DepEd Admin Rules of Procedure 2006

Disciplining authority and jurisdiction

The Secretary and the Regional Directors are the disciplining authorities within their respective areas (Section 1).
School Superintendents are disciplining authorities for administrative actions against non-teaching personnel in their school divisions (Section 1).
For administrative cases against officers and employees of DepEd Central Office and for Presidential appointees (specifically Assistant Superintendents, Superintendents, Assistant Regional Directors, Regional Directors, Assistant Secretaries and Undersecretaries of Education), the Secretary has original and exclusive jurisdiction (Section 1).
Decisions of the Secretary in administrative cases against Presidential appointees require confirmation, disapproval, or modification by the President (Section 1).
Where applicable, the appointing and investigating functions follow the authority structure set out in Sections 6 to 9.

Grounds for disciplinary action

An administrative complaint may be filed for any of the following grounds (Section 2):
- Dishonesty
- Oppression
- Neglect of Duty
- Misconduct
- Disgraceful and immoral conduct
- Being notoriously undesirable
- Discourtesy in the course of official duties
- Inefficiency and incompetence in the performance of official duties
- Receiving for personal use of a fee, gift or other valuable thing in the course of official duties or in connection therewith when given in hope or expectation of receiving a favor or committing acts punishable under the anti-graft laws
- Conviction of a crime involving moral turpitude
- Improper or unauthorized solicitation of contributions from subordinate employees and by teachers or school officials from school children
- Violations of existing Civil Service Law and Rules or reasonable office regulations
- Falsification of official documents
- Frequent unauthorized absences or tardiness in reporting for duty, loafing or frequent unauthorized absences from duty during regular office hours
- Habitual drunkenness
- Gambling prohibited by law
- Refusal to perform official duty or render overtime service
- Disgraceful, immoral or dishonest conduct prior to entering the service
- Physical or mental incapacity or disability due to immoral vicious habits
- Borrowing money by superior officers from subordinates or lending by subordinates to superior officers
- Lending money at usurious rates of interest
- Willful failure to pay just debts or willful failure to pay taxes due the government
- Contracting loans of money or other property from persons with whom the office of the employees concerned has business relations
- Pursuit of private-business, vocation or profession without the permission required by Civil Service rules and regulations
- Insubordination
- Engaging directly or indirectly in partisan political activities by one holding a non-political office
- Conduct prejudicial to the best interest of the service
- Lobbying for personal interest or gain in legislative halls or offices without authority
- Promoting the sale of tickets in behalf of private enterprises not intended for charitable or public welfare purposes, and even in the latter cases if there is no prior authority
- Nepotism as defined in Section 59, Chapter 8, Subtitle A, Title I, Book V of E.O. No. 292
- Sexual Harassment as defined and penalized under CSC Resolution No. 01-0940
A Grievance Committee is not allowed to hear and decide administrative disciplinary cases (Section 2).
If a complainant charges the respondent with the commission of administrative offenses, the case shall be disposed of by the Disciplining Authority as provided in the rules (Section 2).

Starting an administrative case

Administrative proceedings may be commenced motu proprio by the Secretary, the Regional Director (for DepEd officials and teaching and non-teaching personnel within their jurisdiction), or the Schools Division Superintendents (for non-teaching personnel within their jurisdiction) (Section 3).
Administrative proceedings may also be commenced upon sworn written complaint of any other persons (Section 3).
A complaint must be under oath and written in clear, simple, and concise language to inform the respondent of the nature and cause of accusation to enable an intelligent defense (Section 4).
A complaint must contain (Section 5):
- Full name and address of the complainant
- Full name and address of the person complained as well as position and office in DepEd
- A narration of relevant and material facts showing the alleged acts or omissions
- Certified true copies of documentary evidence and affidavits of witnesses, if any
- Certification or statement on non-forum shopping
Sworn written administrative complaints must be filed (Section 6) with:
- The School Superintendents concerned for cases against non-teaching personnel in their divisions
- The Regional Directors concerned for cases against teachers and their personnel at their regional offices
- The Legal Division of the Central Office for cases against Presidential Appointees and employees at the Central Office
The Secretary of Education can take cognizance of any complaint or administrative cases filed before any DepEd office (Section 6).

