Revised Rules of Procedures

Before the Administrative

Disciplinary Authorities and the
Internal Affairs Service of the
Philippine National Police

Atty. Cresente C. Bernados

NAPOLCOM-NCR
 Key Players In An Administrative
Case Before A PNP Disciplinary
Authority

 Complainant who can either be a natural

or juridical person
 Respondent who must be a uniformed
member of the Philippine National Police
 Disciplinary Authority
 Nature of the Proceedings
Sec. 4 Rule 1 MC 2016-002
The investigation and hearing before
the PLEB shall be summary in nature and
shall not strictly adhere to the technical
rules of procedure and evidence applicable
in judicial proceedings. The provisions of
the Civil Service Commission rules and
Regulations as well as the Revised Rules
of court shall only have a suppletory
application
 Due Process Clause
Section 1, Article III 1987
Constitution

“No person shall be deprived of his life,

liberty and property without due process
of law.”
 Due Process As Applied In
Administrative Proceeding

Due process is not necessarily

tantamount to a full blown trial – its
essence is simply the opportunity to be
heard or as applied to administrative
proceedings, an opportunity to explain
one’s side or an opportunity to seek a
reconsideration of the ruling or action
taken (Phil. Loan Company vs. SEC 356
SCRA 193)
 Twin Requirements In
Administrative Due Process

a. Opportunity to explain one’s side which means,

the respondent must be afforded an opportunity
to be heard and to submit any evidence in
support of his defense.

a. Opportunity to file a motion for reconsideration

of an adverse decision. Any defect in procedural
due process will be cured by the filing of a
motion for reconsideration. (Mendenilla vs. CSC
194 SCRA 278 [1991])
 FIRST STAGE

Commencement of Complaint

Pre-Charge Evaluation

Referred To Treated As
Closed or Appropriate Recommended
Grievance/Request
Dropped Disciplinary For
For Assistance
Authority Summary Hearing
 Complaint Defined
Sec. 1 (f) Rule 2 MC 2016-002

It is a written sworn statement

regarding a wrong, grievance or injury
sustained by a person.
 Citizen’s Complaint – Defined
Sec. 1 (d) Rule 2 MC 2016-002
It is a formal charge initiated by a
natural or juridical person or his/its duly
authorized representative or guardian on
account of an injury, damage or
disturbance sustained as a result of an
irregular or illegal act or omission of a PNP
member;
 Complaint-How Initiated
Sec. 1, Rule 13 MC No. 2016-002
 Initiated by filing a written and sworn statement
accompanied by
 affidavits of witnesses, if any
 a Certificate of Non-Forum Shopping duly subscribed
and sworn to by the complainant
 other evidence in support of the complaint

 If not accompanied by a Certificate of Non-

Forum Shopping, require the complainant to
submit within five (5) days from notice,
otherwise, the complaint shall be dismissed
 Contents of Certificate Of Non-
Forum Shopping
 That the complainant has not filed or commenced any
complaint involving the same cause of action in any
other disciplinary authority, IAS or Office of the
Ombudsman.
 That to the best of the complainant’s knowledge, no
such complaint is pending before any other disciplinary
authority, IAS or Office of the Ombudsman.
 That if there is an such complaint which is either
pending or may have been terminated, the complaint
must state the status thereof; and
 That if the complainant should thereafter learn that a
similar action or proceeding has been filed or is
pending before any other police disciplinary authority,
IAS or Office of the Ombudsman, the complainant
must report such fact within five (5) days from
knowledge. (Sec. 3, Rule 2)
 In case of letter-complaint:
the PLEB or its authorized officer shall require
the complainant and witnesses to affirm their
signatures and to execute affidavits to
substantiate the complaint.

A Certificate of Non-Forum Shopping shall be

duly subscribed and sworn to by the
complainant as well
(Rule 13, Sec 1, c, MC 2016-002)
 In case of complaint verbally made:
the PLEB or its authorized officer shall assist the complainant in
preparing his/her complaint-affidavit and other supporting
documents.
(Rule 13, Sec 1, b, MC 2016-002)

 May an anonymous complaint be the basis of a formal complaint?

 Yes, it may be a basis of a formal complaint provided that the
material allegations contained therein may be validated by the PLEB
or their authorized officer. (Rule 13, Sec. 1, d, MC 2016-002)
 Pre-Charge Evaluation
Rule 14, MC No. 2016-002
 Pre-Charge Evaluation Defined. – It is a process to
determine the existence PROBABLE CAUSE based on
the allegations on the complaint and supporting
evidence.

