Revised Rules on PRC Admin Investigations

Prc No. 2013-775
A Philippine Jurisprudence case highlights the purpose of rules in ensuring fair and efficient resolution of cases, emphasizing due process, and outlining procedures and requirements for filing, service, and resolution of cases before the PRC and the PRBs.
revised rules regulations administrative investigations

Legal basis and governing policy objectives

  • The resolution is adopted to revise the rules governing administrative investigations in the Professional Regulation Commission and Professional Regulatory Boards.
  • The revision is anchored on the quasi-judicial function of the Commission and Boards to conduct investigations.
  • The resolution emphasizes compliance with fair, expeditious and inexpensive disposition of cases.
  • The Rules require liberal construction to promote just, speedy and inexpensive determination of cases and allow the Commission and Boards to proceed without being bound by technicalities when doing so determines the facts consistent with justice and equity. (Sec. 3, Article I)
  • Republic Act No. 8981 is the statutory basis referenced for promulgation authority, specifically Sec. 7 (d), (p) and (s) and Sec. 9 (c).
  • The Rules provide that administrative investigations are fact-finding and summary with purposes tied to fitness, qualification, and admission. (Sec. 4, Article I)

Coverage and persons subject to investigation

  • The Rules govern administrative investigations against: Chairman, Vice-Chairman, or Member of the Board, a registered and licensed professional, a juridical person allowed to practice a profession, a holder of a special temporary permit, an examinee, an applicant for examination, and an applicant for registration without examination. (Sec. 2, Article I)
  • The Rules apply in investigations conducted in the Central Office and the Regional Offices of the Commission. (Sec. 8, Article I)
  • The Rules cover grounds that fall under the pertinent professional regulatory laws and Republic Act No. 8981. (Sec. 13, Article I)
  • The Rules establish that filing or pendency of criminal and/or civil cases in court, or an administrative case before another quasi-judicial body, does not suspend or bar the administrative proceedings described in the Rules; the Commission or Board proceeds and decides independently. (Sec. 12, Article I)

Definitions, nature of proceedings, and general construction

  • Administrative investigations are fact-finding and summary and are intended primarily to determine:
    • whether the Chairman/Vice-Chairman/Member of the Board is still fit to continue as such; and/or
    • whether the registered and licensed professional/juridical person/special temporary permit holder remains qualified and competent to continue practicing; and/or
    • whether the applicant or examinee is qualified to be admitted to the practice of the profession. (Sec. 4, Article I)
  • Unless otherwise provided, the Revised Rules of Court apply suppletorily. Technical errors in evidence admission that do not prejudice substantive rights do not vitiate proceedings. (Sec. 5, Article I)
  • The Rules require observance of due process: the respondent must be informed of the charges; be entitled to counsel or to be heard in person; be entitled to a speedy and public trial; and be allowed to confront and cross-examine witnesses against him. (Sec. 7, Article I)
  • The Rules uniformly apply across Central and Regional investigation settings. (Sec. 8, Article I)
  • Proof-of-service requirements apply to pleadings after the complaint. (Sec. 16, Article I)

Initiation, dismissal, and jurisdiction rules

  • A complaint must be verified or embodied in an affidavit, and must include a certification of non-forum shopping. (Sec. 1, Article II)
  • A complaint may be filed by any person or by a duly authorized representative for any violation of law, rules and regulations, instructions or policies of the Commission or the Board, and the Commission or Board may initiate an administrative investigation motu proprio. (Sec. 2, Article II)
  • A complaint may be filed with the Legal and Investigation Division of the Central Office or with the Regional Office having territorial jurisdiction over the parties; if there is no lawyer in that Regional Office, the complaint may be filed in the nearest Regional Office where there is a lawyer of the Commission. (Sec. 3, Article II)
  • Jurisdiction over the respondent is vested by service of summons with a copy of the complaint or formal charge, and jurisdiction remains effective even if the respondent later leaves the Philippines or fails to appear. (Sec. 6, Article I)
  • The complaint must be written in clear, simple and concise language to inform the respondent of the nature and cause of the charge and enable an intelligent defense, and must contain:
    • full names and complete addresses of complainant and respondent;
    • respondent’s profession and his Certificate of Registration or special temporary permit number and date of issuance if known;
    • if the respondent is an examinee, the licensure examination applied for/taken and date(s) if known by complainant; or if an applicant for registration without examination, the profession applied for;
    • a brief narration of material facts showing alleged acts or omissions constituting the charge;
    • the disciplinary action prayed for; and
    • certified true copies of documentary evidence and witness affidavit(s) if any. (Sec. 4, Article II)
  • The complaint and supporting documents must be filed in three (3) legible copies plus additional copies equal to the number of respondents; affidavits must state facts of direct personal knowledge and show the competence of the affiant to testify, or the affidavit (or portion) is excluded from the record. (Sec. 5, Article II)
  • The complaint may be withdrawn by the complainant in writing and under oath at any time before submission for decision; the Commission or Board must dismiss unless withdrawal must be disregarded to protect the public interest, protect professional standards, or due to obvious merit. (Sec. 6, Article II)
  • A complaint is dismissed outright if any of the following exists:
    • no jurisdiction over the person of the respondent or the subject matter;
    • no legal capacity of the complainant to sue; or
    • no cause of action stated in the complaint. (Sec. 7, Article II)

Prohibited motions and hearing delegation controls

  • The following pleadings, motions and petitions are treated as mere scraps of paper and are not acted upon:
    • motion to dismiss (except for lack of jurisdiction over the subject matter or the person);
    • motion for a bill of particulars;
    • motion for a new trial or for reopening of trial;
    • petition for relief from judgment;
    • motion for extension of time to file pleadings/affidavits/other papers;
    • second or subsequent motions for reconsideration;
    • motion for reconsideration against any interlocutory order;
    • reply and rejoinder; and
    • demurrer to evidence. (Sec. 9, Article I)
  • Hearing may be delegated to any lawyer of the Commission, who may act as Hearing Officer or Special Prosecutor in motu proprio investigations. Commission lawyers may administer oaths as necessary. (Sec. 10, Article I)
  • Lawyers of the Commission and Board members may exclude disruptive persons from the hearing room; disruptive conduct may be punished by contempt if disturbance continues outside the hearing room. (Sec. 10, Article I)
  • The presence of at least one Board member is required in cases involving the practice of the profession, but the Board may waive presence in its discretion except when the issue strictly concerns the practice of the profession or occupation. (Sec. 11, Article I)
  • The Rules provide contempt process through the Regional Trial Court with territorial jurisdiction over the Commission or Regional Office for improper acts or conduct committed against the Commission, Board, any member, or a lawyer of the Commission. (Sec. 15, Article I)

Conciliation proceedings and confidentiality

  • Conciliation is required for verified complaints against a professional, juridical person allowed to practice a profession, special temporary permit holder, examinee, or applicant for registration without examination, except when the acts or omissions result in death or injury to persons or serious impairment of the public interest. (Sec. 1, Article III)
  • Within five (5) days upon receipt of the complaint, the complaint is forwarded to the conciliation unit. (Sec. 2, Article III)
  • Upon receipt, the designated conciliator initiates a conciliation conference within five (5) days and assists the parties to arrive at a settlement by clarifying issues, validating positions and relief sought, and encouraging options and stipulations/settlement. (Sec. 3, Article III)
  • Conciliation proceedings must be carried out and terminated within thirty (30) days from receipt of the complaint unless the parties agree otherwise. (Sec. 4, Article III)
  • The parties must appear at all times; lawyers may attend only to render advice. (Sec. 4, Article III)
  • If the complainant fails to appear in two (2) meetings despite due notice, the conciliator reports within five (5) days, and the Board dismisses the complaint with prejudice; if the respondent fails to appear in the two meetings, the Board orders docketing of the case. (Sec. 4, Article III)
  • Conciliation may be pre-terminated within the 30-day period for:
    • failure to appear by one or both parties for two consecutive meetings;
    • failure to reach settlement/agreement; or
    • pre-termination upon agreement of the parties (including where the parties enter into a settlement/compromise agreement). (Sec. 5, Article III)
  • If conciliation fails to reach agreement, the conciliator must report within five (5) days with reasons and submit a copy of the complaint to the Legal and Investigation Division; the complaint is docketed after payment of required fees and assigned to a hearing officer, summons issue to the respondent, and the respondent’s name appears in the Commission control list. (Sec. 5, Article III)
  • For an amicable settlement, the conciliator must reduce it into writing, ensure understanding and signatures in the conciliator’s presence, and attest it as a true and voluntary act; the conciliator must report within five (5) days and endorse the compromise agreement to the Board for approval. (Sec. 6, Article III)
  • Conciliation proceedings are confidential; both parties may waive confidentiality in writing. (Sec. 7, Article III)

