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S1: SALIENT FEATURES OF RA 6713: CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS &
EMPLOYEES
S3: Norms of Conduct/ Standard of personal conduct in the discharge and execution of official duties:
1. Commitment to public interest - Public officials and employees shall always uphold the public interest over
and above personal interest. All government resources and powers of their respective offices must be
employed and used efficiently, effectively, honestly and economically, particularly to avoid wastage in public
funds and revenues.
2. Professionalism - Public officials and employees shall perform and discharge their duties with the highest
degree of excellence, professionalism, intelligence and skill. They shall enter public service with utmost
devotion and dedication to duty. They shall endeavor to discourage wrong perceptions of their roles as
dispensers or peddlers of undue patronage.
3. Justness and sincerity - Public officials and employees shall remain true to the people at all times. They must
act with justness and sincerity and shall not discriminate against anyone, especially the poor and the
underprivileged. They shall at all times respect the rights of others, and shall refrain from doing acts contrary
to law, good morals, good customs, public policy, public order, public safety and public interest. They shall
not dispense or extend undue favors on account of their office to their relatives whether by consanguinity or
affinity except with respect to appointments of such relatives to positions considered strictly confidential or
as members of their personal staff whose terms are coterminous with theirs.
4. Political neutrality - Public officials and employees shall provide service to everyone without unfair
discrimination and regardless of party affiliation or preference.
5. Responsiveness to the public - Public officials and employees shall extend prompt, courteous, and adequate
service to the public. Unless otherwise provided by law or when required by the public interest, public
officials and employees shall provide information on their policies and procedures in clear and
understandable language, ensure openness of information, public consultations and hearings whenever
appropriate, encourage suggestions, simplify and systematize policy, rules and procedures, avoid red tape
and develop an understanding and appreciation of the socioeconomic conditions prevailing in the country,
especially in the depressed rural and urban areas.
6. Nationalism and patriotism - Public officials and employees shall at all times be loyal to the Republic and to
the Filipino people, promote the use of locallyproduced goods, resources and technology and encourage
appreciation and pride of the country and people. They shall endeavor to maintain and defend Philippine
sovereignty against foreign intrusion.
7. Commitment to democracy - Public officials and employees shall commit themselves to the democratic way
of life and values, maintain the principle of public accountability, and manifest by deeds the supremacy of
civilian authority over the military. They shall at all time uphold the Constitution and put loyalty to country
above loyalty to persons or party.
8. Simple living - Public officials and employees and their families shall lead modest lives appropriate to their
positions and income. They shall not indulge in extravagant or ostentatious display of wealth in any form.
S4: Duties of Public Officials and Employees
a. Act promptly on letters and requests. - All public officials and employees shall, within fifteen (15) working
days from receipt thereof, respond to letters telegrams or other means of communications sent by the
public. The reply must contain the action taken on the request.
b. Submit annual performance reports. - All heads or other responsible officers of offices and agencies of the
government and of government-owned or controlled corporations shall, within forty-five (45) working days
from the end of the year, render a performance report of the agency or office or corporation concerned.
Such report shall be open and available to the public within regular office hours.
c. Process documents and papers expeditiously. - All official papers and documents must be processed and
completed within a reasonable time from the preparation thereof and must contain, as far as practicable,
not more than three (3) signatories therein. In the absence of duly authorized signatories, the official next-
in-rank or officer-in-charge shall sign for and in their behalf.
d. Act immediately on the publics personal transactions. - All public officials and employees must attend to
anyone who wants to avail himself of the services of their offices and must, at all times, act promptly and
expeditiously.
e. Make documents accessible to the public. - All public documents must be made accessible to, and readily
available for inspection by, the public within reasonable working hours.
