[ DSWD DEPARTMENT ORDER NO. 6, s. 2001, March 23, 2001 ]
RULES AND PROCEDURES IN THE CONDUCT OF ADMINISTRATIVE INVESTIGATION AND DISPOSITION OF CASES IN THE DEPARTMENT OF SOCIAL WELFARE AND DEVELOPMENT
Pursuant to and in accordance with Bk. V, Title I, Subtitle A, Chapter 6, Section 47 (2); and Bk. IV Chapter II Section 7 (3,4,5) of the Revised Administrative Code of 1987 and the implementing Rules and Regulations promulgated by the Civil Service Commission implementing the provisions of Executive Order No. 292, the following rules and procedures are hereby adopted.
SECTION 1. Title - These Rules shall be known as the Rules and Procedure in the conduct of Administrative Investigations in the Department of Social Welfare and Development.
SECTION 2. Definition of Terms - As used in these rules, the following terms shall be defined as follows:
2.1 Administrative case - one wherein an official or employee of the Department is formally investigated for an act or omission punishable as an offense under Civil Service Laws, the Administrative Code, and other laws pertaining to Public Officers and employees.
2.2 Complaint - is a pleading alleging the plaintiff s cause or causes of action.
2.3 Person Complained of - refers to the person who is the subject of a complaint but who is not as yet formally charged by the disciplining authority.
2.5 Investigating Officer/Body - Any official, employee or committee duly constituted and authorized to conduct the preliminary investigation for the purpose of filing the appropriate formal charges or any other appropriate actions as may be necessary.
2.6 Hearing Officer/Body - Any official or employee or committee duly constituted and authorized to conduct the Formal Investigation, or the hearing of the case.
2.7 Ex-parte - taken or granted at the instance and for the benefit of one party only, and without notice to or contestation by any person adversely affected.
SECTION 3. Declaration of Policy - The Department hereby adopts the policy of speedy disposition of cases in accordance with the 1987 Constitution and the Rules of Court.
SECTION 4. Coverage - These rules shall apply to all administrative cases brought before the Department of Social Welfare and Development involving its officers and employees except presidential appointees whose cases shall be referred to the Presidential Anti-Graft and Anti-Corruption Committee for appropriate action.
4.1 The Uniform Rules of Procedure adopted by the Civil Service Commission, and the Rules of Court shall be suppletory to the Rules adopted by the Department.
SECTION 5. Technical Rules in Administrative Investigations - Administrative investigations shall be conducted without necessarily adhering strictly to the technical rules of procedure and evidence applicable to judicial proceedings.
SECTION 6. General Jurisdiction - Pursuant to Bk. IV, Chapter II, Section 7 (5,8) of the Revised Administrative Code, the Secretary of the Department of Social Welfare and Development or his/her representative(s) shall hear and decide administrative cases instituted by, or brought before it against rank and file employees of the Department.
B. The Complaint
SECTION 7. Complaint - The Department may investigate on its own or on complaint by any person any act or omission of any of its employees when such act or omission appears to be illegal, unjust, or inefficient.
SECTION 10. Effect of Withdrawal of the Complaint - The withdrawal of the complaint does not result in its outright dismissal nor necessarily discharge the concerned employee from any administrative liability. The case may still be given due course when the charges are obviously meritorious and can be substantiated by evidence.
C. Formal Investigation
SECTION 11. Formal Charge - When a prima facie case is established, a formal charge shall be issued against the respondent by the disciplining officer, and the same shall be forwarded to the hearing officer. He shall be furnished with copies of the complaint, sworn statements and other documents submitted by the complainant.
11.1 The disciplining authority shall not entertain requests for clarification, bills of particulars or motions to dismiss which are obviously designed to delay the administrative proceedings. If any of these pleadings are interposed by the respondent, the same shall be considered as an answer and shall be evaluated as such.
SECTION 13. Hearing Officers - The Director of the Legal Services of the Department of Social Welfare and Development, his duly authorized representative(s),or anybody duly authorized by the disciplining authority shall act as hearing officer(s) in cases falling under the jurisdiction of the Central Office.
