SOP No: 03001

SOP Library

SOP NO: 03001 (List of Exhibits/Attachments)

Mission: Finance and Administration

Area: Human Resource (HR)

Activity: Career Development and Performance Evaluation (HR-CD)

Title:

Policies and Procedures on Administrative Proceedings

Date Approved/Issued: 10/19/1976

Date Effective: 10/19/1976

Digest:

I. TERMS OF REFERENCE

A. Rationale

B. Objective

C. Scope

D. Basis

II. IMPLEMENTING GUIDELINES

Statement of Policies

1. General

No officer or employee of the NGA shall be suspended, fined or dismissed except for cause as provided by law and after due process.

The following shall be grounds for disciplinary action:

1. Dishonesty

2. Oppression

3. Neglect of duty

4. Misconduct

5. Disgraceful and immoral conduct

6. Being notoriously undesirable

7. Discovery in the course of official duties

8. Inefficiency and incompetence in the performance of offiical duties

9. 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 other valuable thing is given by any person in the hope of expectation of receiving a favor or better treatment than that accorded other persons, or committing acts punishable under the anti-graft laws

10. Conviction of a crime involving moral turpitude

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

12. Violation of existing Civil Service Law and Rules or reasonable office regulations

13. Falcification of official document

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

15. Habitual drunkenness

16. Gambling prohibited by law

17. Refusal to perform official duty or render overtime services

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

19. Physical or mental incapacity or disability due to immoral or vicious habits

20. Borrowing money by suoperior officers from subordinates or lending by subordinates to superior officers

21. Lending money at usurious rates of interests

22. Willful failure to pay just debts or willful failure to pay taxes due to the governments;

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

24. Pursuit of private business, vacation or profession without the permission required by Civil Service Rules and Regulations;

25. Insubordination;

26. Engaging directly or indirectly in partisan political activities by one building a non-political office;

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

28. Lobbying for personal interest of the service;

29. 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; and

30. Nepotism as defined in Section 49 of PD 807.

2. Administrative Machinery

The units that compose the basic organization structure are as follows:

Administrative and General Services Directorate (AGS) - Hearing Officer

Office of the Corporate Legal Counsel (CLC) - Prosecuting Officer

Office of Security Affairs (OSA) - Investigating Officer

3-Man Committee - to review recommendations of AGS when penalty imposed is suspension for more than 8 months and 1 day to one year or demotion in rank or salary of not more than 3 grades or fine in an amount exceeding 3 months salary or higher penalties.

EXCOM - to decide and confirm recommendations of the 3-man committee

Administrator - final approval and signature of decisions

Council - confirmation of approved decisions

A. What complaints may be given due course

Only complaints against any officer or employee which are in wrting and sworn to by the complainant shalll be entertained except when such complaints emanate from the Administrator who may order OSA to conduct fact-finding investigations. Complaints initiated by Heads of Directorates/Offices against employees under their jurisdiction shall also be in writing but may not be subscribed and sworn to.

B. Preliminary (Fact-Finding) Investigation

Fact-finding investigation shall be undertaken by OSA which shall prepare a report on the facts gathered and documentary evidences and submit the same to CLC.

Provided, that when the respondent or one of the respondents is a personnel of OSA including regional and provincial investigators, the Legal Office shall undertake both fact-finding investigation and the prosecution thereof, provided that when the respondents or one of the respondents is a personnel of the Legal Office, the OSA shall undertake both fac-finding investigation and the prosecution thereof, provided finally, that the Adminstrator or his duly authorized representative or Head of Directorate/Office may conduct preliminary investigations against erring employee under their respective jurisdictions in coordination with OSA and submit their investigation report to CLC for prosecution.

C. Formal Charge

The preparation of a formal charge shall be the responsibility of the Legal Office based on the facts and documentary evidences gathered and submitted by OSA except when the respondent or one of the respondents has an employee of Legal Office in which case the provisions of the paragraph of letter B above shall be observed.

D. Summary Disciplinary Action

Pursuant to the provisions of Sec. 4D PD 807 and Sec. 6 PD 4 the respondent-employee may be immediately removed or dismissed byt he Administrator with the consent of the NGA Council without formal investigation or hearing if any of the following circumstances is present:

D.1 When the charge is serious and the evidence of guilt is strong;
D.2 When the respondent is a recidivist or has been repeatedly charged and there is reasonable ground to believe that he is guilty fof the present charge; and
D.3 When the respondent is notoriously undesirable.

Provided , that before the decision for summary dismissal is rendered, the respondent-employee must have been notified of the charge against him, the grounds for the disciplinary action and a brief statement of the material and relevant facts accompanied by certified true copies of documentary evidences if any, and must have been given the chance to explain his side.

