigation, is found to be innocent and is exonerated, he shall
be paid back wages for all the days that he was under preventive suspension. However, if the
employee is found guilty and is only suspended, the number of days of his suspension penalty
will be matched against the number of days he was put on preventive suspension. If the number
of days of his preventive suspension is longer than his supposed penalty, the company shall pay
him for the difference. On the other hand, if his penalty is longer that the days he was on
preventive suspension, the employee shall only serve the difference in the number of days.
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Effective Date:
6.0 PROCEDURES
ACTIVITY RESPONSIBILITY/ NOTES/ REFERENCES
START
Immediate Superior
Preliminary Investigation Upon noticing or receiving a report about the employee’s
and Preparation of the alleged infraction, the immediate superior shall conduct a
NTE preliminary investigation to determine if there is a cause for
corrective action and prepares a Notice To Explain (NTE) to
the employee which must contain the following:
• A description of the alleged act or omission of the

employee which constitutes a violation of the COD, the
place and time where the alleged act or omission was
committed, and witness or witnesses to the alleged act
or omission, if any.
• The particular provision of the COD which has been

violated by the employee’s alleged act or omission and
the corrective action that will be imposed if the
employee is proven guilty of the violation; and
• A direct instruction to the employee to explain his side

in writing within five (5) working days from the receipt
of the report, with the warning that if the employee fails
or refuses to submit a written explanation within the
stated time period, he shall be deemed to have waived
his right to explain and has admitted the commission
of the alleged act or omission.
• The setting and scheduling of an administrative

investigation which must be conducted not earlier than
seven (7) working days,but not later than fourteen (14)
working days, after the receipt of the said notice and
which the employee must be required to attend.
Immediate Superior
NTE is served to the The immediate superior serves the Notice To Explain (NTE) to
employee the employee and instructs him to acknowledge its receipt.
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Effective Date:
Employee
NO Employee acknowledges receipt of the NTE by signing his
name and writing down the date and time when the notice is
Employee received.
receives the B
NTE
YES
Immediate Superior and HR Manager

Conduct investigation On the stated schedule of the investigation, the immediate
C superior and HR Manager shall conduct said investigation,
whether or not the employee has submitted his written
explanation. During said investigation, the employee will be
confronted by the witnesses and with all evidence against him.
Minutes of the meeting/hearing shall be taken.

NO At the conclusion of the hearing, the immediate superior and
HR Manager shall evaluate the case, and ifcorrective action is
Corrective
END warranted, they shall proceed accordingly.
Action
YES

NO Corrective action may be carried out without prior approval
from the CEO if the corrective action is verbal warning to less
than 2 weeks suspension. However, if corrective action is over
Verbal two weeks suspension to dismissal, the approval of the CEO is
warning to required prior to implementation.
less than 2 D
weeks
suspension
YES
E
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Effective Date:
Immediate Superior
The Immediate Superior prepares a Notice of Corrective
Notice of Corrective
F Action, addressed to the employee and copy furnished to HR,
Action is served to the
and which must contain the following:
employee
• A summary of the results of the investigation
conducted on the employee’s violation. This should
include the description of the act or omission of the
employee which constituted a violation of the COD, the
place and time where the act or omission was
committed, and the witness/es to the act or omission, if
any.
• The particular provision of the COD which has been

violated by the employee’s act or omission; and
• The corrective action that is being imposed on the

employee, including the inclusive dates of the
suspension, if any.
HR personnel
HR shall ensure that all documents, notices, decisions, orders,
HR files all documents in
minutes and other papers generated as a result of, or in
201 file
connection with a corrective case shall be filed and form an
integral part of the employee’s 201 file.
END
Employee
Employee refuses to sign and acknowledge the NTE
Employee refuses to
receive the NTE
Immediate Superior
Should the employee refuse to sign, the immediate superior
Immediate Superior notes down in the NTE, “refused to receive”, and have it
makes notations on the signed by a witness who saw the employee refusing to accept
NTE the NTE.
Document Code:
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Effective Date:

If corrective action is over two weeks suspension to dismissal,
Corrective Action is over the Immediate Superior and HR Manager shall submit the
2 weeks to Dismissal results of the investigation and their recommendation to the
CEO for approval.
CEO
YES If the recommendation is approved by the CEO, the Immediate
Approved Superior and HR Manager shall proceed with the
F implementation. If disapproved, the CEO shall request the
Immediate Superior and the HR Manager to re-assess the
NO case and come up with a new recommendation.
CEO
G If the CEO disapproves the recommended corrective action,
Case is returned for re-
he shall request the Immediate Superior and the HR Manager
assessment
to re-assess the case and come up with a new
recommendation..

The Immediate Superior and HR Manager shall review the
Case is re-assessed for a
merits of the case and come up with a new recommendation
new recommendation
and submits it to the CEO for approval.
CEO
NO If the recommendation is approved by the CEO, the Immediate
Approved Superior and HR Manager shall proceed with the
G
implementation.
YES
7.0 ATTACHMENTS
7.1 CWP-HR-30A1, Code of Discipline
8.0 FORMS
8.1 CWP-HR-30F1, Notice to Explain (NTE) Form

8.2 CWP-HR-30F2, Corrective Action Form

CWP-HR-30, Code of Discipline

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3.0 DEFINITION OF TERMS

Prepared by: Reviewed and Approved by:

________ JORDAN S. PASCUAL

5.0 OTHER CONSIDERATIONS

ACTIVITY RESPONSIBILITY/ NOTES/ REFERENCES

• A description of the alleged act or omission of the

• The particular provision of the COD which has been

• A direct instruction to the employee to explain his side

• The setting and scheduling of an administrative

ACTIVITY RESPONSIBILITY/ NOTES/ REFERENCES

Immediate Superior and HR Manager

Immediate Superior and HR Manager

Immediate Superior and HR Manager

ACTIVITY RESPONSIBILITY/ NOTES/ REFERENCES

• The particular provision of the COD which has been

• The corrective action that is being imposed on the

ACTIVITY RESPONSIBILITY/ NOTES/ REFERENCES

Immediate Superior and HR Manager

Immediate Superior and HR Manager

7.1 CWP-HR-30A1, Code of Discipline

8.1 CWP-HR-30F1, Notice to Explain (NTE) Form

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