13.1 In the case of the Regional/Field Offices, the Assistant Regional Director, or any of the regional officers, not being a member of the Regional Anti-Graft and Anti-Corruption Committee (AGAC), duly authorized by the disciplining authority shall act as hearing officer(s).
SECTION 14. Conduct of Formal Investigation - The Formal Investigation shall be held not later than (10) ten days from receipt of the respondent s answer or after the period for filing his answer has expired. It shall be completed within sixty (60) days from the receipt of the answer or after the expiration of the period within which the answer should have been filed, unless the period is extended by the disciplining authority in meritorious cases.
D. Initiatory Proceedings
SECTION 15. Notice of Pre-Hearing conference - The notice of pre-hearing conference shall be served to the counsel, the parties and the immediate supervisor of the respondent.
SECTION 16. Pre-Hearing Conference - At the commencement of the formal investigation, the Hearing Officers, shall direct the parties to appear for a pre-hearing conference to consider and agree on the following:
SECTION 18. Request and issuance of Subpoena - If a party desires the attendance of a witness or the production of documents, he shall make a request for the issuance of the necessary subpoena duces tecum, at least three (3) days before the scheduled hearing.
18.1 The investigating officer may issue subpoena duces tecum for the production of documents or materials in determination of the existence of a prima facie case.
E. The Hearing Proper
SECTION 19. Preliminary Matters - At the start of the hearing, the hearing officer shall note the appearances of the parties and shall proceed with the reception of evidence for the prosecution.
19.1 If the respondent appears without the aid of a counsel, he shall be deemed to have waived such right.
19.2 Before taking the testimony of a witness, the hearing officer shall place him under oath and thereafter take his name, address, civil status, and other personal circumstance.
SECTION 20. Continuous Hearing Until Terminated; Postponement - Hearing shall be conducted on the dates set by the hearing officer, as agreed upon during the pre-hearing conference. Postponement shall not be allowed except in meritorious cases, provided that a party shall not be granted more than two (2) postponements.
20.1 The parties, their counsel and witnesses, if any, shall be given a notice at least five (5) days before the first scheduled hearing specifying the time, date and place of the said hearing and subsequent hearings. Thereafter, the schedule of hearing previously set shall be strictly followed without further notice.
20.2 If the respondent fails or refuses to appear during the scheduled investigation the same shall proceed ex parte and the respondent is deemed to have waived his right to be present and to submit evidence in his favor.
SECTION 21. Appearance of Counsel - Any counsel appearing before any hearing or investigation being conducted by the Department or by any of its offices shall manifest orally in writing his appearance for a party, stating his name and exact address at which he may be served with copies of decisions and other communications. Any pleading signed by him without complying with the above stated requirements shall not be recognized. Neither shall he be allowed to prosecute or defend a case.
SECTION 22. Objections - All objections raised during the hearing shall be resolved or be noted accordingly by the hearing officer.
22.1 The hearing officer shall accept all evidence deemed material and relevant to the case. In case of doubt, he should allow the admission of evidence subject to the objection interposed by the opposing party.
SECTION 23. 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 complete records of the case and shall be systematically and chronologically bound.
SECTION 24. Testimonies and Records of Proceedings - The sworn affidavits or statements of the parties or their witnesses shall constitute their direct testimonies. The hearing officer shall record in his own handwriting clarificatory questions to the parties and their witnesses, as well as the answers thereto. Such record and other notes made by the Hearing Officer shall form part of the records of the case.
SECTION 25. Submission of Memorandum - Parties may submit their respective memoranda within five (5) days from termination of the hearing. Failure to submit the same within the given period shall be considered a waiver thereof.
SECTION 26. Report of Investigation - Within fifteen (15) days after the conclusion of the formal investigation a report containing a narration or the material facts established during the investigation as well as the recommendations, shall be submitted to the disciplining authority by the Hearing Officer. The complete records of the case shall be attached to the Report of Investigation.
