Rules on Disposition of Administrative Complaints and Cases in the Department of Labor and Employment (DOLE)

February 14, 2013

DOLE ADMINISTRATIVE ORDER NO. 55, S. 2013

RULES ON DISPOSITION OF ADMINISTRATIVE COMPLAINTS AND CASES IN THE DEPARTMENT OF LABOR AND EMPLOYMENT (DOLE)

Pursuant to the Constitutional principle that a public office is a public trust, and for effective implementation of Executive Order No. 292, particularly the provisions on discipline of public officials and employees, and Civil Service Resolution No. 1101502, otherwise known as the Revised Rules on Administrative Cases in the Civil Service (RRACCS), consistent with the constitutional guarantees of security of tenure and speedy disposition of cases, the following rules governing the disposition of administrative complaints and cases are hereby adopted and promulgated.

RULE I

General Provisions

SECTION 1. Title. — This Rules shall be known and cited as the Rules on Disposition of Administrative Complaints and Cases in the Department of Labor and Employment. It shall hereinafter be referred to as the "Rules".

SECTION 2. Declaration of Principles. — The DOLE shall uphold the following principles in evaluating complaints against its officials and employees:

1. Public office is a public trust. DOLE public officials and employees must at all times be accountable to the people, serve them with utmost responsibility, integrity, loyalty, and efficiency, act with patriotism and justice, and lead modest lives.

2. Every DOLE official or employee shall observe the norms of conduct provided in Section 4 of Republic Act No. 6713, (Code of Conduct and Ethical Standards for Public Officials and Employees) in the discharge and execution of official duties.

3. No DOLE official or employee shall be penalized except for cause/s as provided by law and after due notice and investigation.

4. Public officials are under a threefold responsibility for violation of their duty or for a wrongful act or omission, which can result in criminal, civil, or administrative liability, each of which is independent of the other. Thus, the dismissal of a criminal action does not foreclose the institution of an administrative proceeding against the same respondent, nor carry with it the relief from administrative liability.

5. When a public officer is disciplined, the object sought is not the punishment of that officer or employee, but the improvement of the public service and the preservation of the public's faith and confidence in the government.

6. In administrative proceedings, the burden of proof rests on the complainant, who must be able to support and prove by substantial evidence his accusations against the respondent. Failure of the complainant to substantiate his claims will lead to the dismissal of the administrative complaint for lack of merit because, in the absence of evidence to the contrary, or absent any showing of bad faith and malice, the presumption that a public official or employee has regularly performed his duties will prevail.

SECTION 3. Applicability. — This Rules shall apply to the investigation and disposition of administrative complaints and cases involving officials and employees of the Department of Labor and Employment, including its attached agencies.

The officials and employees covered are those with issued appointments processed under the Civil Service law.

Sexual Harassment cases shall be primarily governed by the Administrative Rules on Sexual Harassment Cases (CSC Resolution No. 01-0940 dated May 21, 2001)and DOLE Administrative Order No. 250, otherwise known as the Rules and Regulations Implementing Republic Act No. 7877 (Anti-Sexual Harassment Act of 1995)in the Department of Labor and Employment. This Rules shall apply suppletorily to said cases.

SECTION 4. Exclusion from Coverage. — Disposition of administrative complaints and cases in the following instances shall be governed by the respective issuances on the matter:

a. Complaints against Presidential Appointees shall be taken cognizance by the Office of the President, thru the Office of the Deputy Executive Secretary for Legal Affairs (ODESLA), pursuant to Executive Order No. 13, series 2010. By law, the disciplining authority over presidential appointees is the Office of the President which can properly impose disciplinary action on these appointees.

b. The criminal aspect of administrative complaints against non-presidential appointees shall be referred to the Office of the Ombudsman which is the appropriate body to determine the existence of probable cause for the purpose of filing the criminal charge.

c. Employees under job orders and contract services or contractual employees with no issued appointments whose terms and conditions, including causes for termination, are governed by their respective contracts, without prejudice to the filing of civil or criminal action with the appropriate offices or tribunal.

d. Grievances shall be processed and disposed in accordance with DOLE Administrative Order No. 441, Series of 2011, as approved by the Civil Service Commission on 18 October 2011.

e. Absence without official leave (AWOL) and protests or complaints arising from personnel action, which are non-disciplinary in nature, shall be governed by Rules 16, 17, 19 and 23 of the RRACCS and other pertinent Civil Service rules and issuances.

SECTION 5. Glossary of Terms. — The terms used in this Rules shall be construed as follows:

a. Administrative Case — refers to a complaint where a prima facie case is found to exist and the disciplining authority has issued a formal charge against the person complained of.

b. Administrative Complaint — refers to any written document that must conform to the requirements set forth under Section 17 of this Rules, narrating the acts or omissions constituting an offense under Section 61 also of this Rules.

c. Administrative Complaints Committee — refers to the duly constituted body authorized to conduct fact-finding/preliminary investigation on administrative complaints.

d. Aggravating Circumstance — refers to a circumstance which serves to increase the penalty without, however, exceeding the maximum penalty provided by this Rules for a particular administrative offense.

e. Alternative Circumstance — refers to a circumstance which may be taken into consideration either as aggravating or mitigating depending on the nature and effect of the offense and other conditions attending its commission.

f. Attached Agencies — refer to the eleven (11) agencies attached to the DOLE, namely, Employees Compensation Commission (ECC), Institute for Labor Studies (ILS), National Conciliation and Mediation Board (NCMB), National Labor Relations Commission (NLRC), National Maritime Polytechnic (NMP), National Wages and Productivity Commission (NWPC), Occupational Safety and Health Center (OSHC), Overseas Workers Welfare Administration (OWWA), Philippine Overseas Employment Administration (POEA), Technical Education and Skills Development Authority (TESDA), and Professional Regulation Commission (PRC).

g. Commission — refers to the Civil Service Commission (CSC).

h. Complainant — refers to a person, natural or juridical, who files a written complaint against any official or employee of the DOLE.

i. Disciplining Authority — refers to the Secretary of Labor and Employment, the Regional Directors, and the Heads of Attached Agencies, authorized under the law to investigate and decide matters involving disciplinary action against officials and employees under their supervision and control and to impose the corresponding penalty provided for by law or rules.

j. DOLE Central Office — refers to the offices under the Office of the Secretary, the six (6) Bureaus, namely, Bureau of Local Employment (BLE), Bureau of Labor and Employment Statistics (BLES), Bureau of Labor Relations (BLR), Bureau of Working Conditions (BWC), Bureau of Workers with Special Concerns (BWSC), and International Labor Affairs Bureau (ILAB), and the seven (7) Services, namely Administrative Service (AS), Financial and Management Service (FMS), Human Resource Development Service (HRDS), Internal Audit Service (IAS), Legal Service (LS), Planning Service (PS), and Labor Communications Office (LCO).

k. Fact Finding Committee — refers to a body/committee designated by the disciplining authority to conduct fact finding or preliminary investigation on special cases as determined by the disciplining authority.

l. Formal Charge — refers to the charge sheet issued by the disciplining authority.

m. Forum Shopping — refers to the filing of several administrative actions or complaints, either simultaneously or successively before DOLE and another agency or tribunal with concurrent jurisdiction, against the same official or employee involving the same essential facts, circumstances, acts, causes of action or reliefs, whether the complaint is pending or already resolved by the other tribunal or agency.

n. Grievance — refers to a work-related discontentment or dissatisfaction which had been expressed verbally or in writing and which in the employee's opinion has been ignored and not properly acted upon.

o. Hearing Officer — refers to the official or employee duly authorized by the disciplining authority or duly deputized by a competent authority to conduct formal hearings.

p. Mitigating Circumstance — refers to a circumstance which does not entirely free the respondent from administrative liability, but serves only to reduce the penalty to be imposed.

q. Notice to Comment — refers to the notice issued by the ACC to an official or employee requiring the concerned official or employee to explain why no disciplinary action should be taken against him/her for acts or omissions he/she committed while in the discharge of official duties.

