COMMISSION ON AUDIT MEMORANDUM NO.

76-48 April 27, 1976

TO : All Officials and Employees of the Commission on Audit

SUBJECT : Rules of Procedure in the Investigation of Administrative Cases against

Personnel of the Commission on Audit.

For the information and guidance of all concerned, the following rules governing the
procedure in the conduct of the formal investigation of administrative cases against personnel of
the Commission on Audit, hereinafter referred to as the Commission, are hereby promulgated:

A. ADMINISTRATIVE PROCEEDINGS

SECTION 1. Fundamental principles. - The conduct of proceedings in administrative

cases against personnel of the Commission shall be governed by the fundamental principles, as
enshrined in judicial pronouncements, which are hereunder set forth:

(a) Proceedings conducted by administrative bodies in the exercise of their disciplinary

jurisdiction are quasi-judicial in character, or partake of the nature of judicial
proceedings, but are generally unrestricted by the technical or formal rules of
procedure that govern trials before a court or judicial body.

(b) Hearings of administrative cases are more or less summary in nature, freed from
the rigidity of, and not to be narrowly constrained by, courtroom formalities.
Technical rules of court practice, procedure, and evidence are not to be strictly
applied in such proceedings. They may not be conducted with that degree of
exactness or with such scrupulous observance of the complex technical rules
expected in legal battle before a court of justice.

(c) The investigation of an administrative case shall be conducted solely for the
purpose of ascertaining the truth. (Sec. 38 [g], PD 807) The acts of the investigator
should not be measured by the same yardstick exacted of a judge of a court of law.
He shall not be bound strictly by technical rules of legal evidence applicable in
court trials but may inform his mind in such manner as he may deem just and
equitable.

(d) Proceedings in administrative cases are not exempt from the operation of the
fundamental and essential requirement of due process in investigations and trials
of an administrative character. Due process of law in the strict legal sense is not
indispensable. It is sufficient that the substantive due process requirement of
fairness and reasonableness is observed.

SEC. 2. How commenced. -

(1) Administrative proceedings may be commenced against a subordinate official or

employee of the Commission by the Chairman motu proprio, or upon sworn, written complaint of
any other person. (Sec. 38 [a], PD 807).
 (2) If the complaint filed by any other person is not in writing and not subscribed and
sworn to by the complainant, it shall not be given due course. (Sec. 36 [c], PD 807).

SEC. 3. Form of complaint. - The complaint shall be drawn in clear, simple, and concise
language and in a methodical manner as would sufficiently inform and apprise the respondent of
the nature of the charges against him and enable him to prepare his defense.

SEC. 4. Contents of complaint. - The complaint shall contain the following particulars:

(a) Full name and address of the complainant;

(b) Full name and address of the respondent as well as his position and official station
in the Commission;

(c) Specification of the charges; and

(d) Brief statement of relevant and material facts.

It shall be accompanied by sworn statements covering complainant's testimony and those of his
witnesses together with certified true copies of his documentary evidence, if any. (Sec.
38 [b], PD 807).

SEC. 5. With whom filed. - The complaint shall be filed with the Commission or with any
of its Regional Offices which shall forward the same to the Central Office.

SEC. 6. Effect of withdrawal or desistance. - The withdrawal of the charges by the

complainant or his desistance from prosecuting the same does not ipso facto discharge the
respondent from any administrative liability. In such case, the Chairman shall nevertheless
motu proprio institute proceedings against the respondent if the complaint or charges can be
investigated even without the complainant.

SEC. 7. Dismissal of complaint. - If on the basis of the complaint and its supporting
sworn statements and documentary evidence, a prima facie case is found not to exist, the
Chairman shall dismiss the complaint. (Sec. 38 [b], PD 807).

SEC. 8. Anonymous complaint. - No action shall be taken on an anonymous complaint

unless there is obvious truth or merit to the allegations contained therein, in which case the
Commission shall cause a preliminary, fact-finding inquiry to be conducted on the matter with a
view to ascertaining the existence of a prima facie case that would warrant the filing of the
corresponding charges against the official or employee concerned.

