CODE OF CONDUCT AND DISCIPLINE (CCAD)

Finest personal behavior is an important factor to career and personal growth

while individual discipline is the foundation of organizational effectiveness.

Objectives of this Code of Conduct and Discipline are:

1. To offer the work values that the Company expects from all its
employees
2. To enjoin all employees to maintain the highest possible standards in
business and personal ethics.
3. To provide guiding principle in the administration of policies on employee
discipline; and
4. To set established rules on penalties for offenses according to the
principles of justice and equality.

This CCAD shall apply to all employees in all levels and work location.

Any questions regarding this Code must be directed to the HR and Admin Head.

I. POLICY STATEMENT

The Company is committed to develop and maintain an organizational

environment where employees are productive, harmonious, unified and bound by
common objectives. Therefore, all Company heads/ department heads must
promote an environment that fosters a high-degree of self-discipline to enable
members of their organization/department to function efficiently and effectively in
team.

Everyone is expected to maintain the organizational behavior that upholds the

companies’ corporate culture and work values.

The primary purpose of this CCAD is corrective in nature. This positive approach
to discipline starts with proper training and is sustained by motivation and
encouragement. Disciplinary actions will be taken to correct erring employees. It
is not the primary intention of the Company to unduly penalize employees.
Instead, the rules that follow manifest the Company’s seriousness of purpose in
maintaining organizational discipline. In the implementation of its disciplinary
policy, the Company shall be just, consistent and reasonable. These instituted
rules, regulations and procedures are mainly to ensure efficient and effective
operations within the group of companies.
II. POLICY GUIDELINES

1. This Code of Conduct and Discipline is applicable to all regular and non-
regular employees (contractual, probationary, project basis, etc.) of
Asiaphil Group of Companies.
2. The enforcement of discipline is a line function. The Immediate
Superior is responsible in instilling discipline and maintaining order
in his/her work unit. For first-time minor infractions, the approach
should be to counsel and give constructive advice to warn of ill effect and
consequences that shall be documented and/or warranted of written
sanction. For repeated infractions and for grave misdemeanors,
suspension from work without pay or termination may finally be
warranted. In all situations, the Immediate Superior should immediately
inform and seek the assistance of the Business Unit Head and/or Human
Resource and Admin Department (HR). The HR’s role is to ensure that in
every disciplinary case, there is due process and all sides are heard and
evaluated.

Human Resource and Admin Department should see to it that:

a. The investigation is prompt, complete and follow the proper format and
procedures;
b. The implementation and application of sanctions per Code and existing
Laws are based on substantial evidence and are just, uniformly and
consistently applied;
c. Proper documentation of the administrative proceedings of the
investigation and of the consequent disciplinary action recommend in
each case;
d. These records shall be the basic reference in rendering the final
judgment of each case;
e. All records including the final judgment shall be compiled in the
employee’s 201 file and shall have bearing to future infractions/violations
and judgments.

Human Resource and Admin Department must also ensure that:

a. Business Unit Heads from time to time, properly orient/educate the

employees in their area of responsibility on the Company policies and
procedures as embodied in this CCAD;
b. Business Unit Heads will regularly be re-oriented/updated on the
implementing rules, guidelines and procedures of the CCAD and/or the
provisions of the Labor Code, so as to make sure that discipline is
properly, consistently and uniformly enforced. This re-orientation shall
occur at least once a year in a short briefing held for the purpose.
 c. The aim of this Code of Conduct and Discipline is to enjoin self-discipline
to improve employee performance. In providing the proper disciplinary
action to erring employees, the objective is to ensure proper control of
the employee behavior towards his/her own personal good and the good
of the organization.
d. This Code of Conduct and Discipline operates within a framework that
provides for understandable human error. However, the Code of Conduct
observes a sequence of disciplinary actions of increasing severity
according to the frequency and gravity of the offenses.

III. GENERAL PRINCIPLES AND GUIDELINES

1. Proceedings – Any and all administrative investigations for acts or

omissions constituting an offense under or a violation of the provisions in
the Code of Conduct and Discipline, as well as infraction of Company
policies, rules and regulations such other issuances, shall be conducted
in proceedings which are summary in nature and without strict
adherence to the regular rules of evidence and the technical rules of
procedures.

2. Quantum of evidence required – Being summary in nature, the

quantum of evidence required in administrative cases shall be
substantial evidence which is that amount of relevant evidence that a
reasonable mind accepts as adequate to justify a conclusion.

3. Resolution/Decision – In all cases, the resolution/decision thereof shall

be based on established facts and supported by evidence duly presented
in the course of the investigation. The decision shall state the act or
omission constituting the offense, the provisions in the Code of Conduct
and Discipline alleged to have violated, the relevant facts and
documentary evidence, and the findings and/or conclusion. A copy of the
resolution/decision shall form part of the 201 file of the employee
concerned in all instances.

