2. COMPLAINT
Who may initiate?
disciplining authority motu propio or
Any other person
GENERAL RULE : No complaint against a civil
service official or employee shall be given due
course UNLESS the same is in WRITING,
SUBSCRIBED AND SWORN TO BY THE
COMPLAINANT.
ECXEPTION: When initiated by the disciplining
authority or his/ her authorized representative.
3. Anonymous complaint SHALL NOT
be entertained UNLESS there is:
1. obvious truth or merit to the
allegations therein; or
2. supported by documentary or
direct evidence
in which case the person complained
of may be required to comment.
4. When and Where to file a complaint?
Except when otherwise provided by law, it may
be filed ANYTIME with:
1. The COMMISSION or any of its Regional
Offices;
2. Heads of departments, agencies, provinces,
cities, municipalities and other
instrumentalities.
5. Action on the Complaint
Upon receipt of a complaint, the
disciplining authority SHALL
REQUIRE the person complained of
to submit a Counter-Affidavit/
Comment under oath within three
(3) days from receipt of the order
requiring him/ her/ their comment/s.
6. PRELIMINARY INVESTIGATION
It is a proceeding undertaken to determine
whether a prima facie exist to warrant the
issuance of a formal charge. It involves:
1. fact-finding investigation of records
submitted by the person/s complained; and
2. examination of documents readily available
from other government offices .
7. Preliminary Investigation: How Conducted
Within 5 days from the receipt of the complaint
sufficient in form and substance, the person/s
complained of SHALL BE REQUIRED to submit his/
her counter-affidavit/ comment.
Where the complaint is initiated by the
disciplining authority, the disciplining authority
or his authorized representative shall issue a
show-cause memorandum directing the
persons complained of to explain why no
administrative case should be filed against him/
her.
8. FAILURE to submit the comment/ counter-
affidavit/ explanation shall be considered a
WAIVER thereof and the preliminary
investigation may be completed even without
his/ her counter-affidavit/ comment.
For cases filed before the Commission or any of
its Regional Offices, the preliminary
investigation may be entrusted to lawyers of
other agencies pursuant to Section 117 of the
RRACS
9. Duration of the Investigation:
Shall commence not later than 5 days from
receipt of the complaint by the disciplining
authority and shall be terminated within 20
days thereafter.
INVESTIGATION REPORT
Within 5 days from the termination of the
preliminary investigation, the investigating
officer shall submit the INVESTIGATION REPORT
WITH RECOMMENDATION and the complete
records of the case to the disciplining authority.
10. Decision or Resolution After Preliminary
Investigation
IF A PRIMA FACIE CASE is established
during the investigation, the disciplining
authority may issue either a formal
charge or a notice of charge.
In the ABSENCE of prima facie case, the
complaint shall be DISMISSED.
11. FORMAL CHARGE
After a finding of a prima facie case, the
disciplining authority shall formally charge the
person complained.
Contents: it shall contain, among others, the ff:
1. directive to answer the charge/s in
writing, under oath in not less than 72
hours from receipt thereof;
2. an advice for the respondent to indicate
in his/her answer whether or not he/she
elects formal investigation of the charge/s,
and a notice that she may opt to be assisted
by counsel of his/ her choice.
12. Notice of Charge
It may be issued by the disciplining authority
against the person complained of when the
complaint is initiated by a person other than the
disciplining authority.
It shall contain:
1. charges against the person complained
of and that a prima facie case exist;
2. directive to answer the charge/s in
writing and under oath (not less than 72
hours);
3. notice that he/she may opt to be assisted
by a counsel.
13. ANSWER
REQUISITES:
1. in WRITING and UNDER OATH;
2. SPECIFIC;
3. shall contain MATERIAL FACTS;
4. APPLICABLE LAWS (if any)
5. DOCUMENTARY EVIDENCE; and
6. SWORN STATEMENTS covering testimonies
of witnesses (if any).
14. ANSWER TO THE FORMAL CHARGE/
NOTICE OF CHARGE: filed within 3 days
from receipt thereof.
