Legal basis, purpose, and construction
- The rules are promulgated pursuant to Section 7(3), Chapter II, Book IV of the Administrative Code of 1987, which authorizes the Secretary to promulgate rules necessary to carry out department objectives and functions.
- The rules are also promulgated pursuant to Section 7(4), Chapter II, Book IV of the Administrative Code of 1987, which authorizes the Secretary to issue administrative issuances for efficient administration and proper execution of laws.
- The policy is to rationalize and systematize proceedings to expedite the resolution of complaints and grievances involving DECS officials and employees.
- The rules shall be liberally construed to effect an expeditious and just settlement of disputes.
- Administrative investigations under these rules are conducted without necessarily adhering to the technical rules of procedure applicable to judicial proceedings.
- If no applicable provision exists, pertinent provisions of the Rules of Court, Civil Service Commission rules and issuances, and prevailing jurisprudence may be applied by analogy or suppletory character when practicable and convenient.
Grievance procedure coverage and subjects
- A grievance is a dissatisfaction arising in working conditions, relationships, or status among co-workers believed to be wrong, unfair, ignored, or dropped without due consideration.
- A grievance procedure is a workable procedure for determining or providing the best way to remedy the grievance cause(s) and is governed by Chapter II.
- When the dissatisfaction calls for disciplinary action, it is not treated as a grievance and must be brought as an administrative disciplinary case under Chapter III.
- Proper grievance subjects include:
- Unsatisfactory working conditions;
- Improper, tedious or laborious work assignments;
- Faulty tools or equipment;
- Unsatisfactory personnel and/or work processes;
- Improper placement and selection of personnel;
- Improper appreciation of factors relative to lay-offs, promotions, salary increases and transfers;
- Arbitrary exercise of discretion;
- Inter-personal relationships; and
- Any and all matters giving rise to employee dissatisfaction.
- A grievance begins with an oral presentation to the employee’s immediate superior for initial resolution.
Grievance process: oral, writing, committees
- A grievance is first presented orally to the employee’s immediate superior.
- The immediate superior must, within three (3) days from presentation, inform the employee orally of the decision.
- During oral discussion, both parties must be put at ease, and the employee must be allowed to tell or explain the employee’s side.
- Oral discussion must be held in a quiet and secluded spot where it cannot be interrupted or overheard.
- The superior must keep views to self until after the employee explains the grievance.
- A definite decision must be reached at the end of discussion, and the decision must be rendered within three (3) days from presentation (even if not immediately given).
- If dissatisfied with the oral decision, the employee may submit the grievance in writing to the Grievance Committee having appellate jurisdiction over the previous one.
- Grievance committees must exercise jurisdiction as follows:
- School Grievance Committee: original jurisdiction over grievances of teachers and non-teaching personnel in the school not orally resolved.
- District Grievance Committee: original jurisdiction over district employees not orally resolved; also appellate jurisdiction over grievances not resolved in the School Grievance Committee.
- Schools Division Grievance Committee: original jurisdiction over division employees not orally resolved; also appellate jurisdiction over grievances not resolved in the District Grievance Committee.
- Regional Grievance Committee: original jurisdiction over regional employees not orally resolved; also appellate jurisdiction over grievances not resolved in the Schools Division Grievance Committee.
- Division Grievance Committee: original jurisdiction over grievances in the Division in the Central Office not orally resolved.
- Bureau Grievance Committee: original jurisdiction over grievances in the Bureau in the Central Office not orally resolved.
- Agency Grievance Committee: original jurisdiction over grievances in the Agency not orally resolved.
Grievance decisions, appeals, and composition
- A grievance committee must render its Decision within five (5) days from receipt of the written grievance.
- The grievance committee’s Decision must be in writing and include all relevant facts and circumstances and the law or rule applied, if any.
- Final appeal for specified committees is to the Office of the Secretary through the Office of the Undersecretary for Legal Affairs.
- The Undersecretary for Legal Affairs must, within ten (10) days from receipt of the decision/resolution, forward findings and recommendations to the Secretary.
