Rules of Procedure in the Investigation, Resolution, Settlement, and Prosecution of Sexual Harassment Cases in the Commission on Audit

December 22, 2017

COA RESOLUTION NO. 024-17

 

WHEREAS, Republic Act (RA) No. 7877, otherwise known as the "Anti-Sexual Harassment Act of 1995," declares unlawful sexual harassment in the employment, education and training environment;

WHEREAS, Section 4 (a) of RA No. 7877 provides that it shall be the duty of the head of the agency to promulgate rules and regulations prescribing the procedure for the investigation of sexual harassment cases and the administrative sanctions therefor; HTcADC

WHEREAS, Civil Service Commission (CSC) Resolution No. 01-0940 dated May 21, 2001, entitled "Administrative Disciplinary Rules on Sexual Harassment Cases," defines the administrative offense of sexual harassment and prescribes the standard procedure for the administrative investigation and resolution of sexual harassment cases in the public sector;

WHEREAS, the Commission on Audit (COA) desires to have a work environment free of sexual harassment;

WHEREAS, the COA is responsible for preventing, as well as for taking immediate corrective action to stop sexual harassment in the workplace, and for the prompt investigation of any allegation of work-related sexual harassment;

NOW, THEREFORE, the COA hereby promulgates the following Rules of Procedure in the Investigation, Resolution, Settlement, and Prosecution of Sexual Harassment Cases in COA.

RULE I

Coverage

SECTION 1. These Rules shall apply to any officer or employee of the Commission, irrespective of the nature, rank, and status of his/her appointment, who complains of or is complained of sexual harassment as herein defined.

It shall also cover applicants for employment in the Commission, as well as clients, trainees, and other persons transacting business or official matters in the Commission, against whom acts of sexual harassment may be committed by its officers or employees.

RULE II

Definition of Sexual Harassment

SECTION 2. The administrative offense of sexual harassment is a form of misconduct involving an act or series of acts constituting unwelcome physical, verbal, or visual sexual advances, demands or request for sexual favors, or other sexually-oriented conduct or behavior that causes insecurity, discomfort, offense, or humiliation to another person who may be the recipient thereof or a witness thereto. The existence of authority, influence, or moral ascendancy on the part of the offender over the victim is not an indispensable element in sexual harassment.

The offense may be committed under any of the following instances:

a. Demand for such conduct is made either explicitly or implicitly a condition of employment; or

b. Submission to or rejection of the conduct is used as a basis for making personnel decision, including but not limited to, matters of promotion, raise in salary, job security, reassignment/transfer, and benefits affecting the offended party; or

c. Such behavior adversely interferes with a person's work performance or creates an intimidating, hostile or offensive work environment.

Sexual harassment may be in the form of overt sexual advances such as malicious touching or physical contact; unwelcome or improper gestures of affection; demand or annoying persistent requests for sexual favors, including but not limited to, going out on dates, outings or the like; or any other act or conduct of a sexual nature or for purposes of sexual gratification, including exhibitions of lewd pictures or letters that are offensive to the offended party.

RULE III

Liability for Sexual Harassment

SECTION 3. Who May Be Liable. — Any official or employee of the Commission may be liable for sexual harassment when he or she:

a. Commits an act of sexual harassment or directly participates in the execution of any act of sexual harassment as defined by these Rules; or

b. Induces or directs another to commit such act; or

c. Cooperates in the commission of sexual harassment by any means without which the sexual harassment would not have been accomplished.

SECTION 4. Where Committed. — Sexual Harassment may be committed in any work, education, or training environment, including, but not limited to, the following:

a. In or outside the office building or training site;

b. At the office or training-related social functions;

c. In the course of work assignments outside the office; DETACa

d. At work-related conferences, studies or training sessions;

e. During work related travel; or

f. By telephone, cellular phone, fax machine, electronic-mail, private messages or posts in social media accounts, by text message or other electronic means.

RULE IV

Committee on Decorum and Investigation

SECTION 5. Creation of the Committee on Decorum and Investigation (CODI). — Committees on Decorum and Investigation (CODI) in the Central Office and in the Regional Offices are hereby created to be composed of the following:

Central Office CODI:

a. Assistant Commissioner of the Legal Services Sector/General Counsel	Chairperson/
b. One representative from the Operating and Support Sectors who belongs to a Level III position and must be a lawyer to be nominated by the Assistant Commissioners' Group	Member
c. One representative from the Philippine Government Audit Service Employees Association (PhilGASEA), the accredited employees union to be designated by its Board of Directors	Member
d. One representative from the employees' supervisory rank, who must be a lawyer, to be designated by the Assistant Commissioner of the Administration Sector. The lawyer may come from the different sectors in the Commission.	Member
e. One representative from the rank-and-file employees to be designated by the Assistant Commissioner of the Administration Sector	Member

