Authority, policy, and construction
- The Disciplining Authority is the person or body authorized to impose the penalty provided for by law or rules (Rule II, Section 8).
- For officers from the rank of Vice President or its equivalent and other more senior positions, the Board of Directors is the Disciplining Authority, and this authority is delegated to the President and Chief Executive Officer (CEO) of the Bank (Rule II, Section 8).
- For officers and/or employees below the rank of Vice President or its equivalent, the President/CEO is the Disciplining Authority, and the President/CEO may delegate authority to a Committee composed of: Chief Financial Officer (Chairperson), next highest ranking Sector Head (Vice Chairperson), and Chief Legal Counsel (Member) (Rule II, Section 8).
- The proceedings are summary in nature and conducted without necessarily adhering to the technical rules of procedure and evidence applicable to judicial proceedings (Rule I, Section 4).
- Administrative records, reports, and recommendations to the Disciplining Authority are strictly confidential, and staff handling or assisting administrative cases perform highly confidential functions (Rule I, Section 4).
- Rule I, Section 5 requires liberal construction to achieve just, speedy, and inexpensive disposition.
Scope, persons covered, and defined terms
- The guidelines apply to all disciplinary administrative cases brought before DBP against its officials and employees (Rule I, Section 2).
- Employee covers regular, temporary, coterminous, directly-hired, and casual rank and file employees and officers of the Bank (Rule II, Section 9).
- A Complaint is a sworn written statement filed by any person, natural or juridical (other than the Disciplining Authority) against a DBP official or employee (Rule II, Section 5).
- An Adverse Report includes audit reports and other management reports of irregularities that may serve as a basis for disciplinary action (Rule II, Section 1).
- A Formal Charge is a written specification of charges issued by the proper Disciplining Authority (Rule II, Section 11).
- A Notice of Charge is a written charge issued by the Disciplining Authority giving due course to a complaint initiated by a person other than the Disciplining Authority (Rule II, Section 15).
- Prima facie case exists when there is evidence sufficient to believe an administrative offense was committed and the employee complained of is probably guilty (Rule II, Section 17).
- A case is contested when the respondent elects a formal investigation in the answer to the formal charge/complaint (Rule II, Section 6).
- Forum-shopping is filing several administrative actions/complaints simultaneously or successively before another agency or tribunal against the same party involving substantially the same issues, pending or already resolved adversely (Rule II, Section 12).
Initiation, complaint requirements, and docketing
- Administrative proceedings may be initiated by the Disciplining Authority motu proprio or upon complaint by any other person, natural or juridical (Rule III, Section 3).
- Except when initiated by the Disciplining Authority or its authorized representative, no complaint is given due course unless it is in writing, subscribed, and sworn by the complainant (Rule III, Section 1).
- A show-cause order is sufficient for cases initiated by the Disciplining Authority or its authorized representative (Rule III, Section 1).
- Anonymous complaints are entertained only if allegations are verifiable or have merit or are supported by documentary or direct evidence; the person complained of may be required to comment (Rule III, Section 1).
- A complaint must be in triplicate copies, written in clear, simple and concise language, and must apprise the employee complained of of the nature and cause of the accusation to enable intelligent defense (Rule III, Section 1).
- If more than one employee is complained of, additional copies equal to the number of employees complained of must be submitted (Rule III, Section 1).
- A complaint must contain: complainant’s full name and address; respondent employee’s full name and address, position and office; narration of relevant and material facts; certified true copies of documentary evidence and affidavits of witnesses (if any); and certification/statement of non-forum shopping (Rule III, Section 1).
- The absence of any required complaint element results in dismissal of the complaint without prejudice to refiling upon compliance (Rule III, Section 1).
- Complaints, adverse reports, formal charges, and notice of charges must be forwarded to the Corporate Governance Office (CGO) for proper docketing, evaluation, and appropriate action (Rule III, Section 2).
- Withdrawal of a complaint does not cause outright dismissal nor discharge from administrative liability; where allegations have merits/verifiability or are supported by documentary evidence tending to prove guilt, due course shall still be given (Rule III, Section 3).
