RevRulesReginAdminInvestNo2016 (Draft)
RevRulesReginAdminInvestNo2016 (Draft)
2016-
Series of 2016
WHEREAS, Executive Order No. 26, Series of 1992, signed by then President
Fidel V. Ramos prescribes procedures and sanctions to ensure speedy disposition of
cases.
Rule I
GENERAL PROVISIONS
Section 1. Title. - These Rules shall be known and cited as the “2016 Revised
Rules and Regulations in Administrative Investigations”.
Section 2. Scope and Coverage. - These Rules are promulgated in the exercise
of the quasi-judicial function of the Commission and the Board to conduct an
investigation of, hear and decide cases, and resolve appeals involving:
(a) a Chairman, Vice-Chairman or any Member of the Professional Regulatory
Boards for neglect of duty, incompetence, unprofessional, unethical, immoral
or dishonorable conduct, commission of irregularities in the licensure
examinations which taint or impugn the integrity and authenticity of the results
of the said examinations;
(b) officers and employees of the Commission for violation of Republic Act No.
8981, otherwise known as the “PRC Modernization Act of 2000”, or the Civil
Service Law, Rules and Regulations;
(c) a person who is a registered and licensed professional of the Commission, a
holder of a special temporary permit, an applicant for examination, an
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examinee, an applicant for registration without examination, or a holder of an
accreditation from the Commission who:
The Commission, however, may suspend the application of these Rules in order
to best serve the public interest, and in the interest of justice and general welfare apply
such suitable, fair and reasonable procedure to improve the delivery of public service
and to assist the parties in obtaining a just and speedy determination of every action or
proceeding.
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In any other cases, the Board may, in its discretion, waive such presence.
Section 10. Imposable Penalty. – The Commission shall revoke or suspend the
Certificate of Registration of any member of the Board and recommend to the President
of the Philippines his suspension or removal from office, as the case may be.
If found guilty by the Board, the respondent professional or juridical person shall
be meted the penalty of revocation or suspension of the Certificate/s of Registration,
Certificate of Accreditation or reprimand. The revocation or suspension of the Certificate
of Registration/Professional License or Certificate of Accreditation shall cause the
surrender of the same to the Board within ten (10) days from the finality of the decision.
The imposable penalty under the Civil Service law, rules and regulations shall
apply in the case of an official or employee of the Commission found guilty of the charge
against him.
Such authority shall include an exemption from payment of docket and other
lawful fees, and of transcript of stenographic notes which the Commission or Board may
order to be furnished him.
Rule II
JURISDICTION AND VENUE
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of the respondent and the power to hear and decide the case even if he subsequently
leaves the Philippines or fails to appear during the hearings of the case.
The Legal and Investigation Division of the Central Office, and the Regional
Office, shall ensure that the Commission or the concerned Board has jurisdiction over
the person of the respondent and over the subject matter of the complaint.
Section 2. Venue. - All actions brought under Section 2(a) & (b) of Rule 1 shall
be commenced and heard at the Central Office of the Commission.
Actions under Section 2(c) of Rule 1 shall be commenced and heard at the
Regional Office of the Commission having territorial jurisdiction over the parties.
Provided, however, that if there is no lawyer in the said Regional Office, the complaint
may be filed in the nearest Regional Office where there is a lawyer of the Commission,
or at the Central Office, at the option of the complainant.
Rule III
PLEADINGS, MOTIONS AND APPEARANCES
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Section 4. Appearance of Counsel. - The complainant or respondent may be
represented by counsel who shall manifest his appearance in writing stating the
following:
(a) full name;
(b) receipt number of the current payment of membership dues to the Integrated Bar
of the Philippines;
(c) Roll of Attorneys;
(d) Professional Tax Receipt with date and place of issue;
(e) MCLE compliance with date of issue; and
(f) complete address which should not be a P.O. box address where he/she can be
served with notices and pleadings.
The written entry of appearance may include the express consent, if any, of the
party or counsel to the electronic service of pleadings, orders, decisions, resolutions,
and other papers. In such case, the consenting party or counsel shall provide the e-mail
address at which he agrees to accept such service.
Rule IV
FILING AND SERVICE OF PLEADINGS
Section 1. Filing of Pleadings. – All pleadings shall be filed with the Legal and
Investigation Division of the Central Office, or with the Regional Office, as applicable.
When consented to by both parties during the pre-trial conference, scanned copy
of notices, decisions and orders may be served and effected to the parties
electronically.
