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Reference: Civil Service Manual Employee Conduct and Discipline

Fundamentals of Employee DisciplineTypes and Classification of Offenses

Administrative Proceedings

DISCIPLINE

Leilani Mariana G. Castelo Ma. Rowena M. Ragandap Ma Renee Gisela G. Veridiano Ernesto R. Saludes, Jr

Mary Jane Diaz Fuentes Lecturer

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FUNDAMENTALS OF EMPLOYEE DISCIPLINE

Discipline generally refers to a person’s self-control, character, or orderliness and efficiency usually developed through training. In a large organization like the government, discipline serves as a mechanism for control of the temperament, interest and action of people within the organization. Discipline helps coordinate government goals and public interests.

One basic policy of government concerning employee conduct and discipline states: Public office is a public trust. Public officer and employees must at all time be accountable to the people, serve them with utmost responsibility, integrity, loyalty, and efficiency, act with patriotism and justice, and lead modest lives”.

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Government officers and employees like you are therefore, obliged to prove that you are deserving of the people’s trust. Trust forms the basis of your employment and tenure in public service. Once this trust is broken, you as well as other government officers and employees are held liable. You are answerable for your misconduct to the people for whom the government derives its power. The people’s taxes sustain your salaries and other benefits. You are mere custodians or stewards of public office. You cannot hold on to your public positions as you please. You must live by the rules, regulations, norms, conduct and discipline that are at all times expected of public servants. Public interest come first and foremost, rising well above personal goals.

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Employee Discipline

Good discipline is a process of education in which punishment is resorted to only when no other recourse is open. At the same time it deters others from committing unwanted conduct and behavior.

This is the very same reason behind developmental policy of the government “to emphasize the positive rather than the punitive aspect of personnel discipline.” This further means that if you are administratively disciplined, the object is not primarily to punish you but to improve public service and to preserve the people’s faith and confidence in their government. The positive aspect of personnel discipline supports development of values, skills and attitudes. Giving due recognition and rewards to you and other officers and employees who contribute significantly to public service goals and objectives reinforces this brand of discipline.

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Positive or preventive discipline educates and instills in you the value of exemplary performance, quality outputs and high standards of behavior. Negative or punitive discipline breeds fear and threat of punishment and often forces you to obey orders. This kind of discipline lapses into autocracy and makes you act only to avoid penalty. In this way you lack motivation and fulfillment in your work.

The power to discipline, investigate and decide matters involving disciplinary action against you and other officers and employees rests on the heads of departments, agencies and instrumentalities, provinces, cities and municipalities. However, this power to discipline officers and employees does not exempt the heads of offices from any accountability to the public. As discussed earlier, “all” includes elective or appointive officials and employees. In fact, even the President, the Vice president, the Members of the Supreme Court, the Members of the Constitutional Commissions, and the Ombudsman may be removed from office, by impeachment for:

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1. culpable violation of the Constitution;2. treason;3. bribery (direct or indirect);4. other high crimes;5. graft and corruption; or6. betrayal of public trust.

In such cases, the Houses of Representatives has the exclusive power to initiate all cases of impeachment. The Senate meanwhile has the sole power to try and decide all cases of impeachment. This principle of check and balance in the three branches of government amplifies the accountability of public officials and employees to the public.

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One law relevant to employee conduct and discipline is the Anti-Graft and Corrupt Practices Act or Republic Act No. 3019 as amended by Parliamentary Bill No. 453.

Another related law is P.D. No. 1606, creating a special anti-graft court known as Sandiganbayan. The Sandiganbayan was set up to try graft and corruption cases involving public officials and employees. This court has jurisdiction over civil and criminal cases involving graft and corrupt practices and such other offenses committed by public officers and employees. Meanwhile another law, P.D. 1607 created the Tanodbayan. However, the 1987 Philippine Constitution changed the Title of Tanodbayan to the Office of the Special Prosecutor. It will continue to function and exercise its powers as previously provided, except those conferred on the office of the Ombudsman created under this Constitution. The Tanodbayan is now known as the Ombudsman.

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The Ombudsman and his Deputies, as protectors of the people, are tasked to act promptly on complaints filed in any form or manner against public officials or employees of the government, or any its subdivision, agency or instrumentality, including government-owned or controlled corporations.

