Outline

A. Objective (Goal) B. Purpose C. Scope D. Things to define E. Progressive Discipline F. Hot Stove Rule G. Due Process

Outline
H. Kinds of Due Process I. Coverage of Due Process J. Disciplinary Measures K. Aggravating Circumstances L. Mitigating Circumstances M. Period an offense stays in 201 N. Handling Disciplinary Action

A. Objective (SPUD)
S -1. To establish standards and guidelines which must be observed on the conduct of official business transactions and in the performance of their respective duties and responsibilities. P ±2. To establish the proper policies and procedures in the conduct of Administrative Investigations before any form of disciplinary action/s can be taken. U- 3. To provide a uniform basis in imposing appropriate sanctions for every violation of this Code. D- 4. To define clearly the authority and responsibility of all parties involved in the course of Administrative Investigations.

B. Purpose (SC)

S -1. Show management¶s commitment to promote discipline. C- 2. Correct employee¶s performance or behavior

C. Scope

All IFFSI employees whether regular or probationary.

Things to Define (NRINMPRT)
A. B. C. D. E. F. G. H. Notice to Explain Recall Letter Incident Report Notice of Investigation Minutes of Investigation Preventive Suspension Memo Reinstatement Letter Termination letter

A. Notice to Explain
A written notice summoning the erring employee to submit a written explanation, within 24-48 hours upon receipt of notice

B. Recall Letter
A letter issued to EPMPC employees who fail the standards expected of them by IFFSI.

C. Incident Report
A document describing an event where a rule or provision of law has been violated.

D. Notice of Investigation
A document requesting that a person be subject to an investigation.

E. Minutes of Investigation
A document summarizing the important issues tackled in the investigation.

F. Preventive Suspension Memo
A document suspending an employee when there is an imminent threat to the lives and properties of the employer, his family and representatives as well as the offenderµs co-workers . Max ± 30days Independent of principal penalties

G. Reinstatement Letter
A letter restoring the employee to his former status.

H. Termination Letter
A document informing the employee that the Employer ± Employee relationship is hereby terminated.

Progressive Discipline
(Rationale behind discipline)
Progressive discipline - is an employee disciplinary system that provides a graduated range of responses to employee performance or conduct problems. Example: an informal coaching session might be appropriate for an employee who is tardy or violates a minor work rule, while a more serious intervention -- or even termination -- might be called for if an employee commits serious misconduct

The application of Discipline must be«

‡ WITH ADVANCE WARNING ‡ IMMEDIATE ‡ CONSISTENT ‡ IMPARTIAL ‡ PROGRESSIVE

1

Discipline must be with Advance Warning.
The red color of the stove plate will warn you in advance that it is hot. The company¶s rules are discussed before an employee starts working ± to warn him of the consequences of possible violations.

2

Discipline must be Immediate. mmediate
When you touch a hot stove, you get burned immediately. The effect is instantaneous. Violations must be acted upon within 24 hours. Investigate, validate and act on offenses immediately.

3

Discipline must be Consistent.
You get burned whenever you touch the hot stove.
Act every time there is a violation in the code of conduct. Consistency in maintaining discipline is very essential.

4

Discipline must be mpartial.
The hot stove always burns anyone who touches it regardless of race, social affiliation, education or position.
Disciplinary action must be applied without bias towards the act and regardless of who the violator is.

5

Discipline must be Progressive.
The l er t h the hot tove, the evere our i jury ill e.

There must be an increase in penalty with the repetition of each offense.

Due Process
‡ The opportunity to explain one¶s side or the opportunity to seek reconsideration of the action or ruling complained of. ‡ Hearing means giving an employee the opportunity to be heard. ‡ If an employee is given a chance to air his side, but refuses to do so, then, he waives his right to be heard and the requirements of due process are aptly satisfied

Due Process (Article

77of the Labor Code)

The right of the accused to be afforded the opportunity for hearing and defenses: a. procedural requirement (process) ± duty to accord a hearing, to give interested party to present his/her side, and evidence to counter charges; and b. substantive requirement (has basis) action by employer/representative is valid based on law or rule with proper objective or purpose.

Due Process covers the following:
1. A written notice summoning the erring employee to submit a written explanation, within 24-48 hours upon receipt of notice (Notice to explain). 2. In cases where employee abandons the job after commission of infraction, the Immediate Superior shall send thru registered mail, the Notice to Explain or a (Recall Letter) to concerned employee. 3. Concerned Parties shall submit written explanations about their knowledge/ involvement in the incident ( ncident Report).

4. A face to face investigation with the parties involved can be conducted but NOT required.
a. Notice of nvestigation b. Minutes of nvestigation

5. In cases where presence of allegedly involved parties may pose as a threat to the smooth operation of the business and the employees¶ or employers¶ lives, the concerned employees may be placed under preventive suspension for a maximum of thirty days (Preventive
Suspension Memo).

6. However, when employee is found not guilty from the charges, he will be restored back to his original position with full back pay of salaries and benefits withheld during the period of suspension (Reinstatement Letter).
7. Disciplinary Action Advise is issued

to parties found guilty of violating the Code of Conduct.
8. Termination Letter is issued when

the corrective action for the offense committed is termination.