When a party has appeared by counsel, service shall be made upon the counsel
of record. Where one counsel appears for several parties, he shall only be entitled to
one copy of the order, decision, resolution or other papers.
Section 3. Proof of Service. – Proof of service may consist of the affidavit of the
party serving, containing a full statement of the date, place and manner of service. It
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shall specify the papers served and the name of the person who received them, and
shall be notarized.
If the service is by registered mail or by private courier, proof thereof shall consist
of an affidavit of the person who undertook the mailing stating the facts of the same,
and the registry receipt issued by the mailing office, or any proof of delivery issued by
the private courier. The registry return card or any other proof of delivery shall be filed
immediately upon its receipt by the sender, or in lieu thereof, the unclaimed letter
together with the certified or sworn copy of the notice given by the postmaster to the
addressee.
If electronic service is resorted to, the proof thereof shall consist of an affidavit of
the person who undertook such service by stating the following:
(a) e-mail address that was employed to transmit the document;
(b) date and time of the electronic service;
(c) name and e-mail address of the person served; and
(d) the document was served electronically.
Rule V
HEARING OFFICER
The Hearing Officers shall be authorized to sign for and in behalf of the
Commission or the Board, with the concurrence of the Chief of the Legal Investigation
or Regional Director in Regional Offices, in matters relating to Interlocutory Orders that
may arise prior to the final disposition of the case pending before the Commission or the
Board.
Section 2. Powers and Duties of the Hearing Officer. – The Hearing Officer
shall have the following powers and duties:
(a) issue summons;
(b) administer oaths and affirmations;
(c) conduct hearing;
(d) regulate and maintain order during the proceedings;
(e) to cite any person in contempt;
(f) issue subpoena ad testificandum or subpoena duces tecum, motu proprio or
when requested by any party to compel the attendance of a witness or the
production of documents, records or books during the hearing;
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(g) take or receive all relevant evidence;
(h) rule upon offers of proofs;
(i) resolve all objections raised during the hearing;
(j) take or cause deposition to be taken whenever the ends of justice would be
served thereby;
(k) rule on any procedural request;
(l) ask clarificatory questions;
(m)exclude any party, witness, or any other person from the hearing room;
(n) draft a decision for the approval of the Board within seven (7) months from
the date of service of summons and within thirty (30) days from the date of
Order declaring the case submitted for decision; and
(o) perform such other functions, as may be assigned by the Commission for a
just, speedy, and inexpensive resolution of the case.
Section 3. Mandatory Inhibition of the Hearing Officer. – The Hearing Officer
shall inhibit from hearing a case on any of the following grounds:
(a) The Hearing Officer is related to either parties or their counsel within the sixth
degree of consanguinity or affinity;
(b) The Hearing Officer’s spouse, child or relative within the sixth degree of
consanguinity or affinity, is directly or indirectly interested in the subject
matter of the case; or
(c) The Hearing Officer has participated as counsel in the same case.
Section 4. Discretionary Inhibition of the Hearing Officer. – The Hearing
Officer may motu proprio inhibit from hearing a case by issuing an order stating other
grounds as basis for inhibition.
When the parties have filed their respective memorandum decisions or the case
is deemed submitted for decision, the lawyer of the Regional Office acting as Hearing
Officer or the same original Hearing Officer shall, within seven (7) days therefrom and
with notice to the parties, transmit the records of the case to the Legal and Investigation
Division of the Central Office for the drafting of the decision.
The Chief of the Legal and Investigation Division shall, within two (2) days from
receipt thereof, assign the case by raffle to a Hearing Officer who shall resolve the case
within a period of thirty (30) days from assignment.
After the finality of the decision with no appeal taken therefrom or the period to
appeal has lapsed, the records of the case shall be remanded to the Regional Office of
origin.
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In any other cases, absence of any lawyer in the Regional Office shall result to
the transmittal of the case to the Central Office.
Rule VI
SPECIAL INVESTIGATION AND SPECIAL PROSECUTION
For this purpose, the Commission or the Board may entrust the formal
investigation and prosecution to lawyers of the Commission.
Section 4. Investigation Report. – Within seven (7) days from the termination of
the investigation, the Special Investigator shall submit the Investigation Report
containing a narration of the material facts established during the investigation, the
findings and the evidence supporting said findings, as well as recommendations to the
Commission. The complete records of the case shall be attached to the report of
investigation.