 Determination of probable cause involves the

determination of the existence of such facts and
circumstances as would excite a belief in a reasonable
mind, acting on the facts within the knowledge of the
investigator, that the respondent is probably guilty of a
specific administrative offense or offenses.
 Initial Evaluation of the Complaint
before the PLEB
 Upon receipt of the complaint, the PLEB or
its authorized officer shall immediately
record it in a logbook and conduct the
initial evaluation to determine if it has
jurisdiction and thereby docket the same
for formal charge. (Rule 13, Sec. 3, MC 2016-002)
Who will execute the Formal Charge against
the Respondent?

the Private Complainant shall formally charge,

under oath, the PNP member complained of which
shall contain:

(1) a specification of the charge/s;

(2) a brief statement of material or relevant facts; and
(3) the presence, if any, of aggravating circumstance/s
 SECOND STAGE
Filing of Complaint

Preventive
Suspension

Issuance of Summons

Pre-Hearing
Filing of Answer
Conference
 Case –When Deemed Filed
Sec. 1, Rule 15 MC No. 2016-002
 The complaint shall be entered into the
PLEB’s official docket by stamping on the
face of the formal charge the time and date
of receipt and assign a case number to it.

 The case shall be deemed formally filed

and pending upon receipt and entry of the
same in the official docket
 A docket book shall be maintained by the said
office and shall contain among others, the
following data of the case:
1. date and time of receipt from the evaluator;
2. the case number;
3. the name of the parties;
4. the offense charged;
5. the date decision was rendered
6. the implementing orders;
7. proof of service of decision;
8. date appeal was filed;
9. date the decision became final
10. certificate of finality was issued
11. other relevant data
 Preventive Suspension
Rule 16, Sec. 1, MC No. 2016-002
The PLEB, upon motion of the complainant may at any
time after the case is formally filed but before the
submission of complainant’s position paper or conduct
of clarificatory hearing, place the respondent/s on
preventive suspension for a period not exceeding ninety
(90) days under the following:
a. That the charge is serious or grave and the evidence
of guilt is strong; and
b. There is evidence to show that the respondent is
exerting efforts to harass. intimidate, coerce, or unduly
influence the complainant or his/her witnesses into
withdrawing the complaint or retracting the sworn
statement against the respondent or to tamper with the
evidence
May the PLEB request for Preventive
Suspension of the Respondent who is
formally charged before it?
 Preventive Suspension
Rule 16, Sec. 2, MC No. 2016-002
In the following cases the superior officer
shall not deny the request of PLEB for
preventive suspension:
a. When the respondent refuses to heed the
PLEB’s summons or subpoena;
b. When the PNP personnel have been
charged with offenses involving bodily harm
or grave threats;
c. When the respondent is in a position to
tamper with evidence; and
d. When the respondent is in a position to
unduly influence the witness.
 Any superior who fails to act on any request
for preventive suspension without valid grounds
shall be held administratively liable for serious
neglect of duty.
 A member of the PNP who may have been
suspended from office in accordance with R.A.
No. 6975 as amended, or who shall have been
separated from office shall upon exoneration
from the charges against him, be entitled to
reinstatement and to prompt payment of salary,
allowances and other benefits withheld from
him by reason of such suspension or
separation.
Lifting of Preventive Suspension

 Exigency of the service upon the

recommendation of the immediate superior of
the respondent; or

 After the prosecution has rested its case

 Not being in the nature of a penalty, a
preventive suspension can be decreed on
an official under investigation after
charges are brought and even before the
charges are heard (Hagad vs. Gozo-
Dadole, 251 SCRA 242 [1995]); Espiritu
vs. Melgar, 206 SCRA 256 [1992]).

 Preventive suspension of a civil service

employee or officer can be ordered even
without a hearing as such suspension is
not a penalty but only a preliminary step
in an administrative investigation (Alonzo
vs. Capulong, 244 SCRA 80. [1995]).
Issuance of Summons and Filing of Answer
Secs. 1 & 2, Rule 17 MC No. 2016-002

 Within three (3) days upon docketing, PLEB shall

issue the summons to be served upon the
respondent directing him to submit his answer
within an inextendible period of seven (7)
working days from receipt thereof.

 Summons how served?