r. Party Adversely Affected — refers to the respondent against whom a decision in an administrative case has been rendered, or to the disciplining authority in case his/her decision is reversed or modified on appeal.

s. Person Complained of — refers to the official or employee who is the subject of a complaint but has not been formally charged by the disciplining authority. 

t. Philippine Overseas Labor Office (POLO) — refers to the overseas office of the DOLE that acts as its operating arm in the various geographical areas outside the country for the administration and enforcement of duly adopted policies and programs of the Department on international labor affairs.

u. Presidential Appointees — refer to the officials of the DOLE whose appointment in the government service is issued by the President of the Republic of the Philippines.

v. Prima Facie Case — refers to that amount of evidence which would be sufficient to counter-balance the general presumption of innocence, and would warrant a conviction if not controlled by facts inconsistent with it or by evidence tending to contradict it or render it improbable.

w. Recorder — refers to the employee designated by the disciplining authority who shall record proceedings and prepare the official transcript taken during formal hearings.

x. Regional Offices — refer to the sixteen (16) DOLE offices in each geographical region, including the provincial or field offices under them.

y. Respondent — refers to the official or employee who has been formally charged by the disciplining authority.

z. Sexual Harassment — refers to one or a series of incidents involving unwelcome sexual advances, requests for sexual favours, or other verbal or physical conduct of sexual nature, made directly, indirectly and implied. (CSC M.C. No. 19, s. 1994)

aa. Show-Cause Memorandum — refers to the notice issued by the ACC to an official or employee at whose instance the investigation is ordered by the disciplining authority, requiring the concerned official or employee to explain why no disciplinary action should be taken against him/her for acts or omissions he/she committed while in the discharge of official duties.

bb. Sole and Exclusive Negotiating Agent — refers to any registered employees' organization which has been accredited by the CSC as the sole and exclusive negotiating agent of all the employees in a negotiating unit in accordance with CSC rules.

cc. Special Prosecutor — refers to the official or employee who, in the interest of the service, is duly designated by the disciplining authority to prosecute an administrative case against a respondent during the formal hearings.

dd. Substantial Evidence — refers to that quantum of proof required in administrative cases, which is that amount of relevant evidence which a reasonable mind might accept as adequate to support a conclusion.

SECTION 6. Technical Rules Applied Liberally. — Administrative investigations shall be conducted without necessarily adhering to the technical rules of procedure and evidence applicable to judicial proceedings.

SECTION 7. Suppletory Application of Executive Order 292 and the Revised Rules on Administrative Cases in the Civil Service (RRACCS). — Disciplinary matters and procedures not covered by this Rules shall be governed in a suppletory manner by Executive Order 292, the RRACCS and other pertinent CSC issuances.

RULE II

Jurisdiction and Venue of Investigation

SECTION 8. General Provision. — The Secretary of Labor and Employment, the Regional Directors, and Heads of Attached Agencies shall have jurisdiction to investigate and decide disciplinary cases against officials and employees under their supervision and control.

In case of POLOs, where the Labor Attaché is regarded as head of office, the Central Office shall take cognizance of the complaint.

SECTION 9. Complaints and Cases Cognizable by the Respective Offices. — Except for Presidential Appointees, jurisdiction shall be exercised by the following disciplining authorities:

a. The Secretary of Labor and Employment shall have original jurisdiction to investigate and decide over all complaints and cases against officials and employees in the Central Office. This authority extends to officials and employees of Regional Offices and Attached Agencies where the Secretary is the appointing authority.

b. The Regional Directors shall have original jurisdiction to investigate and decide over all complaints and cases against officials and employees under their supervision and control, except as provided under (a) above.

c. The Heads of Attached Agencies shall have original jurisdiction to investigate and decide over all complaints and cases against all their officials and employees under their supervision and control, except as provided under (a) above.

In case of an official or employee on detail, the authority to discipline him/her is still vested in the appointing authority of the mother agency where he/she belongs in accordance with CSC MC No. 21, Series of 2002 in relation to Sec. 5 of CSC Resolution No. 02-1181.

SECTION 10. Authority to Discipline. — The authority to discipline includes the determination of the existence of a prima facie case against an official or employee, issuance of a formal charge, issuance of the order of preventive suspension if the case so warrants, conduct of formal investigation, and rendering of the decision on the administrative case.

With respect to the administrative case arising from acts done by the employee in the receiving agency, said agency shall initiate the investigation against the detailed employee subject to the provisions of the RRACCS.

SECTION 11. Multiple Respondents or Persons Complained of under a Single Cause of Action. — In case several employees coming from different offices within DOLE Central Office are complained of under a single cause of action, the office where the highest-ranked complained official or employee belongs shall acquire jurisdiction to investigate and decide on the complaint or case.

In case the employees complained of belong to DOLE and any of its attached agencies, the preliminary and formal investigations shall be handled by their respective offices, unless a Fact-Finding Committee is created for the purpose, and the results shall be acted upon by the respective disciplining authorities.

RULE III

Administrative Complaints Committee

SECTION 12. Administrative Complaints Committee. — The Central Office, the DOLE Regional Office, and Attached Agency and their Regional Office shall constitute its Administrative Complaints Committee (ACC). It shall be composed of one (1) Chairperson and at least two (2) but not more than six (6) members, with the representative of the Sole and Exclusive Negotiating Agent as one of the members. The ACC Chairperson must be a holder of third level position in the case of Central Office and head office of Attached Agencies, and not lower than a Division Chief in the case of the Regional Offices.

For the regional offices of Attached Agencies with limited manpower complement, the ACC of their head office shall handle the preliminary investigation of complaints against their respective officials and employees.

The ACC shall be assisted by a Secretariat composed of the Human Resource Management Officer (HRMO) or the HRMO-designate, or any employee of trust and confidence to the disciplining authority.

SECTION 13. Powers and Functions. — The ACC shall have the following powers and functions:

a. Receives and evaluates the sufficiency of form and substance of a complaint;

b. Issues summons, subpoenas and notices, interlocutory orders, by authority of the Secretary/Regional Director/Head of Attached Agency, in aid of its preliminary investigation function;

c. Receives evidence and pleadings and other documents relative to the complaint under preliminary investigation;

d. Conducts preliminary investigation and submits the Preliminary Investigation Report with recommendation together with the complete records of the case to the disciplining authority;

e. Takes custody of records pertinent to the conduct of the investigation and ensure their confidentiality;

f. Exercises such powers as authorized by the disciplining authority in connection with the discharge of its powers and functions under this Rules.

RULE IV

Fact-Finding Committee

SECTION 14. Fact-Finding Committee. — Where the complaint involves complex issues, or against several persons, or the person/s complained of are members of the ACC, or the preliminary investigation requires the examination of voluminous records, and in other analogous circumstances as determined by the disciplining authority, the disciplining authority may constitute a Fact-Finding Committee to independently handle the preliminary investigation until its completion. The Committee may include tripartite representatives as may be deemed appropriate by the disciplining authority.

SECTION 15. Powers and Functions. — The Fact-Finding Committee shall have the powers and functions as provided in Section 13 hereof.

RULE V

Administrative Complaint

SECTION 16. Who May Initiate a Complaint. — Administrative proceedings may be initiated by the disciplining authority motu proprio or upon sworn complaint of any person.

SECTION 17. Requisites of a Valid Complaint. — A complaint against any official or employee of the DOLE shall be in writing, subscribed and sworn to by the complainant otherwise the same shall not be given due course.

The complaint shall be written in a clear, simple and concise language and in a systematic manner as to apprise the person complained of, of the nature and cause of the accusation against him/her and to enable him/her to intelligently prepare his/her defense or answer/comment. It shall be filed with the appropriate office in triplicate copies. However, should there be more than one (1) person complained of, the complainant is required to submit additional copies corresponding to the number of persons complained of.

