Handling Employee Discipline

Outline

A. Objective (Goal)B. PurposeC. ScopeD. Things to defineE. Progressive DisciplineF. Hot Stove RuleG. Due Process

Outline

H. Kinds of Due ProcessI. Coverage of Due ProcessJ. Disciplinary MeasuresK. Aggravating CircumstancesL. Mitigating CircumstancesM. Period an offense stays in 201N. 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. Notice to ExplainB. Recall LetterC. Incident ReportD. Notice of InvestigationE. Minutes of InvestigationF. Preventive Suspension MemoG. Reinstatement LetterH. 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 offender‘s co-workers .

Max – 30daysIndependent 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

HOT STOVE RULEHOT STOVE RULE

The application

of Discipline must be…

• WITH ADVANCE WARNING• WITH ADVANCE WARNING

• IMMEDIATE• IMMEDIATE

• CONSISTENT• CONSISTENT

• IMPARTIAL• IMPARTIAL

• PROGRESSIVE• PROGRESSIVE

Discipline must be with Advance Warning.Discipline must be with Advance Warning.

HOT STOVE RULEHOT STOVE RULE

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.

The company’s rules are discussed before an employee starts working – to warn him of the consequences of possible violations.

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.

Violations must be acted upon within 24 hours. Investigate, validate and act on offenses immediately.

Discipline must be Immediate.Discipline must be Immediate.

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Discipline must be Consistent.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.Act every time there is a violation in the code of conduct. Consistency in maintaining discipline is very essential.

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. Disciplinary action must be applied without bias towards the act and regardless of who the violator is.

Discipline must be Impartial.Discipline must be Impartial.

The longer you touch the hot stove, the severe your injury will be.

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

Discipline must be Progressive.Discipline must be Progressive.

HOT STOVE RULEHOT STOVE RULE

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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 277of 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 (Incident Report).

4. A face to face investigation with the parties involved can be conducted but NOT required.

a. Notice of Investigationb. Minutes of Investigation

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).

7. Disciplinary Action Advise is issued to parties found guilty of violating the Code of Conduct.

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).

8. Termination Letter is issued when the corrective action for the offense committed is termination.

DISCIPLINARY MEASURESDISCIPLINARY MEASURES

A.A.Verbal Counseling/WarningVerbal Counseling/Warning

B.B.Written ReprimandWritten Reprimand

C.C.SuspensionSuspension

D.D.Preventive SuspensionPreventive Suspension

E.E. Dismissal/TerminationDismissal/Termination

AGGRAVATING CIRCUMSTANCESAGGRAVATING 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.

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 CIRCUMSTANCESMITIGATING CIRCUMSTANCESAre 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.

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 Period an Offense Stays in 201201

123 – MORAL TURPITUDE

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.

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.

IMMEDIATE SUPERIOR:Issuance of Notice to Explain

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:Data gathering and conduct of Investigation

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

IMMEDIATE SUPERIOR:Implements and discusses the approved Disciplinary

Advice

SUBORDINATE: Acknowledgement of the

Disciplinary Advice

IMMEDIATE SUPERIOR:Sends acknowledged

Disciplinary Advice to HRD

HRD:Filing of acknowledged

Disciplinary Advice from the store

SUBORDINATE:Infraction allegedly made

HANDLING DISCIPLINARY ACTION RESPONSIBILITY

CENTER(Cases NOT Warranting

Preventive Suspension/ Dismissal)

HANDLING DISCIPLINARY ACTION RESPONSIBILITY

CENTER(Cases NOT Warranting

Preventive Suspension/ Dismissal)

Coop or Company Employee

?

COMPANY

COOP

IMMEDIATE SUPERIOR:Notifies TL of Infraction

IMMEDIATE SUPERIOR:Coordinates and ensures

that Coop acts on the case

SUBORDINATE: Explains the details

surrounding the case

HRD: Filing of acknowledged

Disciplinary Advice

IMMEDIATE SUPERIOR: Prepares Notice to Explain/ Notifies Immediate Superior/ Seeks advise

& approval for Preventive Suspension from HRD

SUBORDINATE: Acknowledgement of the

Notice to Explain and submission of the Incident

Report/Affidavit

IMMEDIATE & NEXT LEVEL SUPERIOR/HRD: Evaluation

of the Incident Report and issuance of Notice of

Investigation

NEXT LEVEL SUPERIOR: Serving of Preventive

Suspension Memo

IMMEDIATE & NEXT LEVEL SUPERIOR/ HRD

Data gathering and conduct of Investigation

NEXT LEVEL SUPERIOR/HRD:

Records investigation, makes recommendation, fills out and serves the Disciplinary Advice

SUBORDINATE:Infraction allegedly made

HANDLING DISCIPLINARY ACTION RESPONSIBILITY

CENTER(Cases Warranting Preventive

Suspension/ Dismissal)

HANDLING DISCIPLINARY ACTION RESPONSIBILITY

CENTER(Cases Warranting Preventive

Suspension/ Dismissal)Coop or

Company Employee

?

COMPANY

COOP

IMMEDIATE SUPERIOR:Notifies TL of Infraction

IMMEDIATE SUPERIOR:Coordinates and ensures

that Coop acts on the case

SUBORDINATE: Explains the details

surrounding the case

IMMEDIATE SUPERIOR:Issuance of Notice to Explain/

Copy Furnish HRD

HRD:Reviews the case and gives

recommendation to Immediate Superior

IMMEDIATE SUPERIOR:Sends info to Next Level

Superior and HRD

SUBORDINATE: Acknowledgement of the

Preventive Suspension Memo

SUBORDINATE: Acknowledgement of the

Notice of Investigation

SUBORDINATE: Acknowledgement of the

Disciplinary Advice

IMMEDIATE SUPERIOR:Sends acknowledged

Disciplinary Advice to HRD