Saturday, July 30, 2011

Sample Procedure in the Conduct of Administrative Investigation – Private Corporations

1. Acts and omissions by employees meriting administrative action, under the company’s code for employee discipline, must be reported immediately and formally to the concerned employee’s immediate superior.

2. The immediate superior of the reported employee will review, study and validate the report submitted to him.

3. After establishing the validity of the submitted report, the immediate superior must endorse the same to the Department Manager, if applicable. Evidence such as affidavits, photographs and documents supporting the report, must be included.

4. The Department Manager, after a thorough evaluation and as may be deemed proper, must refer the matter to the proper disciplinary/investigating authority of the company.

4. The disciplinary authority must immediately issue a Notice to Explain (NTE) to the reported employee stating clearly the charges, purpose, reason and basis of such. It must also determine whether or not the case merits preventive suspension. If so, the NTE may include the order of preventive suspension.

5. The employee must submit his written response to the disciplinary authority within the allowable time provided as stated in NTE. If the penalty is termination, the period to answer must be at least 5 days. If the penalty is from reprimand to suspension, less than 5 days will suffice.

6. When the penalty is termination, there must always be a hearing scheduled for the purpose.

7. Upon receipt of the employee’s written explanation, and after hearing (in case of termination), the disciplinary authority will make the decision either to excuse or impose disciplinary action (DA) on the reported employee. The basis of their decision must always be in consonance with Philippine labor laws (i.e., just causes) and the code of discipline.

7. Should the disciplinary authority impose the DA, the decision will be issued to the reported employee, and explained to him or her. The decision must show that all circumstances have been considered and the grounds have been established to justify the penalty.

8. Where the disciplinary authority excuses the imposition of DA, the employee will receive a copy of the decision.

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