SOP Library
SOP NO:
SS-LG07
(List of Exhibits/Attachments)
Mission
:
Support Staff Services
Area:
Title:
Revised Rules on Administrative Disciplinary Proceedings
Date Approved/Issued:
09/11/2003
Date Effective:
Digest:
I. TERMS OF REFERENCE
A. Rationale
B. Objective
C. Scope
D. Basis
II. IMPLEMENTING GUIDELINES
A.
General Provisions
1.
Jurisdiction
The Administrator is the disciplining authority. As such, he shall have the power to initiate the conduct of preliminary investigation and the filing of formal charge, conduct formal investigations and decide administrative cases filed against NFA erring officials and employees.
The Administrator may entrust the conduct of formal investigation of administrative cases to the Regional Managers or other officials, with the issuance of Special Order, who shall then make the necessary report and recommendation to him within the period prescribed under these rules.
2.
Due Process
No officer or employee of the NFA shall be removed or suspended or otherwise penalized except for cause as provided by law and after due process.
3.
Classification of Offense and the corresponding penalties:
3.1
The following are grave offenses.
3.1.1
Grave offenses with the corresponding penalty of Dismissal
(a)
Dishonesty
(b)
Gross neglect of duty
(c)
Grave misconduct
(d)
Being notoriously undesirable
(e)
Conviction of crime involving moral turpitude
(f)
Falsification of official document
(g)
Physical or mental incapacity or disability due to immoral or vicious habits
(h)
Engaging directly or indirectly in partisan political activities by one holding nonpolitical office
(i)
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 or expectation of receiving a favor or better treatment than that accorded to other persons or committing acts punishable under the anti-graft laws.
(j)
Contracting loans or money or other property from persons with whom the office of the employee has business relations.
(k)
Soliciting or accepting directly or indirectly any gift, gratuity, favor, entertainment, loan or anything of monetary value which in the course of his official duties or in connection with any operation being regulated by, or any transaction which may be affected by the functions of his office. The propriety or impropriety of the foregoing shall be determined by its value, kinship, or relationship between giver and receiver and the motivation. The thing of monetary value is one which is evidently or manifestly excessive by its very nature.
(l)
Disloyalty to the Republic of the Philippines and to the Filipino People.
(m)
Nepotism
3.1.2
Other grave offenses
:
First offense -suspension of six (6) months and one day to one (1) year, Second offense - dismissal
(a)
Oppression
(b)
Disgraceful and immoral conduct
(c)
Inefficiency and incompetence in the performance of official duties
(d)
Frequent unauthorized absences, loafing or frequent unauthorized absences from duty during regular office hours
(e)
Refusal to perform official duty
(f)
Gross insubordination
(g)
Conduct grossly prejudicial to the best interest of the service
(h)
Directly or indirectly having financial and material interest in any transaction requiring the approval of his office. Financial and material interest is defined as pecuniary or proprietary interest by which a person will gain or lose something
(i)
Owning, controlling, managing or accepting employment as officer, employee, consultant, counsel, broker, agent, trustee, or nominee in any private enterprise regulated, supervised or licensed by his office, unless expressly allowed by law.
(j)
Disclosing or misusing confidential or classified information officially known to him by reason of his office and not made available to the public, to further his private interests or give undue advantage to anyone or to prejudice the public interest.
(k)
Obtaining or using any statement filed under the Code of Conduct and Ethical Standards for Public Officials and Employees for any purpose contrary to morale or public policy or any commercial purpose other than by news and communications media for dissemination to the general public.
(l)
Recommending any person to any position in a private enterprise which has a regular or pending official transaction with his office, unless such recommendation or referral is mandated by (1) law, (2) international agreements, commitment, and obligation, or as the function of his office.
3.1.3
Less Grave Offenses:
First offense -suspension for one (1) month to six (6) months; Second offense - dismissal
.