B. PREVENTIVE SUSPENSION

SEC. 9. Grounds for preventive suspension. - The Chairman may preventively suspend
any subordinate official or employee of the Commission pending an investigation, if the charges
against the latter involve dishonesty, oppression or grave misconduct, or neglect in the
performance of duty, or if there are reasons to believe that the respondent is guilty of the
charges which would warrant his removal from the service. (Sec. 41, PD 807).

SEC. 10. Lifting of preventive suspension. - When the administrative case against the
respondent who is under preventive suspension is not finally decided by the Chairman within
the period of ninety (90) days after the date of suspension, the respondent shall be
automatically reinstated in the service, provided that when the delay in the disposition of the
case is due to the fault, negligence, or petition of the respondent, the period of delay shall not
be counted in computing the period of suspension herein prescribed. (Sec. 42, PD 807).

C. ANSWER

SEC. 11. Notice of charges. - If a prima facie case is determined to exist, the Chairman
shall, by personal delivery or registered mail, notify the respondent in writing of the charges filed
against the latter, to which shall be attached copies of the complaint, sworn statements and
other documents submitted in support thereof. (Sec. 38 [b], PD 807).

SEC. 12. Order to answer. - The notice of the complaint shall require the respondent to
answer the charges in writing under oath within a period of not less than 72 hours after receipt
of the complaint. The order to answer shall include a directive for respondent to state
categorically in his answer whether he elects a formal investigation of the charges against him
or waives his right thereto and shall advise respondent of his right to counsel. (ibid.)

SEC. 13. How filed. - The answer may be filed personally or by registered mail. It shall
be deemed filed on the date of receipt stamped thereon, if filed personally, and on the date
stamped on the envelope containing the answer, if filed by registered mail.

SEC. 14. Contents. - The sworn, written answer shall be specific, shall contain material
facts, and shall be accompanied by supporting sworn statements and documents, if there be
any. The respondent shall state clearly and unequivocally in his answer if he elects a formal
investigation of the charges against him or waives his right thereto. (ibid.)

SEC. 15. Dismissal of case after answer. - If, upon its evaluation, the answer is found to
be satisfactory, the Chairman shall dismiss the case. (ibid.)

D. FORMAL INVESTIGATION

SEC. 16. When required. - Upon election of the respondent, if his answer is not
considered satisfactory, a formal investigation shall be conducted. Although the respondent
does not request a formal investigation, one shall nevertheless be conducted when from the
allegations of the complaint and the answer of the respondent, including the supporting
documents, the merits of the case cannot be decided judiciously without conducting such an
investigation. (Sec. 38 [b] & [c], PD 807).

SEC. 17. Who can conduct hearing. - The formal investigation shall be conducted by an
official in the investigation and Prosecution Division of the Legal Office of the Commission or
any other official of the Commission duly designated for the purpose by the Chairman.

SEC. 18. When hearing held. - The investigation shall be held not earlier than five days
nor later than ten days from the date of receipt of respondent's answer by the Commission.
(Sec. 38 [d], PD 807).

SEC. 19. Designation of prosecutor. - If the administrative case is instituted by the

Commission motu proprio, the Chairman shall designate a lawyer in the Commission to act as
prosecutor.
 SEC. 20. Notice of hearing. - The parties and their witnesses shall be notified by
subpoena of the scheduled hearing at least three days before the date thereof, specifying the
time, date and place of hearing. The subpoena may be served either personally or by
registered mail.

SEC. 21. Request for subpoena. - If a party desires the attendance of a witness or the
production of documents, he should request the investigator to issue subpoena ad testificandum
or subpoena duces tecum at least three (3) days before the scheduled hearing.