Regional Offices CODI:

 

a. Regional Director (RD)	Chairperson/
b. One representative from among personnel holding at least a Level II position to be designated by the RD upon recommendation of the Assistant Regional Director (ARD)	Member
c. One representative from the Operating and Support Services who belongs to a Level III position and must be a lawyer to be designated by the RD upon the recommendation of the ARD	Member
d. Regional Chapter President of PhilGASEA	Member
e. One representative from the rank-and-file employees to be nominated by the ARD	Member

When a member of the CODI is the complainant or the person complained of in a sexual harassment case, he/she shall be disqualified as a member and another officer or employee of equal rank shall be duly designated, whose designation shall be only for the unexpired portion of the term of the disqualified member.

SECTION 6. Term of Office of the Members of the CODI. — Except for the General Counsel and unless provided in these Rules, the members of the CODI shall have a term of two (2) years.

SECTION 7. Functions of the CODI. — The CODI shall perform the following functions:

a. Evaluate sexual harassment complaints in accordance with the procedures herein prescribed and refer the same to the Internal Affairs Office (IAfO) for fact-finding investigation if found sufficient in form and substance; otherwise, dismiss the said complaints;

b. Conduct formal investigation;

c. Submit a report of its findings with the corresponding recommendation to the Legal Affairs Office (LAO), Legal Services Sector (LSS) for drafting of a decision; and

d. Such other functions vested upon it by specific provisions of these Rules.

SECTION 8. Functions of the Presiding Officer. — As the Presiding Officer of the CODI, the General Counsel or RD shall:

a. Preside over the sessions of the CODI;

b. Sign and issue subpoena ad testificandum and subpoena duces tecum;

c. Administer oaths and take testimonies of witnesses in the formal investigation;

d. Preserve order and decorum during the CODI sessions;

e. Sign interlocutory orders; and

f. Perform such other functions vested upon him/her by specific provision of these Rules.

SECTION 9. Quorum. — Three (3) members of the CODI shall constitute a quorum to act on any case or matter brought before it under these Rules. No member shall send a proxy or representative to attend hearings and conferences conducted by the CODI.

RULE V

Pre-Filing Standard Operating Procedures in Attending to Victims of Sexual Harassment

SECTION 10. Pre-Filing Stage. — The CODI shall provide counselling to the alleged victim of sexual harassment or refer him/her for professional help and/or advice on options available before the filing of the complaint. ATICcS

SECTION 11. Interview. — The CODI may interview the alleged victim when the latter first reports the complaint. The alleged victim may request the presence of a person of his/her choice during the interview. The Presiding Officer should see to it that the conduct of the interview would not embarrass the alleged victim or cause him/her further emotional anguish and suffering. At its option, the CODI may likewise conduct a separate interview of the alleged offender and witnesses.

RULE VI

Standard Procedural Requirements

SECTION 12. Waiver of Rules. — For meritorious reason, including prompt disposition of the case, the CODI may waive the requirements or any provision of these Rules in a particular proceeding, on motion of a party or on its own motion.

SECTION 13. Complaint. — The complaint which must be in writing, signed and sworn to by the complainant, shall contain the following:

a. The full name and address of the complainant;

b. The full name, address, and position of the respondent;

c. A brief statement of the relevant facts;

d. Evidence in support of the complaint, if any; and

e. A Certification of Non-Forum Shopping.

The CODI shall dismiss the complaint which does not comply with the foregoing requirements without prejudice to its re-filing.

SECTION 14. Where Complaint Shall Be Filed. — The complaint and all other pleadings for sexual harassment shall be filed with the CODI, through the Commission on Audit-Gender and Development (COA-GAD) Secretariat, for complaints in the Central Office, and COA Regional GAD Secretariat, for complaints in the regions. The COA-GAD Secretariat shall be responsible for maintaining the official records of the CODI.

Upon receipt of the complaint, the receiving clerk shall stamp on the first page of the document the date and time of filing, place the same inside an envelope marked "CONFIDENTIAL," and immediately transmit to the CODI the sealed envelope containing the documents.

SECTION 15. Fact-Finding Investigation. — Upon receipt of a complaint that is sufficient in form and substance, the Presiding Officer concerned shall refer the complaints to the Internal Affairs Office (IAfO), Office of the Chairperson in the Central Office, or to the Legal Services (LS) in the Regional Offices, for the conduct of a fact-finding inquiry thereon.

