DISCIPLINARY MANAGEMENT

PROCESS FLOW OF DISCIPLINE MANAGEMENT

1. Incident Identification

• Who: Immediate Supervisor / Manager / HR

• What: Observe or receive reports of employee misconduct, violation of company policy, or unacceptable behavior.

• Output: Incident details are noted or reported for initial assessment.

2. Incident Reporting

• Who: Reporting Party (Supervisor / Co-worker / HR)

• What: Accomplish an Incident Report Form (IR) detailing:

  • What happened

  • When and where it occurred

  • Persons involved and witnesses

• Digisigner: Send Incident Report through Digisigner for signing

• Output: Signed Incident Report submitted to HR for review.

Digisigner subject line: INCIDENT REPORT - [Employee Name]

3. Preliminary Assessment

• Who: HR Department

• What: HR reviews the IR to determine if:

  • The report is valid and complete

  • Investigation is necessary

• Output: Proceed to formal investigation or dismiss report if unsubstantiated.

4. Investigation

• Who: HR / Department Head / Concerned Parties

• What:

  • Conduct fact-finding (gather evidence, review CCTV, interview witnesses).

  • Give employee(s) an opportunity to explain.

• Output: Investigation findings and recommendation.

5. Issuance of Notice to Explain (NTE)

• Who: HR / Authorized Officer

• What:

  • Issue NTE to the concerned employee detailing the alleged violation and requiring a written explanation within a prescribed period (usually 24–48 hours).

• Output: Employee’s written explanation or failure to respond within the given time.

6. Submission of Reply to NTE 

• Who: The employee involved

• What: The employee submits a written explanation addressing the allegations in the NTE.

• Purpose:

  • To give the employee the right to be heard before any disciplinary action is taken.

  • The reply can include explanations, justifications, or evidence to clarify their side.

• Output:

  • HR receives and acknowledges the reply.

  • The reply becomes part of the disciplinary case file.

7. Administrative Hearing (if needed)

• Who: HR / Management Panel

• What:

  • Conduct hearing to allow both sides to present their statements.

  • Record discussions and evidence.

• Output: Hearing report and recommendation.

8. Evaluation and Decision

• Who: HR / Management

• What:

  • Evaluate facts, explanation, and evidence.

  • Decide on the appropriate disciplinary action based on company policy and gravity of offense.

• Output: Final decision (e.g., verbal warning, written warning, suspension, termination).

9. Issuance of Notice of Decision (NOD)

• Who: HR / Authorized Officer

• What:

  • Issue written notice stating the decision and corresponding sanction.

  • Secure employee acknowledgment.

• Output: Signed NOD for HR record.

10. Documentation and Filing

• Who: HR

• What:

  • File all documents (IR, NTE, NOD, hearing minutes, evidence) in the employee’s 201 file.

  • Update HR records and monitoring tracker.

• Output: Complete and documented case file.

11. Monitoring and Implementation

• Who: HR

• What:

  • Monitor compliance with imposed sanction (e.g., suspension duration).

  • Provide counseling if necessary to prevent recurrence.

• Output: Proper implementation and closure of case.