SEC. 22. Continuous hearings; postponement. - As far as practicable, the investigator

shall hold continuous hearings with expeditious dispatch. Postponement of investigations shall
be discouraged and shall be allowed only in meritorious cases, like illness of the parties or their
counsel and other similar causes. Without the written approval of the Chairman, no investigator
shall grant a postponement for more than seven (7) days.

SEC. 23. Preliminary matters. -

(1) At the start of the hearing, the investigator shall ask for the appearances of the
parties and inquire if they are ready to proceed with the reception of the evidence.

(2) If the respondent appears without the aid of counsel, the investigator shall advise
him of his right to counsel and give him reasonable time to secure one if he desires to avail
himself of the services of counsel.

(3) If the parties manifest their readiness to proceed with the investigation, the
investigator shall forthwith schedule in open session the time allotment and fix the number of
consecutive days for the presentation of evidence in chief and rebuttal evidence, should the
latter be necessary, by the complainant and the respondent.

(4) Before taking the testimony of a witness, the investigator shall place him under oath
and require him to state his name and other personal circumstances.

SEC. 24. Stenographic record of proceedings. -

(1) The testimony of each witness and the manifestations of the investigator, parties and
counsel during the investigation shall be taken in shorthand or stenotype.

(2) A transcript of the records made by the official stenographer or stenotypist and
certified as correct by him shall be prima facie a correct statement of such testimony and
proceedings.

SEC. 25. Solemnity. - The investigation shall be conducted with solemnity and the
investigator shall comport himself with impartiality and dignity befitting his role.

SEC. 26. Order of hearing. - Unless the investigator directs otherwise, the order of
hearing shall be as follows:

(a) The complainant shall produce the evidence on his part.

(b) The respondent shall then offer evidence in support of his defense.
 (c) The parties may then respectively offer rebutting evidence only, unless the
investigator, for good reasons, in the furtherance of justice, permits them to offer
evidence upon their original case.

SEC. 27. Order of examination of witnesses. - The order in which a witness may be
examined is as follows:

(a) Direct examination by the proponent;

(b) Cross examination by the opponent;

(c) Re-direct examination by the proponent;

(d) Re-cross examination by the opponent.

The investigator may examine a witness at any time he deems it fit.

SEC. 28. Objections. - All objections to the manner of conducting the hearing or to any
question propounded to a witness shall be immediately resolved by the investigator.

SEC. 29. Termination of investigation. - The investigation shall be finished within thirty
days from the filing of the charges, unless the period is extended by the Chairman in meritorious
cases. (Sec. 38 [d], PD 807).

SEC. 30. Memorandum of parties. - The investigator may allow the parties to submit
their respective memoranda within five (5) days after the termination of the investigation.

E. EVIDENCE

SEC. 31. Nature of evidence. -

(1) The investigator shall accept all evidence having materiality and relevancy to the
case. Any doubt should be resolved in favor of the admission of the evidence subject to the
objection interposed against its admission.

(2) The direct evidence for the complainant and the respondent shall consist of the
sworn statements and documents submitted in support of the complaint or answer, as the case
may be, without prejudice to the presentation of additional evidence deemed necessary but was
unavailable at the time of the filing of the complaint or answer, upon which the cross-
examination by the respondent and the complainant, respectively, shall be based.

SEC. 32. Marking. - All documentary evidence or exhibits shall be properly marked by
letters (A, B, C, etc.) if presented by the complainant, an by numbers (1, 2, 3, etc.) if presented
by the respondent. They shall be attached to the records or, if voluminous, kept in a separate
folder marked "Folder of Exhibits" which shall also be attached to the records.

F. REPORT OF INVESTIGATION AND TRANSMISSION OF RECORDS

SEC. 33. Submission of investigation report. The investigator shall, within fifteen days
from the conclusion of the investigation, submit to the Chairman a report containing a brief
statement of the material facts and his findings and recommendation. (Sec. 38 [d], PD 807).
The report shall be attached to the record of the case.