The fact-finding inquiry shall be conducted for a period of five working days and a Fact-Finding Report thereon shall be submitted to the Presiding Officer concerned within five (5) working days from the termination of the inquiry.

Oaths may be administered by any member of the fact-finding team whose function as prescribed herein requires presentation to him/her of any statement under oath.

The parties may submit affidavits and counter-affidavits.

SECTION 16. Recommendation after the Fact-Finding Inquiry. — Upon receipt of the Fact-Finding Report, the Presiding Officer shall, within two (2) working days, immediately convene the CODI and recommend to the Chairperson, either the issuance of a formal charge if it finds that a prima facie case exists, or the dismissal of the complaint in the absence thereof.

SECTION 17. Formal Charge. — The formal charge shall be signed by the Chairperson and contain a specification of the charge(s), a brief statement of the material or relevant facts, accompanied by certified true copies of the documentary evidence, if any, sworn statements covering the testimony of witnesses, a directive to answer the charge(s) in writing under oath within seventy-two (72) hours from receipt thereof, an advice for the respondent to indicate in his/her answer whether or not he/she elects a formal investigation of the charge(s), and a notice that he/she is entitled to be assisted by a counsel of his/her choice.

SECTION 18. Title of the Case. — Upon the filing of the formal charge initiating the hearing or any proceeding of the case under these Rules, the GAD Secretariat in the Central and Regional Offices shall assign a case number to it which shall be used to identify all documents and pleadings filed therein. The party complaining shall be referred to as "Complainant" and the person complained of shall be referred to as "Respondent." The case shall be captioned as follows:

(Name of Complainant)	COA CODI Case No. (Year)-(Number)
Complainant,
	For: Violation of R.A. 7877
-versus-
(Name of Respondent)
Respondent.

SECTION 19. Answer. — The respondent must file his/her answer to the formal charge in writing and under oath within 72 hours from receipt thereof. Otherwise, he/she is deemed to have waived his/her right thereto and the case may be decided based on available records. TIADCc

The answer shall be specific and shall contain material facts, applicable laws, documentary evidence, and sworn statements covering testimonies of witnesses, if there be any, in support of respondent's case, and a statement indicating whether or not the respondent elects a formal investigation.

The CODI shall not entertain requests for clarification, bills of particulars, or motions to dismiss, which are obviously designed to delay the administrative proceeding. If any of these pleadings is filed by the respondent, the same shall be considered as part of his/her answer which he/she may file within the remaining period for filing the answer.

SECTION 20. How Answer May Be Filed. — The answer may be filed by personal service or by registered mail. It shall be deemed filed on the date of receipt stamped thereon if filed by personal service, and on the date stamped on the envelope containing the answer, if filed by registered mail.

SECTION 21. Confidentiality Clause. — The confidentiality of all proceedings, documents, and identities of the parties under these Rules shall be protected.

SECTION 22. Hearings and Conferences. — All hearings and conferences pursuant to these Rules shall be done at the Hearing Room of the LSS or Conference Room of the Regional Office, as the case may be, at such dates and times as may be set in the Official Notice of Hearing or as may set by order of the CODI.

SECTION 23. Preventive Suspension. — Upon petition of the complainant or motu proprio upon the recommendation of the CODI, at any time after the service of the formal charge to the respondent, an order of preventive suspension may be issued by the Chairperson during the formal investigation, if there are reasons to believe that he/she is probably guilty of the charges which would warrant his/her removal from the service, to temporarily remove the respondent from employment to prevent him/her from exerting undue influence or pressure on the witnesses against him/her or from tampering of documentary evidence on file with the Commission.

When the administrative case against the respondent under preventive suspension is not finally decided within the period of 90 calendar days after the date of his/her preventive suspension, unless otherwise provided by special law, he/she shall be automatically reinstated into the service, provided that when the delay in the disposition of the case is due to the fault, negligence or petition of the respondent, the period of delay should not be included in the counting of the 90-day period of preventive suspension. Provided, further, that should the respondent be on paternity/maternity leave, said preventive suspension shall be deferred or interrupted until such time that said leave has been fully consumed.

The respondent may file a Motion for Reconsideration with the Commission Proper (CP) or may elevate the same to the CSC by way of an appeal within 15 days from receipt thereof.

SECTION 24. Waiver of Formal Investigation. — Upon waiver by the respondent to a formal investigation, the CODI shall evaluate the case on the basis of the pleadings submitted by the parties.

Although the respondent does not request a formal investigation, one shall nevertheless be conducted by the CODI if it deems that such investigation is necessary to decide the case judiciously.

