Powerpoint presentation #1

S1: SALIENT FEATURES OF RA 6713: CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS &
EMPLOYEES

S2: States Policy 1. To promote high standard of ethics in public service

2. Public officials and employees shall at all times be accountable to the people and shall
discharge their duties with utmost responsibility, integrity, competence, and loyalty, act with
patriotism and justice, lead modest lives, and uphold public interest over personal interest.

S3: Norms of Conduct/ Standard of personal conduct in the discharge and execution of official duties:
1. Commitment to public interest - Public officials and employees shall always uphold the public interest over
and above personal interest. All government resources and powers of their respective offices must be
employed and used efficiently, effectively, honestly and economically, particularly to avoid wastage in public
funds and revenues.

2. Professionalism - Public officials and employees shall perform and discharge their duties with the highest
degree of excellence, professionalism, intelligence and skill. They shall enter public service with utmost
devotion and dedication to duty. They shall endeavor to discourage wrong perceptions of their roles as
dispensers or peddlers of undue patronage.

3. Justness and sincerity - Public officials and employees shall remain true to the people at all times. They must
act with justness and sincerity and shall not discriminate against anyone, especially the poor and the
underprivileged. They shall at all times respect the rights of others, and shall refrain from doing acts contrary
to law, good morals, good customs, public policy, public order, public safety and public interest. They shall
not dispense or extend undue favors on account of their office to their relatives whether by consanguinity or
affinity except with respect to appointments of such relatives to positions considered strictly confidential or
as members of their personal staff whose terms are coterminous with theirs.

4. Political neutrality - Public officials and employees shall provide service to everyone without unfair
discrimination and regardless of party affiliation or preference.

5. Responsiveness to the public - Public officials and employees shall extend prompt, courteous, and adequate
service to the public. Unless otherwise provided by law or when required by the public interest, public
officials and employees shall provide information on their policies and procedures in clear and
understandable language, ensure openness of information, public consultations and hearings whenever
appropriate, encourage suggestions, simplify and systematize policy, rules and procedures, avoid red tape
and develop an understanding and appreciation of the socioeconomic conditions prevailing in the country,
especially in the depressed rural and urban areas.

6. Nationalism and patriotism - Public officials and employees shall at all times be loyal to the Republic and to
the Filipino people, promote the use of locallyproduced goods, resources and technology and encourage
appreciation and pride of the country and people. They shall endeavor to maintain and defend Philippine
sovereignty against foreign intrusion.

7. Commitment to democracy - Public officials and employees shall commit themselves to the democratic way
of life and values, maintain the principle of public accountability, and manifest by deeds the supremacy of
civilian authority over the military. They shall at all time uphold the Constitution and put loyalty to country
above loyalty to persons or party.

8. Simple living - Public officials and employees and their families shall lead modest lives appropriate to their
positions and income. They shall not indulge in extravagant or ostentatious display of wealth in any form.
S4: Duties of Public Officials and Employees
a. Act promptly on letters and requests. - All public officials and employees shall, within fifteen (15) working
days from receipt thereof, respond to letters telegrams or other means of communications sent by the
public. The reply must contain the action taken on the request.

b. Submit annual performance reports. - All heads or other responsible officers of offices and agencies of the
government and of government-owned or controlled corporations shall, within forty-five (45) working days
from the end of the year, render a performance report of the agency or office or corporation concerned.
Such report shall be open and available to the public within regular office hours.

c. Process documents and papers expeditiously. - All official papers and documents must be processed and
completed within a reasonable time from the preparation thereof and must contain, as far as practicable,
not more than three (3) signatories therein. In the absence of duly authorized signatories, the official next-
in-rank or officer-in-charge shall sign for and in their behalf.

d. Act immediately on the publics personal transactions. - All public officials and employees must attend to
anyone who wants to avail himself of the services of their offices and must, at all times, act promptly and
expeditiously.

e. Make documents accessible to the public. - All public documents must be made accessible to, and readily
available for inspection by, the public within reasonable working hours.