(a)
Simple neglect of duty
(b)
Simple misconduct
(c)
Gross discourtesy in the course of official duties
(d)
Insubordination
(e)
Habitual drunkenness
(f)
Unfair discrimination in rendering public service due to party affiliation of his office.
(g)
Failure to file Sworn Statements of Assets, Liabilities, and Net Worth, and Non-disclosure of Business Interest and Financial Connections including those of their spouses and unmarried children under eighteen (18) years of age living in their households.
(h)
Failure to resign from his position in the private business enterprise within thirty (30) days from assumption of public office when conflict of interest arises and/or failure to divest himself of his share holdings or interest in private business enterprise within sixty (60) days from assumption of public office when conflict of interest arises: Provided however, that where a conflict of interest arises for those who are already in the service, the official or employee must either resign or divest himself of said interest within the periods herein-above provided, reckoned from the date when conflict of interest had arisen.
3.1.4
Light Offenses -
First offense - reprimand; Second offense -suspension for one (1) day to thirty (30) days; Third Offense - dismissal.
(a)
Discourtesy in the course of official duties
(b)
Improper or unauthorized solicitation of contributions from subordinate employees and by teachers of school officials from school children.
(c)
Violation of reasonable office rules and regulations.
(d)
Frequent unauthorized tardiness (Habitual Tardiness).
(e)
Gambling prohibited by law
(f)
Refusal to render overtime service.
(g)
Disgraceful, immoral, or dishonest conduct prior to entering the service.
(h)
Borrowing money by superior officers from subordinates.
(i)
Lending money at unconscionable rates of interest.
(j)
Willful failure to pay just debts. The term “just debts” shall apply only to: (1) claims adjudicated by a court of law, or (2) claims the existence and justness of which are admitted by the debtor.
(k)
Willful failure to pay taxes due to the government.,
(l)
Pursuit of private business, vocation or profession without the permission required by civil service rules and regulations.
(m)
Lobbying for personal interest or gain in legislative halls and offices without authority.
(n)
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.
(o)
Failure to act promptly on letters and requests within fifteen (15) days from receipt, except as otherwise provided in the rules implementing the Code of Conduct and Ethical Standards for Public Officials and Employees.
(p)
Failure to attend to anyone who wants to avail himself of the services of the office, or act promptly and expeditiously on public transactions.
(q)
Engaging in the private practice of his profession unless authorized by the constitution, law or regulation, provided that such practice will not conflict with his official functions.
4.
Other Forms of Penalties
4.1
Transfer. The transfer may be from one department or agency to another, or from one organizational unit to another in the same department or agency.
4.2
Demotion. The movement may be from one organizational unit to another in the same department or agency.
4.3
Imposition of fine. It involves the payment of sum of money for an offense committed.
4.4
A reprimand shall be considered a penalty. However, a warning and admonition shall not be considered a penalty.
The penalty of transfer or demotion or fine may be imposed instead of suspension from one month and one (1) day to one (1) year except in case of fine which shall not exceed the equivalent of six (6) months salary.
The penalty of forced resignation may be imposed instead of dismissal.
The penalty of fine may be imposed instead of suspension from one day to one month .
5.
Accessory Penalties
5.1
The penalty of dismissal shall carry with it cancellation of eligibility, forfeiture of leave credits and retirement benefits, and the disqualification for the reemployment in the government service. Further, it may be imposed without prejudice to criminal or civil liability.
5.2
The penalty of forced resignation shall carry with it disqualification for employment in the government service for at least one (1) year. However, it may or may not contain conditions relative to the forfeiture of leave credits and retirement benefits, and the disqualification regarding reemployment in a special class of position.
5.3
The penalty of suspension shall carry with it disqualification for promotion corresponding to the period of suspension.
5.4
The penalty of transfer shall carry with it the sanction that failure on the part of the respondent to seek transfer to another office within a period of not less than ninety (90) days, he shall be considered resigned. The penalty of transfer may be imposed with a condition that the respondent shall be barred from holding a position involving property or money responsibility.