SECTION 25. Conduct of Formal Investigation. — The formal investigation shall be conducted by the CODI not earlier than five calendar days nor later than 10 calendar days from receipt of the respondent's answer. Said investigation shall be finished within 30 calendar days from the issuance of the formal charge if no answer is filed by the respondent or from the receipt of the answer unless the period is extended by the CODI in meritorious cases.

SECTION 26. Prosecution. — The Presiding Officer is hereby authorized to designate a lawyer from the Prosecution and Litigation Office (PLO) of this Commission to act as Prosecutor in sexual harassment cases. A private Prosecutor, should the complainant hire one, shall be under the control and supervision of the PLO.

SECTION 27. Pre-Hearing Conference. — At the commencement of the formal hearing, the CODI may conduct a pre-hearing conference where the parties shall appear to consider and agree on any of the following:

a. Stipulation of facts;

b. Simplification of issues;

c. Identification and marking of evidence of the parties;

d. Waiver of objections to admissibility of evidence;

e. Limiting the number of witnesses, and their names;

f. Dates of subsequent hearings; and

g. Such other matters as may aid in the prompt and just resolution of the case.

The parties may submit Position Papers/Memoranda and submit the case for resolution based on the result of the Pre-hearing Conference without any need for further hearing. (Section 25, Rule VIII of CSC Resolution No. 01-0940 dated May 21, 2001).

SECTION 28. Postponement. — Request by a party for postponement of a scheduled hearing shall be subject to the discretion of the CODI. A party shall be granted only 3 postponements upon oral or written requests. A further postponement may be granted only upon written request and subject to the discretion of the CODI.

Failure of a party to appear during the scheduled hearings despite due notice and without justifiable causes shall not prevent the CODI from conducting the investigation. The investigation shall proceed ex parte and the absent party shall be deemed to have waived his/her right to be present and to submit evidence in his/her favor.

SECTION 29. Appearance of Parties. — At the start of the first hearing, the counsel representing any of the parties before the CODI shall manifest orally or in writing his/her appearance for either the complainant or respondent, stating his/her full name and exact address where he/she can be served with notices and other documents. The CODI shall note such manifestation of the parties and shall proceed with the reception of evidence. SDAaTC

SECTION 30. Order of the Hearing. — Unless the CODI directs otherwise, the order of the hearing shall be as follows:

a. The complainant shall present evidence to prove the charge;

b. The respondent may present evidence to prove his/her defense; and

c. The complainant and the respondent may then respectively present rebuttal evidence.

SECTION 31. Examination of Witness. — The Presiding Officer shall place every witness under oath before taking his/her testimony. The witness may be examined in the following manner:

a. Direct examination by the proponent;

b. Cross-examination by the opponent;

c. Re-direct examination by the proponent; and

d. Re-cross examination by the opponent.

SECTION 32. Offer of Evidence. — The testimony of a witness must be offered at the time he/she is called to testify.

Documentary and object evidence shall be offered after the presentation of a party's testimonial evidence. Such offer shall be done orally or in writing.

SECTION 33. Objections. — All objections raised during the hearing shall be resolved immediately by the Presiding Officer.

SECTION 34. Markings. — All exhibits shall be properly marked by letters (A, B, C, etc.) if presented by the complainant and by numbers (1, 2, 3, etc.) if presented by the respondent.

SECTION 35. Request for Subpoena. — A party desiring the attendance of a witness or the production of documents or things shall make a request with the Presiding Officer for the issuance of the necessary subpoena, at least three calendar days before the scheduled hearing.

SECTION 36. Records of Proceedings. — The proceedings of the formal investigation must be recorded by the COA-GAD Secretariat or COA Regional GAD Secretariat, as the case may be.

SECTION 37. Effect of the Pendency of an Administrative Case. — The pendency of an administrative case shall not disqualify the respondent for promotion or from claiming maternity/paternity benefits. For this purpose, an administrative case shall be construed as pending when the Chairperson has issued a formal charge.

SECTION 38. CODI Report. — Within 15 days after the conclusion of the formal investigation, a report in the form of a draft decision containing a narration of the material facts established during the investigation, the findings and the evidence supporting said findings, together with the complete records of the case, shall be submitted by the CODI to the LAO, LSS for drafting of decision.

SECTION 39. Review and Decision by the Commission. — The LAO, LSS shall furnish the members of the CP with the complete records of the case, systematically and chronologically arranged and securely bound to prevent loss, as well as a table of contents, together with the proposed decision, for review.