SEC. 34. Contents and transmission of records. -

(1) The record of the case shall include a certified copy of the written notice of the
charges against the respondent and the reply and evidence; proof of service of the written
notice of the charges; and the records of the proceedings, provided that if any of the papers in
the proceedings is written in any local dialect, the Commission shall be furnished with its
translation in any of the official languages.

(2) The transcript of the oral testimony taken during the investigation shall be paged
consecutively and in chronological order, sewed on the left-hand side, and properly indexed,
showing the page on which the testimony of each witness begins.

G. DECISION

SEC. 35. When rendered. - The decision shall be rendered by the Chairman within thirty
days from the termination of the investigation or from submission of the report of the
investigator. (ibid.)

SEC. 36. Contents of decision. - The decision shall contain the charge or charges, the
name of the respondent and his designation, a brief statement of the material and relevant facts,
findings, and penalty imposed if warranted.

SEC. 37. Imposition of penalty. - In meting out punishment, the same penalties shall be
imposed for similar offenses and only one penalty shall be imposed in each case. The
imposable penalty may be removal from the service, transfer, demotion in rank, suspension for
not more than one year without pay, fine in an amount not exceeding six months' salary, or
reprimand. (Sec. 36 [d], PD 807).

SEC. 38. Finality of decision. - The decision of the Chairman shall be final in case the
penalty imposed is suspension for not more than thirty days, fine in an amount not exceeding
thirty days' salary, or reprimand. In case his decision is appealable to the Civil Service
Commission, the same shall be executory pending appeal. (Sec. 37 [b], PD 807).

H. PETITION FOR RECONSIDERATION

SEC. 39. Period for filing. - The respondent may, within fifteen days after receipt by him
of the decision, file with the Commission a petition for reconsideration of the decision. Only one
petition for reconsideration shall be entertained. (Sec. 39 [a] & [b], PD 807).

SEC. 40. When petition deemed filed. - The petition for reconsideration shall be deemed
filed in case the same is sent by mail, on the date shown by the post mark on the registered
envelop which shall be attached to the record of the case; and in case of personal delivery, on
the date stamped by the Commission on the petition.

SEC. 41. Grounds for petition. - A petition for reconsideration shall be based only on any
of the following grounds;

(a) New evidence has been discovered which materially affects the decision rendered;
 (b) The decision is not supported by the evidence on record;

(c) Errors of law or irregularities have been committed which are prejudicial to the
interest of the respondent. (Sec. 39 [b], PD 807).

SEC. 42. Effect of petition on the period for appeal. - The filing of a petition for
reconsideration shall suspend the running of the period for appeal. (Sec. 39 [a], PD 807).

I. APPEAL

SEC. 43. Period for appeal. - Appeals where allowable, shall be made by the party
adversely affected by the decision within fifteen days from receipt of the decision unless a
petition for reconsideration is seasonably filed. (ibid.)

SEC. 44. With whom and how appeal filed. -

(1) Notice of the appeal shall be filed with the Commission, which shall forward the
records of the case, together with the notice of appeal, to the Civil Service Commission within
fifteen days from filing of the notice of appeal, with its comment, if any. (ibid.)

(2) The appeal shall be deemed filed in case the same is sent by mail, on the date
shown by the post-mark on the registered envelope which shall be attached to the record of the
case; and, in case of personal delivery, on the date stamped by the Commission on the notice of
appeal.

SEC. 45. Form and contents of appeal. - The notice of appeal shall specifically state the
date of the decision appealed from the the date of receipt thereof. In case respondent filed a
petition for reconsideration of the decision, he should likewise indicate the date he received the
Commission's resolution of his petition. Failure to do so may cause the dismissal of the appeal.
The notice of appeal shall also specifically set forth clearly the grounds relied upon for excepting
from the decision. (ibid.)

SEC. 46. Effect of appeal on decision. - An appeal shall not stay the execution of the
decision during the pendency of the appeal. In case the penalty is suspension or removal, the
respondent shall be considered as having been under preventive suspension during the
pendency of the appeal in the event he wins on appeal. (Sec. 37 [d], PD 807).