Similarly, the general policy on employee conduct and discipline states, “No officer or employee in the civil service shall be removed or suspended except for cause as provided by law and after due process.”

This means that you cannot be removed or suspended without having a chance to defend yourself. However, you can invoke security of tenure as long as you are competent, honest and productive. If you violate the norms of acceptable behavior befitting a government officer and employee, you may be separated from the service.

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As discussed earlier, public officials and employees are guided by rules, regulations, norms of conduct and ethical standards. As part of your general duties and responsibilities, you must:

1. Take an oath or affirmation to uphold and defend the Philippine Constitution;

2. Submit a declaration under oath, of your assets, liabilities and net worth and a disclosure of business interests and financial condition, including those of your spouse and unmarried children under 18 years of age who are living in your household.

3. Show allegiance to the State and the Constitution;4. Act promptly on letters and requests or respond to

letters, telegrams or other means of communications sent by the public within fifteen working days from receiving them. The reply must contain the action taken;

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5. Process official documents and papers within a reasonable time from their preparation, an the reply must contain, as far as practicable, not more than three signatories; 6. Act immediately on the public’s personal transactions. You must attend to whoever wants the services of your office and must at all times render prompt, adequate and courteous service;

7. Make documents accessible to and readily available for inspection by the public within reasonable working hours;

and8. Resign from your position in any private business

enterprise within 30 days from your assumption of office and or/or divest yourself of share holdings or interests in the company within 60 days from such assumption of office.

Divestment must be to a persons other than your spouse and relatives within the fourth civil degree of consanguinity or affinity.

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NORMS OF CONDUCT

Pursuant to RA 6713*, the norms of conduct of public officials and employees that you must observe in the performance of your official duties are as follows:

1. Commitment to Public Interest. Always uphold the public interest over and above your personal interest. All government resources and powers of your office must be used efficiently, effectively, honestly and economically, to avoid waste of public funds and revenues.

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2. Professionalism. Perform your duties with the highest degree of excellence, intelligence and skill. You must serve with utmost devotion and dedication to duty. You must also endeavor to discourage wrong perceptions of your role as dispenser or peddler of undue patronage.

3. Justness and Sincerity. Remain true to the people at all times. Be honest, just and sincere. Do not discriminate against anyone, especially the poor and underprivileged. You are expected to respect at all times the rights of others and to be honest in all your transactions. Refrain from doing acts contrary to law, good morals, good customs, public policy, public order, public safety and public interest. You are not to dispense or extend undue favors on account of your office to your relatives except with respect to appointments of such relatives to positions considered strictly confidential or as members of your personal staff whose terms are coterminous with yours.

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4. Political Neutrality. Provide service to everyone, without unfair discrimination and regardless of party affiliation or preference.

5. Responsiveness to the Public. Extend prompt, courteous, and adequate service to the public. Unless otherwise provided by law or when required by the public interest, provide information on policies and procedures in clear and understandable language. Ensure openness of information by public consultations and hearings whenever appropriate. Encourage suggestions, simplify and systematize policies, rules and procedures, and avoid red tape. Lastly, develop an understanding and appreciation of the socio-economic conditions prevailing in the country, especially in depressed rural and urban areas.

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6. Nationalism and Patriotism. Be loyal at all times to the Republic and to the Filipino people, promote the use of locally-produced goods, resources and technology and encourage appreciation and pride of country and people. You must endeavor to maintain and defend Philippine sovereignty against foreign intrusion.

7. Commitment to Democracy. Commit your self to the democratic way of life and values, maintain and/or observe the principle of public accountability, and manifest by deeds the supremacy of civilian authority over the military. You must at all times uphold the Constitution and put loyalty to country above loyalty to person or party

8. Simple Living. You and your family are expected to lead modest lives appropriate to your position and income. Do not indulge in extravagant or ostentatious display of wealth in any form.

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TYPES AND CLASSIFICATION OF OFFENSES AND APPLICATION OF PENALTIES

Grave offense is usually punishable by dismissal for your first offense.

Less grave offense carries a penalty of suspension for one month and one day to six months. The second time you commit the same offense, you will be dismissed from the service.

Light offense is meted the penalty of reprimand, suspension for one to thirty days and dismissal for the first, second, and third offense, respectively.

