Legal basis and governing framework
- The Circular is issued pursuant to Sections 41 and 42 of Republic Act No. 6975 and governs disposition of administrative cases involving PNP members before PNP Disciplinary Authorities.
- It establishes procedures that govern administrative due process of both complainant/s and respondent/s in every proceeding under Sections 41 and 42 of Republic Act No. 6975 under Section 1.02.
- It defines specific categories of cases and authorizes summary disposition consistent with Sections 41 and 42 of Republic Act No. 6975 under Sections 2.01, 2.02, and 2.03.
Purpose, scope, and coverage
- The Circular’s purpose is to ensure guidance and uniformity in the conduct of summary hearings.
- The Circular requires strict compliance with the policies and specific procedures it sets.
- The Circular covers the power, duties, and responsibilities of PNP Disciplinary Authorities.
- The Circular covers the administrative due process rights of both complainant/s and respondent/s in proceedings under Section 41 and Section 42 of Republic Act No. 6975.
Definitions for key terms
- A “Complaint” is a written and sworn charge filed against a respondent PNP member under Section 1.03.
- An “Answer” is the responsive pleading containing the respondent’s defense under Section 1.04.
- An “Affidavit” is a sworn statement voluntarily made before a notary public or other authorized officer to administer oaths under Section 1.05.
- “Breach of Internal Discipline” means any offense committed by a member of the PNP involving and affecting order and discipline within the police organization under Section 1.06.
- A “Command/Unit Inspector” is the officer in charge of the PNP Inspectorate Service in the different Commands/National Support Units under Section 1.07.
- A “Complainant” includes:
- A private complainant: any person, natural or juridical, who suffered injury, harm or disturbance through an act or omission attributable to a respondent PNP member under Section 1.08(a); and
- A nominal complainant: any PNP officer required to institute and file charges by reason of office or position under Section 1.08(b).
- A “Recidivist” (administrative context) includes a policeman who, while facing administrative investigation or whose case is pending decision before PNP Disciplinary Authorities, has been previously penalized by any administrative body for an administrative offense involving the penalty of not less than three (3) months suspension or demotion in rank, or previously sentenced by a court for a crime involving the penalty of arresto mayor or higher under Section 1.09.
- A “Repeatedly Charged” policeman is one who is administratively or criminally charged three (3) times or more separate causes of action, with pre-charge investigation finding all charges to be grave and with reasonable ground to believe the respondent is probably guilty, warranting the penalty of dismissal from the service under Section 1.10.
- “Conduct Unbecoming of a Police Officer” includes acts done in official capacity that dishonor or disgrace the officer as a policeman and seriously compromise character and standing, and may also include behavior in unofficial or private capacity that dishonors or disgraces the officer as a gentleman and exhibits moral unworthiness to remain in the police organization under Section 1.11.
- A “Heinous Crime” is a grave felony under the Revised Penal Code or an offense under special law committed in a manner revolting or shocking to common sensibilities, including cruelty, ignominy, treachery, and similar circumstances under Section 1.12, and enumerated heinous offenses are treated as serious offenses for summary proceedings, including (among others) murder, gunrunning, illegal logging, robbery, kidnapping for ransom, white slave trade, illegal recruitment, carnapping, smuggling, piracy, drug trafficking, falsification of land title and other government forms, large scale swindling, film piracy, counterfeiting, and bank frauds under Section 1.12.
PNP disciplinary authorities and their jurisdiction
- For breach of internal discipline under Section 41 of Republic Act No. 6975, the complaint must be brought before PNP authorities vested with corresponding administrative disciplinary authority under Section 2.01.
- Under Section 2.01, the penalty limits and equivalent supervisors are:
- Chief of Police: Officer-in-Charge of Police Station; District Commander; PNP Mobile Force may impose admonition/reprimand, restriction to specified limits, withholding of privileges, forfeiture of any salary or suspension, or any combination for a period not exceeding fifteen (15) days.
- Provincial Director: Commander, Regional Mobile Force Battalion; Commander, Regional Unit of Administrative and Operational National Support Units; Director, Police District Command may impose the same kinds of penalties, but the total period must not exceed thirty (30) days.
- Regional Director (including the Director of the NCRC, ARMM CRECOM & CARAGA ADM REGION): Director of PNP Administrative and Operational Support Unit may impose admonition/reprimand, restriction to specified limits, withholding of privileges, suspension or forfeiture of salary, or any combination, but the total period must not exceed sixty (60) days; dismissal from the service, demotion in rank, and forced resignation may also be imposed.
- Under Section 2.02, summary dismissal authorities under Section 42 of Republic Act No. 6975 are:
- The Chief, PNP; and
- The Regional Directors (including the Directors of NCRC, ARMM, CRECOM, CARAGA Administrative Region).
- Under Section 2.02, summary dismissal is warranted when:
- The charge is serious and evidence of guilt is strong, including heinous crimes, crimes by organized/syndicated groups where PNP members are involved, and all serious offenses punishable under the Revised Penal Code and Special Laws; or
- The respondent is a recidivist or repeatedly charged and there are reasonable grounds to believe the respondent is guilty of the charges; or
- The respondent is guilty of Conduct Unbecoming of a Police Officer.
