Disciplining Authority of Non-

teaching Personnel (Sec 6)

School Superintendents
(provision by virtue of RA 9155)
Grounds for Disciplinary Action

Sec. 2 of the Rules

Content of the Complaint
(Sec. 5)
 a. ) full name(s) and address(es) of the complainant
 b. ) full name(s) and address(es) of the person complained of as well
as position and office of employment
 c. ) narration of the relevant and material facts which shows the acts
or omissions allegedly committed;
 d. ) certified true copies of documentary evidence and affidavits
of witnesses
 e.) a statement that no other administrative action or complaint
against the same party involving the same acts or omissions and issues
has been filed before another agency or administrative tribunal

As to the Old Rules: same except item under

letter (d) - certified true copies of documentary
evidence and affidavits of witnesses
Withdrawal of Complaint
(Sec. 7)
The withdrawal of the complaint does not result in its
outright dismissal nor the discharge of the person
complained of from any administrative liability.
Where there is obvious truth or merit to the
allegations in the complaint or where there is
documentary evidence that would tend to prove the
guilt of the person complained of, the same should be
given due course.
As to the Old Rules: the last phrase “ or where
there is documentary evidence . . .” is not
included. (Sec. 8)
Actions on the Complaint
(Sec. 8)
 The disciplining authority concerned shall dismiss
outright a complaint if on its face, there is obviously no
truth or merit to the allegations therein;
 The disciplining authority shall also dismiss the
complaint if the same is not in accordance with the
required form and/or if it does not comply with the
required content of a complaint
 No action shall be taken on anonymous complaint
unless the DA decides to adopt the same and file it
motu proprio
As to the Old Rules:
failure to comply as to form and contents shall cause
the dismissal of the complaint (Sec. 6)
Fact-Finding Investigation or Preliminary
Investigation Procedure
(old rule)
Fact-Finding Investigation – involve merely the ex
parte examination of records and documents
submitted by the complainant as well as documents
readily available from other government offices.
 (old rule, cont.)
Preliminary Investigation – inquiry whereby the
complainant and the respondent are given
opportunity to submit their affidavits and counter-
affidavits as well as those of their witnesses.
-the parties shall be asked to affirm their signatures
on said documents and the truthfulness of the
statements contained therein.
-Investigating officer may propound clarificatory
questions but under no circumstances shall cross
examination of the witnesses be allowed.
 (new rules)

fact finding or preliminary

investigation shall commence
not later than five (5) days from
receipt by the designated
Investigator(s) of the Order of the
Disciplining Authority by:
1.Issuing an Order requiring the person(s)
complained to submit within three (3) days from
receipt of the Order, together with a copy of the
complaint and supporting documents thereof, a
Counter-Affidavit/Comment under oath and
affidavits of the witnesses with supporting
documents, if any.
*What is the effect of failure/refusal to submit
Counter-Affidavit/Comment of the person
complained of?

Failure to submit counter-

affidavit shall be considered a
waiver thereof.
 How fact-finding or preliminary
investigation may commence (cont’d.)

2.Upon receipt of the comment or counter-

affidavit, Investigating Officer(s) may summon
the parties to a conference to propound
clarificatory questions. He may also interview
possible witnesses

In the old rules: Who shall conduct PI?

Any competent officer(s) may be designated by the DA

 3. Minutes of the proceedings which contains the
questions propounded and the answers given
thereto, shall be maintained. The same shall
be signed by the parties and their counsels, if
any.

As to the old rules:

During the investigation, the investigating officer shall
record in his own handwriting his clarificatory questions
to the parties and their witnesses and the answers given
thereto. The notes shall form part of the records of the
case.
4.After the termination of the
conference, the investigator(s)
shall make an ex parte
examination of records and
documents submitted by the
parties as well as document
readily available from other
government agencies.
5.Prepare Investigation Report
which contains the findings
and recommendation and
submit it to the Disciplining
Authority with the complete
records of the case
Preventive Suspension
Nature & Purpose:
It is not a penalty in itself. It is designed merely as a
precautionary measure, the principal purpose of which is
to preserve the integrity of the administrative proceedings.
(CSC Res. No. 030502, May 5, 2003)

To temporarily remove the respondent from the scene of

his misfeasance or malfeasance and to preclude the
possibility of exerting undue influence or pressure on the
witnesses against him or tampering of documentary
evidence on file with his office while the his case is being
investigated..
In the old rules:

Order for preventive suspension

shall be issued not earlier than
the issuance of formal charge.
The same shall take effect upon
receipt by the Respondent.
Grounds for Preventive Suspension:
When respondent is charged of:
dishonesty
oppression’
grave misconduct
neglect in the performance of duty, or
if there are reasons to believe that the
respondent is guilty of the charges which would
warrant his removal from the service
 Is the issuance of an order for preventive suspension
mandatory when respondent is charged of the
foregoing?

