DBM Rules on Administrative Disciplinary Cases

Legal basis and controlling references

The DBM rules are adopted pursuant to Rule XVIII of the Civil Service Rules.
The rules are adopted pursuant to Section 37 of P.D. No. 807.
The rules are adopted pursuant to Section 47 of Chapter 7, Book V of E.O. No. 292 (Administrative Code of 1987).
The rules incorporate the concept of due process for suspension/dismissal through Section 2, Rule I, citing Sec. 36(a) of P.D. No. 807 and Sec. 46, Chapter 7, Book V, Administrative Code of 1987.
The rules consistently cross-reference penalty and procedural standards under the Civil Service Rules and the framework in Chapter 7, Book V.

Policy: expeditious, just truth-finding

The rules require liberal construction to ascertain the truth in the most expeditious, just and fair manner.
The rules require the DAC to avoid strict adherence to technical rules of evidence and procedure applicable in judicial proceedings under Section 7, Rule I.
The hearing/investigation is conducted solely to ascertain truth without necessarily adhering to judicial technical rules under Section 1, Rule VIII.

Coverage, jurisdiction, and tenure protection

These rules apply to all DBM proceedings/administrative investigations conducted by the DBM DAC under Section 1, Rule I.
The DAC has disciplinary jurisdiction over all DBM officials and employees who commit violations of the Civil Service Rules and Regulations under Section 3, Rule I.
Investigation may be entrusted to any DBM Lawyer/Regional Director to conduct investigation or receive evidence, with results, evidence, and recommendations submitted to the DAC for appropriate action under Section 3, Rule I.
No DBM officer or employee in the Civil Service shall be suspended or dismissed except for cause as provided by law and after due process under Section 2, Rule I.
Removal for cause carries with it specified civil service consequences unless otherwise provided by law or indicated in the decision under Section 5, Rule I.

Penalties, offense classes, and loss consequences

Penalties must follow “Like penalties for like offenses”, and only one (1) penalty may be imposed in each case under Section 4, Rule I.
A reprimand is treated as a penalty; a warning or admonition is not a penalty under Section 4, Rule I.
The disciplinary authority may impose removal from the service, demotion in rank, suspension for not more than one year without pay, or a fine not exceeding six monthsa salary, or reprimand under Section 4, Rule I.
Unless otherwise provided by law or indicated in the decision, removal for cause cancels civil service eligibility, forfeits leave credits, retirement and other money benefits, and disqualifies for re-employment in the civil service under Section 5, Rule I.
The rules categorize disciplinary grounds into Grave Offenses, Less Grave Offenses, and Light Offenses under Section 1, Rule II.

Grave Offenses

Grave offenses are punishable by dismissal or forced resignation or suspension depending on attendant aggravating or mitigating circumstances under Section 1(A), Rule II.
Grave offenses include dishonesty, gross neglect of duty, grave misconduct, being notoriously undesirable, conviction of a crime involving moral turpitude, and falsification of official document.
Grave offenses include physical or mental incapacity or disability due to vicious habits, partisan political activities by holding a non-political office, and certain prohibited acts involving gifts/fees in connection with official duties, including anti-graft-related conduct under Section 1(A), Rule II.
Grave offenses include contracting loans from persons with whom the office has business relations, and soliciting or accepting gifts/gratuities/favors/entertainment/loans/anything of monetary value depending on value, kinship/relationship, and motivation under Section 1(A), Rule II.
Grave offenses include disloyalty to the Republic and the Filipino people; oppression; disgraceful and immoral conduct; inefficiency and incompetence; and frequent unauthorized absences or tardiness, including loafing or frequent unauthorized absences during regular office hours under Section 1(A), Rule II.
Grave offenses include refusal to perform official duty, gross insubordination, conduct grossly prejudicial to the best interest of the service, and directly or indirectly having financial and material interest in transactions requiring approval by the office under Section 1(A), Rule II.
Grave offenses include owning/controlling/managing/accepting employment as officer/employee/consultant/counsel/broker/agent/trustee/nominee in any private enterprise regulated/supervised/licensed by the office unless expressly allowed by law; and engaging in private practice unless authorized and not conflicting with official functions under Section 1(A), Rule II.
Grave offenses include disclosing or misusing confidential/classified information to further private interests or give undue advantage or prejudice public interest; and obtaining/using statements filed under the Code of Conduct and Ethical Standards for Public Officials and Employees for improper purposes under Section 1(A), Rule II.

Less Grave Offenses

Less grave offenses are punishable by suspension for the first offense and dismissal for the second offense under Section 1(B), Rule II.
Less grave offenses include simple neglect of duty, simple misconduct, gross discourtesy in the course of official duties, gross violation of existing Civil Service Law and rules of serious nature, and insubordination under Section 1(B), Rule II.
Less grave offenses include habitual drunkenness, nepotism as defined in Section 49 of Presidential Decree No. 807, and recommending persons to private positions connected to regular or pending transactions unless mandated by law or international agreements/obligations or part of the official function under Section 1(B), Rule II.
Less grave offenses include unfair discrimination in rendering public service due to party affiliation or preference under Section 1(B), Rule II.
Less grave offenses include failure to resign within thirty (30) days from assumption when conflict of interest arises and/or failure to divest shareholdings/interest within sixty (60) days when conflict arises, with periods reckoned from the date the conflict arises for those already in service under Section 1(B), Rule II.

Light Offenses

Light offenses are punishable by reprimand for the first offense, suspension for the second offense, and dismissal for the third offense under Section 1(C), Rule II.
Light offenses include neglect of duty, discourtesy in the course of official duties, improper or unauthorized solicitation of contributions from subordinate employees and by teachers/school officials from school children, and violation of reasonable office rules and regulations under Section 1(C), Rule II.
Light offenses include gambling prohibited by law, refusal to render overtime service, and disgraceful, immoral or dishonest conduct prior to entering the service under Section 1(C), Rule II.
Light offenses include borrowing by superior officers from subordinates, lending money at usurious rates of interest, and willful failure to pay just debts or willful failure to pay taxes due to the government under Section 1(C), Rule II.
Light offenses include pursuit of private business/vocation/profession without required permission under Civil Service rules and regulations; lobbying for personal interest or gain in legislative halls/offices without authority; and promoting sale of tickets for private enterprises not intended for charitable/public welfare purposes or even in those cases without prior authority under Section 1(C), Rule II.
Light offenses include failure to act promptly on letters of request within fifteen (15) days from receipt, except as otherwise provided in rules implementing the Code of Conduct under Section 1(C), Rule II.
Light offenses include failure to process documents/complete action within a reasonable time from preparation, and failure to attend anyone who wants to avail of the office services or act promptly and expeditiously on public transactions under Section 1(C), Rule II.

Filing, dismissal, and formal responses

Complaints against Civil Service officials/employees are not given due course unless they are in writing, and subscribed and sworn by the complainant, except when initiated by the disciplining authority under Section 1, Rule III.
Administrative proceedings may be commenced by the Secretary motu proprio or by complaint of any other person under Section 2, Rule III.
For complaints by other persons, the complainant must submit sworn statements covering testimony of the complainant and witnesses plus documentary evidence; if no prima facie case exists, the disciplining authority dismisses under Section 2(2), Rule III.
If a prima facie case exists, the disciplining authority notifies the respondent in writing of charges, attaching copies of complaint, sworn statements, and documents; the respondent must answer in writing under oath within not less than seventy-two hours after receipt under Section 2(2), Rule III.
If the respondent’s answer is found satisfactory, the disciplining authority dismisses the case under Section 2(2), Rule III.
Even if the respondent does not request a formal investigation, a formal investigation must be conducted when merits cannot be decided judiciously without it under Section 2(3), Rule III.
The investigation must be held not earlier than five days nor later than ten days from receipt of the respondent’s answer and must be finished within thirty days from filing of charges unless extended by the Commission in meritorious cases under Section 2(4), Rule III.
The decision by the disciplining authority must be rendered within thirty days from termination of the investigation or submission of the investigator’s report, and the report must be submitted within fifteen days from conclusion of the investigation under Section 2(4), Rule III.

Anonymous complaints and complaint requirements

No action is taken on an anonymous complaint unless there is obvious truth or merit; if it has such truth/merit, the head of Department initiates the filing and proceeds under the rules under Section 3, Rule III.
Complaints must contain: (a) full name and address of complainant; (b) full name and address of respondent, position and office of employment; (c) specification of charges; and (d) a brief statement of relevant and material facts with certified true copies of documentary evidence (if any) and sworn statements covering witnesses under Section 4, Rule III.
The DBM DAC dismisses if no prima facie case exists based on complaint and supporting documents; if a prima facie case exists, the respondent is notified and provided copies of complaint and supporting documents under Section 5, Rule III.
The respondent’s answer must be filed within not less than seventy-two hours but not more than five (5) days after receipt of the complaint, in writing under oath with supporting sworn statements and documents, indicating election of formal investigation when the answer is not satisfactory under Section 6, Rule III.
The answer may be filed personally or by registered mail, with copy furnished to the complainant; filing date is date stamped on the answer for personal filing or date stamped on the envelope for registered mail under Section 7, Rule III.

Preventive suspension and pre-hearing process

The DBM Secretary, upon recommendation by the DAC, may preventively suspend a DBM official/employee under investigation when charges involve dishonesty, oppression or grave misconduct, neglect in performance of duty, or when there are reasons to believe the respondent is guilty of charges warranting removal under Section 1, Rule IV.
If the administrative case is not finally decided within ninety (90) days from date of suspension, the respondent is automatically reinstated under Section 2, Rule IV.
Delay in disposition due to the fault, negligence, or petition of the respondent is excluded from counting the ninety (90) days period under Section 2, Rule IV.
After filing of the answer and DAC finding of prima facie case, the DAC may direct parties to appear for a pre-hearing conference under Section 1, Rule V.
At the pre-hearing conference, parties may address simplification of issues, stipulation of facts, number of witnesses, marking of evidence, waiver of objections to admissibility, compromise/conciliation where appropriate, and other matters aiding prompt and just resolution under Section 2, Rule V.
After the pre-hearing conference, the DAC issues a pre-hearing order reciting actions taken, facts stipulated, and other agreed matters; the order binds the parties and the parties may agree to submit for resolution without formal investigation under Section 3, Rule V.
No agreement or admission made or entered during the pre-hearing conference is used as evidence against the respondent unless reduced to writing and signed by the respondent under Section 4, Rule V.

Default and full hearing mechanics

If a duly notified party refuses or fails to appear at any scheduled hearing/conference without valid reason, the party may be declared in default and the investigation proceeds without presence, with judgment based on evidence on record under Section 1, Rule VI.
The parties and witnesses are notified of the scheduled hearing at least five (5) days before hearing, specifying time, date, and place under Section 1, Rule VII.
Requests for subpoena ad testificandum or duces tecum must be made at least three (3) days before the scheduled hearing under Section 2, Rule VII.
The hearing is held not later than five (5) days from date of the pre-hearing order and finished within thirty (30) days from filing of charges unless extended by the Commission in meritorious cases under Section 3, Rule VII.
Hearing continues day to day as far as practicable until terminated; postponements are discouraged and allowed only for meritorious cases like illness of parties/counsel or similar cases under Section 4, Rule VII.
No investigator may grant postponement more than five (5) days and in no case for more than ten (10) days unless with specific authority of the Civil Service Commission under Section 4, Rule VII.
Testimony, identified/marked documentary evidence, and manifestations of the investigator or DAC Chairman are made of record under Section 5, Rule VII.
At the start of hearing, the DAC Chairman or investigator asks appearances and readiness; if a respondent appears without counsel, the chairman/investigator informs the respondent of the right to counsel under Section 6, Rule VII.
Witnesses must be placed under oath before testimony; the DAC Chairman/investigator takes witness name, address, civil status and age, and position/place of employment under Section 6, Rule VII.
Counsel must manifest appearance with name and exact address for service; pleadings signed without complying are not received; counsel is not allowed to prosecute or defend the case under Section 7, Rule VII.
The investigation/formal hearing is conducted with solemnity and the investigator maintains impartiality and dignity under Section 8, Rule VII.
The order of hearing is: complaint produces evidence subject to pre-hearing agreement; respondent offers evidence supporting defense subject to pre-hearing; cross-examination; parties may submit memoranda within no case beyond five (5) days after termination; rebuttal/additional evidence must be presented before concluding memoranda under Section 9, Rule VII.
Following cross-examination, redirect and recross examination may be conducted under Section 10, Rule VII.
After complainant rests, if respondent files a motion to dismiss on ground of insufficiency of evidence, the respondent is deemed to waive right to present evidence and submits for decision based on complainant’s evidence under Section 11, Rule VII.

Evidence rules and memoranda timing

Evidence proceedings follow a non-technical approach focused on truth under Section 1, Rule VIII.
The DAC/investigator accepts all evidence with materiality and relevance; when in doubt, evidence is resolved for admission subject to objections under Section 2, Rule VIII.
Documentary evidence is marked with letters (A, B, C, etc.) if presented by the complainant and numbers (1, 2, 3, etc.) if presented by the respondent; exhibits are bound systematically and chronologically to prevent loss under Section 3, Rule VIII.
Direct evidence consists of sworn statements and documents submitted with the complaint or answer, without prejudice to additional evidence material but unavailable at filing; additional evidence is subject to cross-examination under Section 4, Rule VIII.
Parties may submit memoranda within five (5) days from termination of hearing; failure to submit within the period is treated as a waiver under Section 5, Rule VIII.

Investigation report and docketing

The DAC/investigator submits a report containing brief statement of material facts and findings and recommendation as basis for DBM Secretary’s decision; the report is attached to the record and submitted within fifteen (15) days from conclusion of investigation/hearing under Section 1, Rule IX.
DAC cases are assigned docket numbers arranged consecutively in order of receipt under Section 2, Rule IX.

Decision contents, timing, and execution rules

The DAC renders a decision within thirty (30) days from conclusion of investigation/hearing for approval of the DBM Secretary under Section 1, Rule X.
The decision includes the charge, respondent number/identity and office, brief statement of material and relevant facts, findings, offense committed, and the penalty imposed under Section 2, Rule X.
Decisions are final when the penalty is suspension for not more than thirty days or fine not exceeding thirty days salary under Section 3, Rule X.
When the decision is appealable to the Commission, it is appealable to the Civil Service Commission (CSC); pending appeal, the decision remains executory except when the penalty is removal, in which case it is executory only after CSC confirmation under Section 3, Rule X.
An appeal does not stop executory effect; if penalty is suspension or removal, the respondent is treated as having been under preventive suspension during pendency of appeal in the event of a win under Section 3, Rule X.

Motions for reconsideration and appeal

A motion for reconsideration must be filed within fifteen (15) days from receipt of the DAC decision as approved by the DBM Secretary under Section 1, Rule XII.
The motion for reconsideration may be filed by the party adversely affected within the period; the Secretary decides the motion within ten (10) days from receipt under Section 2, Rule XII.
A motion is deemed filed if sent by registered mail on the postmark date shown on the envelope attached to the record, or if personally delivered, on the date stamped by the Commission or proper office under Section 3, Rule XII.
A motion for reconsideration must be based only on: (a) new evidence materially affecting the decision; (b) decision not supported by evidence on record; or (c) errors of law or irregularities prejudicial to the respondent under Section 4, Rule XII.
Only one motion for reconsideration is entertained under Section 4, Rule XII.
Decisions imposing penalties exceeding thirty (30) days suspension or fine in an amount exceeding thirty (30) days salary may be appealed to the Merit System Protection Board within fifteen (15) days from receipt, and finally to the Civil Service Commission within the same period under Section 1, Rule XIII.
The appeal must state distinctly and clearly the date the respondent received the decision and, if a motion for reconsideration was filed, the date filed and the date the resolution was received; failure to do so can dismiss the appeal under Section 2, Rule XIII.
The appellant must state distinctly the grounds of appeal and arguments supporting each ground under Section 2, Rule XIII.
Where notice of appeal is filed within the period, the appellant submits an appeal memorandum within ten (10) days from filing the notice; failure to submit within the period is a waiver under Section 3, Rule XIII.
Filing an appeal does not stop executory effect; if penalty is suspension or removal, the respondent is treated as under preventive suspension during appeal pendency if the respondent wins under Section 4, Rule XIV.

Computation of time

Time periods under these rules exclude the first day and include the last day unless the last day is a Saturday, Sunday or a Legal Holiday under Section 1, Rule XIV.