- Under Section 2.03, Presidential appointees (Senior Superintendents and higher ranking officers whose appointments are vested in the President) must be investigated in accordance with the rules with prior clearance from the President; the Disciplinary Authority shall not decide but shall submit the entire records and the Report of Investigation to the Office of the President, through the NAPOLCOM, for evaluation and final disposition.
Initiating complaints and pre-charge stage
- A complaint may be initiated by:
- The Chief, PNP; the Administrative and Operational Support Unit Directors; the PNP Regional Directors; the Provincial/District Directors; and Chiefs of Police through a complaint sheet supported by an Investigation/Official Report showing acts or omissions allegedly committed; or
- Upon sworn and verified complaint of any person, accompanied by sworn statements of witnesses and other evidence supporting the complaint under Section 3.01.
- A complaint must be written in clear, simple and concise language to apprise the respondent of the nature and cause of the charge/s so the respondent can intelligently prepare an answer or responsive pleading under Section 3.02.
- The complaint must include:
- Full name and address of the complainant;
- Full name, rank, and station/assignment of the respondent; and
- A narration of relevant and material facts showing the acts or omissions constituting the offense alleged under Section 3.02.
- The complainant must attach other documentary evidence in support of the complaint if any under Section 3.02.
- To avoid multiplicity and forum-shopping, the complainant must certify under oath in the pleading/complaint (or document attached) under Section 3.03 that:
- No other action or proceeding involving the same issue has been filed or commenced before any other administrative disciplinary authority or forum;
- No such proceeding is pending before any such fora to the best of the complainant’s knowledge;
- The status is stated for any similar action/proceeding that is pending or may have been terminated; and
- Any similar action/proceeding filed or pending before any other administrative disciplinary authority will be reported within five (5) days to the Disciplinary Authority where the original complaint was filed.
- A willful and deliberate forum-shopping or inclusion of a false certification is a basis to dismiss the complaint under Section 3.03.
- Within three (3) days from receipt of the complaint, the Command/Unit Inspector, upon directive from the Disciplinary Authority, must conduct a preliminary inquiry/pre-charge investigation summoning complainant, respondent, and witnesses if any under Section 4.01.
- Except for serious and valid reasons, if the respondent fails to appear despite due notice, the inquiry/investigation must proceed ex-parte under Section 4.01.
- After the pre-charge investigation, the Command/Unit Inspector must submit to the Disciplinary Authority a Report of Investigation with recommendation to either:
- Dismiss for lack of jurisdiction and refer to the proper disciplinary authority;
- Dismiss for lack of probable cause; or
- Order formal investigation after finding probable cause exists under Section 4.01.
Preventive suspension rules and reinstatement
- Preventive suspension may be imposed by the proper Disciplinary Authority based on finding of probable cause and recommendation of the Command/Unit Inspector under Section 4.02.
- Preventive suspension applies when:
- The administrative charge is serious; or
- The charge is not serious but there is sufficient evidence that the respondent is harassing the complainant and/or witnesses under Section 4.02.
- If the preventive-suspension case is not decided within ninety (90) days from the date of preventive suspension, the respondent must be automatically reinstated into the service under Section 4.02.
- Preventive suspension may be lifted for exigency of the service upon recommendation of the respondent’s immediate superior; after prosecution has rested its case; or for failure to resolve the case within ninety (90) days under Section 4.03.
Summary hearings and decisions
- After determination that the complaint is proper for summary hearing, the respondent must receive:
- A copy of the complaint or charges; and
- Copies of affidavits of witnesses and other documents submitted by the complainant if any;
and must be directed to submit an answer within five (5) days from receipt, attaching pertinent documents/evidence for the defense under Section 5.01.
- If the respondent fails or refuses to file an answer within the allowed period, the respondent is deemed to have entered a plea of general denial under Section 5.02.
- Within five (5) working days after receipt of the respondent’s answer or expiration of the period to answer, the Disciplinary Authority or designated Summary Hearing Officer/Board/Committee must conduct the hearing.
- The summary hearing must be terminated within five (5) successive working days from commencement under Section 5.03.
- If, despite due notice, the respondent fails to appear during the scheduled hearing, the failure is treated as a waiver of the right to testify and the hearing proceeds ex-parte under Section 5.03.
- Because summary proceedings are fact-finding, the Summary Hearing Officer must propound questions, interrogate witnesses, and examine material and relevant evidence to establish truth and arrive at a fair, just, and adequate conclusion under Section 5.03.
- Failure of the complainant to appear despite due notice is a ground to dismiss the complaint for failure to prosecute when culpability cannot be established without the complainant’s testimony; if culpability can be proved by evidence other than the complainant’s testimony, non-appearance does not terminate proceedings under Section 5.04.
- Direct examination of witnesses is dispensed with; sworn statements or affidavits of witnesses take the place of oral testimony subject to cross-examination.
- Cross-examination must be limited to the sworn statements on hand and confined only to material and relevant matters.