No. The Rules are couched in a directory

(discretionary) manner
Period
90 days for employees and officials of
national government agencies.

When should preventive suspension be

issued?

upon the issuance of the formal charge or

immediately thereafter.
Remedies of Respondent under preventive
suspension:
 Motion for Reconsideration with the Disciplining
Authority; or

 Appeal within fifteen (15) days from receipt thereof

to the CSC
Substitute for Preventive Suspension:
reassignment of Respondent to other unit of
the agency during the formal hearings.

When may preventive suspension be

deferred?

when the respondent is on

paternity/maternity leave, the preventive
suspension shall be deferred or interrupted
until such time that the said leave has been
fully enjoyed.
Formal Investigation
formal investigation shall be conducted although the respondent does
not request for formal investigation if the allegations in the complaint
and the answer of the respondent, including the supporting
documents of both parties, the merits of the case cannot be decided
judiciously.

Nature of Formal Investigation

conduct of formal investigation shall be non-litigious in nature.

Subject to the requirements of due process in administrative cases,
the technicalities of law, procedure and evidence shall not strictly
apply thereto.

Submission of the case for resolution based on position

papers/resolution - not found in the old Rule
What are the matters to be considered/agreed upon during
the pre-hearing conference?

 Submission of the case for resolution based on

position papers/memoranda of the parties without
any need for further hearings;
 Stipulation of facts;
 Simplification of Issues;
 Waiver of objections to admissibility of evidence;
 Limiting the number of witnesses and their names;
 Dates of subsequent hearings, and
 Such other matters as may aid in the prompt and
just resolution of the case
 What is the effect of failure to appear in the pre-
hearing conference?

not necessarily a cause for the dismissal of the

case. A party who appears may be allowed to
present his evidence . If a valid cause is
shown, the absent party shall be afforded the
opportunity to cross-examine the witnesses
presented during his absence. (Sec. 25)

*Compare with Sec. 28, effect of absence during

hearing- the party shall be afforded the
opportunity to submit written interrogatories to
be answered by witnesses presented during his
absence.
Procedure in the Conduct of Formal
Investigation
During the hearing
1. The Committee shall call the case, ask for the
appearances of the parties and shall proceed with
the reception of evidence for the complainant;
2. the witness shall be placed under oath, take his
name, address, civil status, age and place of
employment;
3.The purpose of the testimony of the witness
must be stated. The affidavit/sworn statement
of the witness shall then be properly identified
and affirmed; He shall certify that the
affidavit/sworn statement was execute
truthfully, voluntarily and without any promise
of reward or threat of punishment;

*The affidavit or sworn statement shall

serve as his direct testimony subject to
written interrogatories to be submitted in
advance by the proponent and to be
answered by the witness before the
Committee.
4.The witness shall answer the written interrogatories
submitted in advance by the adverse party which
shall take the place of a lengthy and time-
consuming cross-examination;

*What is the Effect of Failure to Answer the

Written Interrogatories?

It may be a ground for the Committee to

disregard or exclude as evidence the affidavit
of the witness subject of interrogatory.
5. After the conclusion of the testimony of the
first witness, complainant has to present its
succeeding witnesses applying the same order
of examination mentioned above;
6. Complainant shall then make an oral formal
offer of its documentary evidence, the purpose
of which must be specified;
7. The adverse party may comment or object
orally or in writing on the evidence offered;
8. Respondent shall then present his evidence in
support of his defense following the same order
as in the presentation of complainant’s
evidence.
 How should the Committee rule on
objections raised during the hearing?

All objections shall be resolved by the Investigating

Committee. However, objections that cannot be
ruled upon immediately by the hearing officer(s)
shall be noted with the information that the same
shall be included in the memorandum of the
concerned party to be ruled upon by the proper
disciplining authority.
 What is the effect of the Pendency of an
Administrative Case to a Respondent?

It shall not disqualify respondent for promotion

or from claiming maternity/paternity benefits.

*No publicity shall be given to any administrative case

against a teacher during the pendency of his case.
Preparation of Investigation Report
What should an Investigation Report Contain?
 narration of material facts established
during the investigation
 findings and the evidence supporting said
findings
 recommendation/s

*Investigation Report shall be submitted to

the disciplining authority together with the
complete records of the case.
 Are the parties entitled to a copy of the
Investigation Report?
No. The Formal Investigation Report shall
not be given to the parties, and shall serve
only as a guide to the Disciplining Authority,
who may or may not adopt the same entirely
or partially.
a party is only entitled to the administrative
decision based on substantial evidence
presented against him during the hearings of
the investigation committee (Pefianco v.
Moral)
DECISION the old rules provide:
the adjudication by the disciplining authority
that the respondent is guilty or not guilty of
the administrative offense charged and the
imposition of the penalty provided for by law
on him or her.
It shall be in writing, personally and directly
prepared by the disciplining authority and
signed by him and shall contain clearly and
distinctly a statement of the facts proved or
admitted by the respondent and the legal
bases upon which the decision is based.
 Decision of the Regional Director
 Final and Executory Decision- Where the penalty is not
more than 30 days suspension or a fine in an amount
not exceeding 30 days salary
 Appeallable Decision – suspension of more than thirty
days or fine exceeding thirty days salary
 Decision subject to Confirmation/Modification by the
Secretary – penalty of removal/dismissal from service

Decision as confirmed, modified or disapproved shall be

subject to a motion for reconsideration of the Secretary
of Education or to an appeal to the Civil Service
Commission.
 Decision of the Regional Director (Old Rules)
1. Final and Executory : Reprimand and
suspension without pay for not more than
five days, or a fine equivalent to not more
than five days salary.
2. Appeallable to the Secretary : suspension for
more than five days but nor more than six
(6) months or fine equivalent to more than
five days
3. Subject to Confirmation by the Secretary :
a. suspension for more than six(6) months
b. demotion
c. force resignation
d. dismissal
Remedies
Remedies of Respondent
On the Decision finding him guilty:
 Motion for Reconsideration – to be filed with the
disciplining authority within fifteen (15) days from
receipt of the decision
Grounds for MR
a.) new evidence has been discovered which materially
affects the decision rendered, or
b.) the decision is not supported by evidence on record;
c.) errors of law or irregularities have been committed
prejudicial to the interest of the movant

*Limitation – only one motion shall be entertained.

 What is the effect of filing a Motion for
Reconsideration?

it shall not stay the execution of the decision sought

to be reconsidered.
 The old rules provided that:

Effect of Filing Motion for Reconsideration

it shall suspend the reglementary period for filing

an appeal. In case the motion is denied, the
respondent shall have the remainder of the
period for administrative appeal reckoned from
the receipt of the resolution of denial.
 Appeal – to be filed with the Secretary, in case of RD
decision or with the CSC for Secreatary’s decision,
within fifteen (15) days from receipt of the decision.

How may an appeal be perfected?

 Notice of appeal which shall specifically state the date of
the decision appealed from the date of receipt thereof;
 three (3) copies of appeal memorandum containing the
grounds relied upon for the appeal, together with the
certified true copy of the decision, resolution or order
appealed from, and certified copies of the documents or
evidence;
 proof of service of a copy of the appeal memorandum to
the disciplining authority;
 proof of payment of the appeal fee; and
 a statement or certificate of non-forum shopping.
The old rules provides:
Who may appeal?
only the respondent has the personality to
appeal a decision. An appeal made by any
other person may shall be dismissed.

Effect of Filing an Appeal

the appeal shall stay the decision appealed
from unless otherwise provided by law. The
appellate agency may direct execution
pending appeal, as it may deem just, or upon
motion, receive additional evidence.
 How may an appeal be perfected?

 Notice of appeal which shall specifically state the

date of the decision appealed from the date of
receipt thereof;
 three (3) copies of appeal memorandum containing
the grounds relied upon for the appeal, together
with the certified true copy of the decision,
resolution or order appealed from, and certified
copies of the documents or evidence;
 proof of service of a copy of the appeal
memorandum to the disciplining authority;
 proof of payment of the appeal fee; and
 a statement or certificate of non-forum shopping.
 What is the effect of the appeal to the
appealed decision?

Pending appeal, the decision shall be executory

except where the penalty is dismissal which shall
be executory only after confirmation by the
Secretary. The respondent shall be considered as
having been under preventive suspension during
the pendency of the appeal, in the event he wins
the appeal.