Section 5. Actions After Investigation. – The Special Prosecutor may, upon his
discretion, take one or more of the following actions after resolution of the investigation:
a. Initiate administrative action or proceedings against the respondent for the
imposition of corresponding administrative sanctions or penalties; and
b. Refer the matter to the Department of Justice through the Office of the
National Prosecution Service for the possible institution of a criminal action, if
applicable.
Section 6. Formal Charge. – Upon finding of a prima facie case or where the
complaint was initiated by the Commission, the Special Prosecutor shall formally charge
the person complained of.
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Section 7. Nature of Special Prosecution. - Motu proprio cases shall be
summary in nature which shall be heard and decided based on memorandum decisions.
Rule VII
COMPLAINT
Section 2. Who May File. – A complaint may be filed by any person, or a duly
authorized representative for any violation of law, rules and regulations, instructions or
policies of the Commission or the Board. The Commission or the Board may motu
proprio initiate an administrative investigation.
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Section 3. Where to File a Complaint. - A complaint may be filed in the Central
Office of the Commission or in the Regional Office having territorial jurisdiction over the
parties: Provided, however, that if there is no lawyer in the said Regional Office, the
complaint may be filed in the nearest Regional Office where there is a lawyer of the
Commission, or at the Central Office, at the option of the complainant.
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RULE VIII
PRELIMINARY DETERMINATION
Rule IX
MANDATORY CONCILIATION
Section 2. Assignment to a Conciliator - Within five (5) days from the receipt of
the complaint and the preliminary determination by the Hearing Officer, the complaint
shall be forwarded to the conciliation unit of the Commission.
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Section 4. Period for Conciliation Proceedings and Appearance of Parties. -
The mandatory conciliation conference shall, be terminated within thirty (30) days from
the initial conciliation unless both parties agree to an extension which shall in no case
exceed a period of thirty (30) days.
Lawyers may be allowed to attend the conference only to render advice to their
respective clients.
In case of failure, the conciliator shall make a report within five (5) days from
termination, indicating therein the reasons for such failure. The conciliator shall submit
the report accompanied by a copy of the complaint to the Legal and Investigation
Division. The complaint shall be docketed and the corresponding summons shall be
issued upon the respondent, and his name shall then be included in the control list of
the Commission.
Section 8. Compromise Agreement. – If the parties agree on an amicable
settlement, the conciliator shall reduce the agreement in writing, indicating the terms
and conditions thereof. The conciliator, having made the parties understand the
contents thereof, shall require the parties to sign the agreement in his presence and
attest the document to be the true and voluntary act of the parties.
The agreement shall not be contrary to law, morals, good customs, public order
or public policy.
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Ex-parte communications by one party to the conciliator which are not intended
to be known by the other party shall not be communicated to such other party.
Documents, reports, memorandum decisions and affidavits submitted by one party shall
not be shown to the other without the consent of the former.
Rule X
SUMMONS
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by means of publication once in a newspaper of general jurisdiction and in such places
and for such time as the Board may order, at the expense of the complainant. Any
application for leave to effect service in this manner shall be made by motion in writing,
supported by affidavit of the complainant or some person on his behalf, setting forth the
grounds for the application.
The order granting such leave shall specify a reasonable time, which shall not be
less than thirty (30) days after notice, within which the respondent must answer. In such
a case, a copy of the summons and the Order granting the summons by publication
shall be sent by registered mail to the last known address of the respondent and at the
permanent address as appearing in the records of the Commission.
Service by publication may be proved by the affidavit of the printer, his foreman
or principal clerk, or of the editor, business or advertising manager, to which affidavit a
copy of the publication shall be attached, and by an affidavit showing the deposit of a
copy of the summons and order for publication in the post office, postage prepaid,
directed to the respondent by registered mail to his last known address.
Upon the second unsuccessful attempt to serve the summons at the addresses
provided by the complainant and at the permanent address as appearing in the records
of the Commission, the complaint shall be dismissed without prejudice.
Rule XI
ANSWER
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Section 5. Order of Default. – An Order of default, shall be issued for failure of
the respondent to file his verified answer or counter-affidavit within fifteen (15) days
from receipt of summons. Complainant shall be directed to present his testimonial
evidence ex-parte by way of a judicial affidavit and to file his written formal of exhibits, a
memorandum decision, including their soft copies, within ten (10) days from the
conclusion of the ex-parte presentation of evidence. Complainant may also make an
oral offer of exhibits. The case shall be deemed submitted for decision after the Board
(hearing officer) has issued an Order on the formal offer of exhibits.