 Service of Summons
Sec. 1, Rule 18 MC No. 2016-002

1. Personal Service; or
2. Registered Mail
All notices and summons shall be
served to the respondent in person by the
process server or by registered mail at
his/her official station/last known place of
assignment or last known address as
stated in his/her Personal Data Sheet
3. Constructive Service- If personal service
is not possible or when the respondent
refuses to receive the notices or summons,
service may be made by leaving a copy of
the same with the Administrative Officer at
his official station or with any responsible
member of respondent’s household at his
last known address provided that if the
latter also refuses to receive the summons
or notices, service may be made to the
official of the barangay office in the area.
 ANSWER
• filed within seven (7) working days from receipt of the
summons
• invoke the presence of mitigating circumstance/s, if any
• attach documentary evidence, if any, in support of
his/her defense
• under oath and must contain material facts, which may
either be a specific denial or affirmation of the
allegations in the complaint.
• It shall also contain a list of witnesses and their
individual addresses, whenever appropriate.
 ANSWER
 The answer shall be filed in three (3) copies either
personally or by registered mail, with proof of
appropriate service to the complainant.

 The date and time of the receipt shall be indicated on

the face of the original document and the receiving
copies.

 If the answer is sent by registered mail, it is deemed

filed on the date and hour of receipt stamped by the
post office on the envelope. Said envelope shall be kept
and made an integral part of the answer and records of
the case.
Failure/Refusal to File Answer

• If the respondent fails or refuses to

file an answer within the period
provided, he/she shall be considered
to have waived his/her right to
submit the same and the case shall
be decided based on the available
records.
Effect of Admission by Respondent
 When the respondent in his answer admits
his culpability to the charge, the PLEB
shall determine the penalty commensurate
to the offense committed taking into
account the presence of mitigating
circumstance/s invoked by the respondent
and aggravating circumstance/s alleged by
the prosecution. (Sec. 4, Rule 17 MC No. 2016-
002).
 No motion to dismiss, motion for bill of
particulars or any other motion shall be
allowed, and the filing of the same shall
not interrupt the running of the
reglementary period for filing an answer.
 Pre-Hearing Conference
Sec. 5, Rule 17 MC No. 2016-002
 Within fifteen (15) days from receipt of the answer, the
PLEB shall conduct the pre-hearing conference for the
purpose of:
a. defining and simplifying the issues of the case;
b. entering into admissions and/or stipulations of
facts;
c. marking of exhibits after proper identification of
parties/signatories; and
f. threshing out other matters relevant to the case.
 SUBMISSION OF POSITION PAPER
• the PLEB shall direct the parties to file their
respective verified position paper in lieu of a full
blown hearing taking into account the summary
nature of the proceedings.
• submit within fifteen (15) days from termination
of pre-hearing conference
• shall contain only those charges, defenses and
other claims contained in the affidavits and
pleadings
• Any relevant affidavits and/or documentary
evidence may be attached by the parties to their
position papers.
 SUBMISSION OF POSITION PAPER

 Upon receipt of the position papers, affidavits and

other pleadings filed, the PLEB may consider the
case submitted for resolution.

 Upon motion of the parties and within five (5) days

from receipt of position paper or after the expiration
to file the same, the PLEB may issue an order for
the conduct of a one-time clarificatory hearing
 CLARIFICATORY HEARING
• a party may move or the PLEB may require a
one-time clarificatory hearing
• PLEB will propound the questions from the ones
submitted by the parties
• Within five (5) days from from receipt of position
paper or after the expiration to file the same

• Submission of proposed draft decision for

consideration of the PLEB in arriving at its
findings and conclusion.
 Effect of Compulsory Retirement
(Sec. 14, Rule 17 MC 2016-002)

The compulsory retirement of the

respondent shall not affect the pendency of his
administrative case and the awards of retirement
benefits due him shall be subject to its final
disposition.
In the event that the respondent who has
retired is found guilty and the penalty of
suspension is imposed, the corresponding amount
relative to the period of suspension shall be
deducted from that portion of his retirement
benefits that are allowed by law.
 Effect of Death of the Respondent
Rule 17, Sec 12
• CASE WILL BE DISMISSED – death occurred
before the respondent could explain his/her side
through an answer
• CASE WILL PROCEED – death occurred when
the formal investigation reached the stage
where respondent is considered to have been
afforded the process:
• 1. Respondent was notified of the complaint/charge against
him/her AND
• When he has filed an answer or has waived his/her right to file
the same.
 Prohibition on Reassignment
 Responent PNP member shall not be
reassigned or transferred to another
city/municipal police station or unit during
the pendency of the case, unless the PLEB
certifies that the presence of the
respondent is no longer necessary.
 Any superior who knowingly violates this
provision shall be administratively liable
for irregularity in the performance of duty.
 Stenographic Records of Proceedings
(Secs. 16 and 17, Rule 17 MC 2007-001)