Summons, counter-affidavits, default, and service

  • Summons must be issued together with a copy of the complaint or formal charge requiring the respondent to file a counter-affidavit or verified answer within fifteen (15) days from receipt. (Sec. 1, Article IV)
  • Summons may be served through private courier at the expense of the complainant. (Sec. 1, Article IV)
  • The counter-affidavit or verified answer must include a statement whether the respondent elects a formal investigation or waives the right and submits for decision based on pleadings; the complainant must receive a copy. (Sec. 2, Article IV)
  • Summons with complaint/formal charge must be served personally or by registered mail at the address indicated; if personal service cannot be made, a copy may be left at the respondent’s residence with a person of suitable age and discretion residing therein. (Sec. 3, Article IV)
  • Registered mail service is complete upon actual receipt; if the respondent fails to claim the mail, service takes effect upon expiration of five (5) days from the date of first notice of the postmaster. (Sec. 3, Article IV)
  • If summons cannot be served after three (3) attempts, the complaint is archived with notice to the complainant. (Sec. 4, Article IV)
  • If the respondent fails to file the counter-affidavit/verified answer within fifteen (15) days, an order of default must issue, ex-parte presentation of evidence is allowed, and judgment is rendered based on the evidence. (Sec. 5, Article IV)

Notice and pleading filing rules

  • Notices, motions, orders, judgments and pleadings may be served personally or by registered mail to parties and their counsel; service to counsel is service to the party. (Sec. 1, Article V)
  • A personally submitted pleading is deemed filed on the date stamped thereon; a registered mail pleading is deemed filed on the postmark date shown on the envelope attached to the records. (Sec. 2, Article V)
  • All pleadings subsequent to a complaint must show proof of service on the adverse party, and any pleading without proof of service is not accepted or acted upon. (Sec. 16, Article I)

Pre-trial conference and summary disposition

  • A mandatory pre-trial conference must be set within thirty (30) days from receipt by the Commission or Board of the counter-affidavit or verified answer, with notice served to parties and their counsel. (Sec. 1, Article VI)
  • Pre-trial briefs must be filed at least three (3) days before the pre-trial conference and must contain:
    • statement of willingness for amicable settlement and desired terms if allowable;
    • summary of admitted facts and proposed stipulations of facts;
    • issues to be tried/resolved;
    • documents/exhibits to be presented and their purpose and markings;
    • witnesses (number, names, complete addresses) and substance of testimony;
    • hearing dates if further hearing is needed, with completion not more than ninety (90) days from start of evidence presentation by either party;
    • willingness to submit case for decision based on position papers; and
    • other matters for prompt disposition. (Sec. 2, Article VI)
  • Any reservation to present additional witnesses or documents is subject to the Commission or Board’s discretion. (Sec. 2, Article VI)
  • Failure to file the pre-trial brief at least three (3) days before the conference has the same effect as failure to appear at the pre-trial conference. (Sec. 2, Article VI)
  • Failure of the complainant and/or counsel to appear causes dismissal; failure of the respondent and/or counsel to appear allows the complainant to present evidence ex-parte and authorizes judgment based on that evidence. (Sec. 3, Article VI)
  • During pre-trial, parties must consider possibility of amicable settlement (if allowable), stipulation of facts, simplification of issues, exhibit marking, witness limitation and substance, trial completion within ninety (90) days, dispensing with Board member presence in appropriate cases, submission on position papers, and other matters for prompt disposition. (Sec. 4, Article VI)
  • Within fifteen (15) days from termination of the pre-trial conference, a pre-trial order is issued detailing stipulations/admissions and other matters; it defines and limits issues if the action proceeds to trial and governs subsequent proceedings unless modified before trial to prevent manifest injustice. (Sec. 5, Article VI)
  • The Board may require verified position papers instead of a hearing, with submissions within fifteen (15) days from pre-trial conference or receipt of the order; position papers must contain only charges/defenses/claims in the affidavits and pleadings, though additional relevant affidavits and/or documents may be attached. (Sec. 6, Article VI)
  • Failure to submit the verified position paper when required waives it; the case is deemed submitted for decision. (Sec. 6, Article VI)

