Legal basis and implementing framework
- The Rules are issued pursuant to Bk. V, Title I, Subtitle A, Chapter 6, Section 47 (2) of the Revised Administrative Code of 1987.
- The Rules are issued pursuant to Bk. IV, Chapter II, Section 7 (3,4,5) of the Revised Administrative Code of 1987.
- The Rules apply alongside the implementing Rules and Regulations promulgated by the Civil Service Commission under Executive Order No. 292.
- The Rules treat the Uniform Rules of Procedure adopted by the Civil Service Commission and the Rules of Court as suppletory.
Policy objective for speedy disposition
- The DSWD adopts a policy of speedy disposition of cases in accordance with the 1987 Constitution and the Rules of Court.
Coverage and jurisdictional reach
- The Rules apply to all administrative cases brought before DSWD involving DSWD officers and employees.
- Presidential appointees are excluded from these proceedings and their cases are referred to the Presidential Anti-Graft and Anti-Corruption Committee for appropriate action.
- The Secretary of DSWD or a representative hears and decides administrative cases instituted against rank and file employees.
- Central Office exclusive and original jurisdiction covers regional employees, including:
- cases involving any offense involving regional employees; and
- cases involving regional employees formally charged with a grave offense or where the penalty warrants dismissal from the service.
- Where two or more charges are filed against an employee, jurisdiction is determined by the most serious offense involved.
- Regional/Field Offices have jurisdiction over cases involving their employees where the charge/s are light and/or less grave offenses, except when the penalty imposable is dismissal from the service.
Administrative case structure and terms
- An administrative case is an administrative investigation where a DSWD official or employee is formally investigated for an act or omission punishable as an offense under Civil Service Laws, the Administrative Code, and other laws for public officers and employees.
- A complaint is a pleading alleging the complainant’s cause or causes of action.
- A person complained of is the subject of a complaint not yet formally charged by the disciplining authority.
- An investigating officer/body is any duly constituted and authorized official, employee, or committee conducting preliminary investigation for filing formal charges or taking other appropriate actions.
- A hearing officer/body is any duly constituted and authorized official, employee, or committee conducting formal investigation or hearing of the case.
- An ex-parte proceeding is one taken at the instance and for the benefit of one party only, without notice to or contestation by any person adversely affected.
Complaint filing and preliminary investigation
- DSWD may investigate on its own or on complaint by any person of any act or omission of any DSWD employee appearing illegal, unjust, or inefficient.
- Anonymous complaints may be entertained when there is obvious truth or merit to the allegations, or when supported by documentary or direct evidence, as verified by the concerned fact-finding committee.
- Complaints by private parties must be in writing, subscribed and sworn by the complainant, otherwise they are not given due course.
- The complaint must be written in clear, simple and concise language to apprise the concerned employee of the nature and cause of the accusation.
- The complaint must contain:
- the full name and address of the complainant;
- the full name and address of the respondent, including the respondent’s position and office of employment;
- a narration of the relevant and material facts showing the acts or omissions allegedly committed;
- a certification or statement of non-forum shopping; and
- certified true copies of documentary evidence and affidavits of witnesses, if any.
- The disciplining authority refers all complaints to the investigating officer/body for appropriate action.
- Upon receipt of a complaint, the investigating officer/body requires the person complained of to submit a Counter/Affidavit/Comment under oath within three (3) days from receipt.
- Non-submission of the counter-affidavit/comment is treated as a waiver by the person complained of.
- The investigating officer/body evaluates and determines the sufficiency of the evidence, and decides whether a fact-finding/preliminary investigation is needed or whether evidence is sufficient to recommend the immediate issuance of formal charges to the proper disciplining authority.
- In cases under the Central Office, the Administrative Director or any other official designated by the Secretary acts as the investigating officer/body.
- In cases under the Regional/Field Offices, the Anti-Graft and Anti-Corruption Committee concerned performs the investigating function.
- The fact-finding/preliminary investigation is terminated within thirty (30) days from receipt of the complaint by the investigating officer/body, unless a longer period is warranted, justified, and approved by the disciplining authority.
- Withdrawal of the complaint does not result in outright dismissal and does not necessarily discharge the employee from administrative liability; the case may proceed when charges are obviously meritorious and can be substantiated by evidence.
Formal charges, answers, and hearing officers
- A formal charge issues when a prima facie case is established.
- The formal charge is issued by the disciplining officer, forwarded to the hearing officer, and furnished with copies of the complaint, sworn statements, and other documents submitted by the complainant.
- The disciplining authority does not entertain requests for clarification, bills of particulars, or motions to dismiss designed to delay proceedings; if raised, they are treated as an answer and evaluated as such.
- The respondent files an answer under oath within five (5) working days from receipt of the formal charges.
- The answer must be accompanied by affidavits and other evidence supporting defenses and claims.
- Failure to file an answer is treated as a waiver, and the formal investigation proceeds accordingly.
