Edition note. This is the historical 1994 text; later amendments are not incorporated below. Section 4 was amended by CSC Resolution No. 95-3099 (9 May 1995), as quoted in Velasquez vs. Hernandez, G.R. No. 150732, 31 August 2004, and section 21 by CSC Resolution No. 98-0683 (31 March 1998), circulated by CSC MC No. 16, s. 1998. The rules were repealed by section 86 of CSC Resolution No. 99-1936 (31 August 1999), issued as CSC MC No. 19, s. 1999. No complete official copy of the 1994 resolution was found. Sections 22, 35, 36 and 40 match Supreme Court quotations in full; the rest follows the best available reproduction.

CIVIL SERVICE COMMISSION RESOLUTION NO. 94-0521

UNIFORM RULES OF PROCEDURE IN THE CONDUCT OF ADMINISTRATIVE INVESTIGATION IN THE CIVIL SERVICE COMMISSION

WHEREAS, Section 6, Article IX-A of the 1987 Constitution provides that each Commission en banc may promulgate its own rules concerning pleadings and practices before it or before any of its officers;

WHEREAS, Section 12(2), Title I (a), Book V of the Administrative Code of 1987 empowers the Civil Service Commission to prescribe, amend and enforce rules and regulations to effectively carry out its mandate;

WHEREAS, Section 12(11), Chapter 3, Title I (a), Book V of the Administrative Code of 1987 provides that the Commission shall hear and decide administrative cases instituted by or brought before it directly or on appeal, including contested appointments; and

WHEREAS, the existing rules and regulations in the conduct of administrative investigations need to be updated and revised to make them more responsible to the speedy disposition of cases;

NOW, THEREFORE, the Commission hereby resolves to promulgate and adopt the following rules of procedure:

PART I — COMMON PROVISIONS

SECTION 1. Title. — These Rules shall be known as the Uniform Rules of Procedures in the Conduct of Administrative Investigations in the Civil Service Commission.

SEC. 2. Coverage. — These Rules shall be applicable to all cases brought before the Civil Service Commission.

SEC. 3. Jurisdiction of Regional Offices. — Administrative cases falling within the jurisdiction of the Commission to hear and decide pursuant to Section 12(11), Chapter 3, Subtitle A, Title I Book V of the Administrative Code of 1987 may also be filed with any of the Civil Service Regional Offices, provided that the alleged acts or omissions were committed within the geographical boundaries of the Regional Office.

Civil Service Regional Offices are authorized to receive and act on complaints in the manner provided for under these rules.

SEC. 4. Complaint in Writing and Under Oath. — No complaint against a civil servant shall be given due course, unless the same is in writing and under oath.

The complaint should be written in a clear, simple and concise language and in a systematic manner as to apprise the civil servant concerned of the nature and cause of the accusation against him and to enable him to intelligently prepare his defense or answer.

The complaint shall also contain the following:

1. full name and address of the complainant;
2. the full name and address of the respondent as well as his position and office of employment;
3. a narration of the relevant and material facts which shows the acts or omissions allegedly committed by the civil servant.

The complainant shall also submit certified true copies of documentary evidence, and affidavits of his witnesses, if any.

SEC. 5. Anonymous Complaint. — No action shall be taken on an anonymous complaint, unless there is obvious truth or merit to the allegations thereof. No civil servant shall be required to answer or comment on an anonymous complaint.

SEC. 6. Protests and Complaints involving other personnel actions. — Protests and complaints involving other personnel actions and non-disciplinary cases shall include, but shall not be limited to the following:

1. Protests or questions involving the issuance of appointments.
2. Separation from the service due to unsatisfactory or poor performance, and dropping from the rolls due to absence without official leave;
3. Claims for back salaries and other benefits; and
4. All other actions involving the status, terms and conditions of employment including disapproval of appointments.

SEC. 7. Motions for reconsideration. A motion for reconsideration may be filed within fifteen (15) days from receipt of the decision. However, in disciplinary cases where a decision is rendered after the respondent has been formally charged, only said respondent may file a motion for reconsideration or file an appeal.

SEC. 8. Filing of Pleadings, Motions for Reconsideration, Appeals and Other Documents. — Any pleading, motion, appeal, and other similar documents when sent by registered mail shall be deemed filed on the date shown by the postmark on the envelope which shall be attached to the record of the case and in case of personal delivery, the date stamped by the Commissioner or its proper Office.

SEC. 9. Grounds for Motion for Reconsideration. — The motion for reconsideration shall be based only on any of the following:

1. New evidence has been discovered which materially affects the decision rendered, or
2. The decision is not supported by the evidence on record; or
3. Errors of law or irregularities have been committed prejudicial to the interest of the movant.

Only one motion for reconsideration shall be entertained.

SEC. 10. Appeal Fee. — A fee of One Hundred Pesos shall be paid upon the filing of an appeal with the Commission.

SEC. 11. Technical Rules in Administrative Investigations. — Administrative investigations shall be conducted without necessarily adhering to the technical rules of procedure applicable to judicial proceedings.

PART II — DISCIPLINARY CASES

A. FACT-FINDING AND PRELIMINARY INVESTIGATIONS

SEC. 12. Action on the Complaint. — Upon receipt of a complaint which is sufficient in form and substance the Civil Service Commission or any of its regional offices shall evaluate the same and determine whether a preliminary or fact-finding investigation is needed or if the evidence submitted by the complainant warrants the immediate issuance of a formal charge, especially in cases where light offenses were alleged to have been committed.

SEC. 13. Fact-finding Investigation. — Fact-finding investigation shall involve merely the ex parte examination of records and documents submitted by the complainant, as well as documents readily available from other government offices.

If the existence of a prima facie case has been established, a formal charge shall be immediately issued to the respondent.

SEC. 14. Preliminary Investigation. — Preliminary investigation is an inquiry or proceeding whereby the complainant and the respondent are given the opportunity to submit their affidavits and counter-affidavits, as well as those of their witnesses. Failure of the respondent to submit his counter affidavit shall be construed as a waiver thereof.

During the inquiry or proceedings, the parties and their witnesses shall be asked to affirm their signatures on said documents and the truthfulness of the statements contained therein. Under no circumstance shall cross examination of the witnesses be allowed, but the hearing officer may propound clarificatory questions.

SEC. 15. Failure to Affirm Signature and the Contents of Affidavit. — Failure of any of the parties or witnesses to affirm the signature on his affidavit and the contents thereof during the preliminary investigation shall render such affidavit without evidentiary value.

SEC. 16. Issuance of Subpoena. — The investigating officer may issue subpoena duces tecum for the production of documents or materials needed in the determination of the existence of a prima facie case.

SEC. 17. Record of Proceedings. — During the preliminary investigation, the hearing officer shall record in his own handwriting his clarificatory questions to the parties and their witnesses and the answers given thereto. Such record and other notes made by the Hearing Officer shall form part of the records of the case.

SEC. 18. Duration of the Investigation. A fact-finding or preliminary investigation shall commence not later than five (5) days from receipt of the complaint by the Commission or the regional office and shall be terminated within thirty (30) days thereafter.

SEC. 19. Investigation Report. — Within five (5) days from the termination of the fact-finding or preliminary investigation, the investigating officer shall submit his Report of Investigation and the complete records of the proceedings to the Civil Service Commission, or to the Regional Director.

SEC. 20. Decision or Resolution After Preliminary Investigation. — If a prima facie case is established during the investigation, a formal charge against the respondent civil servant shall be issued by the Commission or the Regional Director and a formal investigation shall follow unless the same is waived by the respondent.

In the event that no sufficient evidence was submitted or no prima facie case is found after the conduct of a preliminary investigation the complaint shall be dismissed without prejudice to the filing of a motion for reconsideration. An appeal may also be filed with the Commission in cases where the decision dismissing the complaint was rendered by the Regional Director.

B. FORMAL INVESTIGATION

SEC. 21. Formal Charge. — When the Commission finds the existence of a prima facie case, the respondent shall be formally charged. He shall be furnished copies of the complaint, sworn statements and other documents submitted by the complainant, unless he had already received the same during the preliminary investigation. The respondent shall be given at least seventy-two (72) hours from receipt of said formal charge to submit his answer under oath, together with the affidavits of his witnesses and other evidence, and a statement indicating whether or not he elects a formal investigation. He shall also be informed of his right to the assistance of a counsel of his choice. If the respondent has already submitted his comment and counter-affidavits during the preliminary investigation, he shall be given the opportunity to submit additional evidence.

SEC. 22. Conduct of Formal Investigation. — A formal investigation shall be held after the respondent has filed his answer or after the period for filing an answer has expired. It shall be completed within thirty (30) days from the date of the service of the formal charge, unless the period is extended by the Commission in meritorious cases.

Although the respondent did not elect a formal investigation, one shall nevertheless be conducted if upon evaluation of the complaint, the answer, and the documents in support thereof, the merits of the case can not be judiciously resolved without conducting such formal investigation.

SEC. 23. Failure to File an Answer. — If respondent fails or refuses to file his answer, he shall be considered to have waived his right to file an answer to the charges and formal investigation may already commence.

SEC. 24. Pre-Hearing Conference. — At the commencement of the formal investigation, the Hearing Officer, in the exercise of his discretion, may direct the parties to appear for a pre-hearing conference to consider and agree on any of the following:

1. Dates of subsequent hearings;
2. Simplification of issues;
3. Stipulation of facts;
4. Limiting the number of witnesses, and their names;
5. Identification and marking of evidence of the parties;
6. Waiver of objections to admissibility of evidence; and
7. Such other matters as may aid in the prompt and just resolution of the case.

SEC. 25. Minutes of Pre-Hearing Conference. — After the pre-hearing conference the hearing officer shall prepare the minutes which shall contain a summary of the agreements of the parties, including the facts stipulated.

The parties may agree to submit the case for resolution based on pre-hearing conference without any need for further hearings.

SEC. 26. Request for Subpoena. — If a party desires the attendance of witness or the production of documents, he shall make a request for the issuance of the necessary subpoena or subpoena duces tecum, at least three (3) days before the scheduled hearing.

SEC. 27. Continuous Hearing Until Terminated: Postponement. — Hearings shall be conducted on the hearing dates set by the hearing officer or as agreed upon during the pre-hearing conference. Postponements shall not be allowed except in meritorious cases, provided, that a party shall not be granted more than two (2) postponements.

The parties, their counsel and witnesses, if any, shall be given a notice of at least five (5) days before the first scheduled hearing specifying the time, date and place of the said hearing and subsequent hearings. Thereafter, the schedule of hearings previously set shall be strictly followed without further notice.

If the respondent fails or refuses to appear during the scheduled hearings, the investigation shall proceed ex parte and the respondent is deemed to have waived his right to be present and to submit evidence in his favor during those hearings.

SEC. 28. Preliminary Matters. — At the start of the hearing, the hearing officer shall note the appearances of the parties and shall proceed with the reception of evidence for the prosecution.

If the respondent appears without the aid of a counsel, he shall be deemed to have waived his right thereto.

Before taking the testimony of a witness, the hearing officer shall place him under oath and then take his name, address, his civil status, age, and place of employment.

SEC. 29. Appearance of Counsel. — Any counsel appearing before any hearing or investigation conducted by the Commission or by any of its offices shall manifest orally or in writing his appearance for a party, stating his name and exact address at which he may be served with copies of decisions and other communications. Any pleading signed by him without complying with the above stated requirements shall not be recognized. Neither shall he be allowed to prosecute or defend a case.

SEC. 30. Order of Hearing. — Unless the investigator directs otherwise, the order of hearing shall be as follows:

1. The prosecution shall produce its evidence subject to the pre-hearings agreement.
2. The respondent shall then offer evidence in support of his defense subject to the pre-hearing agreement.
3. Cross-examination by either party, when proper and allowed by the hearing officer or investigator.
4. Following cross-examination, there may be redirect and recross-examination.
5. When the presentation of evidence has been concluded, the parties may be given time to submit their respective memoranda which in no case shall be beyond five (5) days after the termination of investigation.

SEC. 31. Objections. — All objections raised during the hearing shall be resolved by the hearing officer.

The investigator shall accept all evidence deemed material and relevant to the case. In case of doubt, he should allow the admission of evidence subject to the objection interposed against its admission.

SEC. 32. Markings. — All documentary evidence or exhibits shall be properly marked by letters (A, B, C, etc.) if presented by the complainant and by numbers (1, 2, 3, etc.) if presented by the respondent. These shall form part of the complete records of the case and shall be systematically and chronologically bound.

SEC. 33. Testimonies and Records of Proceedings. — The sworn affidavits or statements of the parties or their witnesses shall constitute their direct testimonies. During the cross-examination, the testimony of each witness shall be recorded by the hearing officer in his own handwriting taking only the important or significant statements. The records/notes of the hearing officer shall form part of the official records of the case. The proceedings may also be tape recorded by the parties. No official transcript or stenographic notes shall be required or prepared.

SEC. 34. Submission of Memorandum. — Parties may submit their respective memoranda within five (5) days from termination of the hearing. Failure to submit the same within the given period shall be considered a waiver thereof.

SEC. 35. Report of Investigation. — Within fifteen (15) days after the conclusion of the formal investigation a report containing a narration of the material facts established during the investigation as well as the recommendations, shall be submitted to the Commission, through the Regional Director, by the Hearing Officer. The complete records of the case shall be attached to the Report of Investigation.

SEC. 36. Decision after formal investigation. — The Commission shall render a decision in writing within thirty (30) days from the termination of the investigation or receipt of the Report of Investigation, together with the complete records of the case.

C. APPEALS

SEC. 37. Appeals. — Decisions of heads of departments, agencies, provinces, cities, municipalities and other instrumentalities, imposing penalties exceeding thirty days suspension or fine in an amount exceeding thirty days salary, may be appealed to the Commission proper within a period of fifteen (15) days from receipt thereof.

A notice of the appeal shall be filed with the Commission. The disciplining office shall be required to submit the records of the case together with its comment, if any, to the Commission within fifteen (15) days from receipt of such order.

SEC. 38. Perfection of an Appeal. — To perfect an appeal, the appellant shall submit the following:

1. Notice of appeal which shall specifically state the date of the decision appealed from and the date of receipt thereof.
2. Appeal memorandum containing the grounds relied upon the appeal, together with the certified true copy of the decision, resolution or order appealed from, to be submitted within ten (10) days from the date of filing of the notice of appeal.
3. Proof of payment of the appeal fee. Failure to comply with the above requirements within the reglementary period shall be construed as failure to perfect an appeal and shall cause its dismissal.

SEC. 39. Service of copies of the Appeal and Other Pleadings to the Appellee. — The appellant shall serve to the appellee copies of his notice of appeal and appeal memorandum, as well as such other motions or pleadings, and he shall submit to the Commission proof of service thereof. The appellee shall submit to the Commission or to its appropriate office, his comments or objections to the appeal or pleadings of the appellant within ten (10) days from receipt thereof. Failure of the appellee to submit his comments or objections shall be construed as a waiver thereof.

PART III — NON-DISCIPLINARY CASES

A. PROTEST

SEC. 40. Who and Where a Protest May Be Filed. — A qualified next-in-rank employee may file his protest with the Commission or any of its Regional Offices where the protested appointment was acted upon, against such appointment made in favor of another if he is not satisfied with the written special reason or reasons given by the appointing authority for such appointment.

To be considered as a "qualified next-in-rank" the employee should have been appointed permanent to a position previously determined to be next-in-rank, and should meet the requirements for appointment thereto as previously determined by the appointing authority and approved by the Commission.

SEC. 41. Form and Content of Protest. — The protest shall be written in clear, simple and concise language and in a systematic manner and shall contain the following:

1. the position contested including its item number and the salary per annum;
2. the full name, office, position and salary per annum of both the protestant and the protestee; and
3. the facts constituting the grounds for the protest.

SEC. 42. When to File Protest. — The protest may be filed with the Civil Service Commission within fifteen (15) days from notice by the protestant of the issuance of the appointment or promotion. The protestant shall furnish the appointing authority or the office concerned a copy of his protest and submit to the Commission proof of service thereof.

For this purpose, all appointments or promotions shall be duly announced and/or posted in bulletin boards or at other conspicuous places in the Department or Agency.

SEC. 43. Effect of Protest on the Appointment. — A protest shall not render an appointment ineffective but the same shall be subject to the outcome of the protest.

SEC. 44. Effect of Withdraws of Protest. — A protest may be withdrawn at any time as a matter of right. The withdrawal of the protest shall terminate the protest case.

SEC. 45. When Protest is Deemed Filed. — A protest is deemed filed in case the same is sent by registered mail, ona the date shown by the postmark on the envelope which shall be attached to the record of the case, and in case of personal delivery, on the date stamped by the Commission or the Civil Service Regional Office.

SEC. 46. Transmittal of Records. — The head of department or agency shall forward his comments and the records of the case to the Commission or the Civil Service Regional Office within ten (10) days from receipt of the copy of the protest. The records shall be systematically and chronologically arranged, paged and securely bound to prevent loss and shall consist of the following:

1. Statement of duties or job description of the contested position, and
2. Duly accomplished and updated personal data sheets of the parties with certified statement of service records attached.

SEC. 47. Dismissal of Protest. — A protest shall be dismissed on any of the following grounds:

1. The protestant is not next-in-rank;
2. The protest is not directed against a particular protestee but to "anyone who is appointed to the position" or directed to two or more protestees;
3. The protest is not in accordance with the required form as prescribed in these Rules, such as telegram or radio message;
4. No appointment has actually been issued to the protestee or the appointment has been disapproved; or
5. The protest is filed outside the 15-day reglementary period.

SEC. 48. Effect of Decision. — In case the protest is finally decided against the protestee, his appointment shall be disapproved and he shall be reverted to his former position.

B. OTHER PERSONNEL ACTIONS

SEC. 49. Complaint or Appeal to the Commission. — Other personnel actions, such as separation from the service due to unsatisfactory or poor performance, dropping from the rolls, disapproval of appointments, claims for back salaries and other benefits, may be brought to the Commission by means of a formal complaint or appeal subject to the following:

1. A decision, ruling or action of any department or agency or Civil Service Regional/Field Office (CSRO/CSFO), may be appealed within fifteen (15) days from receipt of such decision, ruling or order and in the following manner:
   1. Decision of CSFO is appealable to CSRO.
   2. Decision of department/agency is appealable to the Civil Service Commission.
   3. Decision of CSRO is appealable to the Civil Service Commission.
2. The complainant/appellant shall furnish a copy of his complaint/appeal to the head agency concerned who shall submit his comment to the Civil Service Commission or its regional office within ten (10) days from receipt thereof Proof of such service to the head of agency shall be furnished by the complainant/appellant to the Commission.
3. An appeal even if seasonably filed shall not stay the action, order, decision or ruling of the Civil Service Regional/Field Office, as the case may be, except when otherwise ordered by the Commission.
4. A complaint/appeal involving non-disciplinary actions shall be dismissed outright on any of the following grounds:
   1. The appellant is not a party directly or adversely affected by the appealed decision, order, ruling or action;
   2. The appeal is filed beyond the reglementary period; and
   3. No appeal fee is paid.

C. DECISIONS ON NON-DISCIPLINARY CASES

SEC. 50. When Case is Decided. — The Civil Service Commission or the Civil Service Regional Office as the case maybe, shall resolve or decide non-disciplinary cases within thirty (30) days from receipt of the complete records thereof.

SEC. 51. Execution of Decisions. — The decisions of the Commission and its regional offices shall be executory fifteen (15) days from receipt thereof, unless a motion for reconsideration is seasonably filed, in which case the execution of the decision shall be held in abeyance.

SEC. 52. Effect of Pendency of Petition for Certiorari filed with the Supreme Court. — The filing and pendency of a petition for certiorari with the Supreme Court shall not stop the execution of the final decision of the Commission unless the High Court issues a restraining order or an injunction.

SEC. 53. Non-execution of Decision. — Any officer or employee who willfully refuses or fails to implement the final resolution, decision, order or ruling of the Commission to the prejudice of the public service and the affected party, may be cited in contempt of the Commission and administratively charged with conduct prejudicial to the best interest of the service.

PART IV — MISCELLANEOUS PROVISIONS

SEC. 54. Computation of Period. — In computing any period of time prescribed by these Rules, the first day shall be excluded and the last day included unless it be a Saturday, a Sunday or a legal holiday, in which case the period shall run until the end of the next day which is neither a Saturday, a Sunday nor a legal holiday.

SEC. 55. Effectivity. — These Rules shall take effect fifteen (15) days after publication in a newspaper of general circulation.

SEC. 56. Repealing Clause. — The Rules of Procedures in the Conduct of Preliminary & Formal Investigation as prescribed by the Civil Service Commission in its Resolution No. 92-457 dated March 24, 1992. Res. No. 89779 as implemented by MC # 46, s. 1989 and all other office memoranda, memorandum circulars, resolutions, rules or regulations inconsistent with these Rules are hereby repealed.