S5: System of Incentives and Rewards

Established in order to motivate and inspire public servants to uphold the highest standards of ethics
Created a Committee on Awards to Outstanding Public Officials and Employees composed of: Ombudsmand
and Chairman of COA plus 2 government employees appointed by the President as members
o Tasked to conduct a periodic, continuing review of the performance of public officials and
employees, in all the branches and agencies of Government and establish a system of annual
incentives and rewards to the end that due recognition is given to public officials and employees of
outstanding merit on the basis of the standards set forth in this Act
o Criteria of judging include, among others: the years of service and the quality and consistency of
performance, the obscurity of the position, the level of salary, the unique and exemplary quality of a
certain achievement, and the risks of temptations inherent in the work

S6: Prohibited acts and transactions

In addition to acts and omissions of public officials and employees now prescribed in the Constitution and
existing laws , the following shall constitute prohibited acts and transactions of any public official and employee
and are hereby declared to be unlawful:
1. Financial and material interest. - Public officials and employees shall not, directly and indirectly, have any
financial or material interest in any transaction requiring the approval of their office.

S7: Prohibited acts and transactions

2. Disclosure and/or misuse of confidential information. - Public officials and employees shall not use or
divulge, confidential or classified information officially known to them by reason of their office and not
made available to the public, either: (1) To further their private interests, or give undue advantage to
anyone; or (2) To prejudice the public interest.

S8: Prohibited acts and transactions

3. Solicitation or acceptance of gifts. - Public officials and employees shall not solicit or accept, directly or
indirectly, any gift, gratuity, favor, entertainment, loan or anything of monetary value from any person in
the course of their official duties or in connection with any operation being regulated by, or any transaction
which may be affected by the functions of their office.
S9: Prohibited acts and transactions
4. Outside employment and other activities related thereto. - Public officials and employees during their
incumbency shall not: (1) Own, control, manage or accept employment as officer, employee, consultant,
counsel, broker, agent, trustee or nominee in any private enterprise regulated, supervised or licensed by
their office unless expressly allowed by law; (2) Engage in the private practice of their profession unless
authorized by the Constitution or law, provided that such practice will not conflict or tend to conflict with
their official functions; or (3) Recommend any person to any position in a private enterprise which has a
regular or pending official transaction with their office. These prohibitions shall continue to apply for a
period of one (1) year after resignation, retirement, or separation from public office, except in the case of
subparagraph (b) (2) above, but the professional concerned cannot practice his profession in connection
with any matter before the office he used to be with, in which case the one-year prohibition shall likewise
apply.

S10: Statements and Disclosures

Public officials and employees have an obligation to accomplish and submit declarations under oath of, and
the public has the right to know, their assets, liabilities, net worth and financial and business interest
including those of their spouses and of unmarried children under eighteen (18) years of age living in their
households.
SAL and Financial Disclosures- All public officials and employees, except those who serve in an honorary
capacity, laborers and casual or temporary workers, shall file under oath their Statement of Assets, Liabilities
and Net Worth and a Disclosure of Business Interests and Financial Connections and those of their spouses
and unmarried children under eighteen (18) years of age living in their households.
o Contain information on: (a) real property, its improvements, acquisition costs, assessed value and
current fair market value; (b) personal property and acquisition cost; (c) all other assets such as
investments, cash on hand or in banks, stocks, bonds, and the like; (d) liabilities; and (e) all business
interests and financial connections.
o These documents should be filed- (a) within thirty (30) days after assumption of office; (b) on or
before April 30 of every year thereafter; and (c) within thirty (30) days after separation from the
service.
o All public officials and employees required under this section to file the aforestated documents shall
also execute, within thirty (30) days from the date of their assumption of office, the necessary
authority in favor of the Ombudsman to obtain from all appropriate government agencies, including
the Bureau of Internal Revenue, such documents as may show their assets, liabilities, net worth, and
also their business interests and financial connections in previous years, including, if possible, the
year when they first assumed any office in the Government. Husband and wife who are both public
officials or employees may file the required statements jointly or separately.
SALN and Disclosure of Business and Financial Connections- filed by:
o (1) Constitutional and national elective officials, with the national office of the Ombudsman;
o (2) Senators and Congressmen, with the Secretaries of the Senate and the House of Representatives,
respectively; Justices, with the Clerk of Court of the Supreme Court; Judges, with the court
Administrator; and all national executive officials with the office of the President;
o (3) Regional and local officials and employees, with the Deputy Ombudsman in their respective
regions;
o (4) Officers of the armed forces from the rank of colonel or naval captain, with the Office of the
President, and those below said ranks, with the Deputy Ombudsman in their respective regions; and
o (5) All other public officials and employees, defined in Republic Act No. 3019, as amended, with the
civil Service Commission.