J. SUMMARY PROCEEDINGS

SEC. 47. When formal investigation dispensed with. No formal investigation is

necessary and the respondent may be immediately removed or dismissed by the Chairman if
any of the following circumstances is present:

(a) When the charge is serious and the evidence of guilt is strong;

(b) When the respondent is a recidivist or has been repeatedly charged and there is
reasonable ground to believe that he is guilty of the present charge;

(c) When the respondent is notoriously undesirable. (Sec. 40, PD 807).

 SEC. 48. Objectivity and impartiality of proceedings. - The resort to such summary
proceedings shall be done with utmost objectivity and impartiality to the end that no injustice is
committed. (ibid.)

SEC. 49. Appeal from decision. - The removal or dismissal of the respondent upon
summary proceedings may be appealed to the Civil Service Commission. (ibid.)

K. RECORDS

SEC. 50. Where complete record kept and preserved. The complete record of each
administrative case against any official or employee of the Commission shall be filed and
deposited with the Records Division of the Administrative Office for safekeeping and
preservation. File copies of the complaint or charges and the decision or resolution in each
case shall be furnished the Personnel Division of the same Office for inclusion in the personnel
record (201 file) of the respondent.

SEC. 51. Duties of the Chief of Records Division in Administrative Office. - The Chief of
the Records Division in the Administrative Office of the Commission shall perform the following
duties:

(a) To receive and compile all pleadings and other papers filed in connection with
administrative cases involving an official or employee of the Commission;

(b) To arrange and fasten properly the pleadings in a folder, and number each page
beginning with the pleading first filed in the case;

(c) To affix on all pleadings the date and hour of receipt thereof;

(d) To prepare a table of contents showing the pages where important pleadings (e.g.
complaint, answer, memoranda, decision, etc.), the testimony of each witness, and
each documentary evidence or exhibit are found;

(e) In case of appeal or upon request, to submit to the Civil Service Commission the
entire record of the administrative case appealed from; and

(f) To furnish the Personnel Division of the Administrative Office with file copies of the
complaint or charges and the decision or resolution in each administrative case for
inclusion in the personnel record (201 file) of the respondent.

SEC. 52. Confidentiality of records. - Records in administrative cases are confidential in

nature and any information as to the charges or accusation or facts adduced may not be
released, and such records may not be available except to the proper authorities or, upon
request, to the parties in interest or their authorized representatives. Except by specific
approval of the Chairman and in each specific instance, the provisions of any law now in force
shall not be so construed as to authorize or require the official publication of the cause of
removal of any official or employee of the Commission in more specific terms than "for the good
of the service."

SEC. 53. Docket book for cases. - All administrative cases against personnel of the
Commission shall be entered and recorded in a Docket Book for Administrative Cases to be
kept and maintained by the Legal Office of the Commission. For this purpose, each case shall
bear a corresponding number to be assigned consecutively in the order of receipt. Each page
of the Docket Book shall be numbered and prepared for recording all the entries in a single
case. It shall contain the heading or caption of each case and a complete title thereof under
which shall be entered the date of each paper filed or issued, of each order or decision
rendered, and of each other step taken in the case, so that by reference to a single page, the
history of the case may be seen.

L. MISCELLANEOUS PROVISIONS

SEC. 54. Title of administrative case. - The person filing the complaint shall be called
the complainant, while the official or employee of the Commission against whom the complaint
is filed shall be called the respondent.

SEC. 55. Computation of time. - In computing any period of time prescribed in these
rules, the first day shall be excluded and the last included, unless it be a Saturday, a Sunday, or
a legal holiday, in which case the time shall run until the end of the next day which is neither a
Saturday, a Sunday, nor a legal holiday.

SEC. 56. Effectivity. - These rules shall take effect immediately. They shall govern all
administrative cases instituted after their effectivity and also all further proceedings in cases still
pending.

(SGD.) FRANCISCO S. TANTUICO, JR.

Acting Chairman