In disciplining workers, what common mistakes do many human resource (HR) people often make, even though they may believe they’re doing a good job following due process? — Red Lady.

On top of my mind is HR’s incapacity to write a solid and substantive formal charge against employees who may have committed violations. In recent months, I’ve seen more than 50 poorly written Notices to Explain (NTE), including those without an incident report summarizing the offense committed in a complete format with the pertinent provisions of the company’s code of conduct (CoC).

These HR people think they’ve already complied giving due process to those concerned when the fact remains that their NTEs are lacking the Bill of Particulars to support management argument. This happens all the time when they simply put up incomplete NTEs in the hope that employees do not notice the error.

For one, how can employees give their full explanation to a charge that lacks specific details? This is a violation of the due process provision accorded to the workers. That’s not all. Another issue is when management refuses to share a print copy of the employment contract and the CoC with all employees.

While it is not exactly illegal, such management action is a clear manifestation that they’re not objective and transparent with their workers.

This happens all the time with unprincipled employers who are not interested in clearly communicating the terms and conditions of employment. If an employer fails to provide an employee with a print copy of their signed contract and the CoC, such omissions may result in complaints of unfair labor practices.

This is proof that an employer is trying to conceal malevolent employment terms from employees and to prevent them from enforcing their rights. Therefore, the only recourse is for the workers to file a case before a labor court, like the National Labor Relations Commission.

NEGLECTED STEPS
Many of us know the unpleasant task of disciplining employees is with the HR department. That’s not exactly correct. Employee discipline is job number one for line executives. It is the duty of every team leader, line supervisor, and department manager to monitor employee issues and prevent them from happening in the first place.

This follows the principle that those who have the final say in hiring must have the same capacity to discipline their workers. That’s because line executives know their workers personally and interact with them daily. They need the authority to discipline people. And it follows they have the first opportunity to discover potential issues.

This doesn’t mean that HR should be completely out of the picture. HR should be there as the company’s internal expert so line executives become discipline experts in their own right. Above all, it’s the responsibility of the HR head to provide formal training in the effective handling of the disciplinary process.

Imagine an incompetent HR head that doesn’t know proper disciplinary procedure or legal requirements. What happens? Surely, HR can’t give what it doesn’t have. The following checklist will be helpful for both HR and line executives:

One, collect accurate and objective data about an incident. Summarize this in an Incident Report duly supported by written statements by a complainant and witnesses. Ideally, these statements must be in the form of a notarized affidavit to strengthen the value of its contents.

The Incident Report and the notarized statements must form part of a clearly worded NTE, which must be easily understood by the employee concerned. It might be better if the NTE is written in Tagalog-English, if the employee’s educational level warrants it.

Two, cite the specific and pertinent provisions of the CoC. Don’t give a broad, hazy, or imaginary explanation of the offense. Mention the title, article, and section of the CoC to make the case. Employees charged with offenses will be double-checking those provisions in the hope of finding certain loopholes and using them in their own defense.

In addition, the NTE may also include applicable Supreme Court decisions to strengthen the case. Further, specific provisions of both the Criminal Code and Civil Code may be highlighted, like for example if the violation is theft or drug use.

Three, allow the employee to explain within five calendar days. I have seen some incompetent HR people demanding that their NTEs be answered within 24 to 48 hours. This alone is a clear manifestation that this type of HR doesn’t know the basic rules, even though it takes less than a minute to verify labor standards on the internet.

Many times, labor jurisprudence allows the extension of the five-calendar-day period for special circumstances.

LAST RESORT
Given all this, terminating an employee should be a last resort. Humanitarian considerations should cause employers to think twice before dismissing an employee. Throwing people out deprives them of the means to support their families, robbing them of their dignity as human beings, and makes it difficult for them to find a new job.

More so if a worker subject to discipline has been in the company for long with no previous adverse record. Bringing matters to a labor court is an expensive and emotional process for the worker and a drag to the integrity of an employer.

In conclusion, it boils down to having line executives being proactive in preventing their people from committing mistakes. This can only happen if an organization has a seasoned HR head.

Bring Rey Elbo’s Superior Subordinate Supervision program to your management team. Contact him on Facebook, LinkedIn, X or e-mail elbonomics@gmail.com or via https://reyelbo.com for details.