New Rules of Procedure in Handling Administrative Disciplinary Complaints in the Department of Health

September 29, 2021

DOH ADMINISTRATIVE ORDER NO. 2021-0046

 

I. RATIONALE

The Department of Health (DOH) issued Administrative Order No. 2015-0048 or the Revised Procedures on Handling Administrative Disciplinary Complaints in the Department of Health dated November 13, 2015 in order to be more responsive to the new organizational structure of the Department pursuant to Executive Order (EO) No. 366 dated October 4, 2004 (Rationalization of the Functions and Agencies of the Executive Branch).

The Revised Rules on Administrative Cases in the Civil Service (2017 RACCS) promulgated on July 3, 2017 clarified the three (3) modes of conducting the preliminary investigation, provided new definition of certain terms of human resource actions, and included offenses such as Sexual Harassment and violation of the Anti-Red Tape Act (ARTA) or Republic Act (RA) No. 9485.

Pursuant to EO 43, series of 2017 "Creating the Presidential Anti-Corruption Commission (PACC)," as amended by EO 73, series of 2018, the PACC, concurrently with the Office of the Ombudsman, has the power to hear, investigate, gather evidence and information on administrative cases against all presidential appointees for violations of RA No. 3019 "Anti-Graft and Corrupt Practices Act" and RA No. 6713 "Code of Conduct and Ethical Standards for Public Officials and Employees," among others. It may also conduct lifestyle checks and fact-finding inquiries on their acts and omissions that may be violative of the Constitution, laws, rules and regulations and/or constitute serious misconduct amounting to betrayal of public trust. In the exercise of its functions, the PACC may call upon a government agency/ies for assistance and cooperation, whether in the acquisition of documents or to participate in the conduct of investigation.

On February 11, 2020, the decision in the case entitled Corazon Locsin Montelibano Memorial Regional Hospital vs. Rey Melchor Bryan Baylon, G.R. No. 218174, became final. The court held that administrative charges against a public health worker "shall be heard by a committee, composed of the Provincial Health Officer (PHO) where the public health worker belongs, as chairperson, a representative of any existing national or provincial public health workers' organization or in its absence its local counterpart and a supervisor of the district, the last two (2) to be designated by the provincial health officer mentioned above" pursuant to Section 11 of RA No. 7305 or the Magna Carta of Public Health Workers.

As the disciplining authority over the Department's officers and employees, except those officials appointed by the President, the disciplinary power of the Secretary of Health (SOH) covers all aspects of the administrative proceedings, including the conduct of investigation and resolution of disciplinary cases. The SOH likewise has the power to delegate the authority to the heads of offices in the Department pursuant to EO No. 292 otherwise known as the Administrative Code of 1987.

On the basis of the aforegoing, AO No. 2015-0048 is being revised in order to implement the SC's decision in the case of Corazon Locsin Montelibano Memorial Regional Hospital vs. Rey Melchor Bryan Baylon, and to align the procedural rules with the pertinent civil service rules and regulations.

This Order shall apply suppletorily to the 2017 RACCS, and RA No. 7305 or the Magna Carta for Public Health Workers.

II. OBJECTIVE

These new rules of procedures on handling disciplinary complaints against the DOH officers and employees are being issued for a systematic and expeditious disposition of administrative complaints filed before the Department. The delegation of authority under this procedure is aimed to ensure that this objective is achieved.

III. SCOPE AND COVERAGE

This Order shall apply to administrative disciplinary complaints filed by any person against the officers or employees of the DOH, which includes the Central Office units and bureaus, DOH retained hospitals, Centers for Health Development (CHDs), Sanitaria, and Treatment and Rehabilitation Centers (TRCs). Subject to the limitations of scope as prescribed herein, this Order shall likewise apply to the presidential appointees in DOH Specialty Hospitals and attached agencies such as Food and Drug Administration (FDA), National Nutrition Council (NNC), Philippine National Aids Council (PNAC) Secretariat, and Philippine Institute of Traditional and Alternative Health Care (PITAHC).