F. Decision
SECTION 27. Decision on the Case - The disciplining authority shall render a decision in writing thirty (30) days from the termination of the investigation or receipt of the Report of Investigation, together with the complete records of the case.
SECTION 28. Finality of Decisions - A decision rendered by heads of agencies whereby a penalty of suspension for not more than thirty (30) days or a fine in an amount not exceeding thirty (30) days salary is imposed, shall be final and executory. However, if the penalty imposed is suspension exceeding thirty (30) days or a fine in an amount exceeding thirty (30) days salary, the same shall be final and executory after the lapse of the reglementary period for filing a motion for reconsideration or an appeal and no such motion or appeal was duly filed.
G. Motion for Reconsideration
SECTION 30. Filing of Pleadings, Motions for Reconsideration, Appeals and other Documents - Any pleading, motion, appeal and other similar documents when sent by registered mail shall be deemed filed in the date shown by the postmark on the envelope which shall be attached to the record of the case and in case of personal delivery, the date stamped by the Department of Social Welfare and Development.
SECTION 31. Grounds of Motion for Reconsideration - The motion for reconsideration shall be based only on any of the following:
31.1 (a) New evidence has been discovered which materially affects the decision rendered; or,
31.2 (b) The decision is not supported by the evidence on record; or
31 .3 (c) Errors of law or irregularities have been committed prejudicial to the interest of the service.
Only one motion for reconsideration shall be entertained.
H. Appeal
SECTION 32. In cases decided by the Regional/ Field Offices, appeal can be forwarded to the Central Office, but only after the aggrieved party s motion for reconsideration has been denied.
32.1 In cases decided by the Central Office, appeal shall be made to the Civil Service Commission.
I. Preventive Suspension
SECTION 33. The proper disciplining authority may preventively suspend any subordinate officer, or employee under his authority pending an investigation, if the charge against such officer or employee involves;
SECTION 35. The period within which a public officer or employee charged is placed under preventive suspension shall not be considered part of the actual penalty of suspension imposed upon the employee found guilty.
SECTION 36. Effectivity - These Rules shall take effect fifteen (15) days after publication in a newspaper of general circulation, and upon filing of the same to the University of the Philippines Law Center.
Adopted: 23 March 2001
(SGD.) CORAZON JULIANO-SOLIMAN
Secretary
SECTION 1. Title - These Rules shall be known as the Rules and Procedure in the conduct of Administrative Investigations in the Department of Social Welfare and Development.
SECTION 2. Definition of Terms - As used in these rules, the following terms shall be defined as follows:
2.1 Administrative case - one wherein an official or employee of the Department is formally investigated for an act or omission punishable as an offense under Civil Service Laws, the Administrative Code, and other laws pertaining to Public Officers and employees.
2.2 Complaint - is a pleading alleging the plaintiff s cause or causes of action.
2.3 Person Complained of - refers to the person who is the subject of a complaint but who is not as yet formally charged by the disciplining authority.
2.5 Investigating Officer/Body - Any official, employee or committee duly constituted and authorized to conduct the preliminary investigation for the purpose of filing the appropriate formal charges or any other appropriate actions as may be necessary.
2.6 Hearing Officer/Body - Any official or employee or committee duly constituted and authorized to conduct the Formal Investigation, or the hearing of the case.
2.7 Ex-parte - taken or granted at the instance and for the benefit of one party only, and without notice to or contestation by any person adversely affected.
SECTION 3. Declaration of Policy - The Department hereby adopts the policy of speedy disposition of cases in accordance with the 1987 Constitution and the Rules of Court.
SECTION 4. Coverage - These rules shall apply to all administrative cases brought before the Department of Social Welfare and Development involving its officers and employees except presidential appointees whose cases shall be referred to the Presidential Anti-Graft and Anti-Corruption Committee for appropriate action.
4.1 The Uniform Rules of Procedure adopted by the Civil Service Commission, and the Rules of Court shall be suppletory to the Rules adopted by the Department.