 The entire proceedings during the conduct of

the summary hearing shall be taken in
shorthand or stenotype, if there is a
stenographer.
 Period to transcribe: fifteen (15) days from the
date of the hearing; ten (10) days if the case is
deemed submitted for resolution.
 Where the services of stenographer is not
available, a substantial account of the
proceedings duly certified to as correct by the
PLEB shall suffice.
 DECISION
• The PLEB shall render its decision on each case
within sixty (60) days from the time the same
is filed before it

The decision shall contain the full name of the parties,

rank and assignment of the respondent, the offense
charged, a brief statement of the material and relevant
facts, the findings as established by the evidence on
record, the conclusion, the applicable laws, rules and
regulations, jurisprudence, and the disposition thereof.
The PLEB in rendering its decision should observe
the following principles:

 The seven (7) cardinal principles of due process

as enunciated in Ang Tibay vs. CIR (69 Phil. 635)
a. the right to a hearing which includes the right
to present one’s case and submit evidence
in support thereof;
b. the tribunal must consider the evidence
presented;
c. the decision must have something to
support itself;
 d. the evidence must be substantial;
e. the decision must be rendered on the
evidence presented at the hearing or at least
contained in the record and disclosed to
the parties affected;
f. the tribunal or body or any of its judges
must act on its or his own independent
consideration of the law and facts of the
controversy and not simply accept the view of a
subordinate in arriving at a decision; and
g. the board or body should in all
controversial questions, render its decision
in such a manner that the parties to the
proceeding can know the various issues
involved and the reason for the decision
rendered.
 Finality of Decision. – The disciplinary
action imposed upon a member of the
PNP shall be final and executory:
Provided, that a disciplinary action
imposed by the PLEB involving demotion
in rank or dismissal from the service may
be appealed to the regional appellate
board within ten (10) days from receipt of
the copy of the notice of decision.
 MOTION FOR RECONSIDERATION
(Sec. 20, Rule 17 MC No. 2016-002)
 The party adversely affected may file a motion
for reconsideration from the decision rendered
by the PLEB within ten (10) days from receipt of
a copy of the decision on the following grounds:

a. Newly discovered evidence which, if

presented, would materially affect the
decision rendered; or
b. Errors of law or irregularities have been
committed prejudicial to the substantial
rights and interest of the movant.
c. The decision is not supported by the
evidence on record.
 The filing of a motion for reconsideration shall
stay the execution of the disciplinary action
sought to be reconsidered.
 Only one (1) motion for reconsideration shall be
allowed and the same shall be considered and
decided by the disciplinary authority within
fifteen (15) days from receipt thereof.
 PLEB shall issue a certificate of finality of the
decision or resolution finally disposing of the
case when no motion for reconsideration or
appeal is filed within the prescribed period.
 Implementation of Decision
(Sec. 4 Rule 19, MC No. 2016-002)
 Decisions shall be referred to the PNP Regional
Director or his equivalent supervisor or the
Director, Directorate for Personnel and Records
Management (DPRM) for implementation within
five (5) days from receipt of the request or order
of the PLEB to implement the same, copy
furnished Director, PNP Finance Service,
Director, Directorate for Investigation and
Detective Management (DIDM) and the
respondent’s unit assignment;
 Any PNP officer charged with the
implementation of a Decision which has become
final and executory who fails to implement the
same shall be liable for serious neglect of duty.
 Appeal

 Appeals shall be taken by the party

adversely affected by filing a notice of
appeal and furnishing a copy thereof to
the other party and the appellate body,
with PLEB within ten (10) days from
receipt of a copy of the Decision.
 Transmittal of Records

Within fifteen (15) days from receipt of the

Notice of Appeal, the PLEB shall forward the
complete original records of the case to the RAB,
which shall be systematically and chronologically
arranged and securely bound to prevent loss of
any piece of document. The transmittal of the
records shall be ministerial duty.