The administrative disciplinary action against officers and employees in Specialty Hospitals shall follow their respective charters except in the conduct of formal investigation which shall follow R.A. No. 7305 or the Magna Carta of Public Health Workers.

This Order shall not cover sexual harassment cases, which shall be subject to the pertinent civil service rules and procedures in relation to RA No. 11313 or the Safe Spaces Act. This Order shall also not apply to those complaints involving concerns covered under CSC Memorandum Circular No. 2, s. 2001 or the Revised Policies on the Settlement of Grievances in the Public Sector.

Complaints involving persons not within the DOH's jurisdiction shall be endorsed to the appropriate government agency or authority.

IV. DEFINITION OF TERMS

The following terms shall have the following meaning as used in this order:

A. Civil Service Rules — refers to the 2017 Rules on Administrative Cases in the Civil Service (2017 RACCS) and relevant issuances of the Civil Service Commission (CSC) on administrative disciplinary actions;

B. Conflict of Interest — refers to a situation which arises when the investigating officer's impartiality may be actually or potentially affected by virtue of his/her relationship with the person/s under investigation, or any situation that can potentially give the appearance of bias.

C. Disciplining Authority (DA) — refers to the head of office or cluster head having supervision or oversight over the person being complained of, and who is delegated by the SOH to handle administrative complaints, as provided under this Order. When there are two or more persons being complained of, the DA shall refer to that of the person with the highest position; provided that, if such persons are of the same position levels but from different offices, the DA shall be the common Cluster Head, or the Secretary of Health.

D. Fact Finding Committee (FFC) — refers to a body created by the designated DA to conduct a fact-finding investigation on a complaint in an ad hoc capacity;

E. Fact Finding Report (FFR) — refers to the written document containing the FFC's investigation results made in accordance with Section VI, Rule 2 of this Order;

F. Formal Investigation Report (FIR) — refers to the written document containing the hearing committee's formal investigation results and recommendation/s made in accordance with Section VI, Rule V of this Order;

G. Legal Officer (LO) — refers to any attorney authorized to administer oath or affirmation in the performance of their duty as investigating officers on complaints filed pursuant to these rules;

H. Investigating Officer — refers to employee of the DOH authorized by the disciplining authority to conduct preliminary investigation.

I. Personnel Investigation Committee (PIC) — refers to the ad hoc committee, composed of at least three (3) legal officers, created by the disciplining authority to conduct preliminary investigation whenever necessary for purposes of expediency and/or to ensure impartiality.

J. Preliminary Investigation (PI) — refers to the mandatory proceeding undertaken to determine whether a prima facie case exists to warrant the issuance of a formal/notice of charge;

K. Preliminary Investigation Report (PIR) — refers to the report submitted by an investigating officer or PIC to the disciplining authority, which contains a narration of the material facts established, the determination of the existence or absence of a prima facie case, and a recommendation whether to dismiss the complaint or to issue a formal/notice of charge;

L. Provincial Health Officer (PHO) — refers to the concerned Provincial Health Officer of the province where the respondent belongs. In independent component cities and highly urbanized cities (ICCs/HUCs), this shall refer to the City Health Officer (CHO), following the Office of the Solicitor General's (OSG) opinion dated November 17, 2020; and

M. Verifiable Information — refers to the information which can be ascertained, established or confirmed as true or correct by examination, research or comparison of documents; or that information for which accuracy and veracity can be confirmed by piece/s of evidence.

V. GENERAL GUIDELINES

A. The administrative disciplinary complaints against the DOH officers and employees shall be filed with and/or referred to the proper disciplining authority as prescribed in this Order. Such complaints shall be deemed valid if the requirements in Section 11, Rule 3 of the 2017 RACCS are complied with.

B. The complaints filed against presidential appointees shall be referred to PACC pursuant to E.O. No. 43, s. 2017, as amended, or the Office of the Ombudsman pursuant to R.A. No. 6770 or the Ombudsman Act.

C. The complaints against two (2) or more officers or employees shall be acted upon or referred to based on the position of the highest ranking official involved.