S13: Penalties
Any violation of RA 6713-punishable with a fine not exceeding 1 year, or removal depending on the gravity
of the offense, after due notice and hearing
Commission of prohibited acts or transactions, violation of declarations under oath (SALN, DBIFC)-
punishable by imprisonment not exceeding 5 years, or fine not exceeding P5,000.00, or both; and possibly
disqualification to hold public office
Any violation proven in proper administrative proceedings shall be sufficient cause for removal or dismissal
from public office, even if theres no criminal prosecution
S14: Penalties
Private individuals participating in conspiracy as co-principals, accomplices or accessories, with public
officials/employees, shall be subject to same penal liabilities and tried jointly
Any official or employee may bring an action against any person who unlawfully obtains or uses reports for
any prohibited purpose, the latter to be penalized in any amount not exceeding P25,000.00 or heavier
sanction under any other law if applicable
Powerpoint Presentation #2
S2: Objective of Administrative Investigation is the improvement of public service and preservation of publics
faith and confidence in the government, not the punishment of concerned officer/employee
S5: Exclusions
Complaints against Presidential Appointees (taken cognizance by the Office of the President thru ODESLA-
Office of the Deputy Executive Secretary for Legal Affairs)
Criminal aspect of administrative complaints against non-presidential appointees (Office of the
Ombudsman- the appropriate body to determine the existence of probable cause for the purpose of filing
the criminal charge)
Employees under job orders and contract services, contractual employees without issued appointments
(governed by their respective Contracts without prejudice to the filing of civil or criminal action with the
appropriate offices or tribunal)
Grievances (processed and disposed in accordance with DOLE A.O. No. 441, series of 2011)
AWOL and protests/complaints from personnel action (which are non-disciplinary in nature, shall be
governed by Sec. 16,17,19&23, RRACCS, and other pertinent Civil Service rules and issuances)
Sexual harassment cases (CSC Reso. No. 01-0940; DOLE A.O. No. 250)
S9: Stages
Preliminary investigation > Formal investigation > Decision and execution > Appeal
S11: Composition
1 Chairperson (holder of third level position in case of Central Office and head office of Attached Agencies;
not lower than Division Chief in Regional Offices)
2 to 6 Members (with representative of the Sole and Exclusive Negotiating Agent as one member)
Secretariat (Human Resource Management Officer or HRMO-designate or any employee of trust and
confidence to the disciplining authority)
S15: Complaints
Any other document that contains accusations or allegations against any official or employee of the DOLE
which does not conform with the requisites mentioned shall partake the nature of a white paper and shall
not be given due course for purposes of disciplinary action. The same, however, shall be endorsed to the
office of the concerned official or employee for purposes of determining appropriate management actions.
S20: When ACC recommends for the dismissal of the complaint, it is because:
said complaint was with named complainant but was not made under oath or there was no
certification/statement of non-forum shopping
there was a certification of non-forum shopping but it indicated that a similar action against same
employee/same cause of action and relief prayed for, has been filed with another office or tribunal, whether
resolved or pending
S21: When ACC recommends for the referral/indorsement of the complaint, it is because:
the jurisdiction to investigate belongs to another office or committee within DOLE
the person complained of is a presidential appointee, ACC to indorse the complaint to the Office of the
President; if the presidential appointee is joint by a non-presidential appointee, the ACC shall proceed with
its evaluation only as to the participation being imputed to the non-presidential appointee
the complaint alleges acts purely personal on the complainant and person complained of, without apparent
injury to the government, complaint shall be subject for settlement
the acts/omissions complained of constitute purely criminal offense, ACC to refer the complaint to the
Office of the Ombudsman
NOTE: If complaint cites both administrative and criminal infractions, administrative investigation shall
proceed and completed first before referral to the Office of the Ombudsman the criminal counterpart
established.
S22: Action of the Complaint
Complaint shall be subject to settlement if alleges acts that are purely personal on the part of the
complainant and person complained of, with no apparent injury to the government
For anonymous complaints, ACC shall evaluate the allegations based on pertinent official records and
documents
If found not based on facts, anonymous complaint shall not be given due course and recommended for
closure and archiving
S27: Procedure:
If after the initial evaluation and the complaint is found to be sufficient in form and substance, the ACC shall
issue a Notice to Comment within 3 days, requiring the person complained of to submit a notarized or sworn
statement/counter-affidavit on tha acts or omissions complained of; the Notice to Comment shall specify
the acts or omissions as narrated in the complaint
Where the complaint is initiated by the disciplining authority, the ACC, after initial evaluatio, shall issue a
Show-Cause Memorandum, requiring the person to explain why no disciplinary action shall be taken against
him/her; the Show-Cause Memorandum shall speficy the reported acts or omissions
Both shall be submitted within 3 days from receipt thereof
Failure to submit shall be considred a waiver and preliminary investigation may be completed even without
the counter-affidavit/comment
Where necessary for the purpose of validating facts and documents, the complainant and the person
complained of may be called by the ACC to a clarificatory conference during which clarifications can be
made by the ACC in the presence of both parties but without the right to examine or cross-examine
S28: Duration of PI
Shall commence not later than 8 days from receipt of the complaint
Terminated within 30 days from receipt of the comment/counter-affidavit
S31: Answer
The answer, which is in writing and under oath, shall be specific and shall contain material facts and
applicable laws, if any, including documentary evidence, sworn statements covering testimonies of
witnesses, if there be any, in support of ones case
It shall be filed not later than 7 days from receipt of the FC
Failure to file answer within the period provided in the notice shall be considered waiver of right and case
may be decided based on available records.
S33: Suspended!