Complaint dismissal, withdrawal, and early review

Withdrawal of the complaint does not result in outright dismissal nor in the discharge of the respondent from administrative liability (Section 7).
Where there is obvious truth or merit in the allegations, or where there is documentary evidence tending to prove guilt, the complaint is given due course (Section 7).
The Disciplining Authority must dismiss outright a complaint if on its face there is obviously no truth or merit (Section 8).
The Disciplining Authority must dismiss if the complaint is not in the required form and/or does not comply with the required content (Section 8).
If sufficient in form and substance, the Disciplining Authority gives due course by appointing investigator(s) within ten (10) days from receipt of the complaint (Section 8).
No action proceeds on an anonymous complaint, unless the Disciplining Authority decides to adopt it and file it motu proprio (Section 8).

Investigations, hearings, and committee process

Fact-finding or preliminary investigation must begin by issuing an Order requiring the respondent to submit within three (3) days from receipt:
- a Counter-Affidavit/Comment under oath, with
- affidavits of witnesses of the respondent, and supporting documents, together with a copy of the complaint and supporting documents (Section 9).
Failure to submit a Counter-Affidavit is considered a waiver (Section 9).
Upon receipt of the Counter-Affidavit/Comment under oath, the investigator(s) may summon the parties for a conference to propound clarificatory questions and may interview possible witnesses (Section 9).
During clarificatory hearings, investigator(s) must maintain minutes including clarificatory questions and answers, signed by parties and their counsels if any, and the minutes form part of the case record (Section 9).
After clarificatory hearings, the investigator(s) conducts an ex parte examination of records and documents submitted by both parties and readily available documents from other government offices (Section 9).
A fact-finding investigation or preliminary investigation must commence not later than five (5) days from receipt of the appointment order and must be terminated within thirty (30) days thereafter (Section 9).
Within five (5) days from termination, investigator(s) must submit complete records to the Disciplining Authority together with an investigation report containing findings and recommendations (Section 9).
If a prima facie case is established, the Disciplining Authority issues a formal charge, and prima facie case means reasonable ground to believe the respondent is probably guilty and should be investigated accordingly (Section 9).

Formal charge and respondent’s options

The Formal Charge must include (Section 10):
- specification of charges
- brief statement of material or relevant facts with certified true copies of documentary evidence, if any
- sworn statements covering witnesses, if any
- a directive to answer under oath within not less than seventy-two (72) hours from receipt
- advice that the respondent indicates in the answer whether he elects a formal investigation
- notice that the respondent is entitled to be assisted by counsel of choice
If the respondent already submitted a Comment/Counter-Affidavit, the respondent must be given opportunity to submit additional evidence (Section 11).
The Disciplining Authority must not entertain dilatory requests for clarification, bills or particulars, or motions to suspend proceedings due to a pending court case in the absence of a temporary restraining order or injunctive writ; if interposed, they are treated as an answer and evaluated as such (Section 12).
The Answer must be written and under oath; it must be specific and include material facts and applicable laws, documentary evidence, sworn statements of witnesses if any, and a statement whether the respondent elects a formal investigation (Section 13).
If the respondent fails or refuses to file an Answer to the Formal Charge within five (5) days from receipt, the respondent waives the right to file and the formal investigation may commence (Section 14).

Preventive suspension and remedies

Preventive suspension may be issued upon motion of the complainant or motu proprio by the proper Disciplining Authority after issuance of the Formal Charge immediately thereafter against a subordinate officer or employee during investigation when charges involve dishonesty, oppression, grave misconduct, neglect in performance of duty, or when there are reasons to believe the respondent is guilty of charges that warrant removal (Section 15).
Preventive suspension may also be used to remove the respondent from the scene to prevent undue influence or pressure on witnesses and tampering with documents (Section 16).
In lieu of preventive suspension, the proper disciplining authority or head of office may reassign the respondent to other units during formal hearings (Section 17).
If not finally decided within ninety (90) days from preventive suspension, the respondent is automatically reinstated, unless otherwise provided by special law; delays due to the respondent’s fault, negligence, or petition are excluded from the 90-day counting (Section 18).
If the respondent is on Maternity/Paternity Leave, preventive suspension is deferred or interrupted until the leave has been fully enjoyed (Section 18).
The respondent may file a Motion for Reconsideration with the disciplining authority or elevate it to the Civil Service Commission by way of Appeal within fifteen (15) days from receipt (Section 19).

Formal investigation committee and conduct

A formal investigation must proceed even if the respondent does not request it when allegations and Answer, including supporting documents, cannot be decided judiciously without formal investigation (Section 20).
The Disciplining Authority must issue an Order within five (5) days from receipt of the respondent’s Answer creating the Formal Investigating Committee (Section 21), with composition depending on the respondent:
- If respondent is a teacher under Section 2 of Republic Act No. 4670, the Committee includes a Chairman who is the Schools Division Superintendent or authorized representative with at least rank of Division Supervisor, plus:
  - a representative of the local teachers organization (or provincial/national as applicable), and
  - a Supervisor of the Division (last two designated by the disciplining authority)
- If respondent is an Assistant Schools Superintendent, Schools Superintendent, Assistant Regional Director or Regional Director, Assistant Secretary or Undersecretary, the Committee includes:
  - the Secretary or authorized representative with a rank equal to or higher than respondent as Chairman
  - a representative of PPSTA as member
  - any DepEd officer with a rank equal to or higher than the respondent as member
- If respondent is an employee at DepEd Central Office (other than those listed above), the Secretary has full discretion over committee composition
- For other non-teaching personnel, the disciplining authority has full discretion over committee composition
The formal investigation must be held not earlier than five (5) days and not later than ten (10) days from receipt of the Order constituting the Committee, and must be finished within thirty (30) days from receipt of the Order unless extended by the disciplining authority in meritorious cases (Section 22).
At commencement, the Hearing Officer must conduct a Pre-Hearing Conference for parties to appear and consider agreements on matters including position papers, stipulations, simplification of issues, waivers of objections to admissibility, limitation and names of witnesses, dates of subsequent hearings, and other matters aiding prompt resolution (Section 23).
Parties and their counsels must appear at the Pre-Hearing Conference, and non-appearance is excused only upon a valid cause (Section 24).
Failure of any or both parties to appear is not necessarily ground for dismissal; the appearing party may present evidence in the absence of the adverse party duly notified, but if the absent party later shows valid cause, the absent party is afforded opportunity to cross-examine the witnesses presented during absence (Section 25).
Pre-Hearing Conference proceedings must be recorded; the Committee issues an Order detailing matters taken up and agreements or admissions (Section 26).
Formal investigation proceedings are non-litigious; legal, procedural, and evidentiary technicalities do not strictly apply, subject to due process, and the Committee takes full control while limiting evidence to relevant matters for just and speedy disposition (Section 27).
Hearings are continuous until terminated, on committee-set dates or as agreed in pre-hearing; non-appearance is not necessarily dismissal; an absent party that shows valid cause is allowed to submit written interrogatories to be answered by witnesses presented during absence; two (2) successive, unjustified non-appearances by any party allow the present party to submit resolution based on records and evidence so far (Section 28).
The Committee must ensure respondent has adequate time to prepare defense when scheduling hearings (Section 29).
Only affidavits identified by affiants are evidence; each affidavit constitutes direct testimony subject to written interrogatories submitted in advance and answered before the Committee (Section 30).
At start of hearing, the Committee calls the case, asks for appearances, and proceeds with reception of complainant evidence; if respondent appears without counsel, the right to counsel is deemed waived (Section 31).
Witnesses must be placed under oath; the Committee then takes the witness’s name, address, civil status, age, and place of employment (Section 31).
Sworn statements serve as direct testimony after proper identification and affirmation (Section 31).
Counsel must manifest oral or in writing, stating full name, IBP receipt, and exact address for service of notices and pleadings; any counsel appearance not complying is not recognized; parties may represent themselves without counsel (Section 32).
Hearing order includes reception of complainant’s witnesses first (affidavits as direct testimony), use of written interrogatories in lieu of cross-examination, sequential witness presentation, formal offer of documentary evidence with specified purpose, committee ruling on admission/rejection, then respondent’s evidence following the same order (Section 33).
Objections raised during hearing are resolved by the Investigating Committee; objections not immediately resolved are noted for inclusion in memoranda to be ruled upon by the Disciplining Authority; the Committee accepts all evidence deemed material and relevant, and in doubt admits evidence subject to objection for later evaluation (Section 34).
Documentary exhibits are marked by letters (A, B, C, etc.) for complainant/private complainant and by numbers (1, 2, 3, etc.) for respondent (Section 35).
The Committee may issue Subpoena Ad Testificandum and Subpoena Duces Tecum (Section 36).
Records of proceedings may be taken in shorthand, stenotype, or other recording means (Section 37).
Motions, petitions, appeals, and other pleadings sent by registered mail are deemed filed on the postmark date; personally delivered pleadings are deemed filed on the date stamped by the office (Section 38).