D. The complaints involving presidential appointees that may be endorsed by the PACC or the Ombudsman for appropriate action shall be forwarded to the designated disciplining authority for evaluation in accordance with this Order.

E. This Order shall apply suppletorily to the 2017 RACCS, and RA No. 7305 or the Magna Carta for Public Health Workers.

F. The safeguards in disciplinary procedure prescribed in Rule XII of the Revised Implementing Rules and Regulations (RIRR) of RA No. 7305 shall be undertaken to uphold the following rights of the officers and employees subject to these Rules:

a. To be informed in writing of the charges;

b. To full access to the evidence of the case;

c. To defend themselves and be defended by a representative of their choice, and adequate time for the preparation of their defense;

d. To confront witness/es presented against them and summon witness/es in their behalf;

e. To appeal to designated authorities;

f. To reimbursement of reasonable expenses incurred in their defense in case of exoneration or dismissal of the charges; and

g. Such other rights that will ensure fairness and impartiality during proceedings.

G. In accordance with Section VI on the Specific Guidelines, the disciplining authority shall:

1. Evaluate the complaint upon its receipt and determine whether to:

a. endorse for archival;

b. create a fact-finding committee or in appropriate cases, refer to Internal Audit Service for fact-finding investigation; or

c. refer to the proper legal office for preliminary investigation;

2. Conduct an independent evaluation of the PIR and resolve the complaint based on the basis thereof;

3. Issue a Notice of Charge/Formal Charge if warranted, and endorse to the PHO/CHO for Formal Investigation;

4. Resolve the case and issue a Decision based on the FIR from the hearing committee.

H. Anonymous complaints shall be acted upon in accordance with Section 6, Rule 2 of these rules if the issues or the persons involved are within the jurisdiction of the SOH.

I. The fact-finding investigation of complaints involving graft and corrupt practices shall be conducted by the Internal Audit Service (IAS) as part of its special investigative functions. This is pursuant to Department Personnel Order No. 2021-0048 or the "Creation of the Technical Working Group (TWG) to Assist the DOJ Task Force Against Corruption."

J. The proceedings conducted pursuant to this Order shall be strictly confidential and are subject to data privacy laws. The violation of confidentiality shall be dealt with in accordance with the existing laws, rules and regulations.

K. In compliance with Section 11 of RA No. 7305, administrative charges shall be heard by a hearing committee, composed of the PHO where the public health worker belongs, as chairperson, a representative of any existing national or provincial public health workers' organization or in its absence its local counterpart and a supervisor of the district, the last two (2) to be designated by the PHO. Thus, the Secretary of Health may take cognizance of a complaint or undertake the administrative disciplinary proceedings at any time before the case is endorsed to the PHO/CHO for formal investigation.

VI. SPECIFIC GUIDELINES

RULE 1

Filing and Evaluation of Complaints

SECTION 1. Where to File. — The complaint shall be filed with or referred to the disciplining authority (DA) of the person complained of, delegated as follows:

 

Person/s complained of	Disciplining authority
Officers or employees in FDA, PITAHC, PNAC, BOQ, and NNC	Director General of the FDA, Director of PITAHC, PNAC, BOQ and NNC
Officers or employees whose positions are lower than Chief of Hospitals (COH) or Medical Center Chiefs (MCC) in all retained/re-nationalized hospitals/medical centers, sanitaria, and TRCs	COH/MCC
Officers and employees in Central Office and CHDs whose positions are lower than the Director	Directors/Heads of offices concerned
COH/MCC	Undersecretary of Health concerned
Presidential Appointees (for complaints that are referred by PACC or the Ombudsman for investigation) Directors who are appointed by the SOH pursuant to a special law

 

SECTION 2. Filing of Complaints against Presidential Appointees. — The complaints against presidential appointees in the DOH, including the CHDs, attached agencies and specialty hospitals shall be filed or endorsed by the DA to the PACC pursuant to E.O. No. 43, as amended, or with the Office of the Ombudsman pursuant to R.A. No. 6770.