5.5
The penalty of demotion shall carry with it disqualification for promotion at the rate of two (2) months for every step or one (1) month for every range of salary by which he was demoted to be computed from the date respondent reports to the new position or station.
5.6
The penalty of fine shall carry with it disqualification for promotion for a period twice the number of times he was fined.
6.
Mitigating and Aggravating Circumstances
6.1
The mitigating and aggravating circumstances shall be considered in the imposition of penalties only when pleaded or invoked by the proper party.
6.1.1
The following are the Mitigating Circumstance:
(a)
Physical illness
(b)
Good faith
(c)
Analogous circumstances
6.1.2
The Aggravating Circumstances are as follows:
(a)
Taking undue advantage of official position
(b)
Taking undue advantage of a subordinate
(c)
Undue disclosure of confidential information
(d)
Use of government property in the commission of the offense
(e)
Habituality
(f)
Offense is committed during office hours or within the premises of the workplace
(g)
Employment of fraudulent means to commit or conceal the offense, and
(h)
Analogous circumstances.
6.1.3
The Alternative Circumstances are as follows:
(a)
Length of service
(b)
Intoxication
(c)
Degree of instruction and education of the offender
6.2
If the respondent is found guilty of two or more charges, the penalty imposed should be that corresponding to the most serious charge and the rest may be considered as aggravating.
6.3
The imposition of the penalty shall be made in accordance with the manner hereinafter detailed, provided that the penalty attached to the offense is divisible in the minimum, medium and maximum, thus:
6.3.1
The minimum of the penalty shall be imposed if only mitigating and no aggravating circumstances are present.
6.3.2
The medium of the penalty shall be imposed if no mitigating and aggravating circumstances are present or when both are present they equally offset each other.
6.3.3
The maximum of the penalty shall be imposed if only aggravating and no mitigating circumstances are present.
6.3.4
If aggravating and mitigating circumstance are present, the minimum of the penalty shall be applied when there are more mitigating circumstances; the medium of the penalty when the circumstances equally offset each other; and the maximum when there are more aggravating circumstances.
B.
PROCEDURES AND GROUNDS FOR DISCIPLINARY ACTION
1.
Complaint
1.1
A complaint against any official or employee shall not be given due course unless it is in writing and subscribed and sworn to by the complainant. However, in cases initiated by the Administrator himself, the complaint need not be under oath.
1.2
No anonymous complaint shall be entertained unless there is obvious truth or merit to the allegations therein or unless the allegations are supported by documentary or direct evidence, in which case the person complained of may be required to comment.
1.3
The complaint should be written in a clear, simple, and concise language and in a systematic manner as to apprise the concerned employee of the nature and cause of the accusation against him and enable him to intelligently prepare his defense or answer.
1.4
The complaint shall contain the following:
a)
Full name and address of the complainant;
b)
Full name and address of the person complained of as well as his position and office of employment;
c)
A narration of the relevant and material facts which shows the acts and omissions allegedly committed by the official or employee;
d)
Certified true copies of documentary evidence and affidavits of his witnesses, if any; and
e)
Certification or statement of non-forum shopping.
In the absence of any of the aforementioned requirements, the complaint shall be a ground for dismissal of the complaint.
1.5
Complaint sent through verifiable text, e-mail, and fax messaging shall be entertained. However, the basic requirements should be complied with; such as, the text message shall have the number of sender, e-mail message shall show the address of the complainant, and the telephone number of the sender -complainant shall appear in the fax message.
1.6
These complaints sent through the electronic equipment shall be collated and forwarded to the Administrator or to either the Deputy Administrators who will, in the exercise of Management’s sound discretion, order the verification and conduct of preliminary investigation.
1.7 Upon receipt of the order from the Administrator or from either the Deputy Administrators, the complainant shall be summoned by Enforcement, Investigation, and Prosecution Department (EIPD) for the taking of his sworn statement/affidavit.