Trial conduct, affidavits, postponements, and subpoenas

  • Trial proceeds through:
    • complainant and witness presentation;
    • cross-examination of complainant and witnesses, followed by redirect and re-cross by respondent;
    • respondent evidence for defense;
    • cross-examination of respondent and witnesses, followed by re-direct and re-cross by complainant; and
    • rebuttal and sur-rebuttal, subject to the Commission or Board’s discretion. (Sec. 1, Article VII)
  • The Judicial Affidavit Rule under A.M. No. 12-8-8 SC applies. (Sec. 2, Article VII)
  • Written motions for postponement must be filed and furnished the adverse party at least five (5) days before the scheduled hearing.
  • Each party is allowed a maximum of two (2) postponements during the whole proceedings regardless of the number of complainants/respondents; further postponement is denied.
  • Failure of a party to appear at a scheduled hearing is treated as waiver of the right to cross-examine witnesses presented by the other party or to adduce evidence. (Sec. 3, Article VII)
  • Trials must be conducted on the dates set and agreed during pre-trial conference; the schedule must be strictly followed without further notice. (Sec. 4, Article VII)
  • Counsel must manifest written appearance and state full name and specified professional compliance details: receipt number of current payment of membership dues to the Integrated Bar of the Philippines; Roll of Attorneys; Professional Tax Receipt (date and place of issue); MCLE compliance (date of issue); and complete address for service; non-compliant appearances/pleadings are not recognized.
  • Counsel withdrawal requires a written withdrawal with the conformity of the party represented and a copy furnished to the adverse party. (Sec. 5, Article VII)
  • A party must request subpoenas in writing at least ten (10) days before the scheduled hearing for subpoena ad testificandum or subpoena duces tecum.
  • The hearing officer issues the subpoena requested to compel witness attendance or document/thing production. (Sec. 6 and Sec. 7, Article VII)

Decisions, timelines, reconsideration, and submission rules

  • The Board must render a decision within:
    • six (6) months from the date of service of summons; and
    • thirty (30) days from the date of Order declaring the case submitted for decision. (Sec. 1, Article VIII)
  • If there is an appeal, the Commission must decide within ninety (90) days from perfection of the appeal. (Sec. 1, Article VIII)
  • Decisions must be in writing and signed by at least a majority of Commission or Board members, unless a unanimous decision is required by law, and must contain clear and distinct findings of fact and law. (Sec. 1, Article VIII)
  • A party aggrieved by a decision, order or resolution may file a motion for reconsideration within fifteen (15) days from receipt.
  • Only one (1) motion for reconsideration is entertained; a second or subsequent motion is not acted upon and does not stop the appeal period.
  • A motion to extend the reglementary period to file a motion for reconsideration is not allowed.
  • No motion for reconsideration is entertained unless grounded on: fraud, accident, mistake, or excusable negligence where ordinary prudence could not have guarded against it and rights were probably impaired; newly discovered evidence that could not have been discovered with reasonable diligence and would probably alter the result; or imposition of excessive penalty/insufficiency of evidence/decision against law/decision not in accordance with facts. (Sec. 2, Article VIII)
  • The decision or resolution must be transmitted to the parties and/or counsel. (Sec. 3, Article VIII)
  • In default situations, ex-parte evidence is allowed and judgment is rendered accordingly under the Rules on default. (Sec. 5, Article IV)