SECTION 5. Technical Rules in Administrative Investigations - Administrative investigations shall be conducted without necessarily adhering strictly to the technical rules of procedure and evidence applicable to judicial proceedings.
SECTION 6. General Jurisdiction - Pursuant to Bk. IV, Chapter II, Section 7 (5,8) of the Revised Administrative Code, the Secretary of the Department of Social Welfare and Development or his/her representative(s) shall hear and decide administrative cases instituted by, or brought before it against rank and file employees of the Department.
SECTION 6.1 The Central Office shall have exclusive and original jurisdiction over cases involving regional employees regardless of the offense involved.
6.1.1. The Central Office shall also have original jurisdiction over cases involving regional employees formally charged with a grave offense, or if the penalty warrants dismissal from the service.
6.1.2 In cases wherein two or more charges are filed against an employee, jurisdiction shall be determined based on the most serious offense involved.
SECTION 6.2 Jurisdiction of the Regional Offices - The Regional/Field Offices, shall have jurisdiction over cases involving its employees wherein the charge/s involved are light and/or less grave offenses, except if the penalty imposable is dismissal from the service.
B. The Complaint
SECTION 7. Complaint - The Department may investigate on its own or on complaint by any person any act or omission of any of its employees when such act or omission appears to be illegal, unjust, or inefficient.
7.1 Anonymous complaints may be entertained if there is obvious truth or merit to the allegations therein, or supported by documentary or direct evidence, as verified by the fact finding committee concerned.SECTION 8. Action on the Complaint - Upon receipt of the complaint, the investigating officer/body shall require the person complained of to submit a Counter/Affidavit/Comment under oath within three (3) days from receipt thereof. Non-submission of a counter-affidavit/comment shall be considered waiver on the part of the person complained of.
7.2 All complaints by private parties shall be made in writing and subscribed and sworn to by the complainant otherwise it shall not be given due course.
7.3 The complaint shall be written in clear, simple and concise language to apprise the official/employee concerned of the nature and cause of such accusation.
7.4 The same shall contain the following:
7.4.1(a) full name and address of the complainant;7.5 The disciplining authority shall refer all complaints to the investigating officer or body for appropriate action.
7.4.2(b) the full name and address of the respondent as well as his position and office of employment
7.4.3(c) a narration of the relevant and material facts which shows the acts or omission allegedly committed by said employees;
7.4.4(d) a certification or statement of non-forum shopping
7.4.5(e) The complainant shall also submit certified true copies of documentary evidence and affidavits of witnesses, if any.
8.1 The investigating officer/body then shall evaluate and determine the sufficiency of the evidences presented. He/They shall decide whether a fact/finding or preliminary investigation is still needed, or if the evidence is sufficient, then he/they shall recommend to the proper disciplining authority the immediate issuance of the formal charge.SECTION 9. Duration of the Investigation - The fact-finding/preliminary investigation shall be terminated within a period of thirty (30) days from receipt of the complaint by the investigating officer/body, unless a longer period is warranted which should be justified, and with the approval of the disciplining authority.
8.2 In cases under the jurisdiction of the Central Office, the Administrative Director, or any other official/s designated by the Secretary shall act as the investigating officer/s. In cases under the jurisdiction of the Regional/Field Offices, the Anti-Graft and Anti-Corruption Committee concerned shall perform such function.
SECTION 10. Effect of Withdrawal of the Complaint - The withdrawal of the complaint does not result in its outright dismissal nor necessarily discharge the concerned employee from any administrative liability. The case may still be given due course when the charges are obviously meritorious and can be substantiated by evidence.
C. Formal Investigation
SECTION 11. Formal Charge - When a prima facie case is established, a formal charge shall be issued against the respondent by the disciplining officer, and the same shall be forwarded to the hearing officer. He shall be furnished with copies of the complaint, sworn statements and other documents submitted by the complainant.
11.1 The disciplining authority shall not entertain requests for clarification, bills of particulars or motions to dismiss which are obviously designed to delay the administrative proceedings. If any of these pleadings are interposed by the respondent, the same shall be considered as an answer and shall be evaluated as such.