- Upon receipt of a complaint sufficient in form and substance, the Disciplining Authority requires the employee complained of to submit a Counter-Affidavit/Comment under oath within three (3) days from receipt of the order (Rule III, Section 4).
Preliminary investigation timetable and disposition
- A Preliminary Investigation determines whether a prima facie case exists to warrant a formal charge/notice of charge (Rule IV, Section 1).
- The preliminary investigation includes fact-finding or ex-parte examination of records and documents submitted by parties and readily available documents from other government offices (Rule IV, Section 1).
- Within five (5) days from receipt of a sufficient complaint, the employee must submit a counter-affidavit or comment (Rule IV, Section 2).
- When the complaint is initiated by the Disciplining Authority, the CGO Head issues a show-cause memorandum directing the employee to explain why no administrative case should be filed; failure to submit is treated as a waiver and allows completion even without the counter-affidavit/comment (Rule IV, Section 2).
- The investigator may conduct a conference to propound clarificatory questions (Rule IV, Section 2).
- Parties may submit affidavits and counter-affidavits with supporting documents; CGO may interview witnesses and examine relevant records, and prior submitted comments/documents from earlier audits/investigations may be considered (Rule IV, Section 2).
- Preliminary investigation must start no later than five (5) days from receipt of the complaint/adverse report by CGO and must terminate within twenty (20) days thereafter (Rule IV, Section 3).
- Within five (5) days from termination, the CGO Head submits an Investigation Report to the Disciplining Authority with complete case records, recommending closure/dismissal, issuance of formal charge/notice of charge, or referral to quasi-judicial bodies or other agencies (Rule IV, Section 4).
Formal charge, notice, answer, and waivers
- After a prima facie case finding, the Disciplining Authority issues a formal charge to the employee, who is then called respondent (Rule V, Section 1).
- The formal charge must state: specification of charge/s; brief material facts with certified true copies of documentary evidence (if any); sworn witness statements; directive to answer in writing and under oath within five (5) days from receipt; advice to indicate election for formal investigation and to invoke/plead mitigating circumstances; and notice that respondent may opt for counsel of choice (Rule V, Section 1).
- Where the complaint was initiated by someone other than the Disciplining Authority, the Disciplining Authority may issue a notice of charge attaching copies of the complaint, sworn statements, and documents submitted (Rule V, Section 2).
- The notice of charge must include: specification of charge/s with statement of prima facie case; directive to answer under oath within five (5) days; advice on election of formal investigation and mitigating circumstances; and notice of right to counsel of choice (Rule V, Section 2).
- The answer must be in writing and under oath, must be specific, contain material facts, applicable laws, documentary evidence, sworn witness statements (if any), and indicate whether respondent elects formal investigation (Rule VI, Section 1).
- Respondent must specifically admit or deny under oath all charges and supporting evidence; failure to deny or object is treated as an admission of charges and the genuineness/due execution of documents (Rule VI, Section 1).
- Failure or refusal to file an answer despite due notice within the prescribed period waives the right to answer and allows resolution based on the complaint/formal charge and supporting evidence (Rule VI, Section 2).
- Motions designed to delay proceedings are prohibited: no motion to dismiss or quash, request for clarification, bill of particulars, or any other delaying motion shall be entertained, and any such motion is treated as an answer and evaluated accordingly (Rule VI, Section 3).
- Based on the answer: if satisfactory, the Disciplining Authority may dismiss; if not satisfactory and respondent does not elect formal investigation, Disciplining Authority renders decision; if not satisfactory and respondent elects formal investigation, formal investigation is conducted (Rule VI, Section 4).
Preventive suspension rules and remedies
- Preventive suspension is not a penalty; it is a precautionary measure to remove the charged employee from the scene while the case is investigated (Rule VII, Section 1).
- Upon petition of the complainant or motu proprio, the Disciplining Authority may issue preventive suspension upon service of the formal charge/notice of charge or immediately thereafter to a subordinate pending investigation if the charge involves: dishonesty, oppression, grave misconduct, neglect in the performance of duty, administrative offenses punishable by dismissal on the second or third offense, or where there are reasons to believe the respondent is g