Appeals, perfection requirements, and execution

  • The Board’s decision or order that fully disposes of the case becomes final and executory after fifteen (15) days from receipt if no appeal is perfected or taken.
  • The aggrieved party may file a notice of appeal to the Commission with an appellant’s brief or memorandum on appeal, with a copy furnished the adverse party, within fifteen (15) days from receipt of the decision/order, and must pay the appeal and legal research fees.
  • The period for perfecting the appeal is non-extendible.
  • Failure to pay the appeal and legal research fees within the appeal period is a ground for dismissal of the appeal. (Sec. 1 and Sec. 2, Article IX)
  • A notice of appeal personally submitted is deemed filed on the date stamped thereon; if sent by registered mail, it is deemed filed on the postmark date shown on the attached envelope. (Sec. 3, Article IX)
  • Before elevating the case, the Board must verify that the appeal is not from an interlocutory order and that perfection requirements are satisfied; appeals from interlocutory orders are dismissed, and non-compliance causes dismissal. (Sec. 4, Article IX)
  • An appeal is perfected only upon compliance with all:
    • notice of appeal stating the specific material date of receipt of the decision/order/resolution;
    • three (3) legible copies of brief/memorandum on appeal stating the matters involved, issues raised, specification of errors of fact or law (or both), and reasons/arguments;
    • proof of service of the brief/memorandum on appeal to the adverse party; and
    • official receipt of payment of the appeal and legal research fees attached to the notice of appeal. (Sec. 5, Article IX)
  • The adverse party must submit an appellee’s brief by the Head of the Regulations Office upon Commission authority within fifteen (15) days from receipt of an Order from the Commission; thereafter, the appeal is considered submitted for decision/resolution. (Sec. 6, Article IX)
  • The case records remain with the Commission until the decision has been executed. (Sec. 7, Article IX)
  • Execution issues as a matter of right only after a decision/order/resolution finally disposes of the action and becomes final and executory; records are forwarded to the Legal and Investigation Division after execution for consignment to archives. (Sec. 1, Article X)
  • Final and executory Commission/Board decisions/orders/resolutions must be immediately enforced and executed through the Legal and Investigation Division, in coordination with concerned Accredited Professional Organizations/Accredited and Integrated Professional Organizations and government agencies. (Sec. 2, Article X)
  • The Chairman or a designated Board member must sign the certification attesting surrender of Certificate of Registration, Professional Identification Card/Special Temporary Permit, and/or STCW Certificates by those imposed suspension or revocation penalties.
  • If a professional fails to surrender the Certificate of Registration, Professional Identification Card, Special Temporary Permit, and/or STCW Certificates, practice after finality is deemed illegal.
  • The Legal and Investigation Division is responsible for safekeeping surrendered documents/certificates. (Sec. 3, Article X)
  • For marine officers, the Rules require surrender of STCW Certificates when applicable within ten (10) days from finality of the decision; failure to surrender triggers the deemed-illegal practice rule under Section 3, Article X. (Sec. 14, Article I and Sec. 3, Article X)

Penalties, sanctions, and surrender obligations

  • For members of a Board, the Commission must revoke or suspend the certificate of registration of a member of the Board, and must recommend to the President of the Philippines the suspension or removal from office, as applicable. (Sec. 14, Article I)
  • For guilty respondents who are professionals or juridical persons, penalties include revocation or suspension of Certificate/s of Registration or reprimand. (Sec. 14, Article I)
  • Revocation/suspension of Certificate/s of Registration and/or the Professional Identification Card, and for marine officers the STCW Certificates (if applicable), require surrender to the Board within ten (10) days from finality of the decision. (Sec. 14, Article I)
  • For holders of a special temporary permit, the penalty is cancellation of the special temporary permit in accordance with the concerned Professional Regulatory Law and Sec. 7 (I) of R.A. No. 8981, with a recommendation for deportation. (Sec. 14, Article I)
  • For an examinee, penalties include cancellation of examination papers, withholding licensure examination results and/or deferment of registration, or debarment from taking a licensure examination within a specified period or any future licensure examination.
  • For an applicant, penalties include denial or cancellation of the application or deferment of registration, as applicable. (Sec. 14, Article I)

Mandatory provisions on execution flow; separability and repeal

  • The Rules include a separability clause: if any provision or part of the Rules is declared invalid or unconstitutional, the remaining provisions remain in force. (Sec. 1, Article XI)
  • PRC Res. No. 06-342(A), series of 2006 is repealed, and all other issuances inconsistent with the Rules are repealed or modified accordingly. (Sec. 2, Article XI)
  • The Rules are effective only after full publication and the fifteen (15) days publication period, with three (3) certified copies filed with the U.P. Law Center. (Sec. 3, Article XI)

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