The complaint shall contain the following:

a. full name and address of the complainant;

b. full name and address of the person/s complained of as well as the latter's position and office/s;

c. a narration of the relevant and material facts which shows the acts or omissions allegedly committed;

d. certified true copies of documentary evidence and affidavits of witnesses, if any; and 

e. certification or statement of non-forum shopping.

The absence of any of the aforementioned requirements may cause the dismissal of the complaint without prejudice to its re-filing upon compliance therewith.

In cases initiated by the disciplining authority, a sworn complaint is no longer required. Issuance of a show-cause memorandum is sufficient.

SECTION 18. Anonymous Complaints. — No anonymous complaint shall be entertained unless there is obvious truth or merit to the allegations therein or supported by documentary or direct evidence, in which case the person complained of may be required to comment.

Anonymous complaint shall comply with the requisites of a valid complaint except the requirement for the full name and address of the complainant as provided for in Section 17 of this Rules. Any other document that contains accusations or allegations against any official or employee of the DOLE which does not conform with the requisites of Sections 16 and 17 shall partake the nature of a white paper and shall not be given due course for purposes of disciplinary action. The same, however, shall be endorsed to the office of the concerned official or employee for purposes of determining appropriate management actions.

SECTION 19. When and Where to File a Complaint. — A complaint may be filed anytime during office hours with the Office of the Secretary, or any of the Regional Offices or Attached Agencies having jurisdiction over the official or employee complained of.

SECTION 20. Complaint Number. — All duly filed complaints shall be docketed chronologically indicating the initials CPL followed by the initials of the office handling the complaint, the year and month of filing, and the number of the complaint for the particular year. (e.g., CPL-RO1-2011-01-001).

SECTION 21. Action on the Complaint. — The ACC is the single clearing house of all complaints. Thus, upon receipt by the concerned Head of Office/Agency, the complaint shall immediately be transmitted to the ACC for appropriate action.

The ACC, within five (5) days from receipt, shall evaluate whether the complaint is sufficient in form and substance.

If there is a named complainant but the complaint is not under oath or not accompanied by a certification or statement of non-forum shopping, the ACC shall recommend to the disciplining authority the dismissal of said complaint without prejudice to its re-filing upon satisfaction of the requirements.

If the certification of non-forum shopping indicates that a similar action against the same employee/s for the same cause of action and relief prayed for has been filed with another office or tribunal, whether resolved or still pending with said office or tribunal, the ACC shall recommend to the disciplining authority the dismissal of the complaint with prejudice.

If jurisdiction to investigate properly belongs to another office or duly constituted committee within DOLE, the ACC shall immediately refer the complaint to the appropriate office or committee. This includes the referral of a complaint to the concerned employees association where the persons involved are members of the same association and the act or omission complained of is personal in nature.

If the complaint is against a presidential appointee, the ACC shall recommend to the disciplining authority the referral or endorsement of the same to the Office of the President. If the presidential appointee is joined by a non-presidential appointee in the same complaint or cause of action, the ACC shall proceed with its evaluation as to the participation being imputed to the non-presidential appointee.

If the complaint alleges acts that are purely personal on the part of the complainant and the person complained of, and there is no apparent injury to the government, the same may be subject to settlement pursuant to the guidelines provided under Section 70 of this Rules.

In case of anonymous complaints, the ACC shall evaluate the allegations based on pertinent official records and documents. If the allegations are not based on facts, the anonymous complaint shall not be given due course and the ACC shall recommend to the disciplining authority the closure or archiving of the complaint.

If the complaint cites acts or omissions that constitute purely a criminal offense under penal laws and rules, the ACC shall recommend to the disciplining authority the immediate referral of the same to the Office of the Ombudsman. However, if the complaint cites both administrative and criminal infractions, the administrative investigation shall proceed and shall be completed first before referring to the Office of the Ombudsman the criminal counterpart as established during the investigation.

In case of multiple respondents or persons complained of under a single cause of action, the ACC shall observe the guidelines provided in Section 11 of this Rules.

SECTION 22. Withdrawal of the Complaint. — The withdrawal of the complaint does not result in its outright dismissal nor the discharge of the person complained of from any administrative investigation. Where there is obvious truth or merit to the allegations in the complaint, or where there is documentary evidence that would tend to establish a prima facie case against the person/s complained of, the same shall be given due course.

RULE VI

Preliminary Investigation

SECTION 23. Preliminary Investigation. — A preliminary investigation is a mandatory proceeding undertaken to determine whether a prima facie case exists to warrant the issuance of a Formal Charge. It involves a fact-finding investigation or an ex-parte examination of records and documents submitted by the complainant and the person complained of, as well as documents readily available from other government offices.

SECTION 24. How Conducted. — After the initial evaluation and the complaint is found to be sufficient in form and substance, the ACC shall issue a Notice to Comment (Form A) within three (3) days, requiring the person complained of to submit a notarized or sworn comment/counter-affidavit on the acts or omissions complained of.

Where the complaint is initiated by the disciplining authority, the ACC, after the initial evaluation, shall issue a Show-Cause Memorandum (Form B), requiring the person to explain why no disciplinary action shall be taken against him/her.

The Notice to Comment shall specify the acts or omissions as narrated in the complaint, while the Show-Cause Memorandum shall specify the reported acts or omissions.

The sworn comment/counter-affidavit shall be submitted within three (3) days from receipt of the Notice to Comment or Show-Cause Memorandum.

Failure to submit the comment/counter-affidavit shall be considered a waiver and the preliminary investigation may be completed even without the counter-affidavit/comment.

Where necessary for the purpose of validating facts and documents, the complainant and the person complained of may be called by the ACC to a clarificatory conference. In this conference, clarifications can be made by the ACC in the presence of both parties but without the right to examine or cross-examine.

SECTION 25. Duration of the Investigation. — The ACC shall commence the preliminary investigation not later than eight (8) days from its receipt of the complaint, and shall be terminated within thirty (30) days from receipt of the comment/counter-affidavit.

SECTION 26. Effect of Resignation, Transfer of Office, or Retirement during the Pendency of the Administrative Complaint. — Despite the resignation, transfer to another government office, or retirement of an official or employee during the pendency of the preliminary investigation, the ACC shall proceed with its determination of the existence of prima facie case.

SECTION 27. Preliminary Investigation Report. — Within ten (10) days from the termination of the preliminary investigation, the ACC shall submit to the disciplining authority the Preliminary Investigation Report with recommendation together with the complete records of the case, the Order of dismissal if no prima facie case is found to exist, or the Formal Charge if prima facie case exists.

The complete records shall be systematically and chronologically arranged, paged and securely bound to prevent loss. A table of contents (Form C) shall be prepared by the ACC Secretariat and attested to by the ACC Chairman or Member-Evaluator.

SECTION 28. Resolution After Preliminary Investigation. — If a prima facie case is established during the preliminary investigation, and as approved by the disciplining authority, a Formal Charge shall be issued to the person complained of within three (3) days from approval. In the absence of prima facie case, an Order dismissing the complaint shall be issued. In both instances, the disciplining authority is the signatory to the charge sheet or the Order.

RULE VII

Formal Charge

SECTION 29. Formal Charge. — After a finding of a prima facie case, the disciplining authority shall formally charge the person complained of, who is now called the respondent.

The Formal Charge (Form D) shall contain a specification of the charge(s), a brief statement of material or relevant facts, a directive to answer the charge(s) in writing under oath not later than seven (7) days 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. It shall be accompanied by certified true copies of the documentary evidence or sworn statements covering the testimony of witnesses, if any.

SECTION 30. Case Number. — All cases shall be docketed chronologically indicating the initials of the office handling the case, followed by the year and month of filing, and the number of the case for the particular year (e.g., AC-CO-2011-01-001).

The original complaint number shall also be indicated below the case number.

RULE VIII

Answer

SECTION 31. Prohibited Pleadings. — The disciplining authority shall not entertain requests for clarification, bills of particulars, motions to dismiss, motions to quash, or motions for reconsideration. If any of these pleadings are filed by the respondent, the same shall be considered an answer and shall be evaluated as such. 