Effects during pendency; publicity rule

Pendency of an administrative case does not disqualify the respondent for promotion nor from claiming maternity/paternity benefits (Section 39).
No publicity is given to any administrative case against a teacher during the pendency of the case (Section 40).

Formal investigation report and decision deadlines

Within fifteen (15) days after conclusion of the formal investigation, the Formal Investigation Committee submits a report to the Disciplining Authority within which:
- material facts established are narrated,
- findings and supporting evidence are identified, and
- recommendations are made (Section 41).
The complete case records must be attached and must be systematically arranged, paged, securely bound, with a table of contents; the person in charge of transmittal is held responsible for loss or suppression of pages (Section 41).
The Formal Investigation Report is not given to the parties and serves only as a guide to the Disciplining Authority, which may adopt it wholly or partially (Section 41).
The Disciplining Authority must render a Decision within thirty (30) days from receipt of the Report of Investigation (Section 42).

Decision review and finality rules

Decisions of the Secretary in administrative cases against Presidential appointees are subject to President confirmation, modification, or disapproval (Section 43).
The President’s final action on the Secretary’s decision is subject to Motion for Reconsideration or appeal to the Court of Appeals under Rule 43 of the Rules of Court within the period in Section 4 of Rule 43 (Section 43).
Decisions of the Secretary against non-Presidential appointees are final and executory if the penalty is:
- suspension for not more than thirty (30) days, or
- a fine not exceeding thirty (30) days salary (Section 44).
If the penalty is suspension exceeding thirty (30) days or a fine exceeding thirty (30) days salary, finality and executory effect occur after the reglementary period for Motion for Reconsideration or Appeal to the Civil Service Commission lapses without filing (Section 44).
Decisions appealed to courts are implemented unless a temporary restraining order or writ of injunction is issued by the courts (Section 44).
Regional Director decisions imposing removal are subject to the Secretary’s confirmation, modification, or disapproval; the confirmed/modified/disapproved decision is subject to Motion for Reconsideration with the Secretary or appeal to the Civil Service Commission (Section 45).
Regional Director decisions imposing suspension not more than thirty (30) days or fine not exceeding thirty (30) days salary are final and executory (Section 46).
If suspension exceeds thirty (30) days or fine exceeds thirty (30) days salary, finality occurs after the reglementary period for filing Motion for Reconsideration or Appeal lapses without filing; decisions appealed to courts are implemented unless restrained by TRO/injunction (Section 46).