4. Due Process – In all administrative cases, due process shall be

observed at all times. The party
concerned shall be duly informed of the nature and cause of the
accusation, as well as the acts or omission constituting the offense and
the provision/s of the Code of Conduct and Discipline alleged to have
been violated. He/she shall be duly notified any and all the hearings or
proceedings relative to his/her administrative case and shall be given the
reasonable opportunity to be heard in order to present his/her evidence
in support of his/her case. The party concerned shall also have the right
to confront witnesses and the right to avail of the service of a counsel of
his/her choice.
5 Preventive Suspension – An employee may be preventively suspended
without pay for a period not exceeding thirty (30) calendar days pending
the investigation of the case if the following requisites occur:

a. the offense alleged to have been violated is classified as Second

or Third Level offense where continues employment endangers
the good and interest of the Company;
b. the evidence of guilt is strong;
c. the employee concerned is in a position to influence witnesses,
the evidence or outcome of the case.
The imposition of preventive suspension shall not be deemed a penalty
but only a preliminary step in an administrative investigation. However,
should the employee concerned be subsequently found guilty and
meted out the penalty of suspension without pay, the period of
preventive suspension shall be deducted from the penalty imposed.

The employee concerned shall be automatically be reinstated after the

lapse of the 30-day preventive suspension without prejudice to the
resolution or outcome of the administrative investigation.

6 Mitigating, aggravating or justifying circumstances – In all

administrative cases, the presence of mitigating or aggravating
circumstances shall be considered. Mitigating circumstances shall
serve to lessen the penalty to be imposed while aggravating
circumstances shall serve to increase the penalty to be imposed.
Provided, however, that in no case shall penalty to be imposed to violate
the prescribed schedule of penalties as provided herein. Justifying
circumstances shall have the effect of absolving the employee
concerned from the offense alleged to have been committed which shall
result in the dismissal of the case.

In all instances, the appreciation of mitigating, aggravating or justifying

circumstances shall be considered on a case-to-case basis.

7. Criminal or civil liability – The initiation of administrative cases and the

imposition of the penalty of suspension without pay, as the case maybe
under this Code of Conduct and Discipline, shall be without prejudice to
the right of the Company or such other proper party to initiate the proper
criminal or civil action in court against the employee concerned.

8. Dismissal/termination for cause – This is defined as an involuntary

separation from service resulting from employee’s violation of Company
rules or other pertinent provisions of existing laws including that of the
Labor Code.
 Frequent and/or deliberate disregard or disobedience of rules,
regulations, and indications may be grounds for outright “termination”
since the Company cannot be compelled to continue retaining a worker
guilty of maliciously committing acts detrimental to its interest.

IV. ADMINISTRATIVE INVESTIGATION PROCEDURES

The administrative investigation for acts or omissions provided under this CCAD
shall be conducted in proceedings that are summary in nature and without strict
adherence to the regular se of evidence and the technical rules of procedure as
follows:

1. INCIDENT

All investigations of alleged infractions/omissions of the provisions of the Code of

Conduct and Discipline shall be based on the incident/s reported by or to the
appropriate officer/office.

Responsible Person/s Procedure

Security Guard

Immediate Superior Reports the incident to the Business Unit’s

Head or Immediate Superior.
Any Employee - Incident report should be in 2 copies (1 for BU
head and 1 for HR)

Note: All admin related shall be handled by HR and Admin Department

2. INITIAL INVESTIGATION

This will determine veracity of the report and gather relevant information and/or
documents.

Responsible Person/s Procedure

Immediate Superior Conducts initial investigation within 24 hours

by issuing IRN - INCIDENT REPORT NOTICE
(Exhibit 1) to the employee concerned.

3. ISSUANCE OF INCIDENT REPORT NOTICE (IRN) AND ANSWER BY

EMPLOYEE TO THE IRN

It is issued to employee concerned for infraction committed.

Responsible Person/s Procedure

Immediate Superior 1. Issues IRN to the employee concerned.

Furnishes copy (duly signed by the subject
employee) the HR and Admin Department for
201 filing.

Employee 2.Receives the IRN from the Immediate

Superior. - If the employee fails or refuses to
receive the IRN despite knowledge thereof,
he/she shall be deemed to have constructive
knowledge and receipt of the IRN and lets a
witness present at the time to sign. The IRN
shall likewise be sent to the concerned
employee.

3. Files/submits his/her written

answer/explanation within 24 hours from
receipt (actual or constructive) of the IRN.
- If the employee fails to answer within 24
hours, it shall be deemed a waiver of his/her
right to answer.

Immediate Superior 4.Reviews the answer/explanation of the

employee and recommends written action.

Operations Manager/Department Investigates and resolves further the case

Head and/or based on the recommendations of Immediate
Superior and evidence/s available on record.
HR and Admin Head If the case/findings/recommendation is
deemed to be inaccurate or needs further
clarification/justification, the OM and/or HR
and ADMIN Head shall request the Immediate
Superior to conduct formal hearing
.

4. FORMAL HEARINGS

Responsible Person/s Procedure

Immediate Superior Sends Notice of Hearing/Hearing Schedule to

employee concerned (witness if any),
Business Unit and HR and Admin Head.
Hearing Attendees Hear the case or conducts formal hearings
pursuant to the schedule and discuss
Resolution/Decision based on the result of the
hearing, evidence/facts presented, etc.
-Immediate Superior
-Business Unit Head
-HR and Admin Head
-Employee concerned
-Witness

5. RESOLUTION

Responsible Person/s Procedure

Immediate Superior Resolves the case within five (5) working days
by taking into consideration the following:
- Established facts and circumstances
pertaining to the case including the
documentary and testimonial evidence
presented and/or addressed.