PURPOSE: Preventive suspension is not a penalty
PURPOSE: It is designed merely as a measure of precaution so that the official or employee charged may be
removed from the scene of his/her alleged misfeasance/malfeasance/nonfeasance while the case is being
investigated
Malfeasance- an affirmative act that is illegal or wrongful; misfeasance act that is not illegal but is
improperly performed; nonfeasance failure to act that results in injury
GROUNDS/WHEN ISSUED:
o Upon motion of complainant or by DA motu proprio
o Charge involves: dishonesty, oppression, grave misconduct, neglect in the performance of duty,
administrative offenses punishable by dismissal in 2nd and 3rd offense, there are reasons to believe
respondent is guilty of the charges which would warrant removal from service
o If there is a possibility of: respondent exerting undue influence or pressure on witnesses against
him/her, respondent tampering with evidence that may be used against him/her
In lieu of preventive suspension, the DA may reassign the respondent to another unit of agency during
formal hearings
S34: Preventive suspension
MAXIMUM PERIOD = 90 DAYS
If case is not finally decided within period of PS, respondent shall be automatically reinstated
If respondent is on authorized leave, PS shall be deferred or interrupted until said leave has been fully
exhausted
REMEDY FROM ORDER OF PS: respondent may file an appeal with CSC within 15 days from receip of OPS;
pending appeal PS is executory
MR from the OPS filed before the issuing authority or office is NOT allowed
At any stage of the proceedings, the parties may, based on their mutual consent, submit position
paper/memoranda and submit the case for resolution without any need for further hearings
Pre-Hearing order upon termination of the pre-hearing conference, the Hearing Officer shall issue an
Order which shall recite in detail the:
o Matters taken up during PHC
o Actions taken
o Amendments allowed in the pleadings
o Stipulations and admissions made by the parties
o Issues to be tried
Conduct of Hearing
o At the start of the formal hearing, the HO shall note the appearances of the parties and their
counsels and proceed with the reception of evidence for the complainant
o Before taking the testimony of a witness, the HO shall place the witness under oath and then take
his/her personal circumstances. A sworn statement of the witness/es properly identified and
affirmed shall constitute direct testimony, copy furnished the other party
o Clarificatory questions may be asked by the parties through the HO
o All objections raised during the hearing shall be resolved by the HO. However, objections that
cannot be ruled upon by the HO shall be noted with the information that the same shall be included
in the memorandum of the concerned party to be rules upon by the disciplining authority.
o The HO shall admit all evidence formally offered subject to the objection/s interposed against its
admission
o The HO may issue subpoena ad testificandum to compel the attendance of witnesses and subpoena
duces tecum for the production of documents and things. If a party desires the attendance of a
witness and/or the production of documents, he/she shall make a request for the issuance of the
necessary subpoena ad testificandum and/or subpoena duces tecum, at least 7 days before
scheduled hearing.
Formal investigation report the HO submits to the DA together with draft decision and complete records
of the case within 15 days after conclusion of FI his formal investigation report which contains:
o Narrations of material facts estalished in FI
o Findings and evidence in support thereof
o Recommendations
When respondent waives the conduct of formal hearing and the merits of the case can be decided based on
records and evidence, the HO shall, within 15 days from date the case is submitted for decision, submit the
pertinent report and recommendation to the DA, together with the draft decision and the complete records
of the case
S42: Remedies
S43: Remedies
MOTION FOR RECONSIDERATION
o The respondent adversely affected by the decision of the DA may file a MR with the DA who
rendered the same within 15 days from receipt thereof
o A motion for extension of time to file MR is not allowed
o Only 1 MR shall be entertained
o The DA shall rules on the MR within 30 days from submission of the motion for resolution
o GROUNDS:
Newly discovered evidence which materially affects investigation rendered; or
Decision is not supported by evidence on record; or
Errors of law or irregularities committed prejudicial to the interest of the movant
o EFFECT of MR: Suspends the running of period of appeal and stays the execution of the decision
sought to be reconsidered
S44: Remedies
APPEAL
o The remedy of appeal, which shall be filed within 15 days from receipt of the decision, is available in
the following instances:
When the decision of the DA imposed a penalty not exceeding 30 days suspension or fine in
an amount not exceeding 30 days salary, the same may be appealed to the CSC purely on
ground of violation of due process
When the decision of the RD imposes a penalty exceeding 30 days suspension or a fine in an
amount exceeding 30 days salary, the same may be appealed initially to OSEC and finally to
the CSC
For decisions rendered by the RD or Head of Attached Agencies where the penalty of
removal is imposed as confirmed by the Secretary, the appeal shall be filed directly with the
CSC
The decision of the Head of Attached Agencies where no confirmation is required may be
appealed directly to the CSC
For decisions rendered by the Secretary as the DA, the same may be appealed to the CSC
o Filed by the respondent adversely affected by the DAs decision, or the DA whose decision has been
modified or reversed on appeal
o EFFECT of Appeal: Except for cases requiring Secretarys confirmation, appeal shall not stop the
decision from being executory
S45: Remedies
Perfection of an appeal to perfect an appeal, the appellant shall submit the following:
o 3 copies of appeal memorandum containing grounds for appeal, certified true copy of
decision/resolution/order appealed from, certified copies of documents or evidence
o Proof of service of copy of appeal memorandum to the DA
o Statement or certificate of non-forum shopping
Failure to comply with these requirements within reglementary period, appellate authority shall direct
compliance within 10 days; failure to comply shall be construed as intent to delay and failure to perfect
appeal, causing dismissal of appeal with prejudice