SECTION 12. Time within which to file an answer; failure thereof - The respondent shall file the formal answer within (5) five working days, from receipt of the formal charges. The answer shall be under oath, accompanied by affidavits and other evidences supporting his claims and defenses.12.1 Failure on the part of the respondent to file an answer shall be construed as a waiver of such right and the formal investigation shall proceed accordingly.
SECTION 13. Hearing Officers - The Director of the Legal Services of the Department of Social Welfare and Development, his duly authorized representative(s),or anybody duly authorized by the disciplining authority shall act as hearing officer(s) in cases falling under the jurisdiction of the Central Office.
13.1 In the case of the Regional/Field Offices, the Assistant Regional Director, or any of the regional officers, not being a member of the Regional Anti-Graft and Anti-Corruption Committee (AGAC), duly authorized by the disciplining authority shall act as hearing officer(s).
SECTION 14. Conduct of Formal Investigation - The Formal Investigation shall be held not later than (10) ten days from receipt of the respondent s answer or after the period for filing his answer has expired. It shall be completed within sixty (60) days from the receipt of the answer or after the expiration of the period within which the answer should have been filed, unless the period is extended by the disciplining authority in meritorious cases.
SECTION 15. Notice of Pre-Hearing conference - The notice of pre-hearing conference shall be served to the counsel, the parties and the immediate supervisor of the respondent.
SECTION 16. Pre-Hearing Conference - At the commencement of the formal investigation, the Hearing Officers, shall direct the parties to appear for a pre-hearing conference to consider and agree on the following:
16.1.a. Dates of subsequent hearings;SECTION 17. The parties may agree to submit the case for resolution based on the result of the pre-hearing conference without any need for further hearings.
16.2.b. Simplification of issues;
16.3.c. Stipulation of facts;
16.4.d. Limiting the number of witnesses, and their names;
16.5.e. Identification and marking of evidence of the parties;
16.6.f. Waiver of objections to admissibility of evidence; and
16.7.g. Such other matters as may aid in the prompt and just resolution of the case;
16.8. The hearing proper shall be conducted in accordance with the agreed terms and conditions in the pre-hearing conference.
SECTION 18. Request and issuance of Subpoena - If a party desires the attendance of a witness or the production of documents, he shall make a request for the issuance of the necessary subpoena duces tecum, at least three (3) days before the scheduled hearing.
18.1 The investigating officer may issue subpoena duces tecum for the production of documents or materials in determination of the existence of a prima facie case.
E. The Hearing Proper
SECTION 19. Preliminary Matters - At the start of the hearing, the hearing officer shall note the appearances of the parties and shall proceed with the reception of evidence for the prosecution.
19.1 If the respondent appears without the aid of a counsel, he shall be deemed to have waived such right.
19.2 Before taking the testimony of a witness, the hearing officer shall place him under oath and thereafter take his name, address, civil status, and other personal circumstance.
SECTION 20. Continuous Hearing Until Terminated; Postponement - Hearing shall be conducted on the dates set by the hearing officer, as agreed upon during the pre-hearing conference. Postponement shall not be allowed except in meritorious cases, provided that a party shall not be granted more than two (2) postponements.
20.1 The parties, their counsel and witnesses, if any, shall be given a notice at least five (5) days before the first scheduled hearing specifying the time, date and place of the said hearing and subsequent hearings. Thereafter, the schedule of hearing previously set shall be strictly followed without further notice.
20.2 If the respondent fails or refuses to appear during the scheduled investigation the same shall proceed ex parte and the respondent is deemed to have waived his right to be present and to submit evidence in his favor.
SECTION 21. Appearance of Counsel - Any counsel appearing before any hearing or investigation being conducted by the Department or by any of its offices shall manifest orally in writing his appearance for a party, stating his name and exact address at which he may be served with copies of decisions and other communications. Any pleading signed by him without complying with the above stated requirements shall not be recognized. Neither shall he be allowed to prosecute or defend a case.