S11: Statements and Disclosures

Identification and disclosure of relatives. - It shall be the duty of every public official or employee to identify
and disclose, to the best of his knowledge and information, his relatives in the Government in the form,
manner and frequency prescribed by the Civil Service Commission.
 Accessibility of the documents. - (1) Any and all statements filed under this Act shall be made available for
inspection at reasonable hours. (2) Such statements shall be made available for copying or reproduction
after ten (100 working days from the time they are filed as required by law. (3) Any statement filed under
this Act shall be available to the public for a period of ten (10) years after receipt of the statement. After
such period, the statement may be destroyed unless needed in an ongoing investigation.
Prohibited acts. - It shall be unlawful for any person to obtain or use any statement filed under this Act for:
(a) any purpose contrary to morals or public policy; or (b) any commercial purpose other than by news and
communications media for dissemination to the general public.

S12: Divestment to Avoid Conflicts of Interest

Divestment. - A public official or employee shall avoid conflicts of interest at all times. When a conflict of
interest arises, he shall resign from his position in any private business enterprise within thirty (30) days
from his assumption of office and/or divest himself of his shareholdings or interest within sixty (60) days
from such assumption.
The same rule shall apply where the public official or employee is a partner in a partnership.
The requirement of divestment shall not apply to those who serve the Government in an honorary capacity
nor to laborers and casual or temporary workers.

S13: Penalties
Any violation of RA 6713-punishable with a fine not exceeding 1 year, or removal depending on the gravity
of the offense, after due notice and hearing
Commission of prohibited acts or transactions, violation of declarations under oath (SALN, DBIFC)-
punishable by imprisonment not exceeding 5 years, or fine not exceeding P5,000.00, or both; and possibly
disqualification to hold public office
Any violation proven in proper administrative proceedings shall be sufficient cause for removal or dismissal
from public office, even if theres no criminal prosecution

S14: Penalties
Private individuals participating in conspiracy as co-principals, accomplices or accessories, with public
officials/employees, shall be subject to same penal liabilities and tried jointly
Any official or employee may bring an action against any person who unlawfully obtains or uses reports for
any prohibited purpose, the latter to be penalized in any amount not exceeding P25,000.00 or heavier
sanction under any other law if applicable
Powerpoint Presentation #2

S1: DOLE Administrative Disciplinary Process (AO No. 55)

S2: Objective of Administrative Investigation is the improvement of public service and preservation of publics
faith and confidence in the government, not the punishment of concerned officer/employee

Basically, the maintenance of discipline in the public service.

S3: Principles in evaluation Complaints:

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
DOLE officials and employees shall observe the norms of conduct provided for in RA 6713 in the discharge
and execution of official duties
No DOLE official/employee shall be penalized except for cause and after due notice and investigation
3-fold responsibility for violation of duty or wrongful act or omission: Criminal, Civil, or Administrative
liability, which is independent of the other 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

S4: Principles in evaluation Complaints:

In administrative proceedings, burden of proof rests on the complainant to support and prove by substantial
evidence his accusations against the respondent
Failure to do so, or in the absence of any showing of bad faith and malice, presumption that a public
official/employee regularly performed his duties shall prevail = DISMISSAL of the complaint

S5: Exclusions
Complaints against Presidential Appointees (taken cognizance by the Office of the President thru ODESLA-
Office of the Deputy Executive Secretary for Legal Affairs)
Criminal aspect of administrative complaints against non-presidential appointees (Office of the
Ombudsman- the appropriate body to determine the existence of probable cause for the purpose of filing
the criminal charge)
Employees under job orders and contract services, contractual employees without issued appointments
(governed by their respective Contracts without prejudice to the filing of civil or criminal action with the
appropriate offices or tribunal)
Grievances (processed and disposed in accordance with DOLE A.O. No. 441, series of 2011)
AWOL and protests/complaints from personnel action (which are non-disciplinary in nature, shall be
governed by Sec. 16,17,19&23, RRACCS, and other pertinent Civil Service rules and issuances)
Sexual harassment cases (CSC Reso. No. 01-0940; DOLE A.O. No. 250)

S6: Jurisdiction and Venue

S7: Jurisdiction and Venue

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 employee of Regional Offices and Attached Agencies where the Secretary is the appointing authority
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 those above (a)
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 those above
(a)
 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 issuances.