For the purpose of renewal of his Professional Identification Card during the
pendency of the case, respondent shall secure a clearance from the Chief, Legal and
Investigation Division.
Rule XII
PRE-TRIAL
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Failure to file the pre-trial brief at least three (3) days before the date of pre-trial
conference shall have the same effect as failure to appear at the pre-trial conference.
The failure of the complainant and/or his counsel to appear at the pre-trial
conference shall cause the dismissal of the case. On the other hand, failure on the part
of the respondent and/or his counsel to appear shall be a cause to allow the
complainant to present evidence ex parte and for judgment to be rendered on the basis
thereof.
Section 5. Decision As In Default, When Set Aside. – The Board may set aside
a judgment rendered under the preceding section, within fifteen (15) days from receipt
of notice of the decision, respondent files a motion with the Board, with notice to the
adverse party, that his failure to comply with what was required of him has been due to
extrinsic fraud or unavoidable accident. Only when the ground is clearly meritorious will
the Board grant the motion.
Section 7. Pre-Trial Order. - The Hearing Officer shall, taking into account the
submissions of the parties, prepare the pre-trial Order:
(a) after the parties shall have submitted their respective judicial affidavits,
documentary exhibits, and the results of the discovery procedures they have
undertaken, if any, the Hearing Officer shall issue an Order directing the parties
to simultaneously submit to it and serve on the other party, within fifteen (15)
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days from notice, a brief, concise, and fair draft of the pre-trial Order of the case,
containing:
(b) An issue is factual when the contending parties cannot agree that a thing exists
or has actually happened. An issue is legal when the contending parties assume
a thing exists or has actually happened but disagree on its legal significance or
effect on their rights or obligations.
(c) Only relevant and significant issues need be tried. An issue is relevant and
significant when its resolution will help decide the case on its merits. Otherwise, it
is irrelevant and need not be tried.
(d) Every factual issue should be adequately stated. The statement of an issue is
adequate when it contains words describing the ultimate facts that the party
bearing the burden of proving the affirmative of such issue must establish by his
or her evidence.
(e) The facts alleged by the parties in the complaint, answer, and judicial affidavits,
when not put in issue in the pre-trial Order, shall be deemed admitted or
otherwise regarded as irrelevant to the resolution of the dispute.
(f) If a party’s counsel fails to submit his draft of the pre-trial Order, he shall be
deemed to have waived the submission of such draft, without prejudice to
appropriate sanctions for failure to comply with the Order of the Board.
(g) Within fifteen (15) days from receipt of the drafts of the pre- trial Order, or after
the lapse of the period to submit such drafts, the Hearing Officer shall prepare its
final version, taking such drafts into account.
The pre-trial order shall explicitly define and limit the issues to be tried should the
action proceed to trial, and the contents thereof shall govern the subsequent
proceedings of the case unless modified before trial to prevent manifest injustice.
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Upon submission of the memorandum decisions, or upon the expiration of the
period for their submission, the case shall be deemed submitted for decision.
Rule XIII
TRIAL
Section 1. Trial. – Trial shall be held after due and personal notice thereof has
been served, in such manner as the Hearing Officer shall direct, to all parties of the
action.
At the start of the Trial, the Hearing Officer shall note the appearances of parties
and shall proceed with the reception of evidence for the complainant. If after being
appraised of the right to counsel, respondent appears without the aid of 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 and other personal circumstances.
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Section 5. Motion for Postponement. - A motion for postponement in writing
shall be filed and furnished the adverse party at least five (5) days prior to the
scheduled hearing sought to be postponed.
Either party is granted a maximum of two (2) postponements during the whole
proceedings regardless of the number of the complainant/s or respondent/s. Any further
postponement shall be denied. Failure on the part of a party to appear at the scheduled
hearing shall be considered a waiver of his right to cross-examine the witness/es
presented by the other party or to adduce his evidence.
In the event of the failure of a witness to appear, the Hearing Officer shall order
such witness’ judicial affidavit expunged, without prejudice to the adverse party using it
as a judicial admission if the witness is also a party.
Section 9. Request for Subpoena. - A party shall make a written request for the
issuance of the necessary subpoena ad testificandum or subpoena duces tecum at
least ten (10) days before the scheduled hearing.