SECTION 32. Requisites and Contents of Answer. — The answer, which is in writing and under oath, shall be specific and shall contain material facts and applicable laws, if any, including documentary evidence, sworn statements covering testimonies of witnesses, if there be any, in support of one's case. It shall be filed not later than seven (7) days from receipt of Formal Charge.

SECTION 33. Failure to File an Answer. — If the respondent fails or refuses to file his/her answer to the Formal Charge within the period provided in the notice, he/she shall be considered to have waived his/her right to submit the same and the case may be decided based on available records.

RULE IX

Formal Investigation

SECTION 34. Formal Investigation How Conducted; When Held. — Upon issuance of the Formal Charge, the complete records of the case shall be endorsed for the conduct of formal investigation to: (1) the Legal Service in the case of the Central Office, or (2) the designated Hearing Officer in the regional office.

In case the respondent opts for a formal hearing or where the merits of the case cannot be decided judiciously without conducting such hearing, the same shall be handled by a Hearing Officer/s duly designated by the disciplining authority.

The formal investigation and hearing shall commence not earlier than five (5) days nor later than ten (10) days from receipt of the respondent's Answer or upon the expiration of the period to file the Answer. Said investigation shall be finished within sixty (60) days from the issuance of the Formal Charge, unless the period is extended by the disciplining authority in meritorious cases.

The disciplining authority shall deputize an official or employee to be the Special Prosecutor on his/her behalf during the formal hearings.

SECTION 35. Pre-Hearing Conference. — The Hearing Officer shall conduct a mandatory pre-hearing conference for the parties to agree on 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 agreement entered into during the pre-hearing conference is binding on both parties unless in the interest of justice, the Hearing Officer may allow a deviation from the same.

The failure of the respondent to attend the pre-hearing conference constitutes a waiver to participate in the pre-hearing conference but may still participate in the formal investigation upon appropriate motion.

The proceedings at the pre-hearing conference shall form part of the records of the case.

SECTION 36. Pre-Hearing Conference Order. — Upon termination of the pre-hearing conference, the Hearing Officer shall issue an Order which shall recite in detail the matters taken up in the pre-hearing conference, the actions taken thereon, the amendments allowed in the pleadings, and the stipulations and admissions made by the parties as to any of the matters considered.

The Order shall also explicitly define and limit the issues to be tried. The contents of the Order shall control the subsequent courses of action, unless modified before the formal hearing to prevent manifest injustice.

SECTION 37. Preliminary Matters During Formal Hearing. — At the start of the formal hearing, the Hearing Officer shall note the appearances of the parties, and shall proceed with the reception of evidence for the complainant.

If after being apprised of the right to counsel, respondent appears without the aid of a counsel, he/she shall be deemed to have waived his/her right thereto.

Before taking the testimony of a witness, the Hearing Officer shall place the witness under oath and then take his/her personal circumstances.

A sworn statement of the witness/es properly identified and affirmed shall constitute direct testimony, copy furnished the other party.

Clarificatory questions may also be asked by the parties through the Hearing Officer.

SECTION 38. Order of Hearing. — Unless the Hearing Officer directs otherwise, the order of hearing is as follows:

a. The prosecution shall present its evidence;

b. The respondent shall present evidence in support of his/her defense;

c. There may be rebuttal or sur-rebuttal;

When the presentation of the witnesses has been concluded, the parties shall formally offer their evidence either orally or in writing and thereafter, objections thereto may also be made either orally or in writing. After which, both parties may be given time to submit their respective memorandum within five (5) days after the termination of the investigation. Failure to submit the same within the given period shall be considered a waiver thereof.

SECTION 39. Objections. — All objections raised during the hearing shall be resolved by the Hearing Officer. However, objections that cannot be ruled upon by the hearing officer shall be noted with the information that the same shall be included in the memorandum of the concerned party to be ruled upon by the disciplining authority.

The Hearing Officer shall admit all evidence formally offered subject to the objection/s interposed against its admission.

SECTION 40. Markings. — All documentary evidence or 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. These shall form part of the records of the case.

SECTION 41. Appearance of Counsel. — Any counsel who is a member of the Bar appearing before any hearing or investigation shall manifest orally or in writing, his/her appearance for either the respondent or complainant, stating his/her full name, Roll Number, IBP receipt and complete address which should not be a P.O. box address where he/she can be served with notices and other pleadings. If the lawyer is a government employee, he/she shall be required to present an authority to practice profession which should come from the agency head or the agency head's authorized representative.

SECTION 42. Issuance of Subpoena. — The Hearing Officer may issue subpoena ad testificandum to compel the attendance of witnesses and subpoena duces tecum for the production of documents and things.

If a party desires the attendance of a witness and/or the production of documents, he/she shall make a request for the issuance of the necessary subpoena ad testificandum and/or subpoena duces tecum, at least seven (7) days before scheduled hearing.

SECTION 43. Records of Proceedings. — Records of the proceedings during the formal hearings may be taken in shorthand or stenotype or any other means of recording by a duly designated Recorder. The transcript of proceedings, which must be certified true and correct by the Recorder, shall form part of the records of the case.

SECTION 44. Filing of Pleadings. — All pleadings filed by the parties with the Hearing Officer shall be copy furnished the other party with proof of service. Any pleadings sent by registered mail shall be deemed filed on the date shown by the postmark on the envelope which shall be attached to the records of the case, and in case of personal delivery, the date stamped thereon by the receiving party to the case.

SECTION 45. Submission of Position Paper/Memoranda. — At any stage of the proceedings, the parties may, based on their mutual consent, submit position paper/memoranda and submit the case for resolution without any need for further hearings.

SECTION 46. Effects of the Pendency of an Administrative Case. — Pendency of an administrative case shall not disqualify the respondent for promotion and other personnel actions or from claiming maternity/paternity benefits.

For this purpose, a pending administrative case shall be construed as such when the disciplining authority has issued a Formal Charge to the respondent.

SECTION 47. Effect of Resignation, Transfer to Another Government Office, or Retirement during the Pendency of the Administrative Case. — Cessation from office by reason of resignation, transfer to another government office, or retirement does not warrant the dismissal of the administrative case filed against a public officer while he or she was still in the service, or render the said case academic.

SECTION 48. Formal Investigation Report. — Within fifteen (15) days after the conclusion of the formal investigation, a report containing a narration of the material facts established during the investigation, the findings and the evidence supporting said findings, as well as the recommendations, shall be submitted by the Hearing Officer to the disciplining authority, together with the draft decision and the complete records of the case.

When the respondent waives the conduct of formal hearing and the merits of the case can be decided based on the records and evidence on the case, the Hearing Officer shall, within fifteen (15) days from the date the case is submitted for decision, submit the pertinent report and recommendation to the disciplining authority, together with the draft decision and the complete records of the case.

The complete records shall be systematically and chronologically arranged, paged and securely bound to prevent loss. A table of contents shall be prepared and attested to by the Hearing Officer.

RULE X

Preventive Suspension

SECTION 49. Preventive Suspension. — Preventive suspension is not a penalty. It is designed merely as a measure of precaution so that the official or employee charged may be removed from the scene of his/her alleged misfeasance/malfeasance/nonfeasance while the case is being investigated.

SECTION 50. When Issued; Grounds. — Upon motion by the complainant, or motu proprio, the disciplining authority may issue an order of preventive suspension, upon service of the Formal Charge, or immediately thereafter, to the respondent if:

a. The charge involves:

1. Dishonesty;

2. Oppression; 

3. Grave Misconduct;

4. Neglect in the Performance of Duty;

5. Administrative offenses which are punishable by dismissal from the service on its second or third offense; or

6.  If there are reasons to believe that the respondent is guilty of the charges which would warrant his/her removal from the service.

b. An order of preventive suspension may be issued to temporarily remove the respondent from the scene of his/her misfeasance, malfeasance or nonfeasance to preclude the possibility of:

1. Exerting undue influence or pressure on the witnesses against him/her, or

2. Tampering with evidence that may be used against him/her.

 In lieu of preventive suspension, for the same purpose, the disciplining authority or head of office may reassign the respondent to another unit of the agency during the formal hearings.