S8: Authority to Discipline

Includes:
o The determination of the existence of a prima facie case against an official or employee
o The issuance of a formal charge
o The issuance of the order of preventive suspension if the case so warrants
o The conduct of formal investigation
o The 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
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.

S9: Stages
Preliminary investigation > Formal investigation > Decision and execution > Appeal

S10: Administrative Complaints Committee

S11: Composition
1 Chairperson (holder of third level position in case of Central Office and head office of Attached Agencies;
not lower than Division Chief in Regional Offices)
2 to 6 Members (with representative of the Sole and Exclusive Negotiating Agent as one member)
Secretariat (Human Resource Management Officer or HRMO-designate or any employee of trust and
confidence to the disciplining authority)

S12: ACC Powers and functions

Receives and evaluations sufficiency and substance of complaints
Issues summons, subpoenas and notices, interlocutory orders, in aid of preliminary investigation functions
Receives evidence and pleadings and other documents under preliminary investigation
Conducts preliminary investigation and submits report with recommendation and complete case records
Takes custody of records of investigation and ensures their confidentiality
Exercises other powers authorized by the disciplining authority

S13: Fact-Finding Committee

Complaint involves complex issues, or against several persons, or persons complained of are members of
ACC, or preliminary investigation requires examination of voluminous records, or other analogous
circumstances
Same powers and functions as ACC

S14: 2 ways how administrative proceedings are initiated:

Sworn complaint of any person
By the disciplining authority motu proprio

S15: Complaints

S16: Complaints must be:

 In writing
Subscribed and sworn to by the complainant
Filed in triplicate copies; if theres more than 1 person complained of, may be required to submit additional
copies corresponding to the number of persons complained of

S17: Complaints should contain:

Full name and address of complainant
Full name and address of person/s complained of
Narration of relevant and material facts
Certified true copies of documentary evidence and affidavits of witnesses
Certification of non-forum shopping

S18: General Rule is the anonymous complaints are not to be entertained

Exception: where there is obvious truth or merit to the allegations therein or it is supported by documentary or
direct evidence; it shall comply with the requisites of a valid complaint except the requirement for the full name
and address of the complainant

Any other document that contains accusations or allegations against any official or employee of the DOLE
which does not conform with the requisites mentioned 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.

S19: Action on the Complaint

The ACC is the single clearing house of all complaints.
Upon receipt by the concerned Head of Office/Agency, the complaint shall immediately be transmitted to
the ACC for appropriate action
The ACC shall evaluate whether the complaint is sufficient in form and substance within 5 days from receipt
The ACC may:
o recommend dismissal of the complaint
o recommend referral/indorsement to concerned office/agency
o recommend to subject the complaint for settlement pursuant to Section 70, AO 55
o recommend the closure or archiving of the complaint

S20: When ACC recommends for the dismissal of the complaint, it is because:
said complaint was with named complainant but was not made under oath or there was no
certification/statement of non-forum shopping
there was a certification of non-forum shopping but it indicated that a similar action against same
employee/same cause of action and relief prayed for, has been filed with another office or tribunal, whether
resolved or pending

S21: When ACC recommends for the referral/indorsement of the complaint, it is because:
the jurisdiction to investigate belongs to another office or committee within DOLE
the person complained of is a presidential appointee, ACC to indorse the complaint to the Office of the
President; if the presidential appointee is joint by a non-presidential appointee, the ACC shall proceed with
its evaluation only as to the participation being imputed to the non-presidential appointee
the complaint alleges acts purely personal on the complainant and person complained of, without apparent
injury to the government, complaint shall be subject for settlement
the acts/omissions complained of constitute purely criminal offense, ACC to refer the complaint to the
Office of the Ombudsman
NOTE: If complaint cites both administrative and criminal infractions, administrative investigation shall
proceed and completed first before referral to the Office of the Ombudsman the criminal counterpart
established.
S22: Action of the Complaint
Complaint shall be subject to settlement if alleges acts that are purely personal on the part of the
complainant and person complained of, with no apparent injury to the government
For anonymous complaints, ACC shall evaluate the allegations based on pertinent official records and
documents
If found not based on facts, anonymous complaint shall not be given due course and recommended for
closure and archiving