The proposed decision shall be included as an item in the agenda of the regular meeting of the CP which shall forthwith render its decision thereon. Said decision shall be rendered within 30 days from receipt of the proposed COA Decision.

SECTION 40. Finality of Decision. — A decision rendered by the Commission, whereby a penalty of suspension of not more than 30 days or fine in an amount not exceeding 30 days' salary is imposed, shall be final and executory. However, if the penalty imposed is suspension exceeding 30 days or a fine exceeding 30 days salary, the same shall become final and executory after the lapse of the reglementary period for filing a Motion for Reconsideration, or an Appeal to the CSC, and no such pleading has been filed.

RULE VII

Remedies after a Decision

SECTION 41. Filing of Motion for Reconsideration. — A motion for reconsideration of the decision, when proper, may be filed within 15 calendar days from receipt thereof and such Motion for Reconsideration shall be decided within 30 calendar days from submission. Only one Motion for Reconsideration shall be entertained.

SECTION 42. When Deemed Filed. — A Motion for Reconsideration, if personally delivered, shall be deemed filed on the date stamped thereon by the receiving clerk of the Office of the Commission Secretariat, and in case it was sent by ordinary or registered mail or by private courier, on the date shown by the postmark on the envelope which shall be attached to the records of the case.

SECTION 43. Limitation and Grounds for Filing Motion for Reconsideration. — Only one Motion for Reconsideration shall be entertained and only on any of the following grounds:

a. New evidence has been discovered which materially affects the decision rendered; or acEHCD

b. The decision is not supported by the evidence on record; or

c. Errors of law or irregularities have been committed prejudicial to the interest of the movant.

SECTION 44. Effect of Filing. — The filing of a Motion for Reconsideration within the reglementary period of 15 days shall stay the execution of the decision sought to be reconsidered.

SECTION 45. Filing of Appeals. — Decision of the CP imposing a penalty exceeding thirty (30) days suspension or fine in an amount exceeding 30 days salary, may be appealed to the CSC within a period of 15 days from receipt thereof.

A notice of appeal including the appeal memorandum shall be filed with the CSC, copy furnished the CP.

The PLO, LSS, shall submit the records of the case, which shall be systematically and chronologically arranged, paged, and securely bound to prevent loss with its comment, within 15 days, to the CSC.

SECTION 46. Effect of Filing. — An appeal shall not stop the decision from being executory, and in case the penalty is suspension or removal, the respondent shall be considered as having been under preventive suspension during the pendency of the appeal, in the event he wins the appeal.

RULE VIII

Classification of Acts of Sexual Harassment

SECTION 47. Sexual harassment is classified as grave, less grave, and light offenses as follows:

A. Grave Offenses shall include, but are not limited to:

1. Unwanted touching of private parts of the body (genitalia, buttocks, and breast);

2. Sexual assault;

3. Malicious touching;

4. Requesting for sexual favor in exchange for employment, promotion, local or foreign travels, favorable working conditions or assignments, a passing grade, the granting of honors or scholarship, or the grant of benefits or payment of a stipend or allowance; and

5. Other analogous cases.

B. Less Grave Offenses shall include, but are not limited to:

1. Unwanted touching or brushing against a victim's body;

2. Pinching not falling under grave offenses;

3. Derogatory or degrading remarks or innuendoes directed toward the members of one sex, or one's sexual orientation or used to describe a person;

4. Verbal abuse with sexual overtones; and

5. Other analogous cases.

C. The following shall be considered Light Offenses:

1. Surreptitiously looking or staring a look of a person's private part or worn undergarments;

2. Telling sexist/smutty jokes or sending these through text, electronic mail or other similar means, causing embarrassment or offense, and carried out after the offender has been advised that they are offensive or embarrassing or, even without such advise, when they are by their nature clearly embarrassing, offensive, or vulgar;

3. Malicious leering or ogling;

4. The display of sexually offensive pictures, materials or graffiti;

5. Unwelcome inquiries or comments about a person's sex life;

6. Unwelcome sexual flirtation, advances, or propositions; HSAcaE

7. Making offensive hand or body gestures at an employee;

8. Persistent unwanted attention with sexual overtones;

9. Unwelcome phone calls with sexual overtones causing discomfort, embarrassment, offenses, or insult to the receiver; and

10. Other analogous cases.

RULE IX

Effectivity

SECTION 48. These Rules shall take effect immediately.

Quezon City, Philippines, December 22, 2017.

(SGD.) MICHAEL G. AGUINALDOChairperson

(SGD.) JOSE A. FABIACommissioner

(SGD.) ISABEL D. AGITOCommissioner