SECTION 51. Duration of Preventive Suspension. — The disciplining authority may place the respondent under preventive suspension for a maximum period of ninety (90) days.

When the administrative case against the respondent under preventive suspension is not finally decided by the disciplining authority within the period of his preventive suspension, he/she shall be automatically reinstated in the service, unless the delay in the disposition of the case is due to his fault, negligence or petition, in which case, the period of delay shall not be included in the counting of the period of preventive suspension.

Any period of delay caused by motions filed by the respondent shall be added to the period of preventive suspension; Provided, that where the order of preventive suspension is for a period less than ninety days, the disciplining authority undertakes to finish the formal investigation within the said period and is precluded from imposing another preventive suspension; Provided further, that should the respondent be on authorized leave, said preventive suspension shall be deferred or interrupted until such time that said leave has been fully exhausted.

SECTION 52. Remedy from the Order of Preventive Suspension. — The respondent may file an appeal with the Civil Service Commission within fifteen (15) days from receipt of the Order of Preventive Suspension. Pending appeal, the same shall be executory.

A motion for reconsideration from the Order of Preventive Suspension filed before the issuing authority or office is not allowed.

SECTION 53. Payment of Back Salaries During Preventive Suspension. — The payment of back salaries during the period of suspension shall be governed by the following:

a. A declaration by the Commission that an order of preventive suspension is null and void on its face entitles the respondent to immediate reinstatement and payment of back salaries corresponding to the period of the unlawful preventive suspension without awaiting the outcome of the main case.

 The phrase "null and void on its face" in relation to a preventive suspension order imports any of the following circumstances:

i. The order was issued by one who is not authorized by law;

ii. The order was not premised on any of the conditions under Section 50 of this Rules;

iii. The order of preventive suspension was issued without a formal charge;

iv. While lawful in the sense that it is based on the enumerated grounds, the duration of the imposed preventive suspension has exceeded the prescribed period, in which case the payment of back salaries shall correspond to the excess period only.

b. A declaration of invalidity of a preventive suspension order not based on any of the reasons enumerated above shall result in the reinstatement of the respondent. The payment of back salaries shall, however, await the final outcome of the principal case. If the respondent is fully exonerated of the charge/s, or when the penalty imposed in the principal case is reprimand, he or she shall be paid such back salaries. Otherwise, no back salaries shall be awarded.

The phrase "full exoneration" contemplates a finding of not guilty for the offense/s charged. Downgrading of the charge to a lesser offense shall not be construed as "full exoneration".

Even if the respondent be eventually found innocent of the charge/s against him/her, the same shall not give rise to payment of back salaries corresponding to the period of preventive suspension in the absence of any finding of its illegality.

RULE XI

Decision and Execution

SECTION 54. Decision. — The disciplining authority shall render a decision on the case within thirty (30) days from the receipt of the formal investigation report.

SECTION 55. Quantum of Evidence. — The guilt of the respondent need not be established beyond reasonable doubt. It is sufficient that there be substantial evidence on record to prove his guilt.

SECTION 56. Contents of the Decision. — The decision shall state the charge or charges, the name of the complainant, the name of the respondent and his office, a brief statement of the material and relevant facts, and in case of a finding of guilt, the offense committed and the penalty imposed.

SECTION 57. Who Signs and Promulgates the Decision. — The disciplining authority shall sign and promulgate the decision under his/her jurisdiction pursuant to Section 9 of this Rules.

Decision of regional directors imposing the penalty of dismissal from the service shall require confirmation by the Secretary before its implementation.

Decision of heads of attached agencies imposing the penalty of dismissal shall require confirmation by the Secretary before its issuance, except where the agency is attached to DOLE only for policy coordination.

SECTION 58. Finality of the Decision. — A decision rendered by the disciplining authority shall be final and executory under the following cases:

a. where the penalty is suspension of not more than thirty (30) days or fine in an amount not exceeding thirty (30) days' salary, unless a motion for reconsideration is seasonably filed. While not appealable, the respondent may nonetheless appeal to the Civil Service Commission purely on ground of violation of due process, but such appeal shall not stay the execution of the decision.

b. in case the penalty imposed is suspension exceeding thirty (30) days, or fine in an amount exceeding thirty (30) days' salary, the decision shall be final and executory after the lapse of the reglementary period for filing a motion for reconsideration or an appeal with the Secretary and no such pleading has been filed.

Where the decision is rendered by the regional office or the head of attached agency and the penalty imposed is removal from the service, the same shall be executory only upon confirmation by the Secretary subject to the provisions of Section 57 hereof.

SECTION 59. Implementation of Final Decisions. — The concerned disciplining authority shall monitor the immediate implementation of any final decision or order and submit report of implementation to the Office of the Secretary.

In case of a final decision against an official or employee who has already transferred to another government office, the new employer and the Commission shall be furnished a copy thereof for the purpose of implementing the same.

SECTION 60. Non-Execution of Decision. — Any official or employee who willfully refuses or fails to implement the final resolution, decision, order or ruling of the disciplining authority, to the prejudice of the public service and the affected party, may be administratively charged with Conduct Prejudicial to the Best Interest of the Service or Neglect of Duty or be held criminally liable under Section 67 of Book V, of Executive Order No. 292.

RULE XII

Offenses and Schedule of Penalties

SECTION 61. Meaning and Classification of Offenses. — Administrative offenses, as defined, with their corresponding penalties are classified into grave, less grave or light, depending on their gravity or depravity and effects on the government service.

A. The following grave offenses shall be punishable by dismissal from the service:

a. Serious Dishonesty;

b. Gross Neglect of Duty;

c. Grave Misconduct;

d. Being Notoriously Undesirable;

e. Conviction of a crime involving moral turpitude;

f. Falsification of official document;

g. Physical or mental incapacity or disability due to immoral or vicious habits;

h. Receiving for personal use of a fee, gift or other valuable thing in the course of official duties or in connection therewith when such fee, gift or those valuable thing is given by any person in the hope or expectation of receiving a favor or better treatment than that accorded to other persons, or committing acts punishable under the anti-graft laws;

i. Contracting loans of money or other property from persons with whom the office of the employee has business relations;

j. Soliciting or accepting directly or indirectly, any gift, gratuity, favor, entertainment, loan or anything of monetary value which in the course of his official duties or in connection with any operation being regulated by, or any transaction which may be affected by the functions of his office. The propriety or impropriety of the foregoing shall be determined by its value, kinship, or relationship between giver and receiver and the motivation. A thing of monetary value is one which is evidently or manifestly excessive by its very nature;

k. Nepotism; and

l. Disloyalty to the Republic of the Philippines and to the Filipino people.

B. The following grave offenses shall be punishable by suspension of six (6) months and one (1) day to one (1) year for the first offense and dismissal from the service for the second offense:

a. Less serious dishonesty;

b. Oppression;

c. Disgraceful and immoral conduct;

d. Inefficiency and incompetence in the performance of official duties, with the accessory penalty of Demotion. In this case, the guilty person shall be appointed to the next lower position to which he/she is qualified in the plantilla of the agency. In case there is no such next lower position available, he/she shall suffer diminution in salary corresponding to the next lower salary grade; 

e. Frequent unauthorized absences, or tardiness in reporting for duty, loafing or frequent unauthorized absences from duty during regular office hours;

f. Refusal to perform official duty;

g. Gross insubordination;

h. Conduct prejudicial to the best interest of the service;

i. Directly or indirectly having financial and material interest in any transaction requiring the approval of his office.