Immediate Superior 1. Prepares the recommended Resolution

Memo either:

- Holding the employee liable; memo contains

findings of facts and circumstances, issues
involved, evidence presented, findings
supported by substantial evidence and
recommendations as to the provision/s of the
Code of Conduct and Discipline found to have
violated after due consideration of all
mitigating and aggravating circumstances.
- Dismissing the charge due to doubt or
insufficiency of findings.

(If resolution is based on the result of the

hearing, Immediate Superior shall prepare the
same)

2. Submits the recommended Resolution

Memo to both the Business Unit Head and HR
and Admin Head for review.

3. Reviewed recommended Resolution shall

be the basis for preparing the final Decision.
6. DECISION

Responsible Person/s Procedure

Immediate Superior Prepares decision addressed to the

employee concerned stating the following:
- findings of the case
- penalty imposed
- effectivity

Signatories shall be: Immediate Superior,

Business Unit and HR and Admin Head.

All supporting documents must be attached to the DECISION.

Immediate Superior Serves the DECISION along with the attached

documents.

In case of refusal, “employee refused to

acknowledge the decision with attachments”
shall be noted. He/she should let a witness
executes a certification that such has
happened. The decision should be sent to the
concerned.

Employee Receives decision.

Immediate Superior Furnishes HR copy of the DECISION duly

signed by the concerned employee and/or
DECISION that was not signed by the
concerned, however bears certification by the
witness that DECISION was refused to be
signed by the recipient.

HR and Admin Head Complies with DOLE reportorial requirements

(as appropriate)

7. RECONSIDERATION/APPEAL

Should the employee concerned decides to file a motion for reconsideration, the
procedures below shall apply. Failure to file the motion within the prescribed
period shall render the DECISION final, inappealable and executory.
Disciplinary Action Imposable Suspension from Work without pay

Appeal to Business Unit & HR and Admin Heads

Allowable Appeal Period Within 2 days

Extent of Authority Review/revise findings and recommendation.

Increase or decrease penalty imposed.

Decision Period Within 2 days

Nature of Decision Final, inappealable and executory

Disciplinary Action Imposable Dismissal

Appeal to Business Unit and HR and Admin Heads and

Managing Director

Allowable Appeal Period Within 3 Days

Extent of Authority Review/revise findings and recommendation.

Increase or decrease penalty imposed. Waive
or grant benefit

Decision Period Within 5 Days

Nature of Decision Final, inappealable and executory

Note:

1. Any matter of defense not alleged or claimed in the Answer shall be deemed a
waiver to invoke the same.
2. HR and Admin Head shall be consulted for guidance.
3. Admission of employee may be considered as a mitigating circumstance that
should have the effect
of lessening the penalty, if applicable.
4. All documentation must be submitted to the Business Unit and HR and Admin
Heads for review before a final decision is reached.
5. The Decision issued by the Immediate Superior shall become final and
immediately executory
6 If the infraction committed constitutes a criminal offense and the employee
concerned is caught in the act, the Immediate Superior shall immediately bring
the subject employee to authorities for filing of the appropriate criminal complaint.
7. Any infraction that is committed by a Manager, HR and Admin Head shall
facilitate the process.
8. Any and all cases shall be resolved within 15 days (maximum) from the date
the incident is reported/committed.

V. APPLICATION OF PENALTIES

The prescribed schedule of offenses are classified into offenses against the
following:

1. person
2. public morals
3. trust
4. property
5. security
6. health and safety/drug abuse and alcoholism
7. loyalty to the Company
8. authority
9. duty
10. company uniform
11. electronic media
12. attendance and punctuality

Definition of Levels

1. First Level Offenses – are those deemed light in nature.

2. Second Level Offenses – are those deemed less grave offenses.
3. Third Level Offenses – are those deemed as grave offenses.

Application of First Level Offenses

a. First Time Offender – If the employee is guilty for the first time of an
offense classified as first level offense, the impossible penalty shall be
Written Reprimand.
b. Second Time Offender – If the employee is guilty for the second time of
an offense classified as first level offense, the imposable penalty shall be
from one (1) to five (5) working days of disciplinary leave or suspension
from work without pay.
In all cases, the Decision against the employee shall clearly state that a
subsequent finding of guilt for a First Level Offense shall merit
dismissal/termination of employee with forfeiture of any and all
benefits due from the Company
c. Third Time Offender – If the employee is guilty for the third time of an
offense classified as first level offense, the imposable penalty shall be
 from six (6) to ten (10) working days of disciplinary leave or suspension
from work without pay.
d. Fourth Time Offender – If the employee is guilty for the fourth time of an
offense classified as first level offense, the impossible penalty shall be
dismissal/termination of employment with forfeiture of any benefits
due from the Company.

Application of Second Level Offenses

a. First Time Offender – If the employee is guilty for the first time of an
offense classified as second level offense, the impossible penalty shall
be from eleven (11) to fifteen (15) working days of disciplinary leave or
suspension from work without pay.
b. Second Time Offender – If the employee is guilty for the second time of
an offense classified as second offense, the imposable penalty shall be
from sixteen (16) to thirty (30) working days of disciplinary leave or
suspension from work without pay.
In all cases, the Decision against the employee shall clearly state that a
subsequent finding of guilt for a Second Level Offense shall merit
dismissal/termination of employee with forfeiture of any and all
benefits due from the Company
c. Third Time Offender – If the employee is guilty for the third time of an
offense classified as second level offense, the impossible penalty shall
be dismissal/termination of employment with forfeiture of any
benefits due from the Company.