1.8
When and Where to File a Complaint
. - Except when otherwise provided for by law, an administrative complaint may be filed at anytime with the Office of the Administrator or the Deputy Administrators.
1.9
Withdrawal of the Complaint
. - The withdrawal of the complaint does not result in its outright dismissal nor discharge the person complained of from any administrative liability. Where there is obvious truth or merit to the allegation in the complaint or where there is documentary evidence that would tend to prove the guilt of the person complained of, the same should be given due course.
1.10
Action on the Complaint
. - Upon receipt of a complaint which is sufficient in form and substance, the disciplining authority shall require the person complained of to submit a Counter Affidavit/Comment under oath within three (3) days from receipt.
2.
Preliminary Investigation
:
2.1
A Preliminary Investigation involves the ex-parte examination of records and documents submitted by the complainant and the person complained of, as well as the documents readily available from other government offices, to determine if a prima facie case exists or if there is justifiable reason for the action or inaction of the official or employee.
2.2
This preliminary or fact-finding investigation shall commence not later than five (5) working days from receipt of the complaint by the EIPD of the order by the Administrator or either of the Deputy Administrators to investigate, and shall be terminated within thirty (30) working days thereafter to determine if a prima-facie case exist to justify the filing of proper administrative action. During said investigation, the parties are given the opportunity to submit affidavits and counter-affidavits. Failure of the person complained of to submit his counter-affidavit shall be considered as a waiver thereof.
2.3
If necessary, the parties may be summoned to a conference where the investigator may propound clarificatory and other relevant questions.
2.4
If during the investigation, a party is assisted by a Counsel and the latter raises an objection, the investigator shall not rule on the objection but shall note down the same for resolution by the Hearing Officer.
2.5
The Regional Managers and Department Managers in the central offices may recommend to the Administrator or the Deputy Administrators the conduct of preliminary investigation by the EIPD. In case the employee complained of is from the EIPD, he shall be investigated in by the Department for Legal Affairs (DLA).
2.6
Investigation Report
. - Within five (5) days from the termination of the preliminary investigation, the EIPD shall submit the Investigation Report and the complete records of the case to the Administrator (Disciplining authority).
2.7
Decision or Resolution After Preliminary Investigation
. - If a prima facie case is established during the investigation, a formal charge shall be issued by the Administrator. A formal investigation shall follow.
The EIPD shall recommend to the Administrator the dismissal of the complaint if no prima facie case is established.
3.
Formal Charge
3.1
After a finding of a prima facie case, the Administrator shall formally charge the person complained of. The formal charge prepared by EIPD shall contain the following:
(a)
Specification of charge(s), a brief statement of material or relevant facts;
(b)
Certified true copies of the documentary evidence, if any;
(c)
Sworn statements covering the testimony of witnesses;
(d)
A directive to answer the charge(s) in writing under oath in not less than seventy-two (72) hours from receipt thereof;
(e)
An advice for the respondent to indicate in his answer whether or not he elects a formal investigation of the charge(s), or submit position paper; and
(f)
A notice that he is entitled to be assisted by a Counsel of his choice.
3.2
The formal charge together with the Order of Preventive Suspension (OPS), if proper, shall be forwarded to the DLA for docketing of the formal charge and service of both the formal charge and OPS. This does not however preclude the Administrator from having the case re-evaluated to determine whether or not the issuance of the OPS is in order.
3.3
The Hearing Officer shall not entertain requests for clarification, bills of particular or motions to dismiss.
3.4
The withdrawal or recantation by the complaining witness does not necessarily discharge the respondent from any administrative liability. Where there is obvious truth or merit to the complaint or charges, the same should be given due course.
4.
Answer
4.1
The answer, which should be 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 his case. It shall also include a statement indicating whether or not the respondent elects a formal investigation.
4.2
If the respondent fails or refuses to file an answer to the formal charge within five (5) days from receipt thereof, he shall be considered to have waived his right thereto and formal investigation may commence.