Section 10. Issuance of Subpoena. - The Hearing Officer may issue the
requested subpoena ad testificandum to compel the attendance of witness/es or
subpoena duces tecum to compel the production of documents or things.
Section 11. Objections. – All objections raised during the hearing shall be
resolve by the Hearing Officer. However, objections that cannot be ruled upon shall be
noted with the information that the same shall be included in the memorandum of the
concerned party to be ruled upon in due time.
The Hearing Officer shall admit all evidence formally offered subject to the
objection/s interposed against its admission.
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Rule XIV
DECISION
The decision shall be in writing and signed by at least a majority of the members
of the Commission or the Board, unless a unanimous decision is required by law. It shall
contain clearly and distinctly the findings of facts and of the law upon which the said
decision is based.
After the opposition is filed, or at the expiration of the period for filing the same,
the motion for reconsideration shall be deemed submitted for resolution.
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Section 5. Transmittal of Decision. – The decision or resolution shall be
transmitted to the parties and counsels.
The book of entries of judgments shall be kept and maintained by the Legal and
Investigation Division under the supervision of the Chief of said division.
Section 7. Certificate of Finality. – Upon the entry of judgment, the Legal and
Investigation Division shall issue a Certificate of Finality which shall be furnished to the
concerned Accredited Professional Organizations or Accredited and Integrated
Professional Organizations and government agencies for information, guidance and
appropriate action.
Rule XV
APPEAL
The aggrieved party may file a notice of appeal to the Commission together with
the memorandum on appeal, copy furnished the adverse party, and a softcopy thereof
furnished to the Hearing Officer within a non-extendible period of fifteen (15) days from
receipt of the decision or order, and shall pay the appeal and legal research fees. The
appellant shall also be required to submit a memorandum decision with a softcopy of
the document furnished to the Hearing Officer.
Section 3. Appeal and Legal Research Fees. – The appellant shall pay the
prescribed appeal and legal research fees. Failure to pay the appeal and legal research
fees within the period for appeal shall be a ground for the dismissal of the appeal.
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Section 6. Requirements for Perfection of Appeal. - An appeal shall be
deemed perfected upon compliance with the following requirements:
(a) notice of appeal stating the specific material date when the decision, order
or resolution was received;
(b) three (3) legible copies of the appellant’s brief or memorandum on appeal
and a memorandum decision, accompanied with a softcopy of the
documents, sent via e-mail which shall set forth concisely a statement of
the matters involved, the issues raised, the specification of errors of fact or
law, or both, allegedly committed by the Board, and the reasons or
arguments relied upon for the allowance of the appeal;
(c) proof of service upon the adverse party; and
(d) official receipt of the appeal and legal research fees attached to the notice
of appeal.
Failure to comply with any of the foregoing requirements shall be a ground for the
dismissal of the appeal.
Section 9. Records on Appeal. - The records of the case shall remain with the
Commission until the decision or order shall have become final and executory.
RULE XVI
EXECUTION OF DECISION, ORDER OR RESOLUTION
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executory shall be immediately enforced and executed through the Legal and
Investigation Division, in coordination with the concerned Accredited Professional
Organizations/Accredited and Integrated Professional Organizations and government
agencies.
RULE XVII
MISCELLANEOUS PROVISIONS
Section 1. Legal Fees. - All legal fees relating to the adjudication of cases shall be in
accordance with the schedule of fees approved by the Commission.
Section 2. Government Exemption from Fees. - The Republic of the Philippines, its
agencies and instrumentalities, are exempt from paying the legal fees provided herein.
Local government units and government-owned or controlled corporations with or
without independent charters are not exempt from paying such legal fees.
Section 3. Legal Fees for Multiple Appellants. - If two or more parties in a case file
separate appeals, each shall pay the full amount of the legal fees.
Section 4. Non-Refund of Legal Fees. - All legal fees paid to the Commission shall be
non-refundable.
Rule XVIII
FINAL PROVISIONS
Section 3. Effectivity. - These Rules shall take effect fifteen (15) days following
its full and complete publication in the Official Gazette or in a newspaper of general
circulation.
Three (3) certified true copies of this Resolution shall be furnished the U.P. Law
Center.
Done in the City of Manila, Philippines, this _____ day of September 2016.
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TEOFILO S. PILANDO, JR.
Chairman
OCH/O-COM1/O-COM2/O-ASCOM/D-LGL
TSP/ATCC/YDR/ATG/ER2/ardg_vdad
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