SECTION 22. Objections - All objections raised during the hearing shall be resolved or be noted accordingly by the hearing officer.
22.1 The hearing officer shall accept all evidence deemed material and relevant to the case. In case of doubt, he should allow the admission of evidence subject to the objection interposed by the opposing party.
SECTION 23. 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 complete records of the case and shall be systematically and chronologically bound.
SECTION 24. Testimonies and Records of Proceedings - The sworn affidavits or statements of the parties or their witnesses shall constitute their direct testimonies. The hearing officer shall record in his own handwriting clarificatory questions to the parties and their witnesses, as well as the answers thereto. Such record and other notes made by the Hearing Officer shall form part of the records of the case.
SECTION 25. Submission of Memorandum - Parties may submit their respective memoranda within five (5) days from termination of the hearing. Failure to submit the same within the given period shall be considered a waiver thereof.
SECTION 26. Report of Investigation - Within fifteen (15) days after the conclusion of the formal investigation a report containing a narration or the material facts established during the investigation as well as the recommendations, shall be submitted to the disciplining authority by the Hearing Officer. The complete records of the case shall be attached to the Report of Investigation.
F. Decision
SECTION 27. Decision on the Case - The disciplining authority shall render a decision in writing thirty (30) days from the termination of the investigation or receipt of the Report of Investigation, together with the complete records of the case.
SECTION 28. Finality of Decisions - A decision rendered by heads of agencies whereby a penalty of suspension for not more than thirty (30) days or a fine in an amount not exceeding thirty (30) days salary is imposed, shall be final and executory. However, if the penalty imposed is suspension exceeding thirty (30) days or a fine in an amount exceeding thirty (30) days salary, the same shall be final and executory after the lapse of the reglementary period for filing a motion for reconsideration or an appeal and no such motion or appeal was duly filed.
G. Motion for Reconsideration
SECTION 30. Filing of Pleadings, Motions for Reconsideration, Appeals and other Documents - Any pleading, motion, appeal and other similar documents when sent by registered mail shall be deemed filed in the date shown by the postmark on the envelope which shall be attached to the record of the case and in case of personal delivery, the date stamped by the Department of Social Welfare and Development.
SECTION 31. Grounds of Motion for Reconsideration - The motion for reconsideration shall be based only on any of the following:
31.1 (a) New evidence has been discovered which materially affects the decision rendered; or,
31.2 (b) The decision is not supported by the evidence on record; or
31 .3 (c) Errors of law or irregularities have been committed prejudicial to the interest of the service.
Only one motion for reconsideration shall be entertained.
SECTION 32. In cases decided by the Regional/ Field Offices, appeal can be forwarded to the Central Office, but only after the aggrieved party s motion for reconsideration has been denied.
32.1 In cases decided by the Central Office, appeal shall be made to the Civil Service Commission.
SECTION 33. The proper disciplining authority may preventively suspend any subordinate officer, or employee under his authority pending an investigation, if the charge against such officer or employee involves;
33.1 (a) dishonesty;SECTION 34. When the administrative case against a non-presidential officer or employee under preventive suspension is not finally decided by the disciplining authority within the period of ninety (90) days after the date of his preventive suspension, he shall be automatically reinstated in the service; provided, that when the delay in the disposition of the case is due to the fault, negligence or petition of the respondent, the period of delay should not be included in the counting of the ninety (90) calendar day-period of preventive suspension.
33.2 (b) oppression;
33.3 (c) grave misconduct;
33.4 (d) neglect in the performance of duty, or
33.5 (e) if there are reasons to believe that the respondent is guilty of charges which would warrant his removal from the service.
SECTION 35. The period within which a public officer or employee charged is placed under preventive suspension shall not be considered part of the actual penalty of suspension imposed upon the employee found guilty.
SECTION 36. Effectivity - These Rules shall take effect fifteen (15) days after publication in a newspaper of general circulation, and upon filing of the same to the University of the Philippines Law Center.
Adopted: 23 March 2001
(SGD.) CORAZON JULIANO-SOLIMAN
Secretary