4.3
Request for extension of time to file an Answer may be granted only once by the Hearing Officer and the same shall not be more than ten (10) working days.
4.4
If after the answer, it becomes evident that the facts of the charge do not constitute an offense or that there is legal excuse or justification of the action or inaction of the official or employee, the Hearing Officer may, motu proprio recommend for the dismissal of the administrative case.
5.
Preventive Suspension
5.1
The Administrator may issue an order of preventive suspension upon service of the formal charge, or immediately thereafter to any subordinate officer or employee under his authority pending investigation, under the following circumstances, which must concur.
5.1.1
Gravity of the offense
. OPS shall be issued if charges involve:
a)
Dishonesty
b)
Oppression
c)
Grave misconduct, or
d)
Neglect in the performance of duty
5.1.2
Strength of the evidence of culpability against respondent
.
Order of Preventive Suspension (OPS) will lie if there are reasons to believe that the respondent is guilty of charges which would warrant his removal from the service.
5.2
An order of preventive suspension may be issued to temporarily remove the respondent from the scene of his misfeasance or malfeasance and to preclude the possibility of exerting undue influence or pressure on the witnesses against him, and/or pose a threat to the safety and integrity of the records and other evidence; such as, by tampering documentary evidence on file with his Office.
In lieu of preventive suspension, for the same purpose, the proper disciplining authority or head of office, may reassign respondent to another unit of the agency during the formal hearings.
5.3
When the administrative case against an 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, unless otherwise provided by specific law, 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 90 calendar days period of preventive suspension. Provided further that should the respondent be on Maternity/Paternity leave, said preventive suspension shall be deferred or interrupted until such time that said leave has been fully enjoyed with full benefits.
5.4
The respondent may file a motion for reconsideration with the Administrator or may elevate the same to the Civil Service Commission (CSC) by way of an appeal within fifteen (15) working days from receipt thereof.
6.
Prohibited Pleadings
The following pleadings are prohibited:
6.1.
Motion to Dismiss
6.2.
Motion for Bill of Particulars
6.3.
Second Motion for Reconsideration
6.4.
Motion to Postpone/Cancel Hearing
6.5.
Motion for Extension to File Any Pleading
6.6.
Motion to Admit Pleading
7.
Conduct of Formal Investigation
7.1
The formal investigation shall be conducted for the purpose of ascertaining the truth without necessarily adhering to technical rules applicable in judicial proceedings. It shall be conducted in the most expeditious and inexpensive manner. It shall be free from the rigidity of procedural requirements observed in the court. It shall merely observe fundamental and essential requirements of due process. The respondent and complainant or their respective lawyers shall be prevented from discussing questions of law during the formal investigation and require that such arguments be submitted in written form to be resolved by the Hearing Officer.
7.2
The respondent shall be given the opportunity to submit other evidence in addition to his comments, counter-affidavits, and evidence submitted during the preliminary investigation.
7.3
Although the respondent does not request a formal investigation, one shall nevertheless be conducted where the allegations of the complaint and the answer of the respondent, including the supporting documents of both parties, the merits of the case cannot be decided judiciously without conducting such investigation.
7.4
If the respondent does not request for a formal investigation and the merits of the case can be decided judiciously without conducting such investigation, he may instead be required to submit memorandum, including thereto affidavits which are considered his direct testimonies, other relevant evidence and draft decision to DLA for evaluation.
7.5
The investigation shall be held not earlier than five (5) working days nor later than ten (10) working days from receipt of the respondent’s answer. Said investigation shall be finished within thirty (30) working days from the issuance of the formal charge or the receipt of the answer unless that period is extended by the Administrator in meritorious cases.
8.