Like penalties will be imposed for light offenses. This means that if you are penalized by reprimand for the first offense of gambling, the same penalty will be imposed on Juan if the latter is charged and found guilty of the same infraction for the first time.

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One penalty will be imposed in each case. “Each case” means one administrative case which may involve one or more charges or counts. Suppose you are charged with gross discourtesy in the course of official duties, refusal to render overtime and violation of reasonable office rules and regulations. These three offenses if committed simultaneously constitute one administrative case. You will be meted only one penalty for the three offenses.

Penalties that may be imposed in administrative cases are:

A Under Executive Order No. 292 and Sec. 22 Rule XIV of the Civil Service Omnibus Rules

1. Dismissal

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2. Forced resignation3. Transfer4. Demotion5. Suspension6. Fine7. Reprimand

B. Under R.A. 6713

1. Administrative Penalties

a. fine not exceeding six months salary

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b. suspension not exceeding one yearc. dismissal

2. Criminal Penalties

a. fine not exceeding five thousand pesosb. imprisonment not exceeding five yearsc. imprisonment not exceeding five years and fine not exceeding five thousand pesosd. disqualification to hold public office

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In deciding penalties to be imposed, mitigating and aggravating circumstances may be considered. Hence, aggravating circumstances are circumstances that make worse or more severe the infraction of your offense. Mitigating circumstances, on the other hand, are circumstances that make less severe the infraction of your offense. In the previous example cited (If you are charged with three offenses), You will be charged with one administrative case for the three offenses will be considered aggravating circumstances.

If you are found guilty of two or more charges or of two or more counts, the penalty imposed should be that one corresponding to the most serious charge or count and the rest may be considered as aggravating circumstances. Again, in the example cited above, the penalty to be imposed on you is the penalty for less grave offense because gross discourtesy in the course of official duties is a less grave

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offense and the most serious charge against you. Violation of reasonable office rules and regulations and refusal to render overtime classified under light offenses. They will only be considered aggravating circumstances to your other offense.

Mitigating circumstances include:

a. physical illness

b. good faith

c. length of service in the government

d. analogous circumstances

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Aggravating circumstances include:

a. taking advantage of official position

b. taking undue advantage of subordinate

c. undue disclosure of confidential information

d. use of government property in the commission of offense

e. habituality

f. offense is committed during office hours and within the premises of the working office or building

g. employment of fraudulent means to commit or conceal the offense

h. analogous circumstances

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The disciplining authority may impose on you the penalty of removal/dismissal from the service, forced resignation with or without prejudice to benefits, demotion in rank, suspension for not more than one year without pay, fine in an amount not exceeding six months salary, transfer or reprimand.

The penalty or dismissal entails cancellation of your eligibility, forfeiture of your leave credits and retirement benefits, and disqualification for reemployment in the government service. Dismissal does not preclude your criminal or civil liability.

The penalty of forced resignation entails your disqualification for employment in the government service for at least one year. However, it may or may not contain conditions concerning forfeiture of your

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leaves credits and retirement benefits, and disqualification for your reemployment in a specific class of position.

The penalty of transfer, or demotion, or fine may be imposed on you instead of suspension from one month and one day to one year, except in case of fine which will not exceed six months.

The penalty of fine may be imposed instead of suspension from one day to one month.

The penalty of reprimand whether given by the Civil Service Commission or the head of department or agency is considered a penalty. However, a warning or an admonition is not considered a penalty.

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Reprimand does not include any accessory penalty nor entail the forfeiture of leave credits, retirement benefits and bonuses that may be granted.

In meritorious cases and upon recommendation of the Commission, the President may commute or remove administrative penalties or disabilities imposed upon you in disciplinary cases, subject to such terms and conditions as he/she may impose in the interest of the service.

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RECENT POLICIES ON ADMINISTRATIVE OFFENSES AND APPLICATION OF PENALTIES

Among the most recent issuances on administrative offenses and application of penalties that have wider application and relevance to various agencies of the government are:

1. Attendance and Punctuality Pursuant to CSC Res. No. 97-0406, heads of agencies can promulgate their own internal rules and regulations on attendance and punctuality so that you and other employees can incur less absence and tardiness than the frequency allowed, as discussed in the succeeding paragraphs.