E. Formal Investigation/Hearing

In the absence of any of the circumstances mentioned in D1, 2 & 3, formal hearing shall be conducted by AGS based on the formal charge prepared by Legal Office; provided, that when the respondent or one of the respondents is a Regional Director, Provincial Manager or Head of Directorate/Office, formal investigation shalll be conducted by a committee duly designated by the Administrator; provided further, that when the respondent or one of the respondents is an employee of AGS, the formal investigation shall be conducted by Legal Office based on the formal charge prepared by OSA consistent with the provisions of paragraphs B & C above.

F. Preventive Suspension

The Administrator may, upon recommendation of the Legal Office or OSA preventively suspend any officer or employee pending a formal investigation of the charge against such officer or employee involves dishonesty, oppression or gross misconduct or neglect in the performance of duty or if there is strong reasons to believe that the respondent is guilty of the charge which would warrant his removal from the service. (Sec. 41, Article IX, PD 807).

G. Lifting of preventive suspension pending administrative investigation

When the administrative case against any officer or employee is not finally decided within a period of 90 days after the date of the suspension of the respondent, such respondent 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 such delay shall not be counted in computing the period of such suspension; provided further, that accountable officers or employees and those whose duties afford opportunity for misappropriation or embezzlement and those charged with acts or omissions involving graft and corruption shall, upon reinstatement in the service pending investigation of their case, be reassigned to non-accountable positions or positions not directly connected therewith until their case is finally decided. (Sec. 40 PD 807, Sec. 22, 23 and 35 Article XVIII CSC Rules)

H. Decision

Decisions on administrative charges shall be prepared by AGS, Legal Office or a committee duly designated by the Administrator as the case may be for the approval and signature of the Administrator. In arriving at recommendations for decisions, the hearing officer/committee shall adopt the guidelines established in CSC Memo Circular #8 Serious 1970 re "Guidelines in the Application of Penalties in Administrative Cases and other Matters Relative Thereof."

The Administrator shall upon his approval of the recommendation of the hearing officer/committee and with the consent of the NGA Council either dismiss, suspend, fine, reprimand, demote, transfer the respondent. The decision shall be final in case the penalty imposed is suspension for not more than 30 days or -fine in an amount not exceeding 30 days salary; (Sec. 6, PD 4 Sec. 37, PD 807) provided , that a penalty for suspension for slary of not more than 3 grades or fine in an amount exceeding 3 months salary or higher penalties shall pass thru a 3-man committee to be designated by the EXCOM for review/evaluation before the approval of the Administrator; provided, that members of the 3-man committee shall not come from the directorates/offices involved, and should be one rank higher than the subject of the complaint; provided further that the 3-man committee shall review the recommendation of the hearing officer/committee and may after review/evaluation confirm the recommendation of said hearing officer/committe or recommend to EXCOM the imposition of a ligher penalty or for further investigation/evaluation of the case.

The 3-Man Committee shall reach a decision within a period not exceeding 90 days which is the period for preventive suspension.

I. Petition for Reconsideration

The respondent-employee may within 5 days upon receipt of the decision file with the Administrator a petition for reconsideration. A petition for reconsideration shall be based only on the following grounds:

I.1 New evidence on record has been gathered which materially affects the decision rendered;

I.2 The decision is not supported by the evidence on record; and

I.3 Errors of law or irregularities have been committed prejudicial to the interest of the respondent.

Provided, that only one petition for reconsideration shall be entertained. (Sec. 39 PD 807).

J. Stenographic Notes

The respondent(s) shall request be furnished bythe hearing body copies of the transcript of stenographic notes free of charge.

K. Appeals

In case the penalty imposed is dismissal or suspension for more than 30 days or fine in an amount exceeding 30 days salary demotion in rank or salary or transfer, the respondent may appeal the decision to the CSC within 15 days from the receipt of the decision (Sec. 39 PD 807).

L. Formal Administrative Procedures

Responsibility Action

OSA 1. Within 24 hours upon receipt of a complaint or request for investigation, conducts fact-finding investigations; may request employee-respondent to explain in writing why no formal charge should be filed against him.

2. Prepares and submits investigation report together with

documentary evidences and the respondent's explanation, if any to the Legal Office.

CLC

3. Evaluates investigation report, documentary evidences

and the respondent's explanation, if any.

4. Determines the merits of the case.

4.1 If the case if meritorious, proceed to procedure 5

otherwise go to procedure 28-31.

5. Prepares the formal charge.

6. Determines if there is need to preventively suspend the employee-respondent.

6.1 If there is need, prepares order of preventive suspension.

7. Forwards formal charge and order of preventive suspension. if any to the Administrator.

8. Approves formal charge and order of preventive suspension, if any.

8.1 If approved, proceed to procedure 8, otherwise

go to procedures 3 & 4.

9. Forwards formal charge and order of preventive suspension if any to AGS.

10. Serves copy of formal charge and order of preventive suspension if any to the respondent, copy furnished CLC, OSA and the respondent's head.

11. Receives and evaluates respondent's answer to the formal charge.

12. Evaluates the case to determine if summary dismissal is

applicable.