Application of Third Level Offenses

Being considered as grave offenses, all third level offenses regardless of the
classification of the offense are punishable by dismissal/termination of
employment. Dismissal or termination of employment for violation of third level
offenses shall carry with it forfeiture of all Company benefit and permanent
disqualification from reemployment in any department and/or Company without
prejudice to any criminal and/or civil actions that the Company may initiate
against the employee concerned.

Notes:

1. Notwithstanding the foregoing provisions, in case the employee

concerned is found guilty of committing four (4) offenses classified either
as First or Second Level Offenses, the penalty to be imposed for the
fourth offense shall be dismissal/termination of employment with
forfeiture of any and all benefits due from the Company. In such case,
the Written Warning (WW)/Written Reprimand (WR) or Decision for the
third offense shall clearly state that subsequent commission of another
offense shall be classified as First or Second Level Offense shall merit
 Dismissal/Termination of employment with forfeiture of any and all
benefits due from the Company.

2. If the subject employee’s continued employment poses a serious and

imminent threat to the life or property of the Company or his/her co-
employees, the Company can place the employee concerned under
preventive suspension for a period of not more than thirty (30) days
without pay. The Company may extend the period of preventive
suspension provided that during the period of extension, the employee
shall be paid his/her wages and other benefits due him/her. In such case,
the said employee shall not be bound to reimburse the amount paid to
him/her during the extension if the Company decides after the
completion of the hearing to dismiss/terminate him/her.

3. An employee who has been penalized for previous offense shall be

cleared of all such offense if said employee does not commit single for a
period of one (1) year from his commission of the last. However, such
violation shall not be erased from the employee’s personal record (201
file) at any time.

4. The attending mitigating, aggravating and justifying circumstances as

defined under the general Principles and Guidelines shall be considered
by the Company in applying the penalties on a case-to-case basis.
 1st LEVEL OFFENSES
AND PENALTIES
WW/1-5 DDL/ 6-10 DDL/ D
1. OFFENSES AGAINST PERSON
1.1. 1 Willful destruction of co-
employee’s belongings.
1.1.2 Threatening, intimidating or
coercing fellow employee.
1.1.3 Spreading malicious news
against other person/employee, or
causing division among employees.
2. OFFENSES AGAINST PUBLIC
MORALS
2.1.1 Habitual or excessive borrowing
of money from employees,
subordinates or superiors.
2.1.2 Using profane language in
2nd LEVEL OFFENSES AND
PENALTIES
11-15 DDL/ 16-30 DDL/ D
1.2.1 Creating or fabricating and
spreading false statements
concerning the company or any of its
officers and employees.
1.2.2 Stealing or attempting to steal
from others in Company premises at
any time.
2.2.1 Engaging in any other conduct
within company premises that
violates common decency or morality
and/or display, distribution, circulation
or promotion of pornographic
3rd LEVEL OFFENSES AND
PENALTIES
DISMISSAL
1.3.1 Attempting or inflicting physical
bodily harm or injury to another person
within the company premises.
1.3.2 Serious fight which results to
serious physical injuries or death. (both
offender and victim)
1.3.3 Committing a crime while on duty
or within company premises/properties,
or conviction of a crime in a regular
court.
2.3.1 Displaying acts constituting or
tantamount to indecency or immorality
within company premises or engaging
in illicit relationship with a co-employee.
2.3.2 Conviction of a crime involving
 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

addressing another person within material. moral turpitude.

Company premises
2.2.2 Engaging in activities
detrimental to public peace and order.

2.2.3 Unsolicited gestures or physical

contact, persistently telling dirty/green
jokes, constant talking of sexual
suggestions, and the like to a co-
employee who has indicated that
he/she finds the act offensive

3. OFFENSES AGAINST TRUST

(Dishonesty)
3.2.1 Obtaining company materials or
supplies fraudulently.

3.2.2 Robbery, theft of unauthorized

possession or removal of any
company property.

3.3.3 Unauthorized alteration or

falsification of any company records,
documents or communications.
 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

3.2. 4 Unauthorized possession of co-

employee’s property.

3.2 .5 Giving false testimony during

company investigation or inquiry.

3.2. 6 Misappropriation or using of

company funds for personal gains.

3.2.7 Concealing, removing or

destroying defective works.

3.2.8 Conniving with others to give

false testimony or deliberately
suppressing evidence to conceal the
truth in an investigation.