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Violations of the rules issued by heads of offices shall constitute the offense of Violation of Reasonable Office Rules and Regulations, punishable with reprimand on the first offense, suspension for one (1) to thirty (30) days on the second, offense, and dismissal on the third offense.

You will be considered habitually absent if you incur unauthorized absences exceeding the allowable 2.5 days monthly leave credit under the Leave Law for at least three months in a semester or at least three consecutive months during the year.

This means that the maximum number of months you can exceed the 2.5 days monthly leave credit limit in a single semester is two months to avoid being considered as an offender or habitual absenteeism.

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Absences exceeding 2.5 days per month backed by a approved leave of absence do not constitute habitual absenteeism.

You will be considered habitually tardy if you incur tardiness, regardless of the number of minutes, exceeding ten (10) times a month for at least two (2) consecutive months during the year.

This means that if you have already been tardy twelve times in a month in a semester, the maximum number of tardiness you will incur for the succeeding month is only ten times so you will not be considered habitually tardy. Further, you should not be late more than ten times in the month of July if you already incurred ten times or more tardiness in June of the same year.

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2. Nepotism is now a grave offense punishable by dismissal. Nepotism or prohibited appointments made in favor of relatives in government can be a ground for administrative disciplinary action and criminal prosecution. As a grave offense, it is punishable by dismissal from the service even for the first offense.

Nepotism means appointing relatives and members of the family within the third degree of consanguinity or affinity of the appointing or recommending authority, or of the chief of the bureau or office, or of the persons exercising immediate supervision over the appointee. Original, transfer, re-employment and promotional appointments regardless of status are subject to nepotism.

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Exempted from the rules on nepotism are: (a) persons employed in a confidential capacity; (b) teachers; (c) physicians (d) members of the Armed Forces of the Philippines.

There are no restriction for a member of any family who, after his or her appointment to any position in an office or bureau, contracts marriage with someone in the same office or bureau. Thus, both husband and wife may be employed or retained.

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3. Sexual Harassment by another employee or officer now constitutes a ground for disciplinary action. It is a grave offense and subject to dismissal from the service.

Sexual harassment is one of series of incidents involving unwelcome sex advance, requests for sexual favors or other verbal or physical conduct of sexual nature, made directly, indirectly and implied when: (1) such conduct might reasonably be expected to cause insecurity discomfort, offense or humiliation to another person or group; or

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(2) submission to such conduct is made either implicitly or explicitly a condition of employment, or any opportunity for training or grant of scholarship; or (3) submission to rejection of such conduct is used as a basis for any employment decision (including, but not limited to, matters of promotion, raise in salary, job security and benefits affecting the employee); or (4) such conduct has the purpose or the effect of interfering with a person’s work performance, or creating and intimidating, hostile or offensive work environment.

You may be placed under preventive suspension while an investigation is going on if the charge against you involves dishonesty, oppression or grave misconduct or neglect in the performance of duty, or if there are reasons to believe that you are guilty of charges that warrant your removal from the service.

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Preventive suspension is not a punishment for your misconduct in office but considered a preventive measure. It is not considered part of the actual penalty of suspension imposed upon you, if found guilty.

You can be suspended for a period of not exceeding ninety (90) days. After 90 days, you will be automatically reinstated even if the investigation has not been terminated. But when the delay in the disposition of the case is due to your fault, negligence or your petition, the period of delay will not be included in the accounting of the 90 calendar-day suspension.

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ADMINISTRATIVE PROCEEDINGS

The head of agency may initiate administrative proceedings against a subordinate officer or employee like you upon sworn, written statement/complaints of any other person.

The Commission, meanwhile has original jurisdiction over all government officials and employees and can take disciplinary action on all cases involving:

Complaints filed before it and those unacted upon by the agencies;

Civil service examination anomalies; and Such other complaints requiring direct action in the interest

of justice. Administrative cases within the Commission’s jurisdiction can also be filed with any of the Civil Service Regional Office concerned.

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No action is taken on anonymous complaint, unless there is obvious truth of merit to such allegations. Hence, you will not be required to answer or comment on anonymous complaint.

The disciplining authority through the complainant’s sworn statement determines if there is a prima facie case.