12.1 If summary dismissal is applicable go to procedure 27, otherwise proceed to 13.

13. Conducts formal hearing.

14. Prosecutes the case against the respondent.

15. Prepares recommendation/decision.

15.1 If penalty imposed is suspension for more than 8 months and 1 day to one year or demotion in rank or salary of not more than 3 grades or fine in an amount exceeding 3 months salary or higher penalties requests EXCOM to designate a 3-man committee to review/evaluate the records of the case and the recommendation. Proceed to procedure 16.

15.2 If the penalty imposed is loer than the above-mentioned, recommends approval of decision to the Administrator. Go to procedure 20.

3-man committee 16. Reviews/evaluates the records of the case and decides on the recommendation of AGS.

16.1 If the recommendation of AGS is confirmed, recommends approval of decision to the Administrator. Go to procedure 20.

16.2 If the 3-man committee decides to impose a lighter penalty, prepares recommendation to EXCOM. Proceed to 17.

EXCOM 17. Evaluates the records of the case and the penalty imposed.

18. Votes on the decision of the 3-man committe and recommends approval to the Administrator.

18.1 If the EXCOM voted against the decision of the 3-man committee go to 16.

18.2 If the EXCOM voted for the recommendation of the 3-man committee, proceed to 19.

19. Recommends approval of the decision of the 3-man committee to the Administrator.

ADM 20. Approves decision.

21. Forwards decision and records of the case to aGS.

AGS 22. Serves copy of decision to respondent, copy furnished CLC, CSC, personnel/records section and the respondent's head.

23. Prepares memo to NGA Council for confirmation of the decision.

Council 24. Confirms decision.

25. Forwards confirmation letter to AGS.

AGS 26. Files confirmation letter.

When summary dismissal is appliable

AGS 27. Prepares decision to summarily dismiss the employee-respondent and requests EXCOM to designate a 3-man committee to review/evaluate the records of the case the penalty imposed. Go to procedure 16.

When case is not meritorious

CLC 28. Recommends to the Administrator the dismissal of the case for lack of merit.

ADM 29. Approves recommendation.

29.1 If recommendation is disapproved, go to procedure 3-4, otherwise proceed to procedure 30.

30. Forwards approved recommendation to AGS.

AGS 31. Serves copy of decision to dismiss the case to the employee-respondent copy-furnished OSA, CLC, personnel/records section and the respondent's head.

III. RESPONSIBILITIES

Immediate Disciplinary Actions for Light Offenses

Policies

Pursuant to the provisions of Sec. 37 (b&c) of PD 807 and Sec. 6 of PD 4 formal investigation may be entrusted to Regional Directors and Heads of Directorates/Offices against erring employee under their jurisdiction. As an initial step towards full decentralization of the implementation of the NGA Administrative machinery, the authority and responsibility to handle the investigation and the imposition of penalty of the following light offenses shall be delegated now to the Regional Directors and Heads of Directorates/Offices.

1. Frequent unauthorized absences or tardiness

2. Habitual drunkeness within office premises

3. Gambling within office premises

4. Willful failure to pay just debts

5. Willful failture to pay just debts due to the government

6. Frequent absences or tardiness in reporting for duty, or frequent absences from

duty during regular office hours

7. Wilflful violation of reasonable office rules and regulations.

The penalties for light offenses shall be in accordance with the following ranges depending on the attendant mitigating and/or aggravating circumstances:

1. Reprimand or fine or suspension from one day to ten days in its minimum period;

2. Fine or suspension for eleven days to twenty days in its medium period; and

3. Fine or suspension for twenty days to thirty days in its meximum period.

Procedures

a) Provincial Managers, Heads of Directorates/Offices and Regional Directors or their duly authorized representative shall undertake fact-finding investigation.

b) Said Officials, after fact-finding investigation, shall determine the merits of the case. If the case is meritorious, a formal charge shall be prepared and the case heard and a decision rendered. Should the case merits no further action, the disciplining officials can immediately dismiss the case for lack of merit. Decisions shall be rendered by the disciplinary officials within 30 days from the termination of the investigation or submission of the report of the investigation.

c) Copies of all decisions shall be furnished the AGS which shall be responsible for having them confirmed by the Administrator.

d) Requests for reconsideration of decisions taken shall be filed with an evaluated by the Regional Directors and Heads of Directorates/Offices.

e) Decisions of Regional Directors and Heads of Directorates/Offices shall be final.

IV. Miscellaneous Provisions

1. When an offense is committed, a record containing the nature of the offense, the employee involved and the surrounding circumstances should be properly established and maintained per employee. Likewise, records should also be made of the action taken.

2. In case the action taken by the disciplining officials is a written warning, a copy thereof shall be furnished to the Administrative Officer of the Regional Office for field offices and to the AGS for Central Office. Those would become part of the personnel file of the employee concerned which would be taken into consideration in cases of promotion, transfer and other personnel actions.

3. The assistance of OSA for central office or police/military for field offices shall be sought immediately in case of criminal offenses requiring their attendance.

IV. FLOW CHART
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