3.3.9 Unauthorized use of the

company and company official’s
name for personal gain.
 1st LEVEL OFFENSES
AND PENALTIES
WW/1-5 DDL/ 6-10 DDL/ D
4. OFFENSES AGAINST PROPERTY
5. OFFENSES AGAINST SECURITY
5.1.1 Refusal to meet security
requirements of the company
5.1.2 Entering/exiting places not
designated for the purpose without
prior approval.
5.1.3 Unauthorized staying/sleeping
2nd LEVEL OFFENSES AND
PENALTIES
11-15 DDL/ 16-30 DDL/ D
4.2.1 Unauthorized use of company
vehicles, properties, facilities and/or
equipment.
4.2.3 Taking Company assets, tools
and equipment out of office, or taking
out the said objects out for personal
use or for other persons without prior
permission from the Immediate
Superior or authorized personnel.
5.2.1 Leading and/or initiating any
unlawful concerted action against the
company or its officials within
company premises for reasons not
warranted by the Labor Code of the
Philippines.
3rd LEVEL OFFENSES AND
PENALTIES
DISMISSAL
4.3.1 Willful destruction of Company
properties, facilities, vehicles and/or
equipment. (Cost of damage will be
shouldered by the erring employee.
5.3.1 Carrying of firearms, explosives,
inflammable materials and other deadly
weapons inside company premises or
at any company authorized functions.
5.3.2 Unauthorized use or possession
of master key or key similar
characteristics that can open any
 1st LEVEL OFFENSES
AND PENALTIES
WW/1-5 DDL/ 6-10 DDL/ D
inside Company premises while off
duty.
6. OFFENSES AGAINST HEALTH
AND SAFETY DRUG ABUSE AND
ALCOHOLISM
6.1.1 Littering, creating or contributing
to unsanitary conditions, violations of
common health and sanitation rules.
6.1.3 Failure of an employee to inform
the management that he/she has a
contagious or communicable serious
disease.
6.1.4 Failure to report within 24 hours
any injury incurred by self or co-
employee while on duty.
6.1.5 Unsanitary ways. e.g. urinating in
any place inside company premises
outside of the comfort room or not
2nd LEVEL OFFENSES AND
PENALTIES
11-15 DDL/ 16-30 DDL/ D
6.2.1 Coming to work under the
influence of intoxicating liquor, or any
drug, bringing alcoholic beverages or
drug into the Company premises.
3rd LEVEL OFFENSES AND
PENALTIES
DISMISSAL
employee’s locker/drawer and/or
cabinet.
6.3.1 Performing, discharging or doing
acts or omissions in violations of the
Health and Safety Rules and
Procedures.
6.3.2 Possession of and/or using drugs
or selling prohibited drugs inside the
company premises.
6.3.3 Displaying irrational behavior,
impaired judgment and work
performance while under the influence
of liquor resulting in damage to
company properties and/or resources
regardless of the amount.
 1st LEVEL OFFENSES
AND PENALTIES
WW/1-5 DDL/ 6-10 DDL/ D
using the proper facilities; spitting
other than in the appropriate sputum
units; littering.
6.1.6 Smoking in any prohibited area.
7. OFFENSES AGAINST LOYALTY
TO THE COMPANY
71.1.Buying or selling of convenience
goods within company premises during
working hours.
7.1.2. Offering or accepting anything of
value in exchange for a job, work
assignment, work location or favorable
conditions of employment.
7.1.4 Possession of gambling
paraphernalia within Company
premises.
2nd LEVEL OFFENSES AND
PENALTIES
11-15 DDL/ 16-30 DDL/ D
7.2.1. Unjustified, unlawful, deliberate
slowing down or lessening work
output.
7.2.2 Financing, collecting or placing
bets, or engaging in a game of
chance or any form of gambling with
or without bets within Company
premises.
7.2.3 Posting, removing or destroying
schedules, notices, rules and
regulations announcements or other
such materials posted on the Bulletin
Board without authorization from the
3rd LEVEL OFFENSES AND
PENALTIES
DISMISSAL
6.3.4 Reporting for duty under the
influence of drugs.
7.3.1 Accepting directly or indirectly any
sum of
money, commission, offer, promise,
service, rebate, gift or reward of any
kind from customers
or suppliers in consideration for any
act, contract consideration or services
connected with the discharge of one’s
official duties.
7.3.2 Any act or damaging and/or
sabotage of Company product and/or
image.
7.3.3 Disclosure of any
confidential/proprietary information to
 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

management. any party that would unjustly project a

negative image or which would be
detrimental or prejudicial to the interest
of the Company and/or its officers.

7.3.4 Unauthorized disclosure of

confidential information relative to
Company affairs or unauthorized
reproduction of Company records,
documents, etc.

7.4.5 Gross inefficiency/negligence in

the performance of assigned
tasks/duties resulting loss to the
Company or injury to another
employee.

8. OFFENSES AGAINST
AUTHORITY

8.1.1 Not performing assigned duties
efficiently.
8.2.2 Neglect of duty by managers and
supervisors to ensure that company
8.2.1 Intentional or deliberate
slowdown in work or decrease
efficiency downgrading the quality of
company products or merchandise,
restricting or interfering with company
8.3.1 Gross discourtesy/disrespect
towards a superior, challenging, and/or
physically engaging one’s superior to a
fight within company premises.
 1st LEVEL OFFENSES
AND PENALTIES
WW/1-5 DDL/ 6-10 DDL/ D
rules and regulations are understood
and adhered in their areas.
8.2.2.1 Failure to execute
necessary disciplinary actions to
subordinates.
8.1.3 Negligence in the performance of
duty and in handling company
properties and equipment (charging
shall be based on the amount of
damages depending on the gravity of
participation of responsible employee.)
8.1.4 Not immediately reporting to
Superior any problems or unusual
incidents within employee’s area of
responsibility.
9. OFFENSES AGAINST DUTY
9.1.1 Wasting time, loitering,
malingering illness or loafing during
working hours.
2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
PENALTIES PENALTIES
11-15 DDL/ 16-30 DDL/ D DISMISSAL
operations. 8.3.2 Unprovoked, deliberate, insolent,
abusive, disrespectful language toward
8.2.2 Insubordination, willful refusal or superiors or customers.
disregard to comply, follow and obey
verbal or written lawful orders or
instructions issued by superiors or
any member of the management.
8.2.3 Unjustified refusal to accept
work assignments, change of shift or
work locations or refusal to cooperate
with other employees in the
performance of assigned duties
including but not limited to deliberate
slowdown of work.
9.3.1 Unjustified refusal of the resigning
employee to continue to work or render
actual service within the period covered
by the notice.
 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

9.1.2 Leaving one’s post without

permission from supervisor.

