Employee Discipline

Objectives:
At the end of the session, participants should be able to:

• To understand the purpose of Employee Discipline.

• To determine Due Process.
• To learn ways how to be a good Supervisor.
• To discuss the Steps of conducting Disciplinary Action.
 Course Outline
I. Definition and Purposes of Discipline
*Guidelines and Limitations
II. Principles of Discipline
* Proactive
* Preventive
* Constructive
III. The Procedural Due Process
* Just Cause
*Authorized Cause
IV. Being a Good Supervisor
V. Steps on Conducting Disciplinary Action
VI. Common Violations and Its Reasons
VII. Disciplinary Penalty Chart
VIII. Ways in Issuing Proof of Due Notice
 DISCIPLINE
Refers to the action taken by Management to correct attitude
and behavior of employees who:

1. Have violated Company rules.

2. Have failed to maintain the required standards of
performance.
3. Have acted contrary to established Company policy.
Why is there a need to discipline employees?
 PURPOSE OF DISCIPLINE

1. To reform the behavior

2. Deter others
3. Maintain the integrity of the Organization
Employee Discipline is defined as
the regulations or conditions that are
imposed on employees by management in
order to either correct or prevent
behaviors that are detrimental to an
organization.
It is important to discipline
workers in order for them to
lessen their undesired behavior
while at their workplace.
 RIGHT TO DISCIPLINE
“The employer has the prerogative to instill discipline in his
employees and to impose reasonable penalties, including
dismissal on erring employees pursuant to Company rules
and regulations.” (San Miguel Corporation vs. NLRC G. G.R. No.
87277, May 12, 1989)
 LEGAL BASIS
Jurisprudence
“Success of industries and public “Consequently, when employees
services is the foundation upon and laborers violate the rules of
which just wages may be paid. discipline, they jeopardize not only
There can be NO SUCCESS the interest of employer but also
without EFFICIENCY. There can their own.”
be no efficiency without
DISCIPLINE”.
“SANTIAGO ALCANTARA, JR., petitioner, vs. THE COURT OF APPEALS and THE PENINSULA
MANILA, INC., respondents.” August 6, 2002
 GUIDELINES / LIMITATIONS
in Management Right to Discipline
• It must be exercised without abuse of discretion.
• It should be tempered with compassion and understanding.
• It must be exercised humanely.
• Penalty if imposed, should commensurate to offense and degree
of infraction.
 GUIDELINES / LIMITATIONS
in Management Right to Discipline
• Employer must bear in mind that what is at stake is the employee’s
livelihood.
• Employer should consider that a penalty less punitive may suffice.
• There must be consciousness of the policy that the state regards the
workers with compassion.
• It must always be borne in mind that unemployment brings untold
hardships and sorrow upon the dependent’s on the wage earner.
 PRINCIPLES OF DISCIPLINE
1. Disciplinary action should not be taken unless there is an obvious
necessity for it. Have all the facts; know just what you want to do and
where necessary, secure approval in advance on any proposed action.

2. The reason for Disciplinary Action must be made clear, the reason for
doing so and how it can be avoided in the future.

3. Give the man the chance to present his side of the story and do not argue.
Know what’s in the employee’s mind as it helps in discovering the
“why’s” of his actions.
4. There should be no favoritism or discrimination in any disciplinary
action. Consistency in DA is extremely important. It is more
important than the degree of severity.

5. Reprimand should be given as soon as possible after the occurrence

of the act. But first, have all the facts.

6. Never discipline anyone in the presence of others.

7. Forgive and forget. When disciplinary action has been given, the
supervisor should resume a normal attitude towards the offending
employee.
8. The discipline that is inflicted must be just.