- Prolonged arguments and dilatory proceedings are not entertained, and cross-examination is limited to not more than fifteen (15) minutes per witness insofar as compatible with the ends of justice under Section 5.05.
- Parties/witnesses must be summoned to appear on the scheduled hearing dates; postponement is not allowed except for meritorious grounds under Section 5.06.
- The Disciplinary Authority must render a written, personally signed decision within ten (10) days after termination of the summary hearing under Section 5.07.
- The decision must contain:
- Names of parties;
- The offense charged;
- A brief statement of material and relevant facts;
- Findings and conclusion;
- Applicable laws, rules and regulations; and
- The disposition under Section 5.08.
- The decision must be served personally or by registered mail at the respondent’s place of assignment or last known address within three (3) days from rendition under Section 5.09.
- Proof of service must be attached to the case records for purposes of determining jurisdiction in case of appeal under Section 5.09.
- There must be a record of proceedings containing a substantial account of each hearing certified as correct by the Summary Hearing Officer under Section 5.11.
- Either party may file a motion for reconsideration on an adverse decision within ten (10) days from receipt of the decision under Section 5.12.
- Only one (1) motion for reconsideration is allowed, and it must be resolved within five (5) days from filing under Section 5.12.
- A decision imposing dismissal from the service is immediately executory under Section 5.10.
- If the respondent is exonerated on appeal from a dismissal decision, the respondent must be considered as having been under preventive suspension during appeal pendency and must be reinstated with entitlement to back salaries and allowances under Section 5.10.
- A decision imposing demotion in rank or forced resignation becomes final and executory after ten (10) days from receipt by the respondent if no motion for reconsideration is filed within that period.
- Only one (1) motion for reconsideration is allowed for demotion/forced resignation decisions, and it must be resolved within three (3) days from filing under Section 5.10.
Appeals, appellate timelines, and implementation
- If the motion for reconsideration is denied, or if no motion is filed, the respondent may appeal to the appropriate NAPOLCOM Appellate Board on these grounds under Section 6.01:
- New and material evidence discovered that could not, with reasonable diligence, have been discovered and produced at hearing and that would probably change the decision;
- Errors of law or irregularities committed during the hearing prejudicial to substantial rights;
- Findings of fact not supported by substantial evidence; or
- The penalty imposed is not commensurate to the offense committed.
- An appeal is perfected by filing and serving a Notice of Appeal on the Disciplinary Authority within ten (10) days from receipt of the decision/resolution under Section 6.02.
- Within three (3) working days from receipt of the Notice of Appeal, the deciding Disciplinary Authority must forward the entire numbered and initiated records and properly marked exhibits, including the summary record of proceedings, to the appropriate NAPOLCOM Appellate Board under Section 6.02.
- The records may not be hand-carried to the NAB/RAB by any party under Section 6.02.
- The NAPOLCOM Appellate Board must decide the appeal within sixty (60) days after receipt of the entire records under Section 6.03.
- If the NAPOLCOM Regional Appellate Board (RAB) does not decide within that period, the decision becomes final and executory, without prejudice to an appeal by the respondent to the Secretary of the Interior and Local Government under Section 6.03.
- A decision of the NAPOLCOM National Appellate Board (NAB) disposing an appealed case is final and executory unless a timely motion for reconsideration is filed within ten (10) days from receipt.
- If a motion for reconsideration is filed, finality and executory effect occur upon receipt by the respondent-appellant of the Board’s resolution on the motion under Section 6.03.
- Decisions/resolutions/orders of the RAB/NAB must be referred to proper PNP authorities for implementation by personal service or registered mail under Section 6.04.
- Failure or refusal to serve/implement within three (3) days upon receipt is an administrative offense subject to disciplinary punishment for serious Neglect of Duty/Insubordination under Section 6.04.
NAPOLCOM appellate board jurisdiction and roll-off appeals
- NAPOLCOM National Appellate Boards have jurisdiction over appeals from the decision of the Chief, PNP under Sections 81 and 42 of Republic Act No. 6975 when the penalty imposed is dismissal from the service, forced resignation, or demotion in rank under Section 7.01.
- NAPOLCOM Regional Appellate Boards have jurisdiction over:
- Decisions of the Mayor, regardless of penalty;
- Decisions of PNP Regional Directors and equivalent supervisors under Sections 41 and 42 of Republic Act No. 6975; and
- Decisions of the PLEBS when the penalty imposed is dismissal from the service, forced resignation, or demotion in rank under Section 7.02.
- When dropping from the rolls is used by the Summary Dismissal Authority as a mode of separating/terminating a PNP member’s service, it is appealable to the Commission within ten (10) days from receipt of the order/resolution dropping the member from the rolls under Section 7 (second paragraph).
Final provisions: repeal, separability, and effectivity
- Section 8.01 supersedes or modifies Memorandum Circular No. 92-006 (1992) as amended by Circular No. 94-021 and Circular No. 94-022 (1994), and all inconsistent rules/regulations/issuances or portions thereof.
- Section 8.02 provides separability: if any provision of the Circular is declared legally unenforceable, the validity of the remaining provisions is not affected.
- Section 8.03 provides effectivity upon approval.