Chapter V Administrative Actions
A. List of Offenses and Penalties
Concomitant to the authority of the University to promulgate rules and regulations that will govern the conduct of its personnel, the following offenses are enumerated and any violation thereto shall subject an employee to a penalty of reprimand, suspension, or dismissal from employment.
1. Simple Tardiness – Simple tardiness is being tardy three times within one (1) month.
Penalty – 1st Offense – Warning
2nd Offense – Written reprimand
3rd and succeeding offenses – Maximum of three (3) days
suspension without pay.
2. Habitual and/or Gross Tardiness – Habitual tardiness is the commission of at least three (3) simple tardiness within a period of five (5) months or less. Gross tardiness is incurring an accumulated tardiness of one (1) hour or more within one (1) calendar month.
Penalty – 1st offense – Three (3) days suspension without pay
2nd offense – One (1) week suspension without pay
3rd offense – Two (2) weeks suspension without pay and reduction in salary to the next lower step
4th offense – Dismissal
NOTE: In counting the number of times an offense is committed, all offenses committed within three years from the most recent commission shall be counted.
3. Dress Code Violation – inexcusable failure to wear the proper uniform or dress code and/or University identification card while on campus. Failure to wear the proper dress code for official functions of the University shall likewise be punished in accordance with this provision.
Penalty – 1st Offense – Warning
2nd Offense – Half-day (1/2) salary deduction
3rd Offense – One (1) day salary deduction
4th Offense – One (1) day suspension without pay
5th Offense – Three (3) day suspension without pay
6th Offense – Five (5) day suspension without pay
4. Absence without Official Leave (AWOL)
AWOL is the unauthorized failure of an employee to report for work on a day on which he/she is required. AWOL also consists of any f the following:
4.1 Failure of the employee to notify his/her immediate head and/or the IPODD of his leave of absence/s;
4.2 Failure of the employee to secure application for leave upon reporting to work;
4.3 Inexcusable failure of the employee to return the application for leave within two (2) working days from the date of issuance of the same;
4.4 Upon disapproval of leave/s; and
4.5 Leaving campus premises within official office hours without authority or prior approval from the Vice-President concerned.
Penalty – 1st Offense – Written reprimand with counseling with the Compensation and Benefits Administration Officer
2nd Offense – Three (3) days suspension
3rd Offense – One (1) week suspension
4th Offense – Two (2) weeks suspension
5. Gross AWOL – the accumulation of five (5) AWOL regardless of the period in which they are incurred or three (3) AWOL within one (1) semester.
Penalty – Two (2) weeks suspension to dismissal
6. Abandonment of Work – Absence without permission for at least seven (7) calendar days. Resignation, if approved, shall be considered abandonment when the employee incurs the absence provided herein.
Penalty – Dismissal and forfeiture of all unclaimed salaries and benefits.
7. Acts of negligence in the performance of duties or in the care and use of school properties.
7.1 Simple negligence – the failure to observe the degree of diligence required in the performance of duties or in the care and use of school properties resulting in damage.
Penalty – written reprimand to suspension and reparation for damage caused to school property.
7.2 Gross Negligence – the blatant and/or habitual disregard to perform the degree of diligence required in the performance of duties or in the care and use of the school properties resulting in damage.
Penalty – Two (2) weeks suspension to dismissal and reparation for damage caused to school property.
8. Disobedience to lawful and/or reasonable instructions and orders of school authorities.
8.1 Insubordination – the failure to comply with the reasonable instructions and orders of \school authorities within the period prescribed.
Penalty – Written reprimand to one (1) week suspension without pay.
8.2 Willful Disobedience – The blatant and/or habitual disregard to lawful orders of superiors or of published University rules and regulations.
Penalty – One (1) month suspension without pay to dismissal.
9. Dishonesty related to official duties and responsibilities such as but not limited to lying to a superior, making a false report/statement or malicious failure to divulge information that an employee has a duty to report.
Penalty – Two (2) weeks suspension to dismissal.
10. Forging, altering, falsifying, or misusing University documents, record, or credentials knowingly furnishing, or using false or forged documents or information in connection with official University transactions, proceedings, investigation.
Penalty – Dismissal
11. Maliciously making statements or knowingly publishing information prejudicial to the interest and reputation of the University, its officials, faculty members, personnel or students.
Penalty – One (1) week suspension without pay to dismissal.
12. Unauthorized use of the name of Northwestern University in any ticket, invitation, program, announcement or in similar printed matters or transactions.
Penalty – One (1) week suspension without pay to dismissal.
13. Unauthorized collection or solicitation of money or gifts from any students, personnel, faculty member or University officials without the approval of the President.
Penalty – Dismissal
14. Soliciting or accepting a bribe or incentive in consideration of any act related to his office or position in the University.
Penalty – Dismissal
15. Production, possession, distribution, publication, exhibition and dissemination of literature, films, prints, plays or similar forms which are offensive to morals, contrary to law, public order, good customs, and University policies.
Penalty – One (1) month suspension without pay to dismissal.