9.1.3 Frequent receiving of visitors for

personal business and/or making
personal telephone calls during office
hours.

9.1.4 Unjustified failure to attend

meetings or other work related and/or
special tasks assigned to.

9.1.5 Failure to report for overtime

work without good cause after having
been advised and scheduled to work.

9.1.6 Sleeping while on duty.

10. OFFENSES AGAINST RULES ON

COMPANY UNIFORM

10.1.1. Not wearing prescribed dress

code and/or Company uniform.

10.1.2. Not wearing safety shoes and

 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

other safety devices during working

hours.

10.1.3. Not wearing of ID.

10.1.4. Frequent forgetting/losing

one’s ID.

Wearing of Company uniform on days

when employee is not performing
official duty or without work.

11. OFFENSES AGAINST

ELECTRONIC MEDIA AND
COMMUNICATION FACILITIES

11.2.1 Abusive use of the facilities Engaging in any of the following:

causing their overload leading to the
crash of the server.
Engaging in any of the following:
knowingly creating, transmitting or
exchanging, retrieving or storing of
any communications which are:
knowingly creating, transmitting or
exchanging, retrieving or storing of any
communications which is:
11.3.1 For illegal purposes i.e. directly
or indirectly;
 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

11.2.2 of a discriminatory , harassing

or threatening in nature;

11.2.3 offensive, obscene or

pornographic;

11.2.4 derogatory to any individual or

group;

11.2.5 of a defamatory or libelous

nature;

11.2.6 against Company policy or

contrary to the Company’s interest:
i.e. any situation that may harm the
Company’s goodwill or its financial
standing or in any way places it in
jeopardy cause or any
embarrassment.

11.2.7 associated with or contain

seditious material

11.2.8 in the nature of solicitation or

advertisement – unauthorized and not
 1st LEVEL OFFENSES
AND PENALTIES
WW/1-5 DDL/ 6-10 DDL/ D
12. OFFENSES AGAINST
ATTENDANCE and
PUNCTUALITY
12.1.1 Being late for work or
committing a total of one hundred
(120) minutes or more in one month,
and/ or being tardy for more than five
(5) times in a month, whichever comes
first.
12.1.2 Failure to notify immediate
superior of absence and/or failure to
notify immediate superior his absence
an hour before scheduled time.
12.1. 3 Failure to file official business,
flexi-time, under time, overtime form
properly.
2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
PENALTIES PENALTIES
11-15 DDL/ 16-30 DDL/ D DISMISSAL
related to the Company’s business
purpose.
12.2.1 Absences of 2 more days
without prior notice or approval.
(considered AWOL – absence without
official leave)
12.2.2 Leaving work, or recording
time out earlier than his assigned
quitting time without prior approval of
his immediate supervisor.
12.2.3 Absences despite prior denial
or request for permission to be
absent.
12.2.4 Unexcused/unauthorized
absences, including unauthorized
extension of leave of absence.
 1st LEVEL OFFENSES 2nd LEVEL OFFENSES AND 3rd LEVEL OFFENSES AND
AND PENALTIES PENALTIES PENALTIES

WW/1-5 DDL/ 6-10 DDL/ D 11-15 DDL/ 16-30 DDL/ D DISMISSAL

12.2.5 Attendance logging in or out

for someone else or having another
employee to log one’s time.

12.2.6 Tampering or falsifying

timekeeping records.

12.2.7 Deliberately delaying or not

reporting for work after logging in.

12.2.8 Absences of at least 4 times in

a month without justifiable reason is
considered excessive

ABSENTEEISM / UNAUTHORIZED LEAVE / ABSENCE

An absence shall be considered unauthorized or unexcused if:

a. Reason(s) for absence is proven to be false or management has proven that the employee has malingered.
b. Prior approval from the employee’s immediate superior was not secured.
c. Failure of the employee to file notice of absence and/or his/her reason were not given to the Immediate Superior within
the first working hour. In cases of emergency, any compelling reason, the advice of absence and reason must be given
within the reasonable period.
d. Failure to report for work on the first working day after the expiration date of the approved leave. Any extension
therefore must have the prior written approval of the Immediate Superior.
e. No medical certification from a physician (for absences for 3 or more days)
f. When the employee reports for work but is found unfit to work by his/her Immediate Superior for reasons other than
illness (e.g being under the influence of liquor or prohibited drug, etc.)