Pre-hearing conference
8.1
At the commencement of the formal investigation, the Hearing Officer shall conduct a pre-hearing conference for the parties to appear, consider and agree on any of the following:
a)
Stipulation of facts
b)
Simplification of issues
c)
Identification and marking of evidence of the parties
d)
Waiver of objections to admissibility of evidence
e)
Limiting the number of witnesses, and their names
f)
Dates of subsequent hearings, and
g)
Such other matters as may aid in the prompt and just resolution of the case.
8.2
The parties, even in administrative cases involving grave offenses, may submit position paper/memoranda and submit the case for resolution based on the result of the pre-hearing conference without any need for further investigation.
8.3
The Hearing Officer shall prepare the pre-hearing conference order which shall contain a summary of the agreements of the parties including the facts stipulated.
9.
Hearings; Postponement of Hearings
9.1
Hearings shall be conducted on the dates set by the Hearing Officer or as agreed upon during the pre-hearing conference.
9.2
Where no pre-hearing conference is conducted, the parties, their counsel and witnesses, if any, shall be given a notice of at least five (5) working days before the first scheduled hearing specifying the time, date, and place of the said hearing and subsequent hearings. Thereafter, the schedule of hearings previously set shall be strictly followed without further notice. The scheduled date of hearings are not transferable.
9.3
If the respondent fails or refuses to appear during the scheduled hearings despite due notice, the investigation shall proceed ex-parte and the respondent is deemed to have waived his right to be present and to submit evidence in his favor during those hearings.
9.4
The formal investigation shall be finished within thirty (30) working days from the filing of the charge unless the period is extended by the Administrator in meritorious cases.
10.
Preliminary Matters
10.1
At the start of the hearing, the hearing officer shall note the appearance of the parties and shall proceed with the reception of evidence for the complainant.
10.2
If the respondent appears without the aid of a counsel, he shall be deemed to have waived his right thereto.
10.3
Before taking the testimony of a witness, the hearing officer shall place him under oath and then take his name, civil status, age, position, and place of assignment.
10.4
A sworn statement of a witness properly identified and affirmed shall constitute his direct testimony, copy furnished the other party.
11.
Appearance of Counsel
Any counsel appearing before any hearing or investigation shall manifest orally or in writing, his appearance for either the respondent or the complainant, stating his full name and postal address where he can be served with notices and other pleadings. He shall also state his IBP and Roll numbers. Any pleading or appearance of a counsel without complying with the above stated requirements shall not be recognized.
12.
Order of Hearing
12.1
Unless the Hearing Officer directs otherwise, the order of hearing may be as follows:
12.1.1 The prosecution shall present its evidence, by way of direct examination, subject to the pre-hearing agreement. The direct examination shall consist of having the witness identify his affidavit or sworn statement, which are attached to the preliminary investigation report, and additional evidence presented during the formal hearing, and confirm his signature. Such affidavit and sworn statement of the witness shall be considered his direct testimony. No additional direct examination questions shall be allowed.
12.1.2
Cross-examination by the party shall be limited to the averments of the witness in his direct testimony.
12.1.3
There may be redirect and re-cross examination;
12.1.4
The respondent shall then offer evidence in support of his defense following the same order.
When the presentation of evidence has been concluded, the parties shall formally offer their evidence either orally or in writing and thereafter objections thereto may also be made orally or in writing. After which, both parties may be given time to submit their respective memorandum which in no case shall be beyond fifteen (15) working days after the termination of the investigation. Failure to submit the same within the given period shall be considered a waiver thereof.
12.1.5
Rebuttal and sub-rebuttal evidence, if any may be presented by way of affidavits, with leave of the Hearing Officer, subject to the adverse party being allowed to cross-examine the affidavit/witness.
13.
Objections
13.1
All objections raised during the hearing shall be resolved by the hearing officer. However, objections that cannot be ruled upon by the hearing officer shall be noted with the information that the same shall be included in the memorandum of the concerned party to be ruled upon by the Administrator (disciplining authority).
13.2
The Hearing Officer shall accept all evidence deemed material and relevant to the case. In case of doubt, he shall allow the admission of evidence subject to the objection interposed against its admission.
14.
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.
15.
Request for 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 ad testificandum and/or subpoena duces tecum, at least three (3) working days before the scheduled hearing. The Hearing Officer may issue subpoena ad testificandum to compel the attendance of witnesses and subpoena duces tecum for the production of documents or things.
16.
Records of Proceedings
Records of the proceedings during the formal investigation may be taken in shorthand or stenotype or any other means of recording.
17.
Effect of the Pendency of an Administrative Case
. - Pendency of an administrative case shall not disqualify respondent for promotion or from claiming maternity/paternity benefits.
For this purpose, a pending administrative case shall be construed as follows:
(a)
When the Administrator has issued a formal charge; or
(b)
In case of a complaint filed by a private person, a prima facie case is found to exist by the Administrator.
18.
Filing of Motions, Petitions, Appeals, and Other Pleadings
Any motion, petition, appeal, and other pleadings sent by mail shall be deemed filed on the date shown by the postmark on the envelope which shall be attached to the records of the case, and in case of personal delivery, the date stamped thereon by the office of the Hearing Officer.
19.
Formal Investigation Report
19.1
Within fifteen (15) working days after the conclusion of the formal investigation, a report containing a narration of the material facts established during the investigation, the findings, and the evidence supporting said findings, as well as the recommendations, shall be submitted by the Hearing Officer to the Administrator. The complete records of the case shall be attached to the Report of Investigation.
19.2
The complete records shall be systematically and chronologically arranged, paged, and securely bound to prevent loss. A table of contents shall be prepared. Whoever is in-charge of the transmittal of the complete records shall be held responsible for any loss or suppression of the pages thereof.
C.
DECISION
1.
The decision must be rendered in a manner that the respondent may know the various issues involved, and the reasons for the decision. All decisions in administrative cases shall be in writing, stating clearly the facts and the law on which it is based and shall be signed and promulgated by the Administrator as the disciplining authority. It is enough that the ultimate facts on which he based his decisions are stated.
2.
The decision shall be rendered by the Administrator within thirty (30) working days.
3.
The required quantum of evidence to support a decision is substantial. Evidence is substantial when a reasonable mind might accept it as adequate to support a conclusion. The decision shall be supported by evidence on record.
4.
A decision rendered by the Administrator 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 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 pleading has been filed or after due consideration by the appellate body and its declaration that the decision is final and executory.
5.
All decisions which involve executives with the rank Division Chief or its equivalent rank, and higher; and decision dismissing rank and file employees shall be submitted to the NFA Council for information.
D.
REMEDIES
:
1.
Filing of Motion for Reconsideration
.
The respondent may file a motion for reconsideration within fifteen (15) working days from receipt of the copy of the decision, to the Administrator who shall rule on the same within fifteen (15) days from receipt thereof.
2.
When Deemed Filed
.
A motion for reconsideration sent by mail shall be deemed filed on the date shown by the postmark on the envelope which shall be attached to the records of the case and in case of personal delivery, the date stamped thereon by the proper office.
3.
Grounds for Motion for Reconsideration
.
The motion for reconsideration shall be based on any of the following:
3.1
New evidence has been discovered which materially affects the decision rendered or
3.2
The decision is not supported by the evidence on record, or
3.3
Errors of law or irregularities have been committed prejudicial to the interest of the movant.
4.
Limitation
.
Only one motion for reconsideration shall be entertained.
5.
Effect of Filing
.
The filing of a motion for reconsideration within the reglementary period of fifteen (15) days shall stay the execution of the decision sought to be reconsidered.
6.
Filing of Appeals
.
6.1
Decisions of the Administrator imposing a penalty exceeding thirty (30) days suspension or fine in an amount exceeding thirty (30) days salary, after denial of the motion for reconsideration, may be appealed to the Civil Service Commission (CSC) within fifteen (15) days from receipt of such denial.
6.2
A notice of appeal including the appeal memorandum shall be filed with the CSC copy furnished the Administrator who shall submit/forward the records of the case which shall be systematically and chronologically arranged, paged, and securely bound to prevent loss, with its comment, within fifteen (15) days, to the appellate authority (CSC), with the notice of appeal.
6.3
The Notice of Appeal shall specifically state the date of the decision appealed from and the date of receipt thereof. Failure to do so may cause the dismissal of such appeal.
7.
When an Appeal is Deemed Filed
. - A appeal sent by mail shall be deemed filed on the date shown by the postmark on the envelope which shall be attached to the records of the case and in case of personal delivery, the date stamped thereon by the proper office.
8.
Appeal Fee
. - the appellant shall pay an appeal fee of Three Hundred Pesos (P300.00) and a copy of the receipt thereof shall be attached to the appeal.
9.
Perfection of an Appeal
.
To perfect an appeal, the appellant shall within fifteen (15) days from receipt of the decision submit the following:
9.1
Notice of appeal which shall specifically state the date of the decision appealed from and the date of receipt thereof.
9.2
Three (3) copies of appeal memorandum containing the grounds relied upon for the appeal, together with the certified true copy of the decision, resolution or order appealed from, and certified copies of the decision or evidence.
9.3
Proof of service of a copy of the appeal memorandum to the Administrator.
9.4
Proof of payment of appeal fee.
9.5
A statement or certification of non-forum shopping.
10.
Effect of Filing
.
An appeal shall not stop the decision from being executory, and 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.
11.
When Case is Remanded for Violation of Respondent’s Right to due Process
. - If the case on appeal with the CSC is remanded to the Administrator (disciplining authority) for further investigation, the said Administrator shall finish the investigation within three (3) calendar months from the date of receipt of the records from the CSC, unless the investigation is delayed due to the fault, negligence, or petition of the respondent, or an extension is granted by the CSC in meritorious cases. The period of delay shall not be included in the computation of the prescribed period.
Within fifteen (15) days from the termination of the investigation, the Administrator shall render its decision. If at the end of the said period, the Administrator fails to decide the case, the CSC shall vacate and set aside the appealed decision and declare respondent exonerated of the charge. If the respondent is under preventive suspension, he shall be immediately reinstated and shall be entitled to back salaries and other benefits in accordance with applicable law and jurisprudence.
E.
MISCELLANEOUS PROVISIONS:
1.
In the computation of the period of time, the first calendar day shall be excluded and the last day included unless it is a Saturday or Sunday or a Legal Holiday in which case the period shall run until the end of the next working day.
2.
An employee charged with an administrative case is presumed innocent unless proven otherwise. Laws prescribing the grounds for disciplinary action are penal in nature, thus should be liberally construed in favor of the accused.
3.
An official or employee subject of a complaint or a respondent may not be compelled in the preliminary and formal investigation to testify against himself. Refusal to testify against oneself is not deemed an admission of guilt.
4.
The principle of res judicata shall apply in administrative cases. Final judgment on administrative cases shall bar the filing of a new one when the following circumstances are present:
4.1
Prior judgment
4.2
Judgment is rendered by an official having jurisdiction of the subject matter and the parties
4.3
Judgment must be on the merits
4.4
Identity of the action as to penalties, subject matter and cause of action.
This SOP shall take effect 15 days after the filing with the University of the Philippines Law Center, certified copies hereof in compliance with Section 3(1) and 4, Chapter 2, Book VII, Administrative Code of 1987 (EO 292).
All ruling and/or issuances inconsistent herewith are hereby superseded
.
III. RESPONSIBILITIES
IV. FLOW CHART
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EXHIBITS
Procedures and Flow of Responsibilities from Filing of Complaint to Filing of Formal Charge (Exhibit 1)
Procedures and Flow of Responsibilities from Filing of Complaint to Filing of Formal Charge (Exhibit 1)