PNP Grievance Mechanism Policy 2008

Legal references and policy basis

The circular references NAPOLCOM Memorandum Circular No. 93-022 dated November 4, 1993 establishing a complaint and grievance machinery for PNP uniformed personnel.
The circular references Civil Service Commission Resolution No. 010113 dated January 10, 2001 and implementation through CSC Memorandum Circular No. 02, s. 2001.
The circular references the PNP Integrity Development Review Action Plan.
The circular prescribes grievance procedures, committee composition, and hearing mechanics for PNP uniformed personnel.

Coverage: who may grieve, and what

The grievance machinery covers all matters causing PNP uniformed personnel dissatisfaction and discontentment, including issues from recruitment/appointment to promotion, transfer, detail/designation/assignment/placement, termination, dismissal, and other related issues affecting personnel.
The grievance machinery covers violations or non-implementation of policies and procedures affecting PNP uniformed personnel during their career stages from recruitment/appointment to promotion and other personnel actions.
The grievance machinery covers economic and financial issues and other terms and conditions of employment fixed by law, including salaries, incentives, working hours, leave benefits, and other related terms and conditions.
The grievance machinery covers physical working conditions and interpersonal relationships and linkages.
A grievance must follow the circular’s process rules; however, the circular reserves the following matters from the grievance machinery.

Exclusions from grievance processing

The grievance machinery does not act upon disciplinary cases that must be resolved under the Uniform Rules on Administrative Cases.
The grievance machinery does not act upon complaints on official actions of a Head of Offices **pertaining to the exercise of disciplinary powers under RA 6975, where procedures for relief through appeal are already provided.
The grievance machinery does not act upon an objection to the terms or provisions of a policy, procedure, or rule and regulation.
The grievance machinery does not act upon sexual harassment cases governed by RA 7877.
The grievance machinery does not act upon anonymous grievances and/or complaints.

Defined terms and dispute-settlement modes

Grievance means an employee’s expressed written or spoken feelings of discontentment and dissatisfaction on matters enumerated in Section II; for purposes of procedure, a grievance reaches only Stage I (the Oral Discussion).
Complaint refers to a written grievance that, in the employee’s opinion, was initially ignored, overridden, or dropped without due consideration at the lowest level of office and has been lodged or elevated to the next level of office.
Grievance Procedure is the method prescribed by the circular to resolve a grievance and/or complaint.
The circular recognizes Modes of Settling Disputes as conciliation, mediation, and arbitration, including voluntary arbitration and compulsory arbitration.
Voluntary arbitration is a method where the disputing facts are submitted before an arbitrator or panel chosen by both parties, and the decision after proper hearing is final and binding.
Compulsory arbitration applies to disputes that are hardened and irreconcilable and remain unresolved after exhausting available remedies and peaceful settlement avenues; for PNP Uniformed Personnel, elevation to the Civil Service Regional Office is allowed only upon issuance of a certification on the Final Action on Grievance (CFAG) by the grievance committee.
Levels of Appointment are defined as: 1st (from PO1 to SPO4), 2nd (from Police Inspector to Police Superintendent), and 3rd (from Police Senior Superintendent to Police Director General).
Group means members of the PNP organization acting as complainants with locus stand or as parties in interest in a grievance and/or complaint.
Association means an organization of uniformed and non-uniformed personnel with a common interest and does not partake of the nature of a labor union.

Policy principles guiding proceedings

Employees—whether individual or group—have the right to present grievances and/or complaints to management and have them settled as expeditiously as possible in the best interest of the employee or group, the PNP organization, and the government as a whole.
A complainant must first discuss the problem with the immediate supervisor before filing a formal written complaint.
The employee presenting a grievance and/or complaint must be assured freedom from coercion, discrimination, harassment, or reprisal.
Grievances must be settled at the lowest possible level of office.
The proceedings must aim at determining “what is right” rather than “who is right.”
The right to appeal action/decision on grievance and/or complaint must not be curtailed.
Promotion-related grievances must be given due course, and the aggrieved party may elect to proceed either under the grievance procedure or under any other applicable law/regulation.
All proceedings must be treated as confidential.
Grievance proceedings must not be bound by formal legal rules and technicalities.
Legal counsel for the parties must not be allowed during the hearing; the Grievance Committee must include a legal officer to guide the chair and members on issues and procedures.
No PNP members may ventilate grievances directly to any forum outside the PNP organization.
Supervisors and/or Heads of Offices who refuse to take action on a grievance are liable for neglect of duty under existing civil service law, rules, and regulations.
Personnel found violating prescribed guidelines and procedures in ventilating or expressing complaints and/or grievances must be held administratively liable and meted with appropriate sanctions.

Staged grievance filing and committee workflow

A grievance starts at Stage I: Oral Discussion by initially presenting it orally to the complainant’s direct supervisor or Head of Office as the 1st level of office/venue.
The supervisor/Head of Office must: discuss privately; keep the complainant at ease and encourage free discussion; refrain from expressing views until after the complainant explains; and clearly state the stand at the end of discussion.
The supervisor/Head of Office may not immediately give a definite decision, but must inform the employee orally of the decision within three (3) days from the date of presentation.
If not settled at the lowest level, the complainant must proceed to Stage II: Grievance in Writing by submitting the grievance in writing to the Head of Office.
The Head of Office must either personally decide or form an ad hoc Grievance Committee; it must decide and inform the complainant in writing within five (5) days from receipt of the committee’s recommendation through the direct supervisor.
If the complainant is not satisfied, the Head of Office must forward the written complaint with comments to the next level Head of Office within forty-eight (48) hours, and the succeeding Head of Office must follow the same prescription at the lower level.
When the grievance reaches offices where the Grievance Committee is organized (PRO, NCRPQ, NSU National Office, PNP NHQ), the Head of Office may decide forthwith within fifteen (15) days or refer it to the Grievance Committee.
The circular provides operational routing rules for individual and group grievances depending on whether the grievance emanates from a group assigned across different offices, including special mapping for PRO (NCRPO excluded), NCRPO, and NHQ Directorate where the lowest level differs by organizational unit.
Activation of the Grievance Committee occurs upon referral by the appropriate Head of Office to the Grievance Committee.
Committee work begins with an initial meeting to confirm procedures and check conflict of interest, after which the committee reviews whether the grievance should go forward or be dismissed.
A pre-hearing conference must resolve hearing procedures, review the grievance, address jurisdictional issues, and handle identified conflict-of-interest questions.
The grievance hearing is conducted in four segments: opening statements; complainant’s evidence and case; respondent’s case and evidence; and closing arguments.
Committee deliberations must occur in closed session after hearing recessed, with evaluation of conflicting evidence and determination of what facts are proven, followed by recommendations.
The committee decision must be written in a report stating a separate finding for each particular issue, resolving disputed material facts, addressing minority views, and recommending disposition.
The committee’s written report must include sufficient information so the Head of Office/Unit understands the issues, committee-determined facts based on credible evidence, and the rationale for findings and recommendations.
The Chairman must transmit the record and committee’s final report and recommendations to the Head of Office/Unit.
The Official Record includes all correspondence, all items of information, documents and exhibits submitted or considered, and the transcript of the hearing, including information relevant to procedural rulings, factual findings, recommendations, and final report aspects.
When a hearing is scheduled, the Chairman must: schedule the hearing after giving notice to the parties within five (5) days upon activation; provide the respondent with a copy of the complainant’s written statement in advance of the first meeting; and ensure both parties receive the complainant’s written statement in advance to prepare.
Both parties must be allowed to be present during the hearing and must be allowed to question all witnesses.
All committee members must be present during the hearings and all proceedings must be recorded.
The complainant is allowed not more than three (3) days for oral exposition and presenting witnesses and evidence, and must not dwell on aspects not covered by the written grievance.
The respondent is allowed three (3) days to express side, present witnesses, and submit evidence.
The grievance committee may invite or subpoena PNP officials or employees to clarify or shed light on matters covered by or related to the grievance.
After hearing termination, the committee must deliberate and decide without delay or adjournment and submit findings and recommendations to the Head of Office/Unit not later than three (3) days after investigation.
Upon receipt of records, the Head of Office/Unit must render a decision in writing within three (3) days, and must simultaneously furnish the complainant with a copy of the records including CFAG and the decision.
The CFAG must contain, among others, the history and final action taken by the agency on the grievance.
The Head of Office/Unit decision takes effect immediately unless appealed or referred within fifteen (15) days to the Civil Service Commission (CSC).

Stage III: referral to CSC regional office

After the Grievance Committee recommendation becomes the basis of the decision of the 3rd Level Head of Office, the case may be referred to the Civil Service Regional Office concerned at the instance of the complainant.
The referral must be made within fifteen (15) days reckoned from the issuance of the CFAG by the grievance committee.

Participants: complainant, respondent, observers

A grievance may be initiated by any member or group of the PNP organization through a written appeal or petition to the head of office or unit when dissatisfied with a prior decision relative to the grievance.
The written petition must state: Name of complainant; Rank; Designation (if needed); Present Section or Division of Assignment; Immediate Supervisor; Present Department or Unit of Assignment; Higher Supervisor; Nature of Grievance; Settlement Desired; Signature of Complainant; Signature of Association Official/Representative (if applicable); Date of Filing from the Lowest Level in the Agency.
No grievance may be entertained unless earlier attempts to resolve the grievance with the immediate superior and the next higher officer or supervisor were without success and the matter is within the scope of the grievance procedure.
The complainant bears the burden of establishing the grounds for the grievance and the burden of proving them by preponderance of the evidence.
Preponderance of evidence is the evidence that, when fairly considered, produces the stronger impression and is more convincing as to truth when weighed against opposing evidence.
Preponderance is based on the greater weight of all evidence considering opportunity for knowledge, the information possessed, and the manner of testifying—not the number of witnesses or quantity of documents.
If pre-requisites are not followed or the complainant does not meet the required burden, the committee may dismiss the grievance.
The grievance may be brought against a superior, supervisor, or colleague (the respondent) for any action or omission adversely affecting an individual’s professional or personal capacity, standing, or position.
Once the committee is constituted, the respondent must be given the opportunity to respond in writing, and the response joins issue with the grievance statement to outline disputed issues.
Each party may have a third-party observer to attend pre-hearing and hearing.
The observer must not have an active role and must not advise a party during the hearing.
An observer may be a member of the organization, an association, a friend or relative, or an attorney, and there is no limitation on who may be an observer.
Attorneys may attend only as observers and, when present, may provide advice and prepare correspondence and documents for a party without disrupting the hearing.

Grievance committee structure and duties

The committee must be composed only of permanent officials and employees, whenever applicable.
In choosing or appointing committee members, integrity, probity, sincerity, and credibility must be considered.
The Chief of Personnel Office must be designated as the Chairman at all levels of office.
The committee must include division/section chiefs (or equivalent) as committee members, and must include members from the rank-and-file chosen for a term of two years through a general assembly or any other selection mode.
The rank-and-file selection must include one each from the three levels (1st, second, and 3rd) corresponding to appointment levels for participation in resolution of grievances of personnel at the corresponding level.
If the grievance is against a committee member, the person who garnered the second highest votes must sit as alternate of the member complained of.
If the chairman is the subject of the grievance, any member of the command group starting from the Chief of the Directorial Staff or its equivalent at the concerned level must act as chairman.
The committee composition at different levels is organized under PNP NHQ, PRO, NSU, and lower units using equivalent personalities based on the listed structure of Chairman, members, and rank-and-file members, including legal counsel membership where provided.
The Head of Office at any given level must ensure equal opportunity for men and women to be represented in the grievance committee.
The PNP personnel section/division must provide secretariat services to the grievance committee.

Committee powers, limits, neutrality, records

The grievance committee has delegated authority to hear grievances and determine whether a matter is within the purview of the grievance mechanism.
The committee must make written findings of facts and recommendations regarding the grievance.
The committee has no power to reverse the Head of Office’s decision.
The committee’s authority is limited to recommending a reassessment if it finds the decision was reached improperly or unfairly.
Committee members must remain neutral toward the parties and must be fair and impartial decision makers with an open mind.
Ex parte communications on matters of substance must never take place between the committee and a complainant and/or respondent.
Neither the Chairman nor committee members may solicit or hear evidence without the presence of both parties.
Oral communications between parties and committee members must take place only in scheduled meetings with both parties informed and given an opportunity to be present.
Committee members must attend orientation, pre-conference, and all scheduled hearing dates.
Committee members must preliminarily determine jurisdiction and whether amendment should be allowed or dismissal should be made.
Committee members must carefully listen and review testimony and documentary evidence.
Committee members must weigh credibility, make specific findings of fact, and determine whether the complainant established the charges.
Committee members must assist the Chairman in finalizing the written report and submit a minority report if necessary.
Grievance committees must develop proactive measures to prevent grievances, including employee assembly at least once every quarter and “talakayan” counseling HRD interventions and similar activities.
Each grievance committee must develop and implement its own internal procedures and strategies, and membership is part of regular duties.
Grievance committees at PRO, NSU National Office, and PNP NHQ must submit quarterly accomplishment and status reports of pending cases to the concerned CSC Regional Office and the PNP Resident Ombudsman.
The personnel section/division in collaboration with each office/unit grievance committee must run a continuing information drive on the grievance machinery.

Chairman, counsel, and meeting controls

The grievance committee Chairman must convene and chair all meetings and hearings.
The Chairman must provide information on the grievance and grievance process and handle logistics such as recording/transcriptions, counsel for the committee, and conference rooms.
The Chairman must schedule committee meetings and hearings and notify parties, committee members, and committee counsel, with the first hearing date not later than four weeks after receipt of the respondent’s response.
The Chairman must exercise complete control over all stages of the hearing process.
The Chairman must draft correspondence on behalf of the committee and forward amended grievances and notices of scheduled meetings to the Office of Legal Service.
The Chairman must ensure timely and orderly process and that committee work is completed.
The Chairman must instruct the committee on jurisdictional and related matters and make procedural rulings, including number of witnesses, length of presentations, admissibility of evidence, and other procedural matters.
The Chairman must keep records of meetings and communications with the parties and committee.
The Chairman must prepare and submit a written report to the Head of Office/Unit and compile official records for transmission as required.
The Chairman must convene and chair meetings or hearings required by a remand.
The committee must have a legal counsel from Legal Service to advise on procedural matters, and in lower units the Chairman must arrange a committee counsel to be present at all stages, including deliberations.

Effectivity

The circular takes effect upon approval.