A prima facie case means that there is sufficient evidence that you are probably guilty of an offense and if not refuted by other evidence becomes conclusive that you are guilty.

If the disciplining authority does not find a prima facie case, the complaint is dismissed.

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If a prima facie case exists, the disciplining authority will notify you of the charges against you. He can also issue a formal charge against you.

If you have been formally charged, you will be directed to answer such charges and you will be informed of your right under existing laws and rules. Preliminary investigation is an inquiry or proceeding to submit your affidavit and counter affidavits as well as those of your witness(es).

You as a respondent, is given by the disciplining authority not less than 72 hours or three days to submit an answer to the charges. The answer must be in writing and under oath. Supporting documents and sworn statements may also be submitted. If your answer is satisfactory, the disciplining authority will dismiss your case.

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In your answer, you will indicate whether or not you elect a formal investigation of the case.

Although you do not request a formal investigation, one should nevertheless be conducted by the disciplining authority when the merits of the case cannot be decided judiciously without conducting such investigation.

The investigation will be held not earlier than five days nor later than ten days from the date of receipt of your answer. The investigation will be completed within thirty (30) days from the filing of the charges, unless the period is extended by the Commission in meritorious cases.

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You (and/or the either party) may avail of the services of a counsel and may require the attendance of a witness or the production of documents. You will make a request for the issuance of the necessary subpoena or subpoena duces tecum at least three (3) days before the scheduled hearing.

The investigation will be conducted to find out the truth, without necessarily adhering to technical rules applicable in judicial proceedings. It will be conducted by the disciplining authority concerned or authorized representative.

The decision will be rendered by the disciplining authority within thirty (30) days from the termination of the investigation or receipt of the report of investigation, together with the complete records of your case.

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The report will be submitted within fifteen (15) days after the conclusion of the formal investigation.

If you feel aggrieved by the decision of the disciplining authority, you may file a petition with the agency for a reconsideration of the decision. If still not satisfied with the decision of the head of agency, you may file an appeal with the Commission. However, the decision of head of agency is final if the penalty imposed is suspension for not more than thirty (30) days or fine not exceeding 30 days salary.

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CIVIL SERVICE COMMISSION

Appeals

Decisions of heads of departments, agencies and provinces, cities, municipalities, and other instrumentalities imposing penalties exceeding thirty days suspension or fine in an amount exceeding 30 days salary, may be appealed to the Civil Service Commission within 15 days from receipt of a copy of the decision.

You will pay a fee at least Php 100 for an appeal filed with the Commission.

A motion for reconsideration may also be filed by the party adversely affected by the decision of the Commission within 15 days from receipt of the decision.

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When your penalty is dismissal, it is executory only after the confirmation by the Department Secretary concerned.

Judicial Review

Final decisions or orders of the Civil Service Commission are appealable to the Court of Appeals. Hence, if you are not satisfied with the decision of the Commission, you may file an appeal by filing a petition for review with the Court of Appeals within fifteen (15) days from notice of final order or resolution.

The final decision of the CSC are immediately executory if no petition for review is reasonably filed.

if you feel aggrieved with the decision of the Court of Appeals, you may still go to the Supreme Court as final arbiter of your case.

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DOCUMENT and FLOW PROCESS CHART of ADMINISTRATIVE PROCEEDINGS in DISCIPLINARY

CASES

First StageFiling of the complaint

Determining the existence of a prima facie case

In case a prima faciecase exists, formal

charge shall be issued

If there is no prima faciecase exists, the case

shall be dismissed

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Second Stage

Issuance of a formal charge

If the answer is satisfactory, the case

shall be dismissed

Filing of an answer

If the answer is unsatisfactory, a

formal investigation shall be conducted

Issuance of a PreventiveSuspension Order,

If necessary

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Third StagePre hearing conference

Conduct of formal investigation

Rendition of Decision

Guilty Not Guilty

Motion for reconsiderationon agency’s decision is filed

Dismissal of the case

Appeal on the agency’sdecision is filed with the

Commission

Motion for reconsiderationof the Commission’s decisionis filed with the Commission

Petition for review is filedwith the Court of Appeals,If still dissatisfied with the Commission’s decision.

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THANK YOU HAVE A GOOD DAY!!!