Notwithstanding, in case a complaint involving a presidential appointee is endorsed to the Department by the PACC or the Ombudsman for appropriate action, the concerned DA shall proceed in accordance with this Order.

SECTION 3. Evaluation of Complaints. — The DA shall evaluate the complaint and proceed with any of the following actions, except on complaints falling under the first paragraph of Section 2 above:

a. If the complainant is identified, endorse it to the Legal Office/Unit concerned for preliminary investigation pursuant to Rule 3.

b. If complaint is anonymous and does not contain verifiable information, the disciplining authority may endorse the complaint for archiving; or

c. If the anonymous complaint has verifiable information, determine if it is graft-related. If graft-related, refer to the IAS for fact-finding investigation. Otherwise, create a fact-finding committee in accordance with Rule 2.

SECTION 4. Motu Proprio Action of the DA. — In motu proprio (on its own) disciplinary action, the DA may issue a show cause order (SCO), which may contain the narration of relevant and material facts supported by documents. For this purpose, the DA may create a FFC in accordance with Rule 2 or call on the IAS to conduct investigation before issuing the SCO.

RULE 2

Fact Finding Investigation

SECTION 5. Creation and Composition of the FFC. — The DA may create a FFC to conduct the fact-finding investigation if the anonymous complaint has verifiable information, and in motu proprio action as may be deemed necessary. The FFC shall act in an ad hoc capacity, and shall be composed of three (3) persons, with one member to serve as its Chairperson.

SECTION 6. Powers and Functions of the FFC. — The FFC shall have the following powers and functions:

a. Gather relevant information on the subject of the investigation;

b. Summon resource persons or potential witnesses and administer oath;

c. Require the submission of documents relevant to the investigation;

d. Issue orders and notices in connection with the investigation;

e. Designate a secretariat to assist the FFC;

f. Submit the FFR to the DA within the prescribed period, as may be directed by the DA; and

g. Ensure that confidentiality is observed in the conduct of the investigation, and direct all individuals concerned to observe the same confidentiality.

SECTION 7. Fact Finding Report. — The FFC shall submit its FFR to the DA concerned within thirty (30) calendar days unless extended for meritorious reasons. The report based on the established facts shall contain the following:

a. The allegations set out in the complaint;

b. Method/s used (i.e., personal interview of the employees/officials concerned, document review, ocular inspection, site visit, consultation with experts, etc.);

c. Relevant facts established based on documents and testimonies gathered;

d. Findings and recommendations on whether or not the established facts support the allegations in the complaint and warrant the conduct of a preliminary investigation; and

e. Certified true copies of documents and testimonies under oath that support the facts established.

The FFC shall not disclose and strictly keep confidential the status of the FFR.

RULE 3

Preliminary Investigation

SECTION 8. Who Shall Conduct the Preliminary Investigation. — The preliminary investigation shall be conducted by the concerned legal office or unit, or the Personnel Investigation Committee (PIC), as applicable, in accordance with the civil service rules.

Notwithstanding Rule 2 above, and except for cases subject to fact-finding investigation in the Central Office and attached agencies of the DOH, fact-finding investigation shall form part of the preliminary investigation of the legal offices or units concerned.

SECTION 9. Personnel Investigation Committee. —

a. Composition — the PIC in the Central Office shall be composed of at least three (3) legal officers within the Legal Service to be constituted by the Legal Service Director.

All other DAs may create a PIC composed of three (3) investigating officers with at least one (1) legal officer within the same or neighboring jurisdictions in cases where the preliminary investigation cannot be conducted by the LO concerned due to conflict of interest or other similar grounds for inhibition, provided that there is no competent investigating officer designated.

In cases where the LO designated is the person being complained of, the DAs concerned shall create a PIC composed of legal officers outside of their jurisdiction.

b. Powers and Functions — the PIC shall have the same powers and functions as an investigating officer under the civil service rules. In particular, the PIC shall handle:

1. Complaints filed against DOH-CO officers and employees lower than Directors.

2. Complaints filed against Chief Medical Professional Staff/Chief of Clinics, Chief Administrative Officer, Chief Nurse and the Financial and Management Officers lower in rank than COH/MCCs of retained/re-nationalized hospitals/medical centers, sanitaria, and rehabilitation centers hospitals.