FAILURE OR REFUSAL TO FILE ANSWER:
Respondent shall be considered to have
WAIVED his/her right to submit the same
and the case may be decided based on the
available records.
15. PREVENTIVE SUSPENSION
Nature:
1. it is NOT A PENALTY;
2. it a measure of precaution so that the
official or employee charged may be
removed from the scene of his/ her alleged
misfeasance/ malfeasance/ nonfeasance
WHILE THE SAME IS BEING INVESTIGATED.
16. Preventive Suspension, when issued:
1. Upon petition of the complainant; or
2. The disciplining authority, motu proprio
upon service of the formal charge or notice
of charge/s, or immediately thereafter
pending an investigation
17. Preventive Suspension, Grounds:
A) The charge involves:
dishonesty, oppression, grave misconduct,
neglect in the performance of duty,
administrative offenses punishable by
dismissal from the service on its 2nd and 3rd
offense or if there is reasons to believe
that the respondent is guilty of charges
which would warrant his/her removal from
service
18. B) It may also be issued to temporarily remove
the respondent from the scene of his/her
malfeasance or nonfeasance to preclude the
possibility of:
1. exerting undue pressure or influence on
the witnesses; or
2. tampering of evidence that may be used
against him/ her.
C) In lieu of preventive suspension, the
disciplining authority may REASSIGN the
respondent to other unit of the agency during
the formal hearings
19. Duration of Preventive Suspension
Unless otherwise provided by law:
Max period of 90 days in the case of National
Agencies
Max period of 60 days in case of Local
Government Units
If the administrative case is not finally decided
within the period of preventive suspension, the
respondent SHALL BE AUTOMATICALLY
REINSTATED IN THE SERVICE UNLESS:
20. the delay in the disposition of the case is due to
the fault, negligence or petition of the
respondent, the period of delay is not included
in the counting of the preventive suspension.
REMEDIES FROM THE ORDER OF PREVENTIVE
SUSPENSION:
Respondent may file an APPEAL TO THE
COMMISSION within 15 days from receipt
thereof.
Pending appeal, the same shall be executory.
21. When the Commission declares that the
preventive suspension is null and void, the
Respondent will be:
immediately reinstated; and
entitled to the payment of back salaries.
22. FORMAL INVESTIGATION
It is conducted by the disciplining authority
where the merits of the case cannot be decided
judiciously without conducting such
investigation or when the respondent elects to
have one.
There shall be a pre-hearing conference for the
parties to appear at the commencement of
formal investigation. They shall consider and
agree on any of the ff:
23. 1. Stipulation of facts;
2. Simplification of issues;
3. Identification and marking of evidence of the
parties;
4. Waiver of objections to admissibility of
evidence;
5. Limiting the number of witnesses and their
names;
6. Dates of subsequent hearings;
7. Other matters as may aid in the prompt
resolution of the case.
24. Formal Investigation Report
It shall be submitted within 15 days after the
conclusion of the formal investigation.
D E C I S I O N
The disciplining authority shall decide the case
within 30 days from receipt of the Formal
Investigation Report
25. FINALITY OF DECISIONS
If a penalty of suspension for not more than 30
days is or a fine in an amount not exceeding 30
days’ salary is imposed: it SHALL BE FINAL,
EXECUTORY AND NOT APPEALLABLE UNLESS A
MOTION FOR RECONSIDERATION IS
SEASONABLY FILED.
If the penalty imposed is suspension exceeding
30 days, or fine in an amount exceeding 30 days’
salary, the same shall be final and executory
after the lapse of the reglementary period for
filing as motion for reconsideration or an appeal
and no such pleading has been filed.
26. Pendency of an administrative case
SHALL NOT DISQUALIFY respondent
from promotion and other personnel
actions or from claiming maternity/
paternity benefits.
For this purpose, a pending
administrative case shall be construed
when the disciplining authority has
issued a formal charge or a notice of
charge/s to the respondent.
