notice-of-decision

A  notice of decision memo is the document containing the decision agreed upon, after conducting an administrative investigation. It’s a legal requirement being the second of the twin-notice rule.

Please read the following for better appreciation of the topic

- How to Write a Notice to Explain Memo
- How to Conduct an Administrative Investigation
- Due Process and Employee RelationsDue Process and Employee ResignationTermination: Just Causes (1)Termination: Just Causes (2)Termination: Authorized CausesTermination: Health Reasons

Basis of the Notice of Decision is the case report written by the Labor/Industrial Relations (LR or IR) or Human Resource (HR) head submitted and approved by top management.

The case report  should contain the following :

  • A brief summary of the incident including the violations (sometimes called Facts Of The Case)
  • A brief summary of the investigation conducted, from the issuance of the Notice to Explain to the conclusion or recommendation of the Committee
  • A recommendation which answers the following questions :
    • What factors led to the incident to occur?
    • What mitigating factor/s lessen/s the incident? (A mitigating factor is what makes the violation less. Examples are admitting immediately, prior good record, first violation, etc).
    • What aggravating factor/s worsen/s the incident? (An aggravating factor is what makes the violation worse. Examples are lying, previous bad record, done in purpose, etc.)
    • If there is damage, how much is it?
    • If damage is image, what is its effect?
    • Is/are the employee/s guilty or not of the violations?
    • If he/she/they is/are, are they equally liable? If not who has the highest accountability? Who has the least?
  • Finally, write your recommendation if sanction shall be issued or not, and if so maximum sanction or reduced sanction.
  • Seek approval from management of your recommendation.This way too, you will have a document approved (or disapproved) by management, which in turn is your basis for writing the Disciplinary Action Notice.
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Below is a recommended template for the said notice. (If management decides that the employee is not guilty proceed to item no. 5)

TO : write the name of the employee.
THRU : write the name of the Department Head or Manager of the employee investigated.
DATE : write the date you prepared the notice of decision memo
FROM : ideally, from HR/IR/LR Head, or head of the investigating committee
RE : Notice of Decision

Relative to the notice to explain memo issued to you on (write the date and time of the incident) at (write the location of the incident), re: (incident and alleged violation).

Per our company code of conduct (or discipline) this falls under (specify the rule number and the violation). With the corresponding disciplinary action of First Offense or Second or Third or so on  (write the specific sanction).

We received your written explanation on (specify the date), and we also invited you for an admin. meeting held on (specify the date) to which you have given another opportunity to explain your side.

In this regard, please be advised that based on the facts and evidences at hand, we conclude that you committed the infractions as stated on the notice to explain issued to you. You are further advised of this (state the sanction: written warning, suspension or termination)

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A similar infraction in the future shall be dealt with heavier sanction, per our code of conduct or discipline (for written warning only)

from start date to end date (for suspension only)
effective effectivity date (for termination only).

Please be guided accordingly.

Signature
Name
Position title

Noted by: Next officer up.

CC : 201 File (If there is a Union and the employee is a Union Member, add the “Union” to the CC).

Once the notice has been signed by all concerned, serve the notice of decision to the concerned employee. Let him/her acknowledge by writing his/her name, date of receipt and signature, and give them a copy. The other copy should be filed to employees 201 file.

  • For cases of Warning and suspension,  the immediate superior of the employee usually issues the notice of decision.
  • For cases of Dismissal,  the immediate superior of the employee with the HR/IR/LR head (and if Union employee, an Union Officer).

 

What to do in case employee refuses to receive?

 

Have employee’s supervisor (and if there is a Union, a Union Officer) witness the refusal, and have them write and sign “Employee refuses to receive” with their name and signature. Alternately, send an original copy of the notice of decision in a sealed enveloped to the last know addresses of the employee/s sent via registered mail with return card through the Post Office. (The registered mail notice and the return card are placed in the 201 file).

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In case of no disciplinary action (or not guilty)

 

TO : write the name of the employee.
THRU : write the name of the Department Head or Manager of the employee investigated.
DATE : write the date you prepared the notice of decision memo
FROM : ideally, from HR/IR/LR Head, or head of the investigating committee
RE : Notice of Decision

Relative to the notice to explain memo issued to you on (write the date and time of the incident) at (write the location of the incident), re: (incident and alleged violation).

Please be advised, after reviewing the facts of the case and your explanation, we found no substantive evidence to support a violation.

For your guidance.

Signature
Name
Position title

Noted by (next level officer).

CC : 201 File (If there is a Union and the employee is a Union Member, add the “Union” to the CC).

After all have signed, issue copies to the employee and all those in CC.

About the author:

BONG is a Freelance consultant in Human Resource Management as well as other Management disciplines such as Operations, Finance, Marketing.

Former Member of the Philippine Society for Training and Development. Former Vice-President of People Management Association of the Philippines (PMAP) Calabarzon Chapter. Former Auditor of the Association of Human Resource Managers (AHRM) in the Hotel and Restaurant industry.

 

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