Motions for reconsideration and appeals

A Motion for Reconsideration may be filed within fifteen (15) days from receipt of the decision with the disciplining authority that rendered it (Section 47).
A Motion for Reconsideration is based on (Section 48):
- newly discovered evidence materially affecting the decision,
- the decision not supported by evidence on record, or
- errors of law or irregularities prejudicial to the movant.
Only one Motion for Reconsideration is entertained (Section 49).
Filing a Motion for Reconsideration within the 15-day reglementary period stays execution of the decision sought to be reconsidered (Section 50).
Decisions of Regional Directors imposing a penalty exceeding thirty (30) days suspension or fine exceeding thirty (30) days salary may be appealed to the Secretary within fifteen (15) days from receipt; from the Secretary, a final appeal lies to the Civil Service Commission (Section 51).
Pending appeal, the decision remains executory, except when the penalty is removal, in which case executory effect occurs only after confirmation by the Secretary concerned (Section 51).
The appeal fee is Three Hundred Pesos (P300.00), and a copy of the receipt must be attached (Section 52).
To perfect an appeal, within 15 days from receipt of the decision, the appellant must submit (Section 53):
- Notice of appeal stating decision date and receipt date
- Three (3) copies of the appeal memorandum with grounds, plus certified true copy of decision/resolution/order appealed and certified copies of supporting documents/evidence
- Proof of service of a copy of the appeal memorandum to the disciplining office
- Proof of payment of appeal fee
- Statement/certificate of non-forum shopping
Failure to comply with any perfection requirement within the reglementary period causes dismissal of the appeal (Section 53).
An appeal does not stop the decision from being executory; if the penalty is suspension or removal, the respondent is considered under preventive suspension during the pendency of appeal in the event the respondent wins (Section 54).

Remand and court review

If the Civil Service Commission remands the case for further investigation, the disciplining authority must finish the investigation within sixty (60) days from receipt of records, unless delayed due to respondent fault/negligence/petition or unless extended by the Civil Service Commission (Section 55).
The disciplining authority must render decision within thirty (30) days from termination of investigation (Section 55).
If the disciplining authority fails to decide within that period, the Civil Service Commission may set aside the appealed decision and declare the respondent exonerated; if the respondent is under preventive suspension, the respondent must be immediately reinstated (Section 55).
A party may elevate a Civil Service Commission decision to the Court of Appeals by petition for review under Rule 43 of the 1997 Revised Rules of Court (Section 56).

Executive clemency recommendations

In meritorious cases, upon recommendation of the Secretary of Education, the President may commute or remove administrative penalties or disabilities imposed in disciplinary cases, subject to terms and conditions imposed in the interest of service (Section 57).
A dismissed or disciplined employee may file a petition for favorable executive clemency recommendation with DepEd by submitting (Section 57):
- a certified true copy of the decision with a favorable recommendation by the disciplining authority
- certification from reputable community members where the employee resides that the employee has become a useful member
- proof of non-pendency of an appeal/petition for review relative to the disciplinary case before any court/tribunal
- proof of payment of P300.00

Classification of offenses and penalties

Administrative offenses are classified into grave, less grave, or light offenses depending on gravity or depravity and effects on government service (Section 58).
Grave offenses and first-offense penalties include dismissal for each listed item, including:
- Dishonesty (1st offense—Dismissal)
- Gross Neglect of Duty (1st offense—Dismissal)
- Grave Misconduct (1st offense—Dismissal)
- Being Notoriously Undesirable (1st offense—Dismissal)
- Conviction of a crime involving moral turpitude (1st offense—Dismissal)
- Falsification of official document (1st offense—Dismissal)
- Physical or mental incapacity/disability due to immoral or vicious habits (1st offense—Dismissal)
- Engaging in partisan political activities by one holding a non-political office (1st offense—Dismissal)
- Receiving for personal use of a fee, gift or other valuable thing when given in hope/expectation of favor or committing anti-graft punishable acts (1st offense—Dismissal)
- Contracting loans from persons with whom the office has business relations (1st offense—Dismissal)
- Soliciting/accepting gifts or anything of monetary value in course of official duties or in connection with regulated transactions, with propriety determined by value, kinship/relationship, and motivation; monetary value includes what is evidently excessive by nature (1st offense—Dismissal)
- Nepotism (1st offense—Dismissal)
- Disloyalty to the Republic and to the Filipino people (1st offense—Dismissal)
- Oppression (1st offense—Suspension (6 mos. 1 day to 1 year); 2nd offense—Dismissal)
- Disgraceful and immoral conduct (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Inefficiency and incompetence (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Frequent unauthorized absences/tardiness/loafing/frequent unauthorized absences during regular office hours (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Refusal to perform official duty (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Gross insubordination (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Conduct prejudicial to best interest of service (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Financial/material interest in transactions requiring approval of office (1st offense—Suspension 6 months and 1 day to 1 year; 2nd offense—Dismissal)
- Owning/controlling/managing or accepting employment as officer/employee