16. Engaging in dishonorable, lewd, indecent, obscene, or immoral conduct.
Penalty – Dismissal
17. Misappropriation and/or conversion of funds that have come to the possession of the employee by virtue of his official function or position.
Failure to produce or liquidate the amount when required shall be considered as prima facie evidence of misappropriation and/or conversion
Penalty – One (1) month suspension without pay to dismissal.
18. Possession of any explosive, firecracker, or any kind of deadly weapon such as, but not limited to, guns, knives, and darts on campus premises or during University functions without authority or permission from proper University official/s.
Penalty – One (1) month suspension without pay to dismissal.
19. Possession or consumption of any intoxicating beverage or prohibited substance within the university premises or during university functions unless authorized by the proper University official/s. Entering the campus or attending an official University function in a state of intoxication is likewise penalized. The maximum penalty shall be imposed for distribution of such substance.
Penalty – One (1) week suspension without pay to dismissal.
20. Unauthorized use or removal of university equipment, supplies, products, vehicle and the like.
Penalty – written reprimand to dismissal.
21. Gross misconduct against any student, faculty or personnel, or University authorities, such as, but not limited to, disrespecting, shouting, cursing, defaming, or making threats of acts amounting to a crime within the University campus or during University functions.
Penalty – One (1) week suspension without pay to dismissal.
22. Physical assault committed upon any student, faculty or personnel, or University authorities.
Penalty – Dismissal
23. Theft committed against any person within the university premises or during University functions.
Penalty – Dismissal with restitution
24. Leading, instigating, inducing others to hold illegal strikes or similar concerted activities, or participating thereof resulting in the stoppage of classes or disruption of the operation of the University.
Penalty – Suspension for 15 days to dismissal
25. Commission of any other act that causes prejudice to the name and reputation of the University and/or to the welfare of the same as well as its employees and students.
Penalty – one (1) week suspension without pay to dismissal
Note: When the violation calls for a suspension for any period of time and the offender is a probationary/casual/contractual employee, the University shall have the prerogative to deny renewal of the contract.
B. PROCEDURE IN RESOLVING ADMNISTRATIVE COMPLAINTS
Concomitant to the authority of the University to promulgate rules and regulations that will govern the conduct of its personnel, the following procedure are heretofore established in the observance of due process upon University employees prior to the imposition of any sanction.
The jurisdiction or authority of the University to subject an employee to administrative discipline shall not be limited to violations committed within the University premises, but also to offenses committed outside the school and beyond school hours, provided: (1) The violation of school policies or regulations occurs in connection with a school-sanctioned off-campus activity; or (2) The misconduct of the employee affects the good name or reputation of the University.
The procedure for resolving administrative complaints is as follows:
Preliminary Procedure
1. All complaints against any university personnel for the violation of any of the offenses punished under the Faculty and Administrative Manuals shall be filed or endorsed to the IPODD for action. However, if a complaint is addressed to any other officer or head of office, it shall be the duty of such person to forward the complaint to the IPODD through the proper channels.
2. The IPODD Director shall determine whether the acts complained of are punishable under the University rules and regulations and whether the person complained of is probably guilty thereof. In this regard, the IPODD may summon persons and obtain their statements and other evidence. The IPODD Director shall ensure that all evidence produced is properly documented or stored.
3. The IPODD Director may seek the assistance of the Legal Officer in determining whether the acts complained of constitute a violation of university rules and regulations and the probability of guilt of the person subject of the complaint.
4. If the acts alleged in the complaint pose a physical threat to the safety of the complainant or may cause substantial disturbance to the ordinary operations of unit/s of the university, and probable cause is found, the IPODD may recommend the imposition of preventive suspension upon the personnel subject of the complaint, which shall not exceed fifteen (15) days. Such recommendation shall be submitted to the President through the VP for Administration. Only the President, or his/her designate, may issue the order for preventive suspension.
5. The result of the investigation, whether there is a finding of probably cause or not, shall be reported to the VP for Administration. The report shall include all the evidence collected. The report shall be submitted no later than five (5) days from the filing of the initial complaint.
6. If there is no finding of probable cause on the part of the IPODD Director and the VP for Administration concurs, the complaint shall be dismissed. If the IPODD Director finds probable cause, the VP for Administration shall endorse the report to the President with his recommendation. The President shall determine whether the case merits elevation to the Efficiency and Separation Board.
Procedure Before the Efficiency and Separation Board
1. The VP for Administration shall recommend the composition of the Efficiency and Separation Board (ESB), which shall be chaired by a member of the Philippine Bar, or, in the absence of the same, a Bachelor of Laws degree holder. The members of the ESB shall be the immediate office head of the respondent, the IPODD Director, a NUEA representative and an ad hoc member. A secretary may be designated from among the members or as an additional staff of the ESB.
2. The Chairperson shall issue the orders and processes of the ESB and shall determine the flow and propriety of the proceedings and pleadings of the parties. The ESB, as a body, is tasked with the determination of the guilt or innocence of the respondent and the recommendation of the proper penalty to the President. As such, it shall be necessary that at least a numerical majority of all the members of the ESB be present to conduct hearings and deliberations.