- For Central Office jurisdiction cases, the Director of Legal Services, authorized representatives, or any duly authorized body by the disciplining authority serves as hearing officer/body.
- For Regional/Field Office cases, the Assistant Regional Director or any regional officer not a member of the Regional Anti-Graft and Anti-Corruption Committee (AGAC), duly authorized by the disciplining authority, serves as hearing officer/body.
Timeline and conduct of formal investigation
- The formal investigation is held not later than ten (10) days from receipt of the respondent’s answer or after the period to file an answer expires.
- The formal investigation is completed within sixty (60) days from receipt of the answer or after the expiration of the period within which the answer should have been filed, unless extended by the disciplining authority in meritorious cases.
- A notice of pre-hearing conference is served to the respondent’s counsel, the parties, and the respondent’s immediate supervisor.
- The hearing officers direct parties to a pre-hearing conference to consider and agree on:
- dates of subsequent hearings;
- simplification of issues;
- stipulation of facts;
- limiting the number of witnesses and their names;
- identification and marking of evidence;
- waiver of objections to admissibility of evidence; and
- other matters aiding prompt and just resolution.
- Parties may agree to submit the case for resolution based on the pre-hearing conference results without further hearings.
- A party requesting a witness or production of documents must request issuance of a subpoena duces tecum at least three (3) days before the scheduled hearing.
- The investigating officer may issue subpoena duces tecum for production of documents or materials to determine the existence of a prima facie case.
- At the start of the hearing, the hearing officer notes appearances and receives prosecution evidence first.
- If the respondent appears without counsel, the respondent is deemed to have waived right to counsel.
- Before a witness testifies, the hearing officer swears in the witness and records the witness’s name, address, civil status, and other personal circumstances.
- Hearings proceed on agreed dates; postponement is allowed only in meritorious cases, and no party may be granted more than two (2) postponements.
- Parties, counsel, and witnesses receive notice at least five (5) days before the first scheduled hearing specifying time, date, and place; thereafter, the schedule is strictly followed without further notice.
- If the respondent fails or refuses to appear, the case proceeds ex parte, and the respondent is deemed to have waived the right to be present and to submit evidence in defense.
- Counsel appearing must manifest oral and in writing appearance, stating name and exact address for service of decisions and communications; pleadings signed without compliance are not recognized and counsel is not allowed to prosecute or defend the case.
- The hearing officer resolves objections or notes them; the hearing officer accepts evidence deemed material and relevant, and in case of doubt admits evidence subject to objection by the opposing party.
- Documentary evidence is marked by letters (A, B, C, etc.) if presented by the complainant and by numbers (1, 2, 3, etc.) if presented by the respondent, and is bound chronologically into the record.
- Sworn affidavits/statements of parties and witnesses are direct testimony; the hearing officer records clarificatory questions and answers in personal handwriting as part of the case records.
- Parties may submit memoranda within five (5) days from termination of the hearing; failure to submit within that period is treated as waiver.
Case report, decision, and finality rules
- After conclusion of formal investigation, the hearing officer submits a report within fifteen (15) days to the disciplining authority, containing narration of established material facts and recommendations, attaching complete case records.
- The disciplining authority renders a written decision within thirty (30) days from termination of the investigation or from receipt of the report, together with complete records.
- A decision imposing suspension not more than thirty (30) days or a fine not exceeding thirty (30) days’ salary is final and executory.
- A decision imposing suspension exceeding thirty (30) days or a fine exceeding thirty (30) days’ salary becomes final and executory only after the reglementary period for filing a motion for reconsideration or an appeal lapses without filing.
Motions, appeals, and service by mail
- A motion for reconsideration is filed by the adversely affected party within fifteen (15) days from receipt of the decision.
- A motion for reconsideration is based only on:
- discovery of new evidence materially affecting the decision;
- the decision not supported by the evidence on record; or
- errors of law or prejudicial irregularities affecting the interest of the service.
- Only one (1) motion for reconsideration is entertained.
- Pleadings, motions, appeals, and other similar documents sent by registered mail are deemed filed on the postmark date shown on the envelope attached to the record; documents delivered personally are deemed filed on the date stamped by DSWD.
- For cases decided by Regional/Field Offices, an appeal may be forwarded to the Central Office only after the aggrieved party’s motion for reconsideration is denied.
- For cases decided by the Central Office, appeal is made to the Civil Service Commission.
Preventive suspension and consequences of delay
- The proper disciplining authority may preventively suspend a subordinate officer or employee pending investigation when the charge involves:
- dishonesty;
- oppression;
- grave misconduct;
- neglect in the performance of duty; or
- reasons to believe the respondent is guilty of charges warranting removal from the service.
- When a preventive suspension case against a non-presidential officer or employee under preventive suspension is not finally decided within ninety (90) days from the date of preventive suspension, the employee is automatically reinstated.
- Delays caused by the respondent’s fault, negligence, or petition are excluded from the counting of the ninety (90) calendar day period.
- Preventive suspension period is not considered part of the actual penalty of suspension imposed if the employee is found guilty.