- The Secretary renders the Decision; the Decision is final and executory.
- Each grievance committee has specified composition, including officers and representatives such as:
- School Grievance Committee: Principal/Head Teacher; President of the Faculty Club; and a teacher acceptable to both parties appointed by the Principal/Head Teacher.
- District Grievance Committee: District Supervisor/Chair/Coordinator (or designated representative); school principal where grievance originated; and President of the District Teachers Association (or designated representative).
- Schools Division Grievance Committee: Schools Division Superintendent (or designated representative); District Supervisor/Chair/Coordinator; and President of the Schools Division Teachers Association (or designated representative).
- Regional Grievance Committee: Regional Director (or designated representative); Schools Division Superintendent of the division where grievance originated; and President of the Regional Teachers Association (or designated representative).
- Division/Service Grievance Committee: Chief of the Division/Service (or designated representative); President of the Employees Union; and a representative from Human Resources Development Service.
- Bureau Grievance Committee: Director (or designated representative); President of the Employees Union; and a representative from Human Resources Development Service.
- Agency Grievance Committee: Executive Director/head of agency (or representative); President of the Employees Union; and an officer/employee in charge with human resources development.
- Each grievance committee creates its own rules of procedure deemed most appropriate for settlement at its level.
Administrative disciplinary cases and evidence stage
- An Administrative Disciplinary Case is a proceeding where a government official or employee is prosecuted for an act or omission punishable as a non-penal offense under Civil Service Law, Administrative Code, and other laws on public officers and civil service employees.
- A non-penal offense is also called an administrative offense.
- An administrative disciplinary case may be commenced by:
- The Disciplining Authority of the DECS through a motu propio complaint; or
- Any other person through an ordinary complaint filed with the Disciplining Authority.
- The Secretary is the Disciplining Authority for the DECS.
- Regional Directors act as Disciplining Authority in their respective regions.
- The President is the Disciplining Authority for presidential appointees.
- The Secretary is authorized to discipline presidential appointees subject to the President’s confirmation.
- An ordinary complaint must be:
- In writing, under oath, and
- Written in clear, simple and concise language in a systematic manner to apprise the civil servant of the nature and cause of the accusation and enable preparation of a defense and answer.
- An ordinary complaint must include:
- Full name(s) and address(es) of complainant(s);
- Full name(s) and address(es) of respondent(s), including position(s) and office of employment;
- A narration of relevant and material facts showing acts or omissions allegedly committed;
- A statement that no other administrative action or complaint involving the same party, same acts or omissions, and same issues has been filed elsewhere.
- A complaint that fails to comply with form and contents requirements is dismissed.
- The complainant must submit certified true copies of documentary evidence and affidavits of witnesses, if any.
- Withdrawal of the complaint does not necessarily discharge the respondent from administrative liability; the case may still be given due course when there is an obvious truth or merit to the charges.
- No action is taken on an anonymous complaint, unless there is obvious truth or merit in the allegations.
- An administrative disciplinary case involving the same parties, same acts or omissions, and same issues proceeds independently of any related criminal or civil case.
- Earlier filing of a similar administrative disciplinary case before the Civil Service Commission, Commission on Elections, or Office of the Ombudsman involving the same parties, acts or omissions, and issues constitutes forum shopping and causes dismissal in the DECS, unless expressly withdrawn in that forum before filing with the DECS.
- A prima facie case exists when there is sufficient ground to believe an administrative offense has been committed and the respondent is probably guilty and should be made subject of a Formal Charge.
- A prima facie case is determined by fact-finding investigation and/or preliminary investigation.
- Fact-finding or preliminary investigation begins within five (5) days from receipt of the complaint by the Disciplining Authority and must end within thirty (30) days thereafter.
- Fact-finding investigation involves ex-parte examination of records/documents submitted by the complainant and documents readily available from other government offices.
- Preliminary investigation requires parties to submit affidavits and counter-affidavits (failure to submit counter-affidavit is a waiver).
- During preliminary investigation, parties and witnesses must affirm signatures and truthfulness of statements.