 Financial and material interest is defined as pecuniary or proprietary interest by which a person will gain or lose something;

j. Owning, controlling, managing or accepting employment as official, employee, consultant, counsel, broker, agent, trustee, or nominee in any private enterprise regulated, supervised or licensed by his office, unless expressly allowed by law;

k. Disclosing or misusing confidential or classified information officially known to him by reason of his office and not made available to the public, to further his private interests or give undue advantage to anyone, or to prejudice the public interest;

l. Obtaining or using any statement filed under the Code of Conduct and Ethical Standards for Public Officials and Employees for any purpose contrary to morals or public policy or any commercial purpose other than by news and communications media for dissemination to the general public; and

m. Recommending any person to any position in a private enterprise which has a regular or pending official transaction with his office, unless such recommendation or referral is mandated by (1) law, or (2) international agreements, commitment and obligation, or as part of the function of his office.

C. The following are less grave offenses are punishable by suspension of one (1) month and one (1) day to six (6) months for the first offense; and dismissal from the service for the second offense:

a. Simple Neglect of Duty;

b. Simple Misconduct;

c. Gross Discourtesy in the course of official duties;

d. Violation of existing Civil Service Law and rules of serious nature;

e. Insubordination;

f. Habitual Drunkenness;

g. Unfair discrimination in rendering public service due to party affiliation or preference;

h. Failure to file sworn statements of assets, liabilities and net worth, and non-disclosure of business interest and financial connections including those of their spouses and unmarried children under eighteen (18) years of age living in their households;

i. Failure to resign from his position in the private business enterprise within thirty (30) days from assumption of public office when conflict of interest arises, and/or failure to divest himself of his shareholdings or interest in private business enterprise within sixty (60) days from assumption of public office when conflict of interest arises; Provided, however, that for those who are already in the service and conflict of interest arises, the official or employee must either resign or divest himself of said interest within the periods hereinabove; provided, reckoned from the date when the conflict of interest had arisen; and

j. Engaging directly or indirectly in partisan political activities by one holding non-political office.

E. The less grave offense of Simple Dishonesty is punishable by suspension of one (1) month and one (1) day to six (6) months for the first offense; six (6) months and one (1) day to one (1) year for the second offense; and dismissal for the third offense.

F. The following light offenses are punishable by reprimand for the first offense; suspension of one (1) to thirty (30) days for the second offense; and dismissal from the service for the third offense.

a. Simple discourtesy in the course of official duties;

b. Improper or unauthorized solicitation of contributions from subordinate employees and by teachers or school officials from school children;

c. Violation of reasonable office rules and regulations;

d. Frequent unauthorized tardiness (Habitual Tardiness);

e. Gambling prohibited by law;

f. Refusal to render overtime service;

g. Disgraceful, immoral or dishonest conduct prior to entering the service;

h. Borrowing money by superior officials from subordinates; and

i. Willful failure to pay just debts or willful failure to pay taxes due to the government;

The term "just debts" shall apply only to:

i. Claims adjudicated by a court of law, or

ii. Claims the existence and justness of which are admitted by the debtor.

j. Lobbying for personal interest or gain in legislative halls and offices without authority;

k. Promoting the sale of tickets in behalf of private enterprises that are not intended for charitable or public welfare purposes and even in the latter cases, if there is no prior authority;

l. Failure to act promptly on letters and request within fifteen (15) days from receipt, except as otherwise provided in the rules implementing the Code of Conduct and Ethical Standards for Public Officials and Employees;

m. Failure to process documents and complete action on documents and papers within a reasonable time from preparation thereof, except as otherwise provided in the rules implementing the Code of Conduct and Ethical Standards for Public Officials and Employees;

n. Failure to attend to anyone who wants to avail himself of the services of the office, or act promptly and expeditiously on public transactions;

o. Engaging in private practice of his profession unless authorized by the Constitution, law or regulation, provided that such practice will not conflict with his official functions; and

p. Pursuit of private business, vocation or profession without the permission required by Civil Service rules and regulations.

SECTION 62. Payment of Fine. — The following are guidelines for the penalty of fine:

a. Upon the request of the head of office or the concerned party and when supported by justifiable reason/s, the disciplining authority may allow payment of fine in place of suspension if any of the following circumstances are present:

i. When the functions/nature of office is impressed with national interest such as those involved in maintenance of peace and order, health and safety, education; or

ii. When the respondent is actually discharging frontline functions or those directly dealing with the public and the personnel complement of the office is insufficient to perform such function; and

iii. When the respondent committed the offense without utilizing or abusing the powers of his/her position or office.

b. The payment of penalty of fine in lieu of suspension shall be available in Grave, Less Grave and Light Offense where the penalty imposed is for six (6) months or less at the ratio of one (1) day suspension from the service or one (1) day salary as fine; Provided, that in Grave Offenses where the penalty imposed is six (6) months and one (1) day suspension in view of the presence of mitigating circumstances, the conversion shall only apply to suspension of six (6) months. Nonetheless, the remaining one (1) day suspension is deemed included therein.

c. The maximum period to pay the fine shall not exceed one (1) year from the time the decision/resolution becomes final and executory. The conversion of suspension into fine is final and executory and therefore, not subject of appeal or any other similar relief.

d. The failure of the respondent to pay the fine or part thereof shall cause the reversion to the original penalty of suspension. As such, respondent shall serve the original penalty of suspension imposed, irrespective of the amount he/she has already paid.

e. Fine may be paid in equal monthly installments subject to the following schedule of payment prescribed below:

i. Fine equivalent to one (1) month salary shall be paid within two (2) months;

ii. Fine equivalent to two (2) months salary shall be paid within four (4) months;

iii. Fine equivalent to three (3) months salary shall be paid within six (6) months;

iv. Fine equivalent to four (4) months salary shall be paid within eight (8) months;

v. Fine equivalent to five (5) months salary shall be paid within ten (10) months; and

vi. Fine equivalent to six (6) months salary shall be paid within twelve (12) months.

SECTION 63. Mitigating, Aggravating, or Alternative Circumstances. — In the determination of the penalties to be imposed, mitigating and/or aggravating circumstances attendant to the commission of the offense shall be considered.

The following circumstances shall be appreciated:

a. Physical illness;

b. Good faith;

c. Malice;

d. Time and place of offense;

e. Taking undue advantage of official position;

f. Taking undue advantage of subordinate;

g. Undue disclosure of confidential information;

h. Use of government property in the commission of the offense;

i. Habituality;

j. Offense is committed during office hours and within the premises of the office or building;

k. Employment of fraudulent means to commit or conceal the offense;

l. First offense;

m. Education;

n. Length of service in the government; or

o. Other analogous circumstances.

In the appreciation thereof, the same must be invoked or pleaded by the proper party, otherwise, said circumstances shall not be considered in the imposition of the proper penalty. The disciplining authority, however, in the interest of substantial justice may take and consider these circumstances motu proprio.

SECTION 64. Manner of Imposition. — When applicable, the imposition of the penalty may be made in accordance with the manner provided herein below:

a. The minimum of the penalty shall be imposed where only mitigating and no aggravating circumstances are present.

b. The medium of the penalty shall be imposed where no mitigating and aggravating circumstances are present.

c. The maximum of the penalty shall be imposed where only aggravating and no mitigating circumstances are present.

d. Where aggravating and mitigating circumstances are present, paragraph [a] shall be applied where there are more mitigating circumstances present; paragraph [b] shall be applied when the circumstances equally offset each other; and paragraph [c] shall be applied when there are more aggravating circumstances. 

SECTION 65. Penalty for the Most Serious Offense. — If the respondent is found guilty of two or more charges or counts, the penalty to be imposed should be that corresponding to the most serious charge or count and the rest shall be considered is aggravating circumstances.

SECTION 66. Duration and Effect of Administrative Penalties. — The following rules shall govern in the imposition of administrative penalties:

a. The penalty of dismissal shall result in the permanent separation of the respondent from the service, with or without prejudice to criminal or civil liability.

b. The penalty of demotion, particularly in the offense of Incompetence and Inefficiency, shall entail appointment to the next lower position to which respondent is qualified or diminution of salary to the next lower grade if there is no such position available.

c. The penalty of suspension shall result in the temporary cessation of work for a period not exceeding one (1) year.