9. Discipline should be constructive. It should show the offender how

to correct his errors and leave him willing and anxious to improve
rather that feel bitter and resentful.
10. In general, Discipline should be:

• Proactive
• Preventive
• Constructive
 PROACTIVE

• Proactive happens when the

supervisor anticipates problems and
takes corrective measures to minimize
their effect.
 PREVENTIVE
Preventive happens when
• Rules and regulations are properly
explained.
• Employees are always reminded of
the positive behavior required.
• Positive behavior is recognized or
rewarded.
• Good example of superiors.
CONSTRUCTIVE

Constructive happens when there

is a willing adherence to the
necessary rules and regulations of
the organization.
 When Reprimanding an Employee
1. Get all the facts. Make sure it is deserved.
2. Do it calmly and never in front of others.
3. Listen to his “Why”.
4. Avoid sarcasm, anger or abuse. Be firm,
explain explicitly.
5. Ask the man why he erred. He may
attempt to deny the charges. Present the
facts.
6. Fit the reprimand to the individual and the offense.

7. Avoid threats, use tact, be constructive.

8. When the employee has admitted his error, the reprimand is over.

9. Encourage him to do better and let him know the incident is closed.
Do not nag. Show confidence to him.

10. Later, follow up with a casual and friendly contact at his workplace.
 What is Due Process?

• The official and proper way of doing things in a legal manner.

• The rule that a legal case must be done in a way that protects the rights of all the
people involved.
• One which hears before it condemns, proceeds upon inquiry and renders judgment
only after hearing.
 The Procedural DUE PROCESS
1. A WRITTEN Notice of Charge served on the employee specifying
the grounds for Charges.

2. A HEARING or conference during which the

employee concerned is given the opportunity to
respond to the charge, present his evidence or rebut
the evidence presented against him.

3. A WRITTEN Notice of decision served on the

employee indicating that upon due consideration of
all the circumstances, grounds have been established
to justify his suspension/termination.
 Rationale behind observance of DUE PROCESS
SECURITY OF TENURE

Security of tenure is one of the rights of workers that the Constitution guarantees in
Section 3, Article XIII. In plain language, security of tenure means the right not to be
removed from one’s job except for a valid reason and through proper procedure.

When a person has no property, his job may possibly

be his only possession or means of livelihood.
Therefore, he should be protected against any
arbitrary deprivation of his job.

Thus, Due Process is MANDATORY in the absence

of which, any judgment made by Management is
VOID and INEXISTENT.
 What will happen if Due Process is NOT OBSERVED?

The effect of Valid Dismissal but Ineffectual:

1. For termination due to JUST CAUSE:

Employee is entitled to full backwages from the

time of his dismissal until the court finds that
the dismissal was for a just cause.
2. For termination due to AUTHORIZED CAUSE:

Employee is entitled to separation pay

accorded to employees terminated for
authorized cause in addition to full backwages
from the time of his dismissal until the court
finds that the dismissal was for an authorized
cause.
 JUST CAUSE
 AUTHORIZED CAUSE
 JUST CAUSES

1. Serious Misconduct
2. Willful Disobedience or Insubordination
3. Gross & Habitual Neglect of Duties
4. Fraud or Willful Breach of Trust or Loss
of Confidence
5. Commission of Crime or Offense
6. Analogous Causes

Relates to acts done by the EMPLOYEE and generally DO NOT entail payment of SEPARATION PAY
 AUTHORIZED CAUSES

1. Installation of Labor-saving Devices

2. Redundancy
3. Retrenchment to Prevent Loss
4. Closure or Cessation of Business

Involve measures taken by the EMPLOYER because of business exigencies and generally DO entail payment
of SEPARATION PAY
 How to be a good supervisor?

• Great communication skills- As a supervisor one must communicate clearly

and correctly to avoid misunderstandings.
• Being a good example- As a supervisor he/she must be a good model to
his/her subordinates.
• Approachable: Workers should not hesitate to
approach their supervisor with regards to their
concerns and problems.
 • Value workers- A good supervisor
understands worker’s worth and treats them
accordingly.

• Practice Confidentiality- Supervisor must make sure that there is enough

trust and openness with his/her workers. Whatever was talked about must
be kept confidentially.

• Being Open-minded- A good supervisor should

widen his/her understanding and patience to his/her
workers.
 Other Functions of a Supervisor

1. Establish the climate of human relationship among employees.

2. Shape the attitude that motivate employees towards better
performance.
3. Interpret and apply company policies.
4 Train new employees and instruct the older ones to work effectively
and safely.
5. Counsel and discipline employees
6. Plan and maintain work schedule
7. Take necessary step to present
better services for which he is
responsible.
8. Coordinate the activities of his
department to meet goals
economically.
 Steps on Conducting Disciplinary Action

STEP 1. The direct supervisor/coordinator of the worker

who made a violation shall provide a documented incident
report which is suitable for the worker's violation.

STEP 2. The worker must sign the two copies of

Proof of Due Notice made by his/ her direct
coordinator/ supervisor. The worker must be
informed with regards to the nature and cause of
accusation against him/ her.
 STEP 3. The worker shall be given time to explain his/ her
side why he/ she made a specific violation. (may be written).

STEP 4. The coordinator/ supervisor shall

forward the PDN to the HR with his / her
Recommendations.

STEP 5. The HR shall validate the report and

determine whether the worker has a record already.
STEP 6. HR will make a Notice of Disciplinary
Action for the worker. If acquittal e.g. medical
certificate (limit for 5-6 only), the complaint is
canceled.
 STEP 7. If the case is valid, the issued
NDA will be drafted and will be delivered to
the worker for acceptance of the
disciplinary action.

STEP 8. The worker will accept Notice

of Disciplinary Action and is scheduled
for effectivity by their supervisor for the
days of suspension. Then, it will be
returned to the HR for encoding and
will be kept in the employee’s 201 file.
 Reasons for Absenteeism

1. Financial (allowance)
2. Watch for their children (babies)
3. Health (fever, cold, pregnancy)
4. Family Responsibilities (emergency at home)
5. Reunion (family)
6. School Activities (children)
7. Weather (heavy rain)
 Reasons for Tardiness

1. Weather (heavy rain, flood)

2. Wait for the shift of their Spouses (NS,DS)
3. Late Awaken
 Reasons for Negligence

1. Out of focus (unawareness)

2. Want to rush job
3. Not knowledgeable for his/her work
 Reasons for GMP Violation

1. In a hurry
2. Forgot to take off unnecessary things
3. Negligence
 Reasons for Insubordination

1. Job Request
2. Work Environment
3. Misunderstanding between worker &
supervisor (miscommunication)
4. Hard headed workers
 Process Flow in issuing Proof of Due Notice
1. Fill in at least two (2) copies of the form.

2. Fill in complete personal data of the employee being charged.

A Employee :       ID No.       Date        

  Position :       Date Hire   :   Time        

  Section :       Department   :   Division        

                             
3. State the facts of the case in short but understandable statement under
Column B. It should include the date and time of the incident and will be
signed by the immediate Supervisor.

B Violation: DATE COMMITTED:      

   DPC : ____                          
                     
  INCIDENT REPORT:                    
                             
                             
                             

                 Supervisor’s Signature        
                           
                             
4. Erring employee will receive Proof of Due Notice and will explain his/her
side with the allegation against him/her.

5. Require employee to write his explanation under Column C or in a

separate sheet if necessary.
C EMPLOYEE’S EXPLANATION:      
                        
  Sir/ Madam,:                   
                     
                             
                             
                             

   (Use back page if necessary)        Employee’s Signature        

                           
                             

6. If the employee refused to acknowledge receipt of the Proof of Due Notice, get
two (2) persons to witness. Indicate “Refused to Receive” above the printed
name of the concerned employee and have this signed by the person serving
the PD 23 and the two witnesses of the same rank.
7. Last part of the Proof of Due Notice will be signed by the Supervisor and filled
in for his/her recommendations.

D RECOMMENDATIONS: (to be filled up by the Supervisor)      

                        
                    
                     
                             
                             
                             

   (Use back page if necessary)        Supervisor’s Signature