VI. VARIOUS PROVISIONS

1. Filing of Complaints – A sworn written complaint, addressed to the Immediate Superior and/or the HR and Admin
Head, may be filed by the employee-offender. The complaint shall be drawn in clear, simple and direct manner,
with the complainant stating complete identity of the offender, the description of the offense complained of, the
place, date and specific time it was committed, a brief statement of the relevant and material facts supported by
evidence/s which tend to prove guilt to the offender.
2. The Company, at its own discretion, may impose a graver penalty than what has been provided for in this Code of
Conduct and Discipline, particularly when the violation results to injury to person/s ad/or damage to property, or
both. This does not preclude demand payment of damage to person, property, or both, which may be required as
the offense so warrants.
3. The penalty for successive violation of the same rule (other than those cases where a single violation of a rule
warrants dismissal) is progressively more severe than the penalty for a first violation. However, cumulative
violation is subject to 12-month limitation period, any repeat violation of a rule accruing after this period shall be
considered as first offense.
4. When a single act constitute two or more offenses under this Code of Conduct and Discipline, or when an offense
is a necessary means for committing the other, the penalty for the more/most serious offense shall be imposed.
5. Any and all Company Code of Conduct inconsistent are deemed superseded, revoked and/or revised accordingly
upon the effectivity of the Code of Conduct and Discipline..
6. This Code of Conduct and Discipline shall take effect on June 10, 2008

Department Order No. 53-03 series of 2003

GUIDELINES FOR THE IMPLEMENTATION OF A DRUG-FREE WORKPLACE POLICIES AND PROGRAMS FOR THE
PRIVATE SECTOR (An Excerpt)
The following guidelines are hereby issued to assist employers and employees in the formulation of Company policies an
programs to achieve a drug-free workplace.

A. Coverage

Shall apply to all establishments in the private sector, including their contractors and concessionaires.

B. Formulation of Drug-Free Workplace Policies and Programs

It shall be mandatory for all private establishments employing ten (10) or more workers to formulate and
implement drug abuse prevention and control programs in the workplace, including formulation and adaptation of
Company policies and against dangerous drug use.

C. Components of Drug-Free Workplace Policies and Programs

1. Advocacy, Education and Training

1.1 Employers shall be responsible for increasing awareness and education of their officers and employees on
the adverse effects of dangerous drugs as well as the monitoring of employees susceptible to drug abuse.
1.2 Employers are enjoined to display billboard or streamer in conspicuous places in the workplace with standard
message ‘This is a Drug-Free Workplace; Let’s Keep it this Way”.
1.3 Training on prevention, clinical assessment and counseling or workers and other related activities shall be
given to Occupational Safety Health Personnel, the human resources, employers and workers.

Assessment Team shall compose of:

HR Head
Plant Operations Officer
Plant Operations Manager
Line Leaders/Leadman/Foreman
 1.4 Employers are encouraged to extend drug abuse prevention advocacy and training to their workers’ families
and their respective communities.

2. Drug Testing Program for Officers and Employees

2.1 Employers shall require their officials and employees to undergo a drug test in accordance with the
Company’s work rules and regulations for purposes of reducing the risk in the workplace. Strict confidentiality
shall be observed with regard to screening and the screening results.
2.2 Drug testing shall conform with the procedures as prescribed by the Department of Health (DOH).
2.3 Drug testing shall consist of both screening test and confirmatory test; the latter to be carried out should the
screening test turn positive. The employee concerned must be informed of the test results whether positive or
negative.
2.4 Where the confirmatory test turns positive, the Company’s Assessment Team shall evaluate the results and
determine the level of care and administrative interventions that can be extended to the concerned employee.
2.5 A drug test is valid for one (1) year.
2.5.1 All cost of drug testing shall be borne by the employer.

3. Treatment, Rehabilitation and Referral

3.1 The drug prevention and control program shall include treatment, rehabilitation and referral procedure to be
provided by the Company staff or by an external provider. It shall also include provision for employee
assistance and counseling programs for emotionally stressed employee.
3.2 The Assessment Team shall determine whether or not an officer or employee found positive for drugs would
need referral for treatment and/or rehabilitation in a DOH accredited center.
3.3 This option is given only to officers and employees who are diagnosed with drug dependence for the first
time, or who turn to the Assessment Team for assistance, or who benefit from the treatment and
rehabilitation.
3.4 Following rehabilitation, the Assessment Team, in consultation with the Head of the rehabilitation center shall
evaluate the status of the drug dependent employee and recommend to the employer the resumption of the
employee’s job if he/she poses no serious danger to his/her co-employees and/or the workplace.
 3.5 Repeat drug use even after opportunity for treatment and rehabilitation shall be dealt with the corresponding
penalties under the Act and its implementing Rules and Regulations.

4. Monitoring and Evaluation

The implementation of the drug-free workplace policies and programs shall be monitored and evaluated
periodically by the employer to ensure that the goal of a drug-free workplace is met.

D. Roles, Right and Responsibilities of Employers and Employees

1. The employer shall ensure that the workplace policies and programs on the prevention and control of dangerous
drugs, including drug testing, shall be disseminated to all officers and employees. The employer shall obtain a
written acknowledgment from the employees that the policy has been read and understood by them.
2. The employer shall maintain the confidentiality of all information relating to drug tests or to the identification of
drug users in the workplace; exceptions may be made only where required by law, in case of overriding public
health and safety concerns; or where the person concerned has authorized such exceptions in writing.
3. All officers and employees shall enjoy the right to due process, absence of which will render the referral
procedure ineffective.

E. Enforcement

The Labor Inspectorate of the DOLE Regional Offices shall be responsible for monitoring compliance of
establishments with the provisions of Article V of the Act and its IRR and this Department Order.
ANTI-SEXUAL HARASSMENT

POLICY

Policy Statement and Objective. It is the policy of the Company to afford protection to all employees regardless of
sex and ensure equal work opportunity for all, as well as for the full respect of human rights. Towards this end, the
Company commits to provide a work environment supportive of productivity, wherein all officials and employees are
treated with dignity and respect. Sexual harassment is an unjust and malicious act that degrades the human person
and, therefore, as a matter of company policy, the same shall never be tolerated.