DISCIPLINARY MEASURES
erbal A. Verbal Counseling/Warning B.Written B. Written Reprimand C. Suspension D.Preventive D.Preventive Suspension E. Dismissal/Termination

AGGRAVATING CIRCUMSTANCES
Are those that tend to increase the seriousness or gravity of the offense and merit more severe disciplinary action.
1. The employee has a previous record of similar offenses in the last 5 years. 2. The employee has been guilty of multiple or habitual misconduct. 3. The employee has caused the company a great amount of damage or loss. 4. The employee was motivated by a reward or promise of a reward in the commission of the offense. 5. The employee benefited from the offense. 6. The person occupies a position of trust and confidence such as those entrusted with safeguarding company funds and property. 7. The person has a poor performance record. 8. The employee was under the influence of drugs or alcohol when he committed the offense. 9. The employee took advantage of an emergency situation. 10.The employee premeditated the commission of the offense. 11.The person imposed his position upon a subordinate to commit an offense.

MITIGATING CIRCUMSTANCES
Are those that tend to lessen the seriousness or gravity of the offense and merit less severe disciplinary action.

1. The employee has been in the service of the company for a relatively long period of time. 2. The employee has not committed a similar offense for the last 5 years. 3. The employee has a good performance record. 4. The person did not cause substantial damage or loss to the company. 5. The employee did not benefit from the offense. 6. The person admitted his guilt spontaneously. 7. The person did not have the intent to defraud or any other malicious intent. 8. The employee followed a wrong order of a superior in good faith or under threat, intimidation or duress. 9. The person was provoked to commit the offense. 10.It was an honest mistake and without malicious intent.

Period an Offense Stays in 201
123 ± MORAL TURP TUDE
A. Verbal Warning ± 1 year B. Written Disciplinary actions ± 2 years C. Suspension ± 3 years D. Incidents of Moral Turpitude ± Forever Moral Turpitude ± Everything which is done contrary to justice, modesty or good morals.

SUBORDINATE: Infraction allegedly made

IMMEDIATE SUPERIOR: Notifies TL of Infraction

HANDLING DISCIPLINARY ACTION RESPONSIBILITY CENTER
(Cases NOT Warranting Preventive Suspension/ Dismissal)
IMMEDIATE SUPERIOR: Implements and discusses the approved Disciplinary Advice SUBORDINATE: Acknowledgement of the Disciplinary Advice

Coop or Company Employee ?
COMPANY

COOP

IMMEDIATE SUPERIOR: Coordinates and ensures that Coop acts on the case

IMMEDIATE SUPERIOR: Issuance of Notice to Explain

IMMEDIATE SUPERIOR: Data gathering and conduct of Investigation SUBORDINATE: Explains the details surrounding the case IMMEDIATE SUPERIOR: Documentation of record of investigation & makes recommendation to next level superior based on the record of investigation & fills out the Disciplinary Advice NEXT LEVEL SUPERIOR: Reviews the Investigation & Disciplinary Advice & approves/ disapproves the Disciplinary Advice

SUBORDINATE: Acknowledgement of the Notice to Explain and submission of the Incident Report/Affidavit IMMEDIATE SUPERIOR: Evaluation of the Incident Report and issuance of Notice of Investigation if needed SUBORDINATE: Acknowledgement of the Notice of Investigation

IMMEDIATE SUPERIOR: Sends acknowledged Disciplinary Advice to HRD HRD: Filing of acknowledged Disciplinary Advice from the store

SUBORDINATE: Infraction allegedly made

IMMEDIATE SUPERIOR: Notifies TL of Infraction

Coop or Company Employee ?
COMPANY

COOP

IMMEDIATE SUPERIOR: Coordinates and ensures that Coop acts on the case

HANDLING DISCIPLINARY ACTION RESPONSIBILITY CENTER
(Cases Warranting Preventive Suspension/ Dismissal)
IMMEDIATE & NEXT LEVEL SUPERIOR/ HRD Data gathering and conduct of Investigation SUBORDINATE: Explains the details surrounding the case NEXT LEVEL SUPERIOR/HRD: Records investigation, makes recommendation, fills out and serves the Disciplinary Advice SUBORDINATE: Acknowledgement of the Disciplinary Advice IMMEDIATE SUPERIOR: Sends acknowledged Disciplinary Advice to HRD

IMMEDIATE SUPERIOR: Prepares Notice to Explain/ Notifies Immediate Superior/ Seeks advise & approval for Preventive Suspension from HRD IMMEDIATE SUPERIOR: Issuance of Notice to Explain/ Copy Furnish HRD SUBORDINATE: Acknowledgement of the Notice to Explain and submission of the Incident Report/Affidavit IMMEDIATE SUPERIOR: Sends info to Next Level Superior and HRD

HRD: Reviews the case and gives recommendation to Immediate Superior NEXT LEVEL SUPERIOR: Serving of Preventive Suspension Memo SUBORDINATE: Acknowledgement of the Preventive Suspension Memo IMMEDIATE & NEXT LEVEL SUPERIOR/HRD: Evaluation of the Incident Report and issuance of Notice of Investigation SUBORDINATE: Acknowledgement of the Notice of Investigation

HRD: Filing of acknowledged Disciplinary Advice