S23: 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

S24: Preliminary Investigation

S25: Preliminary Investigation

A mandatory proceeding to determine whether a prima facie case exists to warrant the issuance of a Formal
Charge
Fact-finding investigation or ex-parte examination of records and documents submitted by complainant and
person complained of, as well as documents readily available from other government offices

S26: Prima Facie Case

At first sight
At first view
On the face of it
On first appearance absent other information or evidence

S27: Procedure:
If after the initial evaluation and the complaint is found to be sufficient in form and substance, the ACC shall
issue a Notice to Comment within 3 days, requiring the person complained of to submit a notarized or sworn
statement/counter-affidavit on tha acts or omissions complained of; the Notice to Comment shall specify
the acts or omissions as narrated in the complaint
Where the complaint is initiated by the disciplining authority, the ACC, after initial evaluatio, shall issue a
Show-Cause Memorandum, requiring the person to explain why no disciplinary action shall be taken against
him/her; the Show-Cause Memorandum shall speficy the reported acts or omissions
Both shall be submitted within 3 days from receipt thereof
Failure to submit shall be considred a waiver and 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 during which clarifications can be
made by the ACC in the presence of both parties but without the right to examine or cross-examine

S28: Duration of PI
Shall commence not later than 8 days from receipt of the complaint
Terminated within 30 days from receipt of the comment/counter-affidavit

Effect of Resignation, Transfer of Office, Retirement

ACC shall proceed with its determination of the existence of prima facie case

Preliminary Investigation Report

 ACC submits to the disciplining authority its report with recommendation and complete records of the case
within 10 days from the termination of the preliminary investigation (Order of Dismissal = no prima facie
case; Formal Charge = prima facie case exists)

Resolution after Preliminary Investigation

Formal Charge or Order of Dismissal is issued to the person complained of within 3 days from approval by
the disciplining authority

S29: Formal Charge

After finding of a prima facie case, the disciplining authority shall formally charge the person complained of,
who is not called the respondent
The Formal Charge shall contain:
o Specification of charge(s)
o Brief statement of material/relevant facts
o Directive to answer the charge(s) in writing under oath within 7 days from receipt
o Advice for respondent to indicate WON he/she elects a formal investigation
o Notice that respondent is entitled to be assisted counsel of his/her choice
FC shall be accompanied by certified true copies of the documentary evidence or sworn statements covering
the testimony of witnesses, if any

S30: Prohibited Pleadings

The disciplining authority shall not entertain requests for clarification, bill of particulars, motions to quash,
motions for reconsideration and motions to dismiss
If any of these pleadings are filed by the responde, the same shall be considered an answer and shall be
evaluated as such

S31: 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 ones case
It shall be filed not later than 7 days from receipt of the FC
Failure to file answer within the period provided in the notice shall be considered waiver of right and case
may be decided based on available records.

S32: Preventive Suspension

S33: Suspended!
PURPOSE: Preventive suspension is not a penalty
PURPOSE: 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
Malfeasance- an affirmative act that is illegal or wrongful; misfeasance act that is not illegal but is
improperly performed; nonfeasance failure to act that results in injury
GROUNDS/WHEN ISSUED:
o Upon motion of complainant or by DA motu proprio
o Charge involves: dishonesty, oppression, grave misconduct, neglect in the performance of duty,
administrative offenses punishable by dismissal in 2nd and 3rd offense, there are reasons to believe
respondent is guilty of the charges which would warrant removal from service
o If there is a possibility of: respondent exerting undue influence or pressure on witnesses against
him/her, respondent tampering with evidence that may be used against him/her
In lieu of preventive suspension, the DA may reassign the respondent to another unit of agency during
formal hearings
S34: Preventive suspension
MAXIMUM PERIOD = 90 DAYS
If case is not finally decided within period of PS, respondent shall be automatically reinstated
If respondent is on authorized leave, PS shall be deferred or interrupted until said leave has been fully
exhausted
REMEDY FROM ORDER OF PS: respondent may file an appeal with CSC within 15 days from receip of OPS;
pending appeal PS is executory
MR from the OPS filed before the issuing authority or office is NOT allowed