COVERAGE

Officials and Employees. This Anti-Sexual Harrasment Code shall apply to any official or employee of the
Company irrespective of the nature or status of employment.

Applicants and Clients. This Anti-sexual Harassment Code shall also cover applicants for employment in the
Company, as well as clients, customers, and other persons transacting official matters or business with the
Company.

SEXUAL HARASSMENT

Who Are Liable. Sexual harassment is committed by any Company official or employee against another official,
employee, applicant for employment in the Company, client, customers or other persons transacting official matters
or business with the Company, over whom he or she has authority, influence or moral ascendancy regardless of
whether or not the demand, request or requirement for submission to such acts is accepted by the person against
whom the acts of sexual harassment are alleged to have been committed.

Other Persons Liable. Any Company official or employee who directs or induces another to commit any act of
sexual harassment as stated under Section 1, Article III of this Code or who cooperated in the commission thereof by
another without which it would not have been committed, shall also be liable for sexual harassment.
 Definition: When Committed. Sexual harassment is one or a series of incidents involving unwelcomed sexual
advances, requests for sexual favors, or other verbal or physical conduct of sexual nature, made directly or indirectly
when:

a)The sexual favor is committed as a condition in the hiring or in the employment, re-employment of the
complainant, or in granting complainant favorable compensation, terms, conditions, promotions, or privileges;

b)The refusal to grant the sexual favor results in limiting, segregating or classifying the complainant which in any
way would discriminate, deprive or diminish employment opportunities or otherwise adversely affect said
complainant;

c) The above acts would impair the complainant’s rights or privileges under existing labor laws; or

d)The above acts would result in intimidating, hostile, or offensive environment for the complainant.

Where Committed. Sexual harassment may be committed in any work or training environment. It may include but
are not limited to the following:

a)in or outside the office building or training area;

b)at office or training-related functions;

c) in the course of work assignments outside the office;

d) at work-related conferences, studies or training sessions; or

e) during work-related travel.

FORMS OF SEXUAL HARASSMENT

Forms of Sexual Harassment. Sexual harassment may be committed in any of the following forms:
a) overt sexual advances;

b) requests or demands for sexual favors including but not limited to going out on dates, outings or the like for the
same purpose;

c) any other act or conduct of a sexual nature or for purposes of sexual gratification that is generally annoying,
disgusting or offensive to the victim.

COMMITTEE ON DECORUM AND INVESTIGATION

Creation. A Committee on Decorum and Investigation (hereinafter referred to as the Committee) shall be
established in the Company.

Composition. The Committee shall be composed of the following:

a) The head of the HR Department - Chairman

b) Corporate Legal Counsel - Vice-Chairman
c) Representative for Managers - Member
d) Representative for the Supervisors - Member
e) Representative from the Rank and file Member

Functions. The functions of the Committee shall be, but not limited to, receiving complaints, investigating and
hearing sexual harassment cases, and submitting reports with corresponding recommendations for the dispositions
of said cases.

Any member of the Committee who complains of, or is himself/herself charged with sexual harassment, shall inhibit
himself/herself from participating in the deliberations of the Committee.

Other Functions. The Committee shall develop and implement programs to increase awareness and
understanding about sexual harassment. In addition, the Committee shall issue guidelines in the settlement and
disposition of sexual harassment complaints, taking into consideration confidentiality and respect to privacy,
including the identities of the personalities involved. The Committee shall also ensure that the person alleged to
have committed the acts of sexual harassment shall not be unjustly and prematurely adjudged, and that the
complainant shall not be subjected to further harassment and/or retaliation.

PROCEDURES

Procedures. All complaints for sexual harassment shall be investigated and disposed of in accordance with the
procedural due process provided for in this Code.

Corrective Actions. Sexual harassment amounts to disgraceful and immoral conduct. Such conduct is classified
as serious misconduct and shall be sanctioned with the following corrective actions:

a)First Offense – 11–15 Days of Disciplinary Leave of Suspension from Work without pay
b)Second Offense – 16-30 Days of Disciplinary Leave of Suspension from Work without pay
c) Third Offense – Dismissal

However, in accordance with the provisions of the Code the Company may reduce or increase 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.
TEMPLATE - INCIDENT REPORT NOTICE

MEMO TO: DATE:

DEPARTMENT/SECTION: COMPANY:

FROM: CC:

This is to inform you that on we received a report concerning your

alleged behavior as an employee of the Company. Based on the report,
observations, together with applicable provision/s of the Code of Conduct and
Discipline, are as follows:

1.

2.

3.

In view of the foregoing, you are hereby required to explain in writing within 24-
hours from receipt hereof. Should you fail to do so, you shall be deemed to have
waived your right to answer the above observations.

For your information, guidance and action.

I hereby acknowledge that I received a copy of the foregoing Incident Report.

Employee’s signature Date:

Employee’s Name (printed) Time:

TEMPLATE – WRITTEN EXPLANATION (INCIDENT REPORT)

Date:

Incident:

Date of Incident:

Time of Incident:

Location of Incident

Name and position title of person’s involved:

Name: Position:

Details of the incident/detailed explanation: