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The Administrative
Disciplinary Process
Objective

ADMINISTRATIVE

Maintenance of discipline in the public service.
Nature

Not adversarial
Powers Used in Investigations

Interrogation of
Witnesses
Swearing of Witnesses
Issuance of
Subpoena

Inspection of Premis...
Commencement of Administrative
Proceedings
Administrative proceedings may be commenced
against a subordinate officer or em...
head of agency
(show cause order

Any person
(aka citizen’s complaint)
CSC Resolution No. 1101502
November 8, 2011
Under oath

In writing

In triplicate copies (n)

COMPLAINT
If there is more than 1 person complained
of, the complainant ...
Certification of non-forum shopping
Certified copy of documentary evidence
and affidavits of witnesses

Narration of relev...
Anonymous Complaint
Withdrawal of Complaint
Does not result in its outright dismissal

Nor discharge the person complained of (PCO)
from any a...
Action on the Complaint
Complaint – sufficient in form
and substance
PCO – to submit COUNTER
AFFIDAVIT/COMMENT
under
oath
...
Stages

Preliminary
Investigation

Formal
Investigation

Appeal
Purpose of the Investigation

To ascertain the truth without
necessarily adhering to technical rules
applicable in judicia...
Who conducts the Investigation?

Disciplining authority

Authorized representative
LGUs
person

committee
Duly authorized by the
Local Chief Executive
Role of the Person/Committee

does not sit as a judge but
only as a

fact-finder.
Preliminary Investigation
Inquiry or proceeding
undertaken to determine the
existence of prima facie
case to warrant the i...
Purpose of Preliminary Investigation
To secure the innocent against hasty, malicious and
oppressive prosecutions.
To prote...
At first sight
On the face of it

At first view

On first appearance absent
other information or evidence
Duration of PI
shall commence not later than 5 days
from receipt of the complaint

shall be terminated within 20 days
ther...
Submitted within 5 days from the
termination of the PI
Specification of charge(s)
A brief statement of material or
relevant facts with certified true copies
of the documentary e...
Notice of Charge/s

issued in instances when the
complaint was initiated other
than the disciplining authority
(n)
Notice of Charge/s
charge/s against the PCO
with a statement that a
prima facie case exists
directive to answer the charge...
Prohibited Pleadings
requests for clarification

motions to dismiss

bills of particulars

motions to quash

motions for r...
Answer
in writing
under oath
specific
shall contain material facts
and applicable laws, if any

includes documentary evide...
Purpose
To prevent the respondent from
exerting undue influence or
pressure on the witnesses
against him/her
tampering wit...
Preventive Suspension may issue if
the charge involves the following
offenses:
Dishonesty
Grave Misconduct

Oppression
Neg...
In lieu of preventive suspension…

reassignment

During formal hearings
Kinds of Preventive Suspension

Preventive Suspension
Pending Investigation

Preventive Suspension Pending Appeal
Preventive Suspension
Pending Investigation

NOT a penalty
Duration
Maximum of 90 days for
employees of the NGAs, SUCs, and
GOCCs.

60 days

for employees of the LGUs
Automatic reinstatement
follows after the lapse or
expiration of the period.
If respondent is on authorized leave

preventive suspension shall be
deferred or interrupted until
such time that said lea...
Remedy from the Order of
Preventive Suspension

Appeal to the Commission
MR is not allowed.
Payment of Back Salaries
During Preventive
Suspension

Declaration by the Commission that an
order of preventive suspensio...
Null and Void on its Face
The order was issued by one
who is not authorized by law.

The order was not premised on
any of ...
The order of preventive
suspension was issued without a
formal charge or notice of
charges
While lawful in the sense that it is based
on the enumerated grounds, the
duration of the imposed preventive
suspension ha...
If the official or
concerned
is

exonerated

employee

fully

of the charge/s
or when the penalty imposed in
the principal...
Full Exoneration

A finding of

for the

offense/s charged.
Downgrading of the charge to a lesser
offense shall

not be co...
Preventive Suspension
Pending Appeal

NOT stop the decision
from being EXECUTORY.

An appeal shall
In case the penalty is suspension or
removal, the respondent shall be
considered as having been under
PREVENTIVE SUSPENSIO...
Preventive Suspension
Pending Appeal

Actually
punitive
Effect of Exoneration

Reinstatement with Full Pay
for the period of suspension.
Effect of Affirmation of Conviction

The period of suspension becomes
part of the final penalty of
suspension or dismissal...
Formal

when the merits of the case
cannot be decided judiciously
without conducting such
investigation
when the responden...
Period of Investigation
Not earlier than 5 days nor
later than 10 days from the
date of receipt of Answer
Shall be finishe...
Submission of Position
Paper/Memorandum
at any stage of the proceedings
based on the mutual consent of the parties
submit ...
Pre-Hearing Conference
mandatory

done at the commencement
of the formal investigation
Matters that will be considered and agreed
upon by the parties during the PHC

Stipulation of facts

Simplification of iss...
Agreement during the PHC
binding on both parties
How do you conduct hearings?
Call the case

Appearance of counsel

Take note of the
order of hearing

Take note
Resolve objections
Resolve oral motions

Adjourn
Hearings
conducted on the hearing
dates set by the Hearing
Officer
OR

as agreed upon during
the pre-hearing
conference
Postponement
A party shall be granted
one (1) (n) postponement
upon

Oral or Written request
Order of Hearing
prosecution

respondent
Presentation of rebuttal/surrebuttal evidence
unless the hearing officer
directs ...
Formal Investigation Report

Shall be submitted to the
disciplining authority within
15 days after the conclusion
of the f...
Contents of Report
Narration of the material facts
established during the
investigation
Findings and evidence
supporting s...
Disciplining Authority

Renders decision within 30
days from receipt of the
Report of Investigation
Decision
Finding of facts
evidence to support the
finding or conclusion
evidence must be

substantial
SUBSTANTIAL EVIDENCE

Such relevant evidence as a
reasonable mind might accept as
adequate to support a
conclusion.
Settlement in Administrative Cases
Light Offenses
 Act is purely personal on the part of the
private complainant and per...
Offenses which may be the subject
of settlement and/or compromise
 Borrowing money by superior officers
from subordinates...
 Simple Misconduct resulting from
misunderstanding/fight between the
respondent and complainant provided the
act is not c...
Aide Memoire

Administrative investigations shall
be conducted without necessarily
adhering strictly to the technical
rule...
End of Session
The Administrative Disciplinary Process in the Philippine Civil Service
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The Administrative Disciplinary Process in the Philippine Civil Service

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The Administrative Disciplinary Process in the Philippine Civil Service

  1. 1. The Administrative Disciplinary Process
  2. 2. Objective ADMINISTRATIVE Maintenance of discipline in the public service.
  3. 3. Nature Not adversarial
  4. 4. Powers Used in Investigations Interrogation of Witnesses Swearing of Witnesses Issuance of Subpoena Inspection of Premises
  5. 5. Commencement of Administrative Proceedings Administrative proceedings may be commenced against a subordinate officer or employee by the Secretary or head of office of equivalent rank, or head of local government, or chiefs of agencies, or regional directors, or upon sworn, written complaint by any other person. – Sec. 48 (1), Chapter 6, Subtitle A, Title I, Book V of EO 292 (Administrative Code of 1987)
  6. 6. head of agency (show cause order Any person (aka citizen’s complaint)
  7. 7. CSC Resolution No. 1101502 November 8, 2011
  8. 8. Under oath In writing In triplicate copies (n) COMPLAINT If there is more than 1 person complained of, the complainant is required to submit additional copies corresponding to the number of persons complained of. (n)
  9. 9. Certification of non-forum shopping Certified copy of documentary evidence and affidavits of witnesses Narration of relevant and material facts Full name and address of person/s complained of; position/s; and, office/s Full name and address of the complainant
  10. 10. Anonymous Complaint
  11. 11. Withdrawal of Complaint Does not result in its outright dismissal Nor discharge the person complained of (PCO) from any administrative liability
  12. 12. Action on the Complaint Complaint – sufficient in form and substance PCO – to submit COUNTER AFFIDAVIT/COMMENT under oath Within 3 days from receipt of the Order.
  13. 13. Stages Preliminary Investigation Formal Investigation Appeal
  14. 14. Purpose of the Investigation To ascertain the truth without necessarily adhering to technical rules applicable in judicial proceedings.
  15. 15. Who conducts the Investigation? Disciplining authority Authorized representative
  16. 16. LGUs person committee Duly authorized by the Local Chief Executive
  17. 17. Role of the Person/Committee does not sit as a judge but only as a fact-finder.
  18. 18. Preliminary Investigation Inquiry or proceeding undertaken to determine the existence of prima facie case to warrant the issuance of a formal charge
  19. 19. Purpose of Preliminary Investigation To secure the innocent against hasty, malicious and oppressive prosecutions. To protect him from open and public accusation of crime, from the trouble, expenses and anxiety of a public trial To protect the State from useless and expensive prosecutions.* For the disciplining authority to determine whether a prima facie case exists to warrant the issuance of a formal charge.
  20. 20. At first sight On the face of it At first view On first appearance absent other information or evidence
  21. 21. Duration of PI shall commence not later than 5 days from receipt of the complaint shall be terminated within 20 days thereafter
  22. 22. Submitted within 5 days from the termination of the PI
  23. 23. Specification of charge(s) A brief statement of material or relevant facts with certified true copies of the documentary evidence, if any Sworn statements of testimony of witnesses Formal Charge the A directive to answer the charge (s) in writing under oath in not less than seventy-two (72) hours from receipt thereof An advice to indicate in the answer whether or not he/she elects a formal investigation a notice that he/she may opt (n) to be assisted by a counsel of his/her choice.
  24. 24. Notice of Charge/s issued in instances when the complaint was initiated other than the disciplining authority (n)
  25. 25. Notice of Charge/s charge/s against the PCO with a statement that a prima facie case exists directive to answer the charge/s in writing, under oath in not less than 72 hours from receipt thereof notice that he/she may opt to be assisted by a counsel of his/her choice With the following attachments the complaint sworn statement other documents submitted
  26. 26. Prohibited Pleadings requests for clarification motions to dismiss bills of particulars motions to quash motions for reconsideration
  27. 27. Answer in writing under oath specific shall contain material facts and applicable laws, if any includes documentary evidence, sworn statements of witnesses
  28. 28. Purpose To prevent the respondent from exerting undue influence or pressure on the witnesses against him/her tampering with evidence that may be used against him/her
  29. 29. Preventive Suspension may issue if the charge involves the following offenses: Dishonesty Grave Misconduct Oppression Neglect in the Performance of Duty Administrative offenses which are punishable by dismissal from the service on its second or third offense. If there are reasons to believe that the respondent is guilty of charges which would warrant his/her removal from the service.
  30. 30. In lieu of preventive suspension… reassignment During formal hearings
  31. 31. Kinds of Preventive Suspension Preventive Suspension Pending Investigation Preventive Suspension Pending Appeal
  32. 32. Preventive Suspension Pending Investigation NOT a penalty
  33. 33. Duration Maximum of 90 days for employees of the NGAs, SUCs, and GOCCs. 60 days for employees of the LGUs
  34. 34. Automatic reinstatement follows after the lapse or expiration of the period.
  35. 35. If respondent is on authorized leave preventive suspension shall be deferred or interrupted until such time that said leave has been fully exhausted.
  36. 36. Remedy from the Order of Preventive Suspension Appeal to the Commission MR is not allowed.
  37. 37. Payment of Back Salaries During Preventive Suspension Declaration by the Commission that an order of preventive suspension is null and void on its face
  38. 38. Null and Void on its Face The order was issued by one who is not authorized by law. The order was not premised on any of the conditions under Sec 26 (A and B) of the RRACCS.
  39. 39. The order of preventive suspension was issued without a formal charge or notice of charges
  40. 40. While lawful in the sense that it is based on the enumerated grounds, the duration of the imposed preventive suspension has exceeded the prescribed periods.
  41. 41. If the official or concerned is exonerated employee fully of the charge/s or when the penalty imposed in the principal case is reprimand (n), he or she shall be paid such back salaries.
  42. 42. Full Exoneration A finding of for the offense/s charged. Downgrading of the charge to a lesser offense shall not be construed as “full exoneration.”
  43. 43. Preventive Suspension Pending Appeal NOT stop the decision from being EXECUTORY. An appeal shall
  44. 44. In case the penalty is suspension or removal, the respondent shall be considered as having been under PREVENTIVE SUSPENSION during the pendency of the appeal in the event he wins the appeal
  45. 45. Preventive Suspension Pending Appeal Actually punitive
  46. 46. Effect of Exoneration Reinstatement with Full Pay for the period of suspension.
  47. 47. Effect of Affirmation of Conviction The period of suspension becomes part of the final penalty of suspension or dismissal.
  48. 48. Formal when the merits of the case cannot be decided judiciously without conducting such investigation when the respondent elects to have one
  49. 49. Period of Investigation Not earlier than 5 days nor later than 10 days from the date of receipt of Answer Shall be finished within 30 days from the filing of the charges Unless the period is extended by the disciplining authority in meritorious cases
  50. 50. Submission of Position Paper/Memorandum at any stage of the proceedings based on the mutual consent of the parties submit the case for resolution without any need for further hearings (n)
  51. 51. Pre-Hearing Conference mandatory done at the commencement of the formal investigation
  52. 52. Matters that will be considered and agreed upon by the parties during the PHC Stipulation of facts Simplification of issues Limiting the number of witnesses, and their names Dates of subsequent hearings Identification and marking of evidence of the parties Such other matters as may aid in the prompt and just resolution of the case. Waiver of objections to admissibility of evidence
  53. 53. Agreement during the PHC binding on both parties
  54. 54. How do you conduct hearings? Call the case Appearance of counsel Take note of the order of hearing Take note
  55. 55. Resolve objections Resolve oral motions Adjourn
  56. 56. Hearings conducted on the hearing dates set by the Hearing Officer OR as agreed upon during the pre-hearing conference
  57. 57. Postponement A party shall be granted one (1) (n) postponement upon Oral or Written request
  58. 58. Order of Hearing prosecution respondent Presentation of rebuttal/surrebuttal evidence unless the hearing officer directs otherwise
  59. 59. Formal Investigation Report Shall be submitted to the disciplining authority within 15 days after the conclusion of the formal investigation.
  60. 60. Contents of Report Narration of the material facts established during the investigation Findings and evidence supporting said findings Recommendations
  61. 61. Disciplining Authority Renders decision within 30 days from receipt of the Report of Investigation
  62. 62. Decision Finding of facts evidence to support the finding or conclusion evidence must be substantial
  63. 63. SUBSTANTIAL EVIDENCE Such relevant evidence as a reasonable mind might accept as adequate to support a conclusion.
  64. 64. Settlement in Administrative Cases Light Offenses  Act is purely personal on the part of the private complainant and person complained of  There is no apparent injury committed to the government.
  65. 65. Offenses which may be the subject of settlement and/or compromise  Borrowing money by superior officers from subordinates  Willful failure to pay just debts
  66. 66.  Simple Misconduct resulting from misunderstanding/fight between the respondent and complainant provided the act is not committed within office premises  Discourtesy in the course of official duties  Other analogous circumstances/cases
  67. 67. Aide Memoire Administrative investigations shall be conducted without necessarily adhering strictly to the technical rules of procedure and evidence applicable to judicial proceedings.
  68. 68. End of Session

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