General Philippine labor-law guidance for employees and HR. For advice on a specific case, consult counsel or your HR/union representative.

What an NTE is—and why it matters

A Notice to Explain (NTE) is the employer’s first written notice in the “twin-notice” due-process requirement before any disciplinary penalty (e.g., suspension, dismissal) may be imposed. It:

Informs you of the specific charge(s) and the facts relied upon (what, when, where, how, against whom).
Directs you to submit a written explanation within a reasonable period (as a rule, at least five (5) calendar days from receipt).
May invite you to a conference/hearing after your written answer.

Failing to respond can be treated as a waiver of the right to explain, but the employer must still decide based on the available records. Your written answer is your best chance to clarify facts, raise defenses, or mitigate.

Procedural framework (quick map)

Twin-notice rule:
1. NTE (charge notice) + reasonable time to reply;
2. Second notice (decision/penalty) after evaluation and, when warranted, a hearing.
Reasonable time to reply: ≥ 5 calendar days from receipt. Extensions are discretionary but commonly granted for good cause (e.g., need to collect records, secure counsel).
Hearing/conference: Not always a full-blown trial, but the employee must be given a real opportunity to be heard (written and/or verbal).
Preventive suspension: May be imposed only if the employee’s continued presence poses a serious and imminent threat to life/property/company records. It is not a penalty, is time-bound (generally up to 30 days), and extensions should be with pay if investigation continues.
Standards of proof: Employer’s decision must rest on substantial evidence (that which a reasonable mind might accept as adequate).
Substantive due process: Even perfect procedure cannot cure a baseless or disproportionate charge; the act must be a valid just or authorized cause under law/policy, and the penalty must fit the infraction.

Common grounds & typical defenses

Allegation	What the employer must show	Typical defenses/angles
Insubordination/Willful disobedience	Lawful & reasonable order, known to employee, deliberate refusal	Order was unlawful/unsafe/outside scope; lack of clear instruction; attempted compliance; good-faith mistake
Serious misconduct	Act related to work, wrongful, intentional, and grave	No wrongful intent; provocation; self-defense; isolated lapse; not work-related
Fraud or breach of trust (FETD)	Position of trust + willful act undermining trust	Lack of authority/benefit; no intent to defraud; accounting/controls failure; corrective actions
Gross & habitual neglect	Repeated negligence; substantial loss/risk	No habit/repetition; workload/coverage issues; inadequate tools/training; force majeure
Attendance/absenteeism	Clear policy, notice, pattern	Approved leave; medical proof; timekeeping errors; force majeure; inconsistent enforcement
Harassment or conduct rules	Policy exists and was communicated; facts support violation	Insufficient particulars; consent/context; lack of corroboration; due-process gaps; data-privacy breaches in evidence gathering

Consistency & proportionality matter. Unequal discipline for similar acts can support a claim of disparate treatment.

What to do as soon as you receive an NTE

Acknowledge receipt and note the date/time you got it (this starts the reply clock).
Read for specifics: rule invoked, facts, dates, places, evidence cited (CCTV, emails, witness statements). If vague, ask in writing for particulars and copies/access to relied-upon materials (consistent with data-privacy protocols).
Calendar your deadline (≥5 days). If needed, request an extension early and explain why.
Collect evidence: emails, chats, time logs, medical slips, approvals, policies, screenshots, GPS/biometrics, prior evaluations.
Map your strategy: deny, admit with mitigation, or partially admit/clarify.
Consider representation: union officer or counsel; you may bring a support person to the conference if policy allows.
Preserve confidentiality: don’t discuss publicly; avoid social-media posts.

How to structure an effective written explanation

A strong NTE answer is factual, organized, and anchored on policy. Use this flow:

Header & reference: Date, “Re: Notice to Explain dated [date] re [allegation]”.
Acknowledgment of receipt and statement that you are submitting within the period (or with granted extension).
Your position: denial / admission with context / partial admission with clarifications.
Statement of facts in chronological order (attach exhibits: A, B, C).
Policy & legal anchor: quote the actual policy elements and explain why facts do or do not satisfy them; invoke mitigating factors (first offense, long service, good faith, company contribution).
Due-process requests: access to evidence relied upon, names of accusers (when appropriate), hearing attendance, right to present witnesses.
Prayer/relief sought: dismissal of the charge; or, if admitting, request for corrective (coaching, written reminder) instead of punitive sanctions.
Professional closing: respectful tone, signature, contact details.

Sample: Denial (concise)

Date: [____]
Re: Notice to Explain dated [____] re Alleged Serious Misconduct (Incident of [date])

I received the NTE on [date]. I respectfully deny the charge.

Facts: On [date/time], my supervisor directed me to [instruction]. I complied as follows: [step 1–3], evidenced by [Email A, Ticket B]. The CCTV excerpt cited omits [context], as shown in [Exhibit C]. At no point did I intend to disregard instructions. The output was submitted at [time], within tolerance per SOP [cite clause].

Policy application: The element of willful disobedience is absent; the instruction was unclear and I sought clarification at [time] (Exhibit D). There was no harm or loss; QA accepted the work (Exhibit E). This is my first related notice in [X] years.

Request: Kindly dismiss the charge. If a conference is set, I wish to attend and present [names] as witnesses.

Respectfully,
[Name, Position, Contact]

Sample: Admission with mitigation

I acknowledge the lapse of [describe]. It was not intentional. Contributing factors were [medical emergency/workload/systems outage], supported by [attachments]. I have since completed [remedial training] and proposed [process fix]. Given my unblemished record and the absence of loss, I respectfully request corrective coaching instead of suspension.

Sample: Extension request

I received the NTE on [date] with a [deadline]. I respectfully request a [__]-day extension to gather records (CCTV, system logs) and consult my representative. I remain available for conference and will submit within the extended period.

Conferences/hearings: what to expect

Objective: Clarify issues after your written answer; not a courtroom trial.
You may: present documents, clarify your answer, suggest witnesses, and ask reasonable questions.
The employer should: keep minutes, respect civility, and allow a meaningful chance to be heard.
No cross-examination right as in court, but fairness requires letting you confront the substance of evidence used against you.

Outcome: second notice (decision) & penalties

After evaluating submissions and any conference, the employer issues a decision notice stating:

Findings of fact and the policy violated;
The penalty (from coaching/warning to suspension or dismissal), considering just cause, length of service, past record, and proportionality;
Effectivity date and, if dismissal, reasons why continued employment is no longer viable.

If dismissal is imposed without proper twin-notice and opportunity to be heard, it can be procedurally defective—even if a just cause exists—exposing the employer to indemnity for nominal damages. If the cause itself is weak, the dismissal may be illegal, with remedies like reinstatement/backwages.

Special notes & pitfalls

Vague NTEs: Ask for particulars; a generic “violation of company rules” is inadequate notice.
Evidence access: You may request reasonable access to relied-upon materials (e.g., CCTV excerpts, audit logs, incident reports) subject to privacy/security limits.
Apologies: If you admit, a clear, sincere apology paired with corrective steps often mitigates. Avoid “admissions” beyond what is necessary.
Retaliation/whistleblowing: If you believe the NTE is retaliatory (e.g., after a protected complaint), document the timeline and raise anti-retaliation protections in your answer.
Union & CBA: Check CBA-specific due-process or grievance mechanisms—some CBAs add steps or timelines.
Managerial/trust positions: Standards for loss of trust can be stricter, but proof must still be substantial and the process fair.
Data privacy: Handling of personal data and CCTV must align with legitimate purpose and proportionality; object to “fishing expeditions.”

HR/Employer checklist (for fairness and legal sufficiency)

Draft a specific NTE (facts, policies, attachments, reply deadline ≥5 days).
Offer/allow a conference where warranted; keep minutes.
Consider mitigating factors and past practice to avoid disproportionate penalties.
If using preventive suspension, issue a separate order, explain the risk basis, track the 30-day cap, and pay if extended.
Issue a reasoned decision (second notice) and serve it properly.
Keep a complete case file (NTE, proof of service, employee answer, minutes, evidence, decision).

Frequently asked questions

Can I refuse to answer? You can, but the employer may proceed based on existing records. Non-response rarely helps and may be treated as waiver.

Do I have a right to a lawyer? You may consult and seek representation, especially in complex allegations. Many employers allow a support person in conferences.

Can I see the complaint against me? You may request the material evidence relied upon; employers should provide enough detail to allow a meaningful defense.

What if I’m on preventive suspension? Use the time to prepare your answer. If it exceeds the allowable period without pay, raise this in writing.

One-page response blueprint (copy/adapt)

Opening: Identify the NTE and date of receipt.
Position: Deny / Admit with mitigation / Clarify.
Facts: Chronology + exhibits.
Policy analysis: Why elements aren’t met or why mitigation applies.
Due-process requests: Evidence access, hearing attendance, witnesses.
Relief sought: Dismissal of charge or corrective, not punitive, action.
Closing: Professional tone; sign and date.

Bottom line

Treat an NTE as your formal opportunity to be heard.
Respond on time, fact-first, and policy-anchored; request a conference if needed.
Even when admitting a lapse, mitigation and proportionality can preserve employment or reduce penalties.