S35: Preventive suspension

Declaration of CSC that OPS is null and void on its face = respondent is entitled to immediate
reinstatement and back salaries corresponding to the period of unlawful PS
NULL AND VOID ON ITS FACE
o OPS was issued by unauthorized person
o Not premised on the conditions under Section 50, AO 55
o Issued without a formal charge
o Duration of imposed PS exceeded the prescribed period; back salaries limited to excess period only
Declaration of invalid OPS not based on any of above = reinstatement of respondent
Payment of back salaries shall await the final outcome of the case

S36: Preventive suspension

FULL EXONERATION
o Contemplates finding of not guilty for offense(s) charged
o Entitles official/employee to payment of back salaries
o Downgrading of charge to lesser offense NOT construed as full exoneration
Penalty= reprimand
o Entitles official/employee to payment of back salaries
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

S37: Formal Investigation

S38: Formal Investigation

The formal investigation shall be held 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 5 days nor later than 10 days from
receipt of the respondents Answer or upon the expiration of the period to file the Answer
Said investigation shall be finished within 60 days from the issuance of the formal charge, unless the period
is extended by the DA in meritorious cases
The DA shall deputize an official or employee to be the Special Prosecutor on his/her behalf during the
formal hearings

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

S39: Formal investigation proper

Pre hearing conference the Hearing Officer shall conduct a mandatory pre-hearing conference for the
parties to agree on the following:
o Stipulation of facts
o Simplification of issues
 o Identification and marking of evidence of the parties
o Waiver of objections to admissibilit of evidence
o Limiting the number of witnesses and their names
o Dates of subsequent hearings
o Other matters to aid prompt and just resolution of the case
In practice, to make things easier for all those involved, the Hearing Officer issues a pre-hearing conference
order directing the presence of the parties during the pre-hearing conference scheduled and the submission
of their respective pre-trial briefs which shall contain:
o A summary of admitted facts and proposed stipulation of facts;
o The issues to be tried or resolved;
o The documents or exhibits to be presented, stating the purpose thereof; and
o The number and names of the witnesses, and the substance of their respective testimonies.

Pre-Hearing order upon termination of the pre-hearing conference, the Hearing Officer shall issue an
Order which shall recite in detail the:
o Matters taken up during PHC
o Actions taken
o Amendments allowed in the pleadings
o Stipulations and admissions made by the parties
o Issues to be tried

Conduct of Hearing
o At the start of the formal hearing, the HO shall note the appearances of the parties and their
counsels and proceed with the reception of evidence for the complainant
o Before taking the testimony of a witness, the HO 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
o Clarificatory questions may be asked by the parties through the HO
o All objections raised during the hearing shall be resolved by the HO. However, objections that
cannot be ruled upon by the HO shall be noted with the information that the same shall be included
in the memorandum of the concerned party to be rules upon by the disciplining authority.
o The HO shall admit all evidence formally offered subject to the objection/s interposed against its
admission
o The HO 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 7 days before
scheduled hearing.

Formal investigation report the HO submits to the DA together with draft decision and complete records
of the case within 15 days after conclusion of FI his formal investigation report which contains:
o Narrations of material facts estalished in FI
o Findings and evidence in support thereof
o Recommendations
When respondent waives the conduct of formal hearing and the merits of the case can be decided based on
records and evidence, the HO shall, within 15 days from date the case is submitted for decision, submit the
pertinent report and recommendation to the DA, together with the draft decision and the complete records
of the case

S40: Decision and execution

S41: Decision and execution

The DA shall render a decision on the case within 30 days from the receipt of the formal investigation report
 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
The guilt of the respodent need not be established beyond resonable doubt. It is sufficient that there be
substantial evidence on record to prove his guilt
SUBSTANTIAL EVIDENCE - Such relevant evidence as a reasonable mind might accept as adequate to support
a conclusion

S42: Remedies

S43: Remedies
MOTION FOR RECONSIDERATION
o The respondent adversely affected by the decision of the DA may file a MR with the DA who
rendered the same within 15 days from receipt thereof
o A motion for extension of time to file MR is not allowed
o Only 1 MR shall be entertained
o The DA shall rules on the MR within 30 days from submission of the motion for resolution
o GROUNDS:
Newly discovered evidence which materially affects investigation rendered; or
Decision is not supported by evidence on record; or
Errors of law or irregularities committed prejudicial to the interest of the movant
o EFFECT of MR: Suspends the running of period of appeal and stays the execution of the decision
sought to be reconsidered

S44: Remedies
APPEAL
o The remedy of appeal, which shall be filed within 15 days from receipt of the decision, is available in
the following instances:
When the decision of the DA imposed a penalty not exceeding 30 days suspension or fine in
an amount not exceeding 30 days salary, the same may be appealed to the CSC purely on
ground of violation of due process
When the decision of the RD imposes a penalty exceeding 30 days suspension or a fine in an
amount exceeding 30 days salary, the same may be appealed initially to OSEC and finally to
the CSC
For decisions rendered by the RD 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
CSC
The decision of the Head of Attached Agencies where no confirmation is required may be
appealed directly to the CSC
For decisions rendered by the Secretary as the DA, the same may be appealed to the CSC
o Filed by the respondent adversely affected by the DAs decision, or the DA whose decision has been
modified or reversed on appeal
o EFFECT of Appeal: Except for cases requiring Secretarys confirmation, appeal shall not stop the
decision from being executory

S45: Remedies
Perfection of an appeal to perfect an appeal, the appellant shall submit the following:
o 3 copies of appeal memorandum containing grounds for appeal, certified true copy of
decision/resolution/order appealed from, certified copies of documents or evidence
o Proof of service of copy of appeal memorandum to the DA
o Statement or certificate of non-forum shopping
 Failure to comply with these requirements within reglementary period, appellate authority shall direct
compliance within 10 days; failure to comply shall be construed as intent to delay and failure to perfect
appeal, causing dismissal of appeal with prejudice

S46: Remand of Appealed case

If on appeal, Secretary finds DA violated respondents right to due process
o Ex: failure to issue a formal charge
o Sec shall dismiss the appealed case and order immediate reinstatement of respondent with
payment of back salaries and other benefits
o Dismissal without prejudice on the part of the DA to re-file the case in accordance with law
If on appeal, Secretary finds DA violated respondents right to procedural due process
o OSEC to remand the appealed case to office of origin for further proceedings to be conducted within
3 months
o Within 15 days from termination of investigation, DA shall render a decision
o If at the end of 3 months DA failed to conduct further proceedings, OSEC upon motion of
respondent-appellant, shall vacate and set aside the appealed decision and declare respondent-
appellant exonerated of the charge/s

S47: Settlement of Offenses

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

S48: Offenses that may be subject of settlement and/or compromise

Borrowing money by superior officers from subordinates
Willful failure to pay just debts
Simple misconduct resulting from misunderstanding/fight between respondent and complainant not
committed within office premises
Discourtesy in the course of official duties
Other analogous circumstances/cases

S49: Settlement Guidelines

Compromise settlement allowed only for administrative light offenses
Upon receipt of the complaint, the ACC shall determine whether the offense is purely personal or can be the
subject of settlement
o If yes, the ACC shall order the respondent to comment and indicate therein whether he/she is
willing to submit the case to settlement
o If yes, the ACC shall issue an order requiring the appearances of the parties
If settlement succeeds, a compromise agreement shall be executed between the parties and attested by the
ACC
o The compromise agreement shall be binding on the parties and shall be considred 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
A decision shall be issued by the DA based on the compromise agreement
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
In case of non-compliance with the compromise agreement, the case may likewise be re-opened for
preliminary investigation until its final determination

S50: Important to remember:

Administrative investigations shall be conducted without necessarily adhering to the technical rules of
procedure and evidence applicable to judicial proceedings