Plan the process of the ADMINISTRATIVE INVESTIGATION, organize the STEP by STEP, prepare the

requirements, and send the due notices to all concerned prior to the actual investigation.

1. Study the particular provisions of the Company Rules/Code of Employee Discipline, the applicable
LAW and controlling Jurisprudence and relevant Collective Bargaining Agreement, if any

2. Study the Basic Documents, upon which a Charge may be made, like Security Guard's or Line
Managers/s Incident Report, Log Book, Audit Report, Affidavits and other Documents

3. Interview the Possible Witnesses; Ask the People Who Have Personal Knowledge about the
Incidents, Talk to the Managers and Supervisors and Fellow Personnel

4. Read, Assess Related Documents, Gather Pictures, Study Newspaper Reports that are Relevant to
the Case

5. Study the 201 File of the Person to be Charged, Look at Past Derogatory Records, Past Offenses, and
also The Good Records and The Awards, Commendations, and Other Positive Records

6. Formulate the Investigation Objectives: e.g. To Determine the Truth or Falsity of the Allegations in
the Charge of Theft against Mr. Juan De La Cruz

7. Prepare the Investigation Plan and Formulate the Investigation Calendar

8. Send the Notice of Specific Charge

9. Prepare the Venue for the Investigation Process

10. Prepare the Administrative Case Folder, e.g. ADMIN CASE NO 2017-08-21-001 (For Alleged Theft of
Company Property)

11. Prepare the Administrative Case Folder

12. Prepare the documents relative to the Administrative Case

13. Notify and send Notices/Summon to The witnesses

14. Review the Completeness and Propriety of All the Preparations

B. THE INVESTIGATION PROPER

Objective: To determine the truth concerns the allegations and the specific offenses being charged,
through Testimonial, Documentary and Real Evidence, and to document the process.

1. Conduct the Investigation (See The Details in The Handbook)

2. Record the Entire Proceedings

3. Coordinate the Administrative Need

4. Be sure that All The Evidence (Documentary, Testimonial and Real are Properly Arranged)

5. Advice the Respondent that He May Submit More Documents within Five Days from End of
investigation

6. Prepare A Summary of the Investigation Findings and a Chronological Narration of Relevant Events

C. THE POST INVESTIGATION STAGE

Objective: To evaluate the evidence, assess the data, and weigh the arguments of both sides, and
determine the value of all the findings, and decide whether or not there is substantial findings to
warrant a conclusion of guilt, and if none, then resolve to dismiss the charge and declare the respondent
exonerated from the charge against him or her.

1. Read The Company Rules/Code of Discipline, Law, Jurisprudence and Relevant Regulations Again

2. Read, Review and analyze the Specific Charge

3. Evaluate the Evidence:

a. Witnesses' Testimony
b. Documentary Evidence
c. Real Evidence

4. Determine Whether there Is Substantial Evidence To Warrant A Finding Of Guilt

5. Resolve the Question: Is The Employee Charged Guilty or Innocent Relative to the Offense Charged?

6. Write the Investigation Report, with the following format

a. The Law/Rules Violated
b. The Specific Charge/s
c. The DUE PROCESS Specific Steps Taken
d. The Issues/ and The Evidence Gathered Relative Thereto
e. Determination: GUILTY or NOT GUILTY
f. State the Mitigating Circumstances
g. State the Aggravating Circumstances
h. Recommend the Proper Penalty

7. Submit The Report to the Deciding Authority

8. The Deciding Authority shall Review The Report

9. Send the Notice of the Decision

10. Complete the Folder and expect a Case to be Filed