The PIC shall have concurrent jurisdiction with the COH/MCC in conducting preliminary investigations under this section.

3. Investigation/Audit/Fact-finding reports endorsed by Internal Audit Service for further investigations.

4. Complaints referred to it by CHDs by reason of inhibition or lack of legal officer, against officers or employees whose positions are lower in rank than the Regional Director.

5. Complaints against Legal Officers of the CHDs and DOH Retained Hospitals.

Complaints delegated to it by the Secretary of Health against officers or employees whose positions are lower in rank than Directors.

SECTION 10. Preliminary Investigation Report. — The LO or PIC shall submit the PIR together with the complete records of the case to the DA. The PIR shall include findings on whether or not a prima facie (on its face) case exists and recommendation by the investigating officer.

SECTION 11. Resolution after Preliminary Investigation. — The DA shall make an independent evaluation on the PIR submitted by the LO or PIC concerned. The DA shall then decide whether to issue a formal/notice of charge or dismiss the complaint. In case of dismissal, the DA shall issue a resolution to that effect.

RULE 4

Formal/Notice of Charge

SECTION 12. Issuance of the Formal/Notice of Charge. — The DA shall issue the FC or NC to the respondent, copy furnished the concerned PHO. The issuance of a FC or NC shall follow the civil service rules, and additionally contain a directive to submit the Counter-Affidavit/Answer under oath directly to the PHO, copy furnished the DA.

SECTION 13. Endorsement to the PHO/CHO. — Upon issuance of the FC or NC, the DA shall endorse the entire records of the case to the PHO/CHO. If requested by the PHO/CHO, the DA may recommend or nominate the other two (2) members of the hearing committee prescribed under Section 11 of R.A. No. 7305. The endorsement shall contain a recommendation for the PHO/CHO to communicate directly to the nominated members to obtain their conformity. The respondent shall be furnished a copy of the endorsement to PHO/CHO.

The PHO/CHO shall designate the members and convene the committee within fifteen (15) calendar days from receipt of the endorsement.

The PHO/CHO shall likewise designate a secretariat to assist the hearing committee in its conduct of the formal investigation, and may request additional secretariat support as deemed necessary and appropriate.

As necessary, the PHO/CHO shall request a lawyer for assistance. The PHO/CHO may also request assistance from a DOH legal officer that is not involved in the investigation. The PHO/CHO may consult with their respective provincial or city legal officer for guidance.

SECTION 14. Issuance of Orders. — In the event that a designated member/s of the hearing committee is/are also employed in the office under the DA, a proper personnel order authorizing the concerned officers/employees to attend the hearing committee's meetings on official time shall be issued.

RULE 5

Formal Investigation

SECTION 15. Composition of the Hearing Committee. — The hearing committee shall be composed of the PHO of the province, or the CHO, in case of the ICCs/HUCs, where the public health worker belongs, as chairperson, a representative of any existing national or provincial public health workers' organization or in its absence, its local counterpart, and a supervisor of the district; the last two (2) members shall be designated by the PHO/CHO mentioned above. An order/issuance from the DA is not necessary for the composition of the hearing committee. However, the DA may issue personnel order/issuance on matters dealing with administrative or logistical concerns of the conduct of the formal investigation.

SECTION 16. Conduct of Formal Investigation. — The hearing committee shall conduct its formal investigation in accordance with the civil service rules and in compliance with Rule XII of the Revised Implementing Rules and Regulations (RIRR) of Republic Act 7305.

SECTION 17. Safekeeping of Records and Confidentiality of the Proceedings. — The hearing committee shall be responsible for the safekeeping of the case records. Confidentiality shall be strictly observed in the conduct of the proceedings. Any violation of confidentiality shall be reported to the DA for appropriate action, and shall be dealt with according to the existing laws, rules and regulations.