 Suspension of one day or more shall be considered a gap in the continuity of service. During the period of suspension, respondent shall not be entitled to all money benefits including leave credits.

d. The penalty of fine shall be in an amount not exceeding six (6) months salary of respondent. The computation thereof shall be based on the salary rate of the respondent when the decision becomes final and executory. Fine shall be paid within a period not exceeding one (1) year reckoned also from the date when the decision became final and executory.

e. The penalty of reprimand shall not carry with it any accessory penalty nor result in the temporary cessation of work. In the event the penalty of reprimand was imposed on appeal as a result of modification of the penalty of suspension or dismissal from service, the respondent shall be entitled to the payment of back salaries and other benefits which would have accrued during the period of his/her suspension or dismissal.

SECTION 67. Administrative Disabilities Inherent in Certain Penalties. —

a. The penalty of dismissal shall carry with it cancellation of eligibility, forfeiture of retirement benefits, perpetual disqualification for holding public office and bar from taking civil service examination.

b. The penalty of demotion shall carry with it disqualification for promotion for one (1) year.

c. The penalty of suspension shall carry with it disqualification from promotion corresponding to the period of suspension.

d. The penalty of fine shall carry with it disqualification from promotion for the same period he/she was fined.

e. The accessory penalties inherent in the penalty of suspension provided in section 66 (c) of the Rules shall continue to apply when the penalty of fine is imposed in lieu of suspension.

 Should the respondent fail to pay in full the fine within the prescribed period, he/she shall be deemed to have failed to serve the penalty imposed, hence, the disqualification for promotion shall remain in effect until such time that the fine is fully paid.

f. The penalty of reprimand shall not carry with it any of the accessory penalties.

g. A warning or admonition shall not be considered a penalty.

SECTION 68. Effect of Exoneration on Certain Penalties. —

a. In case the alternative penalty of fine is imposed, the same shall be refunded.

b. In case there is demotion, he/she shall be restored to his/her former position, without loss of seniority rights. Respondent shall also be entitled to the payment of salary differentials during the period the demotion was imposed.

c. In case the penalty imposed is suspension, he/she shall immediately be reinstated to his/her former post without loss of seniority rights and with payment of back salaries and all benefits which would have accrued as if he/she has not been illegally suspended.

d. In case the penalty imposed is dismissal, he/she shall immediately be reinstated without loss of seniority rights with payment of back salaries and all benefits which would have accrued as if he/she has not been illegally dismissed.

e. The respondent who is exonerated by final judgment shall be entitled to the leave credits for the period he/she had been out of the service.

RULE XIII

Remedies

Amicable Settlement

SECTION 69. Who May Avail. — In case of light offenses where the act is purely personal on the part of the private complainant and the person complained of and there is no apparent injury committed to the government, settlement of offenses may be considered; Provided, the settlement can no longer be applied for the second offense of the same act committed by the person complained of.

SECTION 70. Settlement Guidelines. — The following are the guidelines in the settlement of administrative offenses involving purely personal matters:

a. Compromise settlement shall be allowed only for administrative light offenses where the act is purely personal between the private complainant and the person complained of and there is no apparent injury to the government;

b. Upon receipt of the complaint, the ACC shall determine whether the offense is purely personal or can be the subject of settlement;

 The following may be the subject of settlement and/or compromise:

i. Borrowing money by superior officers from subordinates;

ii. Willful failure to pay just debts;

iii. Simple Misconduct resulting from misunderstanding/fight between respondent and complainant provided that the act is not committed within office premises;

iv. Discourtesy in the course of official duties; and

v. Other analogous circumstances/cases.

 In these enumerated cases, compromise or settlement can no longer be applied for the second time the same act is committed;

 The grant of back salaries and other benefits may likewise be subject of settlement and/or compromise;

c. If the offense can be the subject of settlement, the ACC shall order the respondent to comment and to indicate therein whether he/she is willing to submit the case for settlement;

d. If person complained of opted for settlement, the ACC shall issue an order requiring the appearance of parties;

e. If settlement succeeds, a compromise agreement shall be executed between the parties and attested by the ACC;

f. The compromise agreement shall be binding on the parties and shall be considered a decision on the merits which cannot be impugned unless it is shown that there was duress on its execution on any of the parties;

g. A Decision shall be issued by the Disciplining Authority based on the Compromise Agreement;

h. If during the settlement process, the parties failed to settle their differences, the ACC shall issue an order terminating the process and continue with the preliminary investigation on the case; and

i. In case of non-compliance with the compromise agreement, the case may likewise be re-opened for preliminary investigation until its final determination.

Motion for Reconsideration

SECTION 71. Motion for Reconsideration. — The respondent adversely affected by the decision of the disciplining authority may file a motion for reconsideration with the disciplining authority who rendered the same within fifteen (15) days from the receipt thereof.

A motion for extension of time to file a motion for reconsideration is not allowed.

The disciplining authority shall rule on the motion for reconsideration with thirty (30) days from submission of the motion for resolution.

SECTION 72. Limitation. — Only one (1) motion for reconsideration shall be entertained. If a second motion for reconsideration is filed notwithstanding its proscription under this Rules, the finality of action shall be reckoned from the denial of the first motion for reconsideration.

SECTION 73. Grounds for Motion for Reconsideration. — The motion for reconsideration shall be based on any of the following grounds:

a. Newly discovered evidence which materially affects the investigation rendered, or

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 74. Effect of Filing. — The filing of a motion for reconsideration within the reglementary period of fifteen (15) days shall suspend the running of the period for appeal and shall stay the execution of the decision sought to be reconsidered.

Appeal

SECTION 75. When Available. — The remedy of appeal, which shall be filed within fifteen (15) calendar days from receipt of the decision, is available in the following instances:

a. When the decision of the disciplining authority imposes a penalty not exceeding thirty (30) days suspension or fine in an amount not exceeding thirty days' salary, the same may be appealed to the Commission purely on ground of violation of due process.

b. When the decision of the Regional Director imposes a penalty exceeding thirty (30) days suspension or a fine in an amount exceeding thirty (30) days' salary, the same may be appealed initially to the Office of the Secretary, and finally to the Commission.

c. For decisions rendered by the Regional Director or Head of Attached Agencies where the penalty of removal is imposed as confirmed by the Secretary, the appeal shall be filed directly with the Commission.

d. The decision of the Head of Attached Agencies where no confirmation is required may be appealed directly to Commission.

e. For decisions rendered by the Secretary as the disciplining authority, the same may be appealed to the Commission.

SECTION 76. Who May File an Appeal. — The respondent who is adversely affected by the disciplining authority's decision, or the disciplining authority whose decision has been modified or reversed on appeal.

SECTION 77. When Deemed Filed. — An appeal sent by mail shall be deemed filed on the date shown by the postmark on the envelope which shall be attached to the records of the case. In case of personal delivery, it is deemed filed on the date receipt stamped thereon by the proper office.

SECTION 78. Perfection of an Appeal. — To perfect an appeal, the appellant shall submit the following: 

a. Three (3) copies of appeal memorandum containing the grounds relied upon for the appeal, together with the certified true copy of the decision, resolution or order appealed from, and certified copies of the documents or evidence;

b. Proof of service of a copy of the appeal memorandum to the disciplining office; and

c. A statement or certificate of non-forum shopping.

When the appellant fails to comply with any of the above requirements within the reglementary period, the appellate authority shall direct compliance therewith within a period of ten (10) days from receipt of the said directive, with a warning that failure to comply within the said period of ten (10) days shall be construed as a deliberate intent to delay and thus considered as failure to perfect an appeal, and shall cause the dismissal of the appeal with prejudice to its re-filing.

SECTION 79. Effect of Filing. — Except for cases requiring confirmation by the Secretary, an appeal shall not stop the decision from being executory.

