IIEE RULES IN HANDLING COMPLAINTSiiee.org.ph/.../2015/06/Rules-in-Handling-Complaints.pdfIIEE RULES IN HANDLING COMPLAINTS The rules in handling cases was promulgated by the Professional

Adopted through IIEE BOARD Resolution No. 2014-07-72

Presented by the Professional Practice Committee

IIEE RULES IN HANDLING COMPