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Gonzales III v. Office of The President - Full Text
Gonzales III v. Office of The President - Full Text
Manila
EN BANC
x-----------------------x
WENDELL BARRERAS-SULIT Petitioner,
vs.
ATTY. PAQUITO N. OCHOA, JR., IN HIS CAP A CITY AS EXECUTIVE SECRETARY, OFFICE OF THE PRESIDENT, ATTY.
DENNIS F. ORTIZ, ATTY. CARLO D. SULAY AND ATTY. FROILAN D. MONTALBAN, JR., IN THEIR CAPACITIES AS
CHAIRMAN AND MEMBERS OF OFFICE OF MALACANANG LEGAL AFFAIRS, Respondents.
DECISION
BRION, J.:
We resolve the Office of the President's (OP 's) motion for reconsideration of our September 4, 2012 Decision which ruled on the
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petitions filed by Deputy Ombudsman Emilio Gonzales III and Special Prosecutor Wendell Barreras-Sulit. Their petitions challenged
the constitutionality of Section 8(2) of Republic Act (RA) No. 6770.2
In the challenged Decision, the Court upheld the constitutionality of Section 8(2) of RA No. 6770 and ruled that the President has
disciplinary jurisdiction over a Deputy Ombudsman and a Special Prosecutor. The Court, however, reversed the OP ruling that: (i)
found Gonzales guilty of Gross Neglect of Duty and Grave Misconduct constituting betrayal of public trust; and (ii) imposed on him the
penalty of dismissal.
Sulit, who had not then been dismissed and who simply sought to restrain the disciplinary proceedings against her, solely questioned
the jurisdiction of the OP to subject her to disciplinary proceedings. The Court affirmed the continuation of the proceedings against her
after upholding the constitutionality of Section 8(2) of RA No. 6770.
WHEREFORE, in G.R. No. 196231, the decision of the Office of the President in OP Case No. 1 O-J-460 is REVERSED and SET
ASIDE. Petitioner Emilio A. Gonzales III is ordered REINSTATED with payment of backwages corresponding to the period of
suspension effective immediately, even as the Office of the Ombudsman is directed to proceed with the investigation in connection
with the above case against petitioner. In G.R. No. 196232, We AFFIRM the continuation of OP-DC Case No. ll-B-003 against Special
Prosecutor Wendell Barreras-Sulit for alleged acts and omissions tantamount to culpable violation of the Constitution and a betrayal of
public trust, in accordance with Section 8(2) of the Ombudsman Act of 1989. 3
In view of the Court’s ruling, the OP filed the present motion for reconsideration through the Office of the Solicitor General (OSG).
We briefly narrate the facts that preceded the filing of the petitions and the present motion for reconsideration.
I. ANTECEDENTS
a. Factual antecedents
On May 26, 2008, Christian Kalaw filed separate charges with the Philippine National Police Internal Affairs
Service (PNP-IAS) and with the Manila City Prosecutor’s Office against Manila Police District Senior Inspector
Rolando Mendoza and four others (Mendoza, et al.) for robbery, grave threat, robbery extortion and physical
injury.
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On May 29, 2008, Police Senior Superintendent Atty. Clarence Guinto filed an administrative charge for grave
misconduct with the National Police Commission (NAPOLCOM) PNP-NCRPO against Mendoza, et al. based
on the same allegations made by Kalaw before the PNP-IAS. 5
On July 2, 2008, Gonzales, Deputy Ombudsman for Military and Other Law Enforcement Officers (MOLEO),
directed the NAPOLCOM to turn over the records of Mendoza’s case to his office. The Office of the Regional
Director of the NAPOLCOM duly complied on July 24, 2008. Mendoza, et al. filed their position papers with
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Pending Gonzales’ action on Mendoza, et al.’s case (on August 26, 2008), the Office of the City Prosecutor of
Manila City dismissed Kalaw’s complaint against Mendoza, et al. for his failure to substantiate his
allegations. Similarly, on October 17, 2008, the PNP-IAS recommended the dismissal without prejudice of the
8
On February 16, 2009, after preparing a draft decision on Mendoza, et al.’s case, Gonzales forwarded the
entire records to the Office of then Ombudsman Merceditas Gutierrez for her review. In his draft decision,
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Gonzales found Mendoza, et al. guilty of grave misconduct and imposed on them the penalty of dismissal from
the service.11
Mendoza, et al. received a copy of the Ombudsman’s decision that approved Gonzales’ recommendation on
October 30, 2009. Mendoza, et al. filed a motion for reconsideration on November 5, 2009, followed by a
12
On December 10, 2009, the MOLEO-Records Section forwarded Mendoza, et al.’s case records to the
Criminal Investigation, Prosecution and Administrative Bureau-MOLEO. On December 14, 2009, the case was
assigned to Graft Investigation and Prosecution Officer (GIPO) Dennis Garcia for review and
recommendation. 14
GIPO Garcia released a draft order to his immediate superior, Director Eulogio S. Cecilio, for appropriate
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action on April 5, 2010. Dir. Cecilio signed and forwarded the draft order to Gonzales’ office on April 27, 2010.
Gonzales reviewed the draft and endorsed the order, together with the case records, on May 6, 2010 for the
final approval by the Ombudsman. 16
On August 23, 2010, pending final action by the Ombudsman on Mendoza, et al.’s case, Mendoza hijacked a
tourist bus and held the 21 foreign tourists and the four Filipino tour assistants on board as hostages. While the
government exerted earnest attempts to peacefully resolve the hostage-taking, it ended tragically, resulting in
the deaths of Mendoza and several others on board the hijacked bus.
In the aftermath, President Benigno C. Aquino III directed the Department of Justice and the Department of
Interior and Local Government to conduct a joint thorough investigation of the incident. The two departments
issued Joint Department Order No. 01-2010, creating an Incident Investigation and Review Committee (IIRC).
In its September 16, 2010 First Report, the IIRC found the Ombudsman and Gonzales accountable for their
"gross negligence and grave misconduct in handling the case against Mendoza." The IIRC stated that the
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Ombudsman and Gonzales’ failure to promptly resolve Mendoza’s motion for reconsideration, "without
justification and despite repeated pleas" xxx "precipitated the desperate resort to hostage-taking." The IIRC
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recommended the referral of its findings to the OP for further determination of possible administrative offenses
and for the initiation of the proper administrative proceedings.
19
Accordingly, on October 15, 2010, Gonzales was formally charged before the OP for Gross Neglect of Duty
and/or Inefficiency in the Performance of Official Duty and for Misconduct in Office. 20
b. The OP ruling
On March 31, 2011, the OP found Gonzales guilty as charged and dismissed him from the service. According
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to the OP, "the inordinate and unjustified delay in the resolution of [Mendoza’s] Motion for Reconsideration
[‘that spanned for nine (9) long months’] xxx amounted to gross neglect of duty" and "constituted a flagrant
disregard of the Office of the Ombudsman’s own Rules of Procedure." 22
c. The Petition
Gonzales posited in his petition that the OP has no administrative disciplinary jurisdiction over a Deputy
Ombudsman. Under Section 21 of RA No. 6770, it is the Ombudsman who exercises administrative
disciplinary jurisdiction over the Deputy Ombudsman.
On the merits, Gonzales argued that his office received the draft order from GIPO Garcia on April 27, 2010. On
May 6, 2010, he completed his review of the draft, approved it, and transmitted it to the Office of the
Ombudsman for final approval. Since the draft order on Mendoza’s motion for reconsideration had to undergo
different levels of preparation, review and approval, the period it took to resolve the motion could not be
unjustified, since he himself acted on the draft order only within nine (9) calendars days from his receipt of the
order.23
In April 2005, the Office of the Ombudsman charged Major General Carlos F. Garcia and several others,
before the Sandiganbayan, with plunder and money laundering. On May 7, 2007, Garcia filed an Urgent
Petition for Bail which the prosecution opposed. The Sandiganbayan denied Garcia's urgent petition for bail on
January 7, 2010, in view of the strength of the prosecution’s evidence against Garcia.
On February 25, 2010, the Office of the Ombudsman, through Sulit and her prosecutorial staff, entered into a
plea bargaining agreement (Agreement) with Garcia. Garcia thereby agreed to: (i) withdraw his plea of not
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guilty to the charge of plunder and enter a plea of guilty to the lesser offense of indirect bribery; and (ii)
withdraw his plea of not guilty to the charge of money laundering and enter a guilty plea to the lesser offense of
facilitating money laundering. In exchange, he would convey to the government his ownership, rights and other
interests over the real and personal properties enumerated in the Agreement and the bank deposits alleged in
the information. 25
The Sandiganbayan approved the Agreement on May 4, 2010 based on the parties’ submitted Joint Motion
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for Approval. 27
The apparent one-sidedness of the Agreement drew public outrage and prompted the Committee on Justice of
the House of Representatives to conduct an investigation. After public hearings, the Committee found that
Sulit, her deputies and assistants committed culpable violations of the Constitution and betrayal of public trust
– grounds for removal under Section 8(2) of RA No. 6770. The Committee recommended to the President the
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dismissal from the service of Sulit and the filing of appropriate charges against her deputies and assistants
before the appropriate government office.
Accordingly, the OP initiated an administrative disciplinary proceeding against Sulit. On March 24, 2011, Sulit
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filed her Written Explanation, questioning the OP’s jurisdiction. The question of jurisdiction notwithstanding,
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the OP set the case for preliminary investigation on April 15, 2011, prompting Sulit to seek relief from this
Court.
On motion for reconsideration and further reflection, the Court votes to grant Gonzales’ petition and to declare
Section 8(2) of RA No. 6770 unconstitutional with respect to the Office of the Ombudsman. (As the full
explanation of the Court’s vote describes below, this conclusion does not apply to Sulit as the grant of
independence is solely with respect to the Office of the Ombudsman which does not include the Office of the
Special Prosecutor under the Constitution. The prevailing ruling on this latter point is embodied in the
Concurring and Dissenting Opinion of J. Marvic Mario Victor Leonen).
A. Preliminary considerations:
At the outset, the Court notes that Gonzales and Sulit did not file a motion for reconsideration of the Court’s
September 4, 2012 Decision; only the OP, through the OSG, moved for the reconsideration of our ruling
reinstating Gonzales.
This omission, however, poses no obstacle for the Court’s review of its ruling on the whole case since a
serious constitutional question has been raised and is one of the underlying bases for the validity or invalidity
of the presidential action. If the President does not have any constitutional authority to discipline a Deputy
Ombudsman and/or a Special Prosecutor in the first place, then any ruling on the legal correctness of the OP’s
decision on the merits will be an empty one.
In other words, since the validity of the OP’s decision on the merits of the dismissal is inextricably anchored on
the final and correct ruling on the constitutional issue, the whole case – including the constitutional issue –
remains alive for the Court’s consideration on motion for reconsideration.
We clarify, too, that the issue of whether a Deputy Ombudsman may be subjected to the administrative
disciplinary jurisdiction of the President (concurrently with that of the Ombudsman) is a justiciable – not a
political – question. A justiciable question is one which is inherently susceptible of being decided on grounds
recognized by law, as where the court finds that there are constitutionally-imposed limits on the exercise of
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In resolving the petitions, we do not inquire into the wisdom of the Congress’ choice to grant concurrent
disciplinary authority to the President. Our inquiry is limited to whether such statutory grant violates the
Constitution, particularly whether Section 8(2) of RA No. 6770 violates the core constitutional principle of the
independence of the Office of the Ombudsman as expressed in Section 5, Art. XI of the Constitution.
To be sure, neither the Executive nor the Legislative can create the power that Section 8(2) of RA No. 6770
grants where the Constitution confers none. When exercised authority is drawn from a vacuum, more so when
the authority runs counter to a core constitutional principle and constitutional intents, the Court is duty-bound to
intervene under the powers and duties granted and imposed on it by Article VIII of the Constitution.
It was under the 1973 Constitution that the Office of the Ombudsman became a constitutionally-mandated
office to give it political independence and adequate powers to enforce its mandate. Pursuant to the 1973
Constitution, President Ferdinand Marcos enacted Presidential Decree (PD) No. 1487, as amended by PD No.
1607 and PD No. 1630, creating the Office of the Ombudsman to be known as Tanodbayan. It was tasked
principally to investigate, on complaint or motu proprio, any administrative act of any administrative agency,
including any government-owned or controlled corporation. When the Office of the Tanodbayan was
reorganized in 1979, the powers previously vested in the Special Prosecutor were transferred to the
Tanodbayan himself. He was given the exclusive authority to conduct preliminary investigation of all cases
cognizable by the Sandiganbayan, file the corresponding information, and control the prosecution of these
cases.34
With the advent of the 1987 Constitution, a new Office of the Ombudsman was created by constitutional fiat.
Unlike in the 1973 Constitution, its independence was expressly and constitutionally guaranteed. Its objectives
are to enforce the state policy in Section 27, Article II and the standard of accountability in public service
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Section 27. The State shall maintain honesty and integrity in the public service and take positive and effective
measures against graft and corruption.
Section 1. Public office is a public trust. Public officers and employees must, at all times, be accountable to the
people, serve them with utmost responsibility, integrity, loyalty, and efficiency; act with patriotism and justice,
and lead modest lives.
Under Section 12, Article XI of the 1987 Constitution, the Office of the Ombudsman is envisioned to be the
"protector of the people" against the inept, abusive, and corrupt in the Government, to function essentially as a
complaints and action bureau. This constitutional vision of a Philippine Ombudsman practically intends to
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make the Ombudsman an authority to directly check and guard against the ills, abuses and excesses of the
bureaucracy. Pursuant to Section 13(8), Article XI of the 1987 Constitution, Congress enacted RA No. 6770 to
enable it to further realize the vision of the Constitution. Section 21 of RA No. 6770 provides:
Section 21. Official Subject to Disciplinary Authority; Exceptions. — The Office of the Ombudsman shall have
disciplinary authority over all elective and appointive officials of the Government and its subdivisions,
instrumentalities and agencies, including Members of the Cabinet, local government, government-owned or
controlled corporations and their subsidiaries, except over officials who may be removed only by impeachment
or over Members of Congress, and the Judiciary. [emphasis ours, italics supplied]
As the Ombudsman is expected to be an "activist watchman," the Court has upheld its actions, although not
37
squarely falling under the broad powers granted it by the Constitution and by RA No. 6770, if these actions are
reasonably in line with its official function and consistent with the law and the Constitution.
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The Ombudsman’s broad investigative and disciplinary powers include all acts of malfeasance, misfeasance,
and nonfeasance of all public officials, including Members of the Cabinet and key Executive officers, during
their tenure. To support these broad powers, the Constitution saw it fit to insulate the Office of the Ombudsman
from the pressures and influence of officialdom and partisan politics and from fear of external reprisal by
making it an "independent" office. Section 5,
Section 5. There is hereby created the independent Office of the Ombudsman, composed of the Ombudsman
to be known as Tanodbayan, one overall Deputy and at least one Deputy each for Luzon, Visayas, and
Mindanao. A separate Deputy for the military establishment may likewise be appointed. [emphasis ours]
Given the scope of its disciplinary authority, the Office of the Ombudsman is a very powerful government
constitutional agency that is considered "a notch above other grievance-handling investigative bodies." It has
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powers, both constitutional and statutory, that are commensurate with its daunting task of enforcing
accountability of public officers.
40
Under the Constitution, several constitutional bodies have been expressly labeled as "independent." The 41
extent of the independence enjoyed by these constitutional bodies however varies and is to be interpreted with
two significant considerations in mind: first, the functions performed or the powers involved in a given case;
and second, consistency of any allowable interference to these powers and functions, with the principle of
checks and balances.
Notably, the independence enjoyed by the Office of the Ombudsman and by the Constitutional Commissions
shares certain characteristics – they do not owe their existence to any act of Congress, but are created by the
Constitution itself; additionally, they all enjoy fiscal autonomy. In general terms, the framers of the Constitution
intended that these "independent" bodies be insulated from political pressure to the extent that the absence of
"independence" would result in the impairment of their core functions.
In Bengzon v. Drilon, involving the fiscal autonomy of the Judiciary, we ruled against the interference that the
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President may bring and maintained that the independence and the flexibility of the Judiciary, the
Constitutional Commissions and the Office of the Ombudsman are crucial to our legal system.
The Judiciary, the Constitutional Commissions, and the Ombudsman must have the independence and
flexibility needed in the discharge of their constitutional duties. The imposition of restrictions and constraints on
the manner the independent constitutional offices allocate and utilize the funds appropriated for their
operations is anathema to fiscal autonomy and violative not only the express mandate of the Constitution but
especially as regards the Supreme Court, of the independence and separation of powers upon which the entire
fabric of our constitutional system is based.
The constitutional deliberations explain the Constitutional Commissions’ need for independence. In the
deliberations of the 1973 Constitution, the delegates amended the 1935 Constitution by providing for a
constitutionally-created Civil Service Commission, instead of one created by law, on the premise that the
effectivity of this body is dependent on its freedom from the tentacles of politics. In a similar manner, the
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deliberations of the 1987 Constitution on the Commission on Audit highlighted the developments in the past
Constitutions geared towards insulating the Commission on Audit from political pressure. 44
Notably, the Constitution also created an "independent" Commission on Human Rights, although it enjoys a
lesser degree of independence since it is not granted fiscal autonomy in the manner fiscal autonomy is granted
to the constitutional commissions. The lack of fiscal autonomy notwithstanding, the framers of the 1987
Constitution clearly expressed their desire to keep the Commission independent from the executive branch
and other political leaders:
MR. MONSOD. We see the merits of the arguments of Commissioner Rodrigo. If we explain to him our
concept, he can advise us on how to reconcile his position with ours. The position of the committee is that we
need a body that would be able to work and cooperate with the executive because the Commissioner is right.
Many of the services needed by this commission would need not only the cooperation of the executive branch
of the government but also of the judicial branch of government. This is going to be a permanent constitutional
commission over time. We also want a commission to function even under the worst circumstance when the
executive may not be very cooperative. However, the question in our mind is: Can it still function during that
time? Hence, we are willing to accept suggestions from Commissioner Rodrigo on how to reconcile this. We
realize the need for coordination and cooperation. We also would like to build in some safeguards that it will
not be rendered useless by an uncooperative executive.
xxxx
MR. GARCIA. xxx Very often, when international commissions or organizations on human rights go to a
country, the most credible organizations are independent human rights bodies. Very often these are private
organizations, many of which are prosecuted, such as those we find in many countries in Latin America. In
fact, what we are proposing is an independent body on human rights, which would provide governments with
credibility precisely because it is independent of the present administration. Whatever it says on the human
rights situation will be credible because it is not subject to pressure or control from the present political
leadership.
Secondly, we all know how political fortunes come and go. Those who are in power yesterday are in opposition
today and those who are in power today may be in the opposition tomorrow. Therefore, if we have a
Commission on Human Rights that would investigate and make sure that the rights of each one is protected,
then we shall have a body that could stand up to any power, to defend the rights of individuals against arrest,
unfair trial, and so on.
45
These deliberative considerations abundantly show that the independent constitutional commissions have
been consistently intended by the framers to be independent from executive control or supervision or any form
of political influence. At least insofar as these bodies are concerned, jurisprudence is not scarce on how the
"independence" granted to these bodies prevents presidential interference.
In Brillantes, Jr. v. Yorac, we emphasized that the Constitutional Commissions, which have been
46
characterized under the Constitution as "independent," are not under the control of the President, even if they
discharge functions that are executive in nature. The Court declared as unconstitutional the President’s act of
temporarily appointing the respondent in that case as Acting Chairman of the Comelec "however well-
meaning" it might have been.
47
In Bautista v. Senator Salonga, the Court categorically stated that the tenure of the commissioners of the
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independent Commission on Human Rights could not be placed under the discretionary power of the
President:
Indeed, the Court finds it extremely difficult to conceptualize how an office conceived and created by the
Constitution to be independent – as the Commission on Human Rights – and vested with the delicate and vital
functions of investigating violations of human rights, pinpointing responsibility and recommending sanctions as
well as remedial measures therefor, can truly function with independence and effectiveness, when the tenure
in office of its Chairman and Members is made dependent on the pleasure of the President. Executive Order
No. 163-A, being antithetical to the constitutional mandate of independence for the Commission on Human
Rights has to be declared unconstitutional.
Again, in Atty. Macalintal v. Comelec, the Court considered even the mere review of the rules of the
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The kind of independence enjoyed by the Office of the Ombudsman certainly cannot be inferior – but is similar
in degree and kind – to the independence similarly guaranteed by the Constitution to the Constitutional
Commissions since all these offices fill the political interstices of a republican democracy that are crucial to its
existence and proper functioning. 50
Our discussions, particularly the Court’s expressed caution against presidential interference with the
constitutional commissions, on one hand, and those expressed by the framers of the 1987 Constitution, on the
other, in protecting the independence of the Constitutional Commissions, speak for themselves as
overwhelming reasons to invalidate Section 8(2) of RA No. 6770 for violating the independence of the Office of
the Ombudsman.
In more concrete terms, we rule that subjecting the Deputy Ombudsman to discipline and removal by the
President, whose own alter egos and officials in the Executive Department are subject to the Ombudsman’s
disciplinary authority, cannot but seriously place at risk the independence of the Office of the Ombudsman
itself. The Office of the Ombudsman, by express constitutional mandate, includes its key officials, all of them
tasked to support the Ombudsman in carrying out her mandate. Unfortunately, intrusion upon the
constitutionally-granted independence is what Section 8(2) of RA No. 6770 exactly did. By so doing, the law
directly collided not only with the independence that the Constitution guarantees to the Office of the
Ombudsman, but inevitably with the principle of checks and balances that the creation of an Ombudsman
office seeks to revitalize.
What is true for the Ombudsman must be equally and necessarily true for her Deputies who act as agents of
the Ombudsman in the performance of their duties. The Ombudsman can hardly be expected to place her
complete trust in her subordinate officials who are not as independent as she is, if only because they are
subject to pressures and controls external to her Office. This need for complete trust is true in an ideal setting
and truer still in a young democracy like the Philippines where graft and corruption is still a major problem for
the government. For these reasons, Section 8(2) of RA No. 6770 (providing that the President may remove a
Deputy Ombudsman) should be declared void.
The deliberations of the Constitutional Commission on the independence of the Ombudsman fully support this
position. Commissioner Florenz Regalado of the Constitutional Commission expressed his apprehension that
any form of presidential control over the Office of the Ombudsman would diminish its independence. The 51
following exchanges between Commissioners Blas Ople and Christian Monsod further reveal the constitutional
intent to keep the Office of the Ombudsman independent from the President:
May I direct a question to the Committee? xxx [W]ill the Committee consider later an amendment xxx, by way
of designating the office of the Ombudsman as a constitutional arm for good government, efficiency of the
public service and the integrity of the President of the Philippines, instead of creating another agency in a kind
of administrative limbo which would be accountable to no one on the pretext that it is a constitutional body?
MR. MONSOD. The Committee discussed that during our committee deliberations and when we prepared the
report, it was the opinion of the Committee — and I believe it still is — that it may not contribute to the
effectiveness of this office of the Ombudsman precisely because many of the culprits in inefficiency, injustice
and impropriety are in the executive department. Therefore, as we saw the wrong implementation of the
Tanodbayan which was under the tremendous influence of the President, it was an ineffectual body and was
reduced to the function of a special fiscal. The whole purpose of our proposal is precisely to separate those
functions and to produce a vehicle that will give true meaning to the concept of Ombudsman. Therefore, we
regret that we cannot accept the proposition. 52
The statements made by Commissioner Monsod emphasized a very logical principle: the Executive power to
remove and discipline key officials of the Office of the Ombudsman, or to exercise any power over them, would
result in an absurd situation wherein the Office of the Ombudsman is given the duty to adjudicate on the
integrity and competence of the very persons who can remove or suspend its members. Equally relevant is the
impression that would be given to the public if the rule were otherwise. A complainant with a grievance against
a high-ranking official of the Executive, who appears to enjoy the President’s favor, would be discouraged from
approaching the Ombudsman with his complaint; the complainant’s impression (even if misplaced), that the
Ombudsman would be susceptible to political pressure, cannot be avoided. To be sure, such an impression
would erode the constitutional intent of creating an Office of the Ombudsman as champion of the people
against corruption and bureaucracy.
While the preceding discussion already suffices to address this concern, it should be added that this concern
stands on shaky grounds since it ignores the existing checks and balances already in place. On the one hand,
the Ombudsman’s Deputies cannot protect the Ombudsman because she is subject to the impeachment
power of Congress. On the other hand, the Ombudsman’s attempt to cover up the misdeeds of her Deputies
can be questioned before the Court on appeal or certiorari. The same attempt can likewise subject her to
impeachment.
The judicial recourse available is only consistent with the nature of the Supreme Court as a non-political
independent body mandated by the Constitution to settle judicial and quasi-judicial disputes, whose judges and
employees are not subject to the disciplinary authority of the Ombudsman and whose neutrality would be less
questionable. The Members of the Court themselves may be subjected to the impeachment power of
Congress.
In these lights, the appeal, if any, of the mutual protection argument becomes distinctly implausible. At the
same time, the Court remains consistent with its established rulings - that the independence granted to the
Constitutional Commissions bars any undue interference from either the Executive or Congress – and is in full
accord with constitutional intent.
Under Section 2, Article XI of the 1987 Constitution, Congress is empowered to determine the modes of
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removal from office of all public officers and employees except the President, the Vice-President, the Members
of the Supreme Court, the Members of the Constitutional Commissions, and the Ombudsman, who are all
impeachable officials.
The intent of the framers of the Constitution in providing that "[a]ll other public officers and employees may be
removed from office as provided by law, but not by impeachment" in the second sentence of Section 2, Article
XI is to prevent Congress from extending the more stringent rule of "removal only by impeachment" to favored
public officers. Understandably so, impeachment is the most difficult and cumbersome mode of removing a
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public officer from office. It is, by its nature, a sui generis politico-legal process that signals the need for a
55
judicious and careful handling as shown by the process required to initiate the proceeding; the one-year56
limitation or bar for its initiation; the limited grounds for impeachment; the defined instrumentality given the
57 58
power to try impeachment cases; and the number of votes required for a finding of guilt. All these argue
59 60
against the extension of this removal mechanism beyond those mentioned in the Constitution.
On the practical side, our nation has witnessed the complications and problems an impeachment proceeding
entails, thus justifying its limited application only to the officials occupying the highest echelons of responsibility
in our government. To name a few, some of the negative practical effects of impeachment are: it stalls
legislative work; it is an expensive process in terms of the cost of prosecution alone; and, more importantly, it
is inherently divisive of the nation. Thus, in a cost-benefit analysis of adopting impeachment as a mechanism,
61
limiting Congress’ power to otherwise legislate on the matter is far more advantageous to the country.
It is in these lights that the second sentence in Section 2, Article XI of the 1987 Constitution should be read.
Contrary to the implied view of the minority, in no way can this provision be regarded as blanket authority for
Congress to provide for any ground of removal it deems fit. While the manner and cause of removal are left to
congressional determination, this must still be consistent with constitutional guarantees and principles, namely:
the right to procedural and substantive due process; the constitutional guarantee of security of tenure; the
principle of separation of powers; and the principle of checks and balances. 62
In short, the authority granted by the Constitution to Congress to provide for the manner and cause of removal
of all other public officers and employees does not mean that Congress can ignore the basic principles and
precepts established by the Constitution.
In the same manner, the congressional determination of the identity of the disciplinary authority is not a blanket
authority for Congress to repose it on whomsoever Congress chooses without running afoul of the
independence enjoyed by the Office of the Ombudsman and without disrupting the delicate check and balance
mechanism under the Constitution. Properly viewed from this perspective, the core constitutional principle of
independence is observed and any possible absurdity resulting from a contrary interpretation is avoided. In
other words, while the Constitution itself vested Congress with the power to determine the manner and cause
of removal of all non-impeachable officials, this power must be interpreted consistent with the core
constitutional principle of independence of the Office of the Ombudsman. Our observation in Macalintal v.
Comelec is apt:
63
The ambit of legislative power under Article VI of the Constitution is circumscribed by other constitutional
provisions. One such provision is Section 1 of Article IX-A of the 1987 Constitution ordaining that constitutional
commissions such as the COMELEC shall be "independent."
While one may argue that the grounds for impeachment under Section 8(2) of RA No. 6770 is intended as a
measure of protection for the Deputy Ombudsman and Special Prosecutor – since these grounds are not
intended to cover all kinds of official wrongdoing and plain errors of judgment - this argument seriously
overlooks the erosion of the independence of the Office of the Ombudsman that it creates. The mere fact that
a statutorily-created sword of Damocles hangs over the Deputy Ombudsman’s head, by itself, opens up all the
channels for external pressures and influence of officialdom and partisan politics. The fear of external reprisal
from the very office he is to check for excesses and abuses defeats the very purpose of granting
independence to the Office of the Ombudsman.
That a judicial remedy is available (to set aside dismissals that do not conform to the high standard required in
determining whether a Deputy Ombudsman committed an impeachable offense) and that the President’s
power of removal is limited to specified grounds are dismally inadequate when balanced with the constitutional
principle of independence. The mere filing of an administrative case against the Deputy Ombudsman and the
Special Prosecutor before the OP can already result in their suspension and can interrupt the performance of
their functions, in violation of Section 12, Article XI of the Constitution. With only one term allowed under
Section 11, a Deputy Ombudsman or Special Prosecutor, if removable by the President, can be reduced to the
very same ineffective Office of the Ombudsman that the framers had foreseen and carefully tried to avoid by
making these offices independent constitutional bodies.
At any rate, even assuming that the OP has disciplinary authority over the Deputy Ombudsman, its decision
finding Gonzales guilty of Gross Neglect of Duty and Grave Misconduct constituting betrayal of public trust is
patently erroneous. The OP’s decision perfectly illustrates why the requirement of impeachment-grounds in
Section 8(2) of RA No. 6770 cannot be considered, even at a minimum, a measure of protection of the
independence of the Office of the Ombudsman.
The OP’s decision found Gonzales guilty of Gross Neglect of Duty and of Grave Misconduct. The assailed
Decision of the OP reads:
Upon consideration of the First Report, the evidence and allegations of respondent Deputy Ombudsman
himself, and other documentary evidence gathered, this Office finds that the inordinate and unjustified delay in
the resolution of Captain Mendoza’s Motion for Reconsideration timely filed on 5 November 2009 xxx
amounted to gross neglect of duty and/or inefficiency in the performance of official duty. 64
1. November 5, 2009 - Mendoza filed a Motion for Reconsideration of the decision of the Ombudsman, which 65
2. December 14, 2009 - GIPO Garcia, who was assigned to review these motions and make his
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recommendation for the appropriate action, received the records of the case;
3. April 5, 2010 – GIPO Garcia released a draft order to be reviewed by his immediate superior, Dir. Cecilio; 68
4. April 27, 2010 – Dir. Cecilio signed and forwarded to Gonzales this draft order; 69
5. May 6, 2010 (or nine days after the records were forwarded to Gonzales) – Gonzales endorsed the draft
order for the final approval of the Ombudsman. 70
Clearly, when Mendoza hijacked the tourist bus on August 23, 2010, the records of the case were already
pending before Ombudsman Gutierrez.
Gross negligence refers to negligence characterized by the want of even the slightest care, acting or omitting
to act in a situation where there is a duty to act, not inadvertently but willfully and intentionally, with a conscious
indifference to consequences insofar as other persons may be affected. In the case of public officials, there is
gross negligence when a breach of duty is flagrant and palpable. 71
Gonzales cannot be guilty of gross neglect of duty and/or inefficiency since he acted on the case forwarded to
him within nine days. In finding Gonzales guilty, the OP relied on Section 8, Rule III of Administrative Order
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No. 7 (or the Rules of Procedure of the Office of the Ombudsman, series of 1990, as amended) in ruling that
Gonzales should have acted on Mendoza’s Motion for Reconsideration within five days:
Section 8. Motion for reconsideration or reinvestigation: Grounds – Whenever allowable, a motion for
reconsideration or reinvestigation may only be entertained if filed within ten (10) days from receipt of the
decision or order by the party on the basis of any of the following grounds:
a) New evidence had been discovered which materially affects the order, directive or decision;
b) Grave errors of facts or laws or serious irregularities have been committed prejudicial to the interest of the
movant.
Only one motion for reconsideration or reinvestigation shall be allowed, and the Hearing Officer shall resolve
the same within five (5) days from the date of submission for resolution. [emphasis and underscore ours]
Even if we consider this provision to be mandatory, the period it requires cannot apply to Gonzales since he is
a Deputy Ombudsman whose obligation is to review the case; he is not simply a Hearing Officer tasked with
the initial resolution of the motion. In Section 6 of Administrative Order No. 7 on the resolution of the case and
submission of the proposed decision, the period for resolving the case does not cover the period within which it
should be reviewed:
Section 6. Rendition of decision. – Not later than thirty (30) days after the case is declared submitted for
resolution, the Hearing Officer shall submit a proposed decision containing his findings and recommendation
for the approval of the Ombudsman. Said proposed decision shall be reviewed by the Directors, Assistant
Ombudsmen and Deputy Ombudsmen concerned. With respect to low ranking public officials, the Deputy
Ombudsman concerned shall be the approving authority. Upon approval, copies thereof shall be served upon
the parties and the head of the office or agency of which the respondent is an official or employee for his
information and compliance with the appropriate directive contained therein. [italics and emphases supplied]
Thus, the OP’s ruling that Gonzales had been grossly negligent for taking nine days, instead of five days, to
review a case was totally baseless.
The OP’s claims that Gonzales could have supervised his subordinates to promptly act on Mendoza’s motion
and apprised the Tanodbayan of the urgency of resolving the same are similarly groundless.
The Office of the Ombudsman is not a corner office in our bureaucracy. It handles numerous cases that
involve the potential loss of employment of many other public employees. We cannot conclusively state, as the
OP appears to suggest, that Mendoza’s case should have been prioritized over other similar cases.
The Court has already taken judicial notice of the steady stream of cases reaching the Office of the
Ombudsman. This consideration certainly militates against the OSG’s observation that there was "a grossly
73
Equally important, the constitutional guarantee of "speedy disposition of cases" before, among others, quasi-
judicial bodies, like the Office of the Ombudsman, is itself a relative concept. Thus, the delay, if any, must be
75 76
measured in this objective constitutional sense. Unfortunately, because of the very statutory grounds relied
upon by the OP in dismissing Gonzales, the political and, perhaps, "practical" considerations got the better of
what is legal and constitutional.
The facts do not show that Gonzales’ subordinates had in any way been grossly negligent in their work. While
GIPO Garcia reviewed the case and drafted the order for more than three months, it is noteworthy that he had
not drafted the initial decision and, therefore, had to review the case for the first time. Even the Ombudsman
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herself could not be faulted for acting on a case within four months, given the amount of cases that her office
handles.
The point is that these are not inordinately long periods for the work involved: examination of the records,
research on the pertinent laws and jurisprudence, and exercise of legal judgment and discretion. If this Court
rules that these periods per se constitute gross neglect of duty, the Ombudsman’s constitutional mandate to
prosecute all the erring officials of this country would be subjected to an unreasonable and overwhelming
constraint. Similarly, if the Court rules that these periods per se constitute gross neglect of duty, then we must
be prepared to reconcile this with the established concept of the right of speedy disposition of cases –
something the Court may be hard put to justify.
d. No undue interest
The OP also found Gonzales guilty of showing undue interest in Mendoza’s case by having the case endorsed
to the Office of the Ombudsman and by resolving it against Mendoza on the basis of the unverified complaint-
affidavit of the alleged victim, Kalaw.
The fact that Gonzales had Mendoza’s case endorsed to his office lies within his mandate, even if it were
based merely on the request of the alleged victim’s father. The Constitution empowers the Ombudsman and
her Deputies to act promptly on complaints filed in any form or manner against any public official or employee
of the government. This provision is echoed by Section 13 of RA No. 6770, and by Section 3, Rule III of
78 79
Moreover, Gonzales and his subordinates did not resolve the complaint only on the basis of the unverified
affidavit of Kalaw. Based on the prosecution officer’s recommendations, the finding of guilt on the part of
Mendoza, et al. was based on their admissions as well. Mendoza, et al. admitted that they had arrested Kalaw
based on two traffic violations and allowed him to stay the whole night until the following morning in the police
precinct. The next morning, Kalaw was allowed to leave the precinct despite his failure to show a valid license
and based merely on his promise to return with the proper documents. These admissions led Gonzales and
81
his staff to conclude that Mendoza, et al. irregularly acted in apprehending Kalaw, since the proper procedure
for the apprehension of traffic violators would be to give them a ticket and to file a case, when appropriate. 82
Lastly, we cannot deduce undue interest simply because Gonzales’ decision differs from the decision of the
PNP-IAS (which dismissed the complaint against Mendoza). To be sure, we cannot tie the hands of any
judicial or quasi-judicial body by ruling that it should always concur with the decisions of other judicial or quasi-
judicial bodies which may have also taken cognizance of the case. To do so in the case of a Deputy
Ombudsman would be repugnant to the independence that our Constitution has specifically granted to this
office and would nullify the very purpose for which it was created.
Given the lack of factual basis for the charges against Gonzales, the penalty of removal imposed by the OP
necessarily suffers grave infirmity. Basic strictures of fair play dictate that we can only be held liable for our
own misdeeds; we can be made to account only for lapses in our responsibilities. It is notable that of all the
officers, it was Gonzales who took the least time — nine days — followed by Cecilio, who took 21 days; Garcia
— the writer of the draft — took less than four months, and the Ombudsman, less than four months until the
kidnapping incident rendered Mendoza’s motion moot.
In these lights, the decision of the OP is clearly and patently wrong. This conclusion, however, does not
preclude the Ombudsman from looking into any other possible administrative liability of Gonzales under
existing Civil Service laws, rules and regulations.
The 1987 Constitution created a new, independent Office of the Ombudsman. The existing Tanodbayan at the
time became the Office of the Special Prosecutor under the 1987 Constitution. While the composition of the
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independent Office of the Ombudsman under the 1987 Constitution does not textually include the Special
Prosecutor, the weight of the foregoing discussions on the unconstitutionality of Section 8(2) of RA No. 6770
should equally apply to the
Special Prosecutor on the basis of the legislative history of the Office of the Ombudsman as expounded in
jurisprudence.
Under the 1973 Constitution, the legislature was mandated to create the Office of the Ombudsman, known as
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the Tanodbayan, with investigative and prosecutorial powers. Accordingly, on June 11, 1978, President
Ferdinand Marcos enacted PD No. 1487. 85
Under PD No. 1486, however, the "Chief Special Prosecutor" (CSP) was given the "exclusive authority" to
86
conduct preliminary investigation and to prosecute cases that are within the jurisdiction of the
Sandiganbayan. PD No. 1486 expressly gave the Secretary of Justice the power of control and supervision
87
over the Special Prosecutor. Consistent with this grant of power, the law also authorized the Secretary of
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Justice to appoint or detail to the Office of the CSP "any officer or employee of Department of Justice or any
Bureau or Office under the executive supervision thereof" to assist the Office of the CSP.
In December 1978, PD No. 1607 practically gave back to the Tanodbayan the powers taken away from it by
89
the Office of the CSP. The law "created in the Office of the Tanodbayan an Office of the Chief Special
Prosecutor" under the Tanodbayan’s control, with the exclusive authority to conduct preliminary investigation
90
and prosecute all cases cognizable by the Sandiganbayan. Unlike the earlier decree, the law also empowered
the Tanodbayan to appoint Special Investigators and subordinate personnel and/or to detail to the Office of the
CSP any public officer or employees who "shall be under the supervision and control of the Chief Special
Prosecutor." In 1979, PD No. 1630 further amended the earlier decrees by transferring the powers previously
91
This was the state of the law at the time the 1987 Constitution was ratified. Under the 1987 Constitution, an
"independent Office of the Ombudsman" is created. The existing Tanodbayan is made the Office of the
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Special Prosecutor, "who shall continue to function and exercise its powers as now or hereafter may be
94
provided by law." 95
Other than the Ombudsman’s Deputies, the Ombudsman shall appoint all other officials and employees of the
Office of the Ombudsman. Section 13(8), Article XI of the 1987 Constitution provides that the Ombudsman
96
may exercise "such other powers or perform such functions or duties as may be provided by law." Pursuant to
this constitutional command, Congress enacted RA No. 6770 to provide for the functional and structural
organization of the Office of the Ombudsman and the extent of its disciplinary authority.
In terms of composition, Section 3 of RA No. 6770 defines the composition of the Office of the Ombudsman,
including in this Office not only the offices of the several Deputy Ombudsmen but the Office of the Special
Prosecutor as well. In terms of appointment, the law gave the President the authority to appoint the
Ombudsman, his Deputies and the Special Prosecutor, from a list of nominees prepared by the Judicial and
Bar Council. In case of vacancy in these positions, the law requires that the vacancy be filled within three (3)
months from occurrence. 97
The law also imposes on the Special Prosecutor the same qualifications it imposes on the Ombudsman
himself/herself and his/her deputies. Their terms of office, prohibitions and qualifications, rank and salary
98 99 100
are likewise the same. The requirement on disclosure is imposed on the Ombudsman, the Deputies and the
101 102
Special Prosecutor as well. In case of vacancy in the Office of the Ombudsman, the Overall Deputy cannot
assume the role of Acting Ombudsman; the President may designate any of the Deputies or the Special
Prosecutor as Acting Ombudsman. The power of the Ombudsman and his or her deputies to require other
103
government agencies to render assistance to the Office of the Ombudsman is likewise enjoyed by the Special
Prosecutor.104
Given this legislative history, the present overall legal structure of the Office of the Ombudsman, both under
the 1987 Constitution and RA No. 6770, militates against an interpretation that would insulate the Deputy
Ombudsman from the disciplinary authority of the OP and yet expose the Special Prosecutor to the same ills
that a grant of independence to the Office of the Ombudsman was designed for.
Congress recognized the importance of the Special Prosecutor as a necessary adjunct of the Ombudsman,
aside from his or her deputies, by making the Office of the Special Prosecutor an organic component of the
Office of the Ombudsman and by granting the Ombudsman control and supervision over that office. This 105
power of control and supervision includes vesting the Office of the Ombudsman with the power to assign
duties to the Special Prosecutor as he/she may deem fit. Thus, by constitutional design, the Special
1âwphi1
Prosecutor is by no means an ordinary subordinate but one who effectively and directly aids the Ombudsman
in the exercise of his/her duties, which include investigation and prosecution of officials in the Executive
Department.
Under Section 11(4) of RA No. 6770, the Special Prosecutor handles the prosecution of criminal cases within
the jurisdiction of the Sandiganbayan and this prosecutorial authority includes high-ranking executive officials.
For emphasis, subjecting the Special Prosecutor to disciplinary and removal powers of the President, whose
own alter egos and officials in the Executive Department are subject to the prosecutorial authority of the
Special Prosecutor, would seriously place the independence of the Office of the Ombudsman itself at risk.
Thus, even if the Office of the Special Prosecutor is not expressly made part of the composition of the Office of
the Ombudsman, the role it performs as an organic component of that Office militates against a differential
treatment between the Ombudsman’s Deputies, on one hand, and the Special Prosecutor himself, on the
other. What is true for the Ombudsman must be equally true, not only for her Deputies but, also for other lesser
officials of that Office who act directly as agents of the Ombudsman herself in the performance of her duties.
In Acop v. Office of the Ombudsman, the Court was confronted with an argument that, at bottom, the Office of
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the Special Prosecutor is not a subordinate agency of the Office of the Ombudsman and is, in fact, separate
and distinct from the latter. In debunking that argument, the Court said:
Firstly, the petitioners misconstrue Commissioner Romulo's statement as authority to advocate that the intent
of the framers of the 1987 Constitution was to place the Office of the Special Prosecutor under the Office of the
President. Xxx
In the second place, Section 7 of Article XI expressly provides that the then existing Tanodbayan, to be
henceforth known as the Office of the Special Prosecutor, "shall continue to function and exercise its powers
as now or hereafter may be provided by law, except those conferred on the Office of the Ombudsman created
under this Constitution." The underscored phrase evidently refers to the Tanodbayan's powers under P.D. No.
1630 or subsequent amendatory legislation. It follows then that Congress may remove any of the
Tanodbayan's/Special Prosecutor's powers under P.D. N0. 1630 or grant it other powers, except those powers
conferred by the Constitution on the Office of the Ombudsman.
Pursuing the present line of reasoning, when one considers that by express mandate of paragraph 8, Section
13, Article XI of the Constitution, the Ombudsman may "exercise such other powers or perform functions or
duties as may be provided by law," it is indubitable then that Congress has the power to place the Office of the
Special Prosecutor under the Office of the Ombudsman. 107
Thus, under the present Constitution, there is every reason to treat the Special Prosecutor to be at par with the
Ombudsman's deputies, at least insofar as an extraneous disciplinary authority is concerned, and must also
enjoy the same grant of independence under the Constitution.
In the voting held on January 28, 2014, by a vote of 8-7, the Court resolved to reverse its September 4, 2012 Decision insofar as
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petitioner Gonzales is concerned (G.R. No. 196231). We declared Section 8(2) of RA No. 6770 unconstitutional by granting
disciplinary jurisdiction to the President over a Deputy Ombudsman, in violation of the independence of the Office of the Ombudsman.
However, by another vote of 8-7, the Court resolved to maintain the validity of Section 8(2) of RA No. 6770 insofar as Sulit is
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concerned. The Court did not consider the Office of the Special Prosecutor to be constitutionally within the Office of the Ombudsman
and is, hence, not entitled to the independence the latter enjoys under the Constitution.
WHEREFORE, premises considered, the Court resolves to declare Section 8(2) UNCONSTITUTIONAL. This ruling renders any
further ruling on the dismissal of Deputy Ombudsman Emilio Gonzales III unnecessary, but is without prejudice to the power of the
Ombudsman to conduct an administrative investigation, if warranted, into the possible administrative liability of Deputy Ombudsman
Emilio Gonzales III under pertinent Civil Service laws, rules and regulations.
SO ORDERED.
ARTURO D. BRION
Associate Justice