SECTION 80. When to Remand an Appealed Case to Office/Agency of Origin. — If on appeal, the Secretary finds that the disciplining authority violated respondent-appellant's right to due process such as failure to issue a formal charge, he/she shall dismiss the appealed case and order the immediate reinstatement of the respondent with payment of back salaries and other benefits. However, the dismissal of the case shall be without prejudice on the part of the disciplining authority to re-file it in accordance with law.

If a Formal Charge has been issued but the disciplining authority has violated respondent-appellant's right to procedural due process, the Office of the Secretary shall remand the appealed case to the office/agency of origin for further proceedings to be conducted within three (3) months from the date of receipt of the case records, unless there is delay due to the fault, negligence or petition of the respondent, or an extension is granted by the Office of the Secretary on meritorious grounds. The period of delay shall be excluded in the computation of the prescribed period. Within fifteen (15) days from the termination of the investigation, the disciplining authority shall render his/her decision.

If at the end of three (3)-month period, the disciplining authority failed to conduct further proceedings, the Office of the Secretary, upon motion of the respondent-appellant, shall vacate and set aside the appealed decision and declare respondent-appellant exonerated of the charge/s. If the respondent-appellant is under preventive suspension, he/she shall be immediately reinstated and shall be entitled to back salaries and other benefits.

For this purpose, the Office of the Secretary shall monitor the implementation of its Resolution remanding the case to the proper disciplining authority for further investigation and to submit the pertinent report.

RULE XIV

Miscellaneous Provisions

SECTION 81. Computation of Period. — In computing any period of time prescribed by this Rules, the first day shall be excluded and the last day included unless it be a Saturday, a Sunday or a legal holiday or a special non-working day, in which case the period shall run until the end of the next working day which is neither a Saturday, a Sunday nor a legal holiday.

SECTION 82. Copies of Decisions. — Copies of decisions and other communications shall be served on counsel of record if one is represented by a counsel; if none, the same shall be served to the party concerned. The period to perfect a motion for reconsideration or an appeal shall be reckoned from the date of receipt of counsel or party, as the case may be.

The disciplining authority shall furnish the Secretary a copy of decisions on all administrative cases.

SECTION 83. Compilation of Decisions and Custody of Case Records. — After the complaint or case has been disposed of, the Legal Service in the Central Office or the Legal Unit in the Regional Offices shall be the repository of the case records and shall be accountable for their safe-keep and preservation. Infidelity in the custody thereof shall expose the custodian to possible administrative liability for negligence or criminal liability under the Revised Penal Code.

The Legal Service/Unit shall compile and index decisions in administrative cases for use and reference, and for the preparation of the pertinent reports required by the DOLE management, the NTEIB or any other interested office.

The Human Resource Development Service shall be furnished a copy for the 201 File of the concerned official or employee.

Case records disposal shall be governed by prescribed rules and regulations on the matter.

SECTION 84. Budget. — The expenses and costs of the administrative proceedings shall be charged to the budget of the concerned disciplining authority conducting the proceedings.

SECTION 85. Tripartite Efficiency and Integrity Boards (TEIBs). — Pursuant to DOLE Department Order No. 109, series of 2011, the tripartite EIBs shall monitor disciplinary cases against officials and employees, and recommend measures to address inefficiency or graft and corruption, violations of Republic Act No. 9485 (Anti-Red Tape Act of 2007), Republic Act No. 6713 (Code of Conduct and Ethical Standards of Public Officials and Employees), Republic Act No. 3019 (Anti-Graft and Corruption Practices Act)and other existing regulations.

SECTION 86. The Resident Ombudsman Coordinator. — The Resident Ombudsman Coordinator is a public official of DOLE or its regional offices and attached agencies designated by the Office of the Ombudsman to act as its strategic partner in anti-corruption education, corruption prevention, public assistance, monitoring compliance with existing laws and directives, and the dissemination of the programs, accomplishments and other related initiatives of Office of the Ombudsman. He/She shall perform such duties and functions provided under Administrative Order No. 22, Series of 2011, issued by the Office of the Ombudsman as follows:

1. Public Assistance.

a. Act on requests for assistance filed directly with any of the DOLE offices or assigned to him/her by the Head of Office or the Office of the Ombudsman;

b. Assists in the conduct of multi-agency social services caravan for the delivery of frontline services to vulnerable and marginalized sectors; and

c. Facilitate mediation proceedings in accordance with Administrative Order 20, Series of 2008 (Ombudsman Rules of Procedure for Mediation).

2. Public Information and Education.

a. Promote and disseminate anti-corruption programs, initiatives and accomplishments of the Office of the Ombudsman and the Multi-Sectoral Anti-Corruption Council in the DOLE and to the public;

b. Initiate, organize and implement anti-corruption education programs and activities which may include public accountability modules on, but not limited to, the Ombudsman Act of 1989 (RA 6770)and other Ombudsman issuances, the Anti-Graft and Corrupt Practices Act (RA 3019), the Law on Plunder (RA 7080), Forfeiture of Unlawfully Acquired Property (RA 1379), Crimes Committed by Public Officers under the Revised Penal Code, Code of Conduct and Ethical Standards for Public Officials and Employees (RA 6713), the Procurement Law (RA 9184), Anti-Red Tape Act (RA 9485)and the United Nations Convention Against Corruption; and

c. Assist the DOLE in partnering with other government agencies and civil society organizations for the conduct of anti-corruption information, education and capacity building programs and activities.

3. Corruption Prevention.

a. Assist the DOLE in studying and recommending appropriate reforms in existing office systems and procedures that would prevent the incidence of graft and other irregularities perceived to have been spawned/engendered by the said systems and procedures; and

b. Assist the Office of the Ombudsman in the conduct of the Integrity Development Review Plan, formulation of action plans, formation of Integrity Development Committees and monitor the implementation of the Plan.

4. Monitoring.

a. Follow up with the Head of Office the implementation of orders/decisions imposing sanctions in connection with Ombudsman administrative cases involving employees of the DOLE, and report its status and the action taken to the Office of the Ombudsman; and

b. Monitor the DOLE's compliance with the required submission of Statements of Assets, Liabilities and Net Worth in accordance with the Code of Conduct and Ethical Standards or Republic Act 6713, as well as the implementation of the Government Procurement Reform Act or Republic Act 9184 in relation to Office Order No. 66, Series of 2006 and the implementation of the Anti-Red Tape Law or Republic Act 9485.

SECTION 87. Reportorial Requirements. — All offices including Attached Agencies shall prepare a baseline data on cases and complaints filed or pending against their respective officials and employees, including criminal cases for the guidance of the DOLE management, which must be submitted to the Office of the Secretary within one (1) month from effectivity of this Rules.

Thereafter, all offices shall periodically submit a quarterly report to the Legal Service on the status of complaints and cases involving their respective officials and employees, whether pending within DOLE or in any other agency or tribunal, using the pro-formatted matrix, not later than five (5) days after the end of each reference quarter. (Form E).

The statistics on cases shall be posted in the website on a quarterly basis.

SECTION 88. Transitory Provision. — Pending cases involving employees belonging to the attached agency or the regional office that were elevated to the Central Office pursuant to the old Manual shall continue to be handled by the Central Office until disposition.

SECTION 89. Separability Clause. — If any clause, sentence, provision or section of this Rules shall be held invalid or unconstitutional, the remaining part thereof shall not be affected thereby. 

SECTION 90. Repealing Clause. — This Rules supersedes the Manual on Disposition of Administrative Cases in the DOLE issued on 31 May 1989. All related issuances inconsistent herewith are also deemed superseded.

SECTION 91. Effectivity. — This Rules shall take effect upon publication in the Official Gazette.

(SGD.) ROSALINDA DIMAPILIS-BALDOZSecretary

ATTACHMENT

Notice to Comment

Show-Cause Memorandum

Formal Charge

List of Pending Cases

List of Decided Cases

List of Pending Complaints

List of Decided Complaints

Published in the Official Gazette, Vol. 109, No. 12, page 1893 on March 25, 2013.