3. Immediately upon receipt of the approval of the composition of the ESB, the Chairman shall issue the summons upon the respondent detailing the acts complained of constituting the violation, giving the respondent five (5) days from receipt to file his/her answer to the complaint, failure of which shall be construed as a waiver of the right to be heard, and advising the respondent of the right to legal counsel for the proceedings.
4. The respondent shall file his answer within five (5) days from receipt of the summons. If no such answer is file, the respondent shall be considered to have waived his/her right to be heard. However, the respondent shall be furnished notices of the proceedings of the ESB. Furthermore, if the respondent, after having been considered to have waived his right to be heard, appears before the ESB giving a sufficient reason for his/her failure to file an answer, the ESB shall allow the respondent to fully participate in the proceedings, provided it shall not unduly delay the proceedings. Finally, if the respondent fails or refuses to file an answer, he shall be considered to have denied the allegations of the complaint.
5. Upon receipt of the answer, or, in case of non-filing of the answer, the lapse of the five (5) days within which to file the same, the ESB shall consider the issues joined and shall issue the notice of hearing, which shall be no more than three (3) days from the issuance of the notice. The ESB shall continually hold hearings until all the evidence is received. All hearings should have been held within two (2) weeks from the date of the initial hearing.
6. The conduct of the hearing shall be as follows:
a. The complainant(s) present(s) his witnesses and evidences to support the charge;
b. The respondent(s) present(s) his witnesses and evidences to controvert the accusations
c. The committee, in its discretion, may dispense with the hearing and require the parties to submit their written pleadings;
d. When the respondent(s) admit(s) the act or omission charged in the complaint but interposes an affirmative defense, the order of the hearing may be modified;
e. No cross-examination shall be conducted, however, the ESB and the parties may raise clarificatory questions, which shall be posed to the witness only by the ESB if found to be meritorious;
f. Upon admission of the evidences and pleadings of the parties, when required, the case shall be deemed submitted for decision.
7. Within three (3) days after the termination of the hearings, the ESB shall convene to deliberate on the merits of the case determining the guilt or innocence of the respondent. If the respondent is found guilty, the ESB shall determine the appropriate penalty in accordance with the prescribed penalties in this chapter or in other pertinent laws. The chairperson and members shall be entitled to one vote each in the determination of these issues and a majority vote of those present during deliberations shall be required to sustain the decision.
8. Upon reaching a decision, the Chairman shall be responsible for the drafting of the resolution of the case, or to any member who voted with the majority decision, provided that such member is a member of the Philippine Bar or is a holder of a bachelor of laws degree. The resolution shall be submitted to the Office of the President within three (3) days from termination of deliberations for approval.
Appeal to the Board of Directors
1. The respondent(s) may appeal an order of dismissal to the Board of Directors within three (3) days from receipt of the decision, otherwise the same shall become final and executory.
2. The disposition of the case before the Board of Directors shall be disposed in accordance with its own rules, regulations and procedures that it may promulgate.
Due process of law shall be observed in the disposition of all cases. In the imposition of the appropriate penalty, these circumstances shall be considered: (1) gravity of the offense, (2) frequency of the offender in committing infractions of University policies, (3) surrounding incidents in the commission of the offense, and (4) perversity of the offender in committing the wrongful act.
C. University Arbitration Procedure
The University Arbitration Procedure aims to provide the University employee with the means of settling complaints or alleging wrongs regarding the enforcement of university personnel policies and the terms and conditions of employment. This is in consonance with Section 97 of the Manual of Regulation for Private Schools, to wit:
“Every private school shall provide for amicable internal procedures or remedies, including provisions for voluntary arbitration, as a preferable measure in the settlement of any move, dispute, or grievance arising from employment relations.”
This is a formal procedure that ought to be utilized only when efforts to settle alleged wrongs informally failed.
1. An employee who feels that he has been directly wronged in connection with the rights accruing to him as an employee may make an oral or a written complaint to his immediate head, which the latter must resolve within forty eight (48) working hours after the filing of the complaint.
2. The employee may elevate his complaint to the department head, dean or director if the former is not satisfied with the resolution of the same. The dean or the director concerned must ascertain that the employee took prior recourse with his immediate head before the complaint is submitted for his consideration. The complaint shall be resolved within forty eight (48) working hours after the filing of the complaint.
3. Should no final settlement is reached within the dean’s or director’s level, the case shall be submitted to the VP for Administration, for non-academic personnel, for consideration. The written complaint should be accompanied with the resolutions made by the dean or director, and immediate head of the complainant.
4. The VP concerned shall endeavor to provide a reasonable decision to the case before constituting the Arbitration Committee within three (3) working days after receipt of the complaint. The composition of the Arbitration Committee is the Vice President concerned, the IPODD Director, the University Legal Officer, the NUEA President or his authorized representative, and the arbitrator chosen by the complainant who is a University employee.
5. Should any member find it necessary to clarify some of the issues, he may require the complainant to submit additional evidence and present his witnesses. The arbitration hearings shall be conducted within ten (10) working days.
6. The findings and resolutions of the Arbitration Committee shall be final and not subject to appeal.