- Cross-examination is not allowed, but the investigating officer may ask clarificatory questions.
- The Disciplining Authority designates competent officer(s) to conduct fact-finding or preliminary investigation.
- Failure to affirm signature and contents during preliminary investigation renders the affidavit without evidentiary value.
- The investigating officer may issue subpoena duces tecum to produce documents needed to determine prima facie existence.
- During preliminary investigation, the investigating officer records clarificatory questions and answers in handwriting; these notes form part of the case records.
- Within five (5) days from termination of the fact-finding or preliminary investigation, the investigating officer submits an Investigation Report and complete records to the Disciplining Authority.
- If a prima facie case exists, the Disciplining Authority issues a Formal Charge; otherwise, the case is dismissed.
- If dismissed for lack of prima facie case, the complainant may file a petition for review with the Secretary within fifteen (15) days from receipt of dismissal; the Secretary’s resolution is final.
Formal charge, answer, and formal investigation
- After prima facie determination, the Disciplining Authority must issue a Formal Charge against the respondent.
- The Formal Charge must be in writing and must state:
- Name of complainant(s);
- Name of respondent(s);
- Designation of administrative offense(s by the statute;
- Acts or omissions constituting the administrative offense(s);
- Approximate time of commission; and
- Place where the administrative offense(s) was committed.
- The Formal Charge must give the respondent time to submit an answer not later than five (5) days from receipt.
- The Formal Charge must include a query whether the respondent prefers formal investigation or decision on the records if the answer is not satisfactory.
- The Formal Charge must inform the respondent of the right to assistance of a counsel of choice.
- The Formal Charge must attach the investigation report, copies of complaint, sworn statements, and other submitted documents.
- The respondent’s Answer must be filed with the Disciplining Authority within the period stated in the Formal Charge.
- The Answer must be in writing and under oath and must include:
- The respondent’s answer to the charges; and
- Indication whether the respondent elects a Formal Investigation if the answer is found not satisfactory.
- Supporting statements and documents may accompany the answer.
- After Formal Charge, the Disciplining Authority shall not entertain requests for clarification, bills of particulars, or motions to dismiss obviously designed to delay proceedings; such pleadings are treated as an answer and evaluated as such.
- If the Answer is found satisfactory, the case is dismissed.
- If not satisfactory and the respondent expressly requests formal investigation in the Answer, a formal investigation is held.
- If the respondent does not expressly request formal investigation, the case is decided on the records available, except that a formal investigation must still be held when the case cannot be decided from allegations in the complaint, answer, and supporting documents.
- If the respondent fails or refuses to file an Answer, the respondent waives the right to file an answer and the case is decided based on the records available.
- Formal Investigation is ordered after the respondent files an Answer or after the period for filing an answer expires.
- The Formal Investigation begins after the Investigating Committee is constituted.
- The Investigating Committee composition follows Republic Act No. 4670 (otherwise known as the Magna Carta of Public School Teachers) when the respondent falls within enumerated categories:
- For an elementary/secondary school teacher, head teacher, principal, district supervisor/chair/coordinator or Education Supervisor I, the committee consists of: Schools Division Superintendent (chairperson); authorized representative of school/district/division teacher’s organization (member); and division supervisor for elementary/secondary education where respondent belongs (member).
- For an Assistant Schools Division Superintendent, Schools Division Superintendent or Education Supervisor II, the committee consists of: Regional Director (chairperson); authorized representative of division teacher’s organization (member); and regional supervisor for elementary/secondary education where respondent belongs (member).
- For an Assistant Regional Director or Regional Director, the committee consists of: Secretary (chairperson); authorized representative of PPSTA (member); and any Regional director or other high ranking DECS Central Office official or consultant (member).
- For other DECS employees or officials not enumerated above, the Disciplining Authority has full discretion as to composition.
- The Investigating Committee deliberates collectively and not individually.
- In motu propio cases, the Disciplining Authority appoints a special prosecutor to represent the Department or its Regional Office before the Investigating Committee.