SECTION 18. Formal Investigation Report. — The FIR shall contain the narration of the material facts established during the investigation as well as the findings and the evidence supporting the findings. It shall state whether the respondent is liable for the offense/s charged and the recommended penalty under the civil service rules. The complete records of the case shall be attached to the FIR and submitted to the DA.

SECTION 19. Judicial Affidavit. — The submission of a Judicial Affidavit of the parties or witnesses in place of direct testimonies is encouraged but not mandated in a trial-type proceeding.

RULE 6

Decision

SECTION 20. Issuance and Finality of Decision. — The DA shall evaluate the findings and recommendation of the hearing committee in the Formal Investigation Report, and issue a decision on the case.

a. If the decision rendered by the DA imposes a penalty of reprimand, or suspension for not more than thirty (30) days or a fine in an amount not exceeding thirty (30) days' salary, it shall be final and executory unless a motion for reconsideration is filed within fifteen (15) calendar days from the receipt of the decision. The DA shall resolve the motion for reconsideration.

The decision of the DA shall be final and non-appealable to the SOH. However, it may be appealed to the CSC in case violation of due process is committed in accordance with the 2017 RACCS.

b. If the penalty imposed is suspension exceeding thirty (30) days, or a fine in an amount exceeding thirty (30) days' salary, a Motion for Reconsideration (MR) from the decision of the DA shall be filed with the SOH within fifteen (15) calendar days from the receipt of the decision. The aggrieved party shall copy furnish the DA of its MR. The DA shall then transmit the complete records of the case to the Office of the Secretary (OSEC), within five (5) days from the receipt of the MR.

c. The aggrieved party may appeal the decision/resolution of the SOH to the Civil Service Commission (CSC).

d. The penalty of dismissal from service shall not be final unless confirmed by the SOH. In which case, the DA shall transmit the complete records of the case to the OSEC within five (5) calendar days from the issuance of decision. A separate resolution confirming or modifying the penalty shall be issued by the SOH.

SECTION 22. n  Finality of Judgment. — The decision shall be immediately executory after the lapse of the fifteen (15) calendar day period to file MR with the SOH or appeal to the CSC.

Pursuant to Item V (E) General Guidelines of this Order, the authority of the DA is based on Rule 9 of the 2017 RACCS, which applies suppletorily to this AO.

SECTION 23. Expenses. — All expenses including honoraria relative to the conduct of a formal investigation shall be charged against the agency where the respondent is assigned subject to government accounting and auditing rules.

VII. TRANSITORY CLAUSE

Pending formal investigations constituted according to DOH Administrative Order No. 2015-0048 shall be endorsed by the respective disciplining authorities to the PHO/CHOs concerned together with the records of the case. The DA shall furnish a copy of the endorsement to the parties.

VIII. PENALTY CLAUSE

Any violation of this Order shall be subject to sanctions as may be provided for under civil service rules, without prejudice to other available courses of action under the existing laws, rules and regulations.

IX. SEPARABILITY/REPEALING CLAUSE

If for any reason, any portion of this Administrative Order shall be declared unauthorized or rendered invalid by any court of law or any competent authority, the parts or provisions that are not affected shall remain in full force and effect.

This Order repeals AO No. 2015-0048. All other existing issuances which provisions are inconsistent with this Order are hereby repealed or modified accordingly.

X. EFFECTIVITY CLAUSE

This Order shall take effect after fifteen (15) days following the completion of its publication in the Official Gazette or in a newspaper of general circulation and filing three (3) certified true copies before the Office of the National Administrative Register, University of the Philippines Law Center, pursuant to Sec. 3, Book VII of Executive Order No. 292 or the Administrative Code of 1987.

(SGD.) FRANCISCO T. DUQUE III, MD, MScSecretary of Health

ANNEX A

Flow Chart for the Handling of Administrative Cases in the DOH

 

 

 

n Note from the Publisher: Copied verbatim from the official document. Irregular numerical sequence.

 

Published in the Official Gazette, Vol. 117, No. 44, p. 10386 on November 1, 2021.