- If the Investigating Committee is constituted not in accordance with Republic Act No. 4670, the Formal Investigation proceedings and all subsequent proceedings and actions are void.
- At commencement, the Investigating Committee may direct a pre-hearing conference to consider and agree on scheduling, simplification of issues, stipulation of issues, limiting witnesses (including their names), waiver of objections to admissibility, and other matters aiding prompt and just resolution.
- After pre-hearing conference, minutes must summarize agreements and stipulated facts.
- Parties may request subpoenas or subpoenas duces tecum for witnesses/documents at least three (3) days before the scheduled hearing.
- In case of disobedience, the Investigating Committee may invoke the aid of the Regional Trial Court; the Court may punish contumacy or refusal as contempt.
- Hearings continue on scheduled dates; postponements are allowed only in meritorious cases and no party is granted more than two (2) postponements.
- Notice of hearing (time, date, place) must be given at least five (5) days before the first scheduled hearing; thereafter, the schedule must be strictly followed without further notice.
- If the respondent fails or refuses to appear, the investigation proceeds ex parte and the respondent is deemed to have waived the right to be present and submit evidence.
- At the start of hearing, the committee notes appearances and receives prosecution evidence.
- If respondent appears without counsel, the respondent is deemed to have waived the right to counsel.
- Before witness testimony, the committee administers oath and records witness details including name, address, civil status, age, and place of employment.
- Counsel must manifest appearance (oral or written) with 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.
- Unless otherwise directed, hearing order is: complainant evidence; respondent evidence; cross-examination when proper/allowed; possible redirect and re-cross; then memoranda within five (5) days after termination of investigation (no longer than that).
- Evidence rules during Formal Investigation:
- The committee may admit evidence commonly accepted by reasonably prudent men.
- Documentary evidence may be admitted as copies/excerpts if original is not readily available; upon request, parties may compare with original.
- If original is in custody of a public officer, a certified copy may be accepted.
- The committee may take notice of judicially cognizable technical/scientific facts within specialized knowledge, subject to notice and opportunity to contest.
- Facts may be established, including guilt, when proven by substantial evidence, meaning evidence a reasonable mind might accept as adequate.
- Objections are resolved by the committee; it should admit material and relevant evidence, and in case of doubt admits evidence subject to objection.
- Documentary exhibits must be marked with letters (A, B, C, etc.) for complainant and numbers (1, 2, 3, etc.) for respondent, and must be chronologically and systematically bound in the case records.
- Sworn affidavits or statements of parties or witnesses constitute direct testimonies; other submitted evidence forms part of direct evidence.
- Memoranda may be submitted within five (5) days from termination of hearing; failure to submit within the period is a waiver.
- Within fifteen (15) days after conclusion of Formal Investigation, the investigating committee submits its report containing narration of material facts established and recommendations to the Disciplining Authority; complete records attach to the report.
Preventive suspension and its limits
- The Disciplining Authority may preventively suspend the respondent pending Formal Investigation when charged with dishonesty, oppression, grave misconduct, neglect in the performance of duty, or when there are reasons to believe the respondent is guilty of charges warranting removal from the service.
- The preventive suspension order must be issued not earlier than issuance of the Formal Charge.
- The preventive suspension takes effect upon receipt of the order by the respondent.
- If the administrative case under preventive suspension is not finally decided by the Disciplining Authority within ninety (90) calendar days from the effectivity of preventive suspension, the respondent is automatically reinstated.
- Delay due to the respondent’s fault, negligence, or petition is excluded from the ninety (90) calendar-day counting.
- When multiple administrative disciplinary cases exist and more than one preventive suspension order is issued, the respondent simultaneously serves them if cases arise from a single act or transaction or series of transactions.
- Preventive suspension is not a punishment or penalty; it is a preventive measure.
- The preventive suspension period is not considered part of the actual penalty of suspension imposed upon guilt.
Decisions, reconsideration, appeals, and review
- A Decision is the Disciplining Authority’s adjudication that the respondent is guilty or not guilty of the administrative offense charged and the imposition of the penalty provided by law.
- The Decision must be in writing, personally and directly prepared and signed by the Disciplining Authority, and must clearly state facts proved or admitted and the legal bases.
- The Disciplining Authority must render the Decision within thirty (30) days from submission of the Formal Investigation report.
- Parties are notified of the Decision personally or by registered mail addressed to counsel of record, if any, or to the party.
- The Decision becomes final and executory fifteen (15) days after receipt by the respondent unless within that period a Motion for Reconsideration or an Administrative Appeal is perfected.
- The Regional Director’s Decision is final when the penalty is:
- Reprimand, or
- Suspension without pay for not more than five (5) days, or
- Fine equivalent to not more than five (5) days’ salary.
- If the Regional Director’s penalty is suspension more than five (5) days but not more than six months, or fine equivalent to salary for more than five (5) days, the Decision is appealable to the Secretary.
- The Regional Director’s Decision is not final unless confirmed by the Secretary when the penalty is:
- Suspension for not more than thirty (30) days, or
- Fine not exceeding the salary of thirty (30) days.
- Motion for Reconsideration:
- The respondent may move for reconsideration of the Disciplining Authority’s Decision during the administrative appeal period.
- Filing a motion suspends the reglementary period for filing an administrative appeal.
- If denied, the respondent gets the remainder of the administrative appeal period counted from receipt of the denial resolution.
- Grounds are limited to: new evidence materially affecting the decision; decision not supported by evidence on record; errors of law or irregularities prejudicial to the movant’s interest.
- Only one motion for reconsideration is entertained.
- Administrative appeal:
- Only the respondent may appeal; appeals by other persons are dismissed.
- Regional Director decisions are appealed to the Secretary.
- Secretary decisions are appealed to the Civil Service Commission.
- To perfect an appeal, the appellant must submit:
- Notice of appeal stating the date of the Decision appealed from and the date of receipt (within the reglementary period);
- Appeal memorandum with grounds and a certified true copy of the Decision/Resolution/Order appealed from (within ten (10) days from notice filing);
- Proof of payment of appeal fee in the amount of one hundred pesos (100.00).
- Failure to comply within the reglementary period causes dismissal for failure to perfect.
- Appellant must serve appellee copies of notice of appeal, appeal memorandum, and other pleadings, and submit proof of service.
- Appellee must submit comments or objections within ten (10) days from receipt; failure to do so waives objections.
- An appeal stays the Decision unless law provides otherwise.
- The appellate agency may direct execution pending appeal when it deems just based on nature and circumstances.
- The appellate agency reviews the records and may, motu proprio or upon motion, receive additional evidence.
- The appellate agency’s Decision becomes final and executory fifteen (15) days after receipt by the parties unless a motion for reconsideration was timely filed.
- The respondent may seek reconsideration of the appellate agency’s Resolution under the same motion rule.
- Judicial review:
- A final judgment or order of the Civil Service Commission may be appealed to the Court of Appeals by verified petition for review within fifteen (15) days from notice of the final order or judgment; proceedings follow the Rules of Court.
- The Civil Service Commission Decision continues to be executory unless the Court of Appeals issues a temporary restraining order or writ of injunction.
- A final judgment or order of the Court of Appeals may be elevated to the Supreme Court via petition for certiorari in accordance with the Rules of Court.
Executive clemency and procedural rules
- The President may commute or remove administrative penalties and disabilities in meritorious cases upon recommendation of the Secretary.
- Filing by registered mail is deemed filed on the date shown by the postmark on the envelope attached to the record; for personal delivery, filing date is the date stamped by the receiving office.
- Computation of time excludes the first day and includes the last day, unless the last day is a Saturday, Sunday, or legal holiday, in which case the period runs until the end of the next day that is neither Saturday, Sunday, nor legal holiday.
Repeal and effective date
- All DECS Orders, Memorandum Orders, and Circulars inconsistent with these rules are repealed.
- Effectivity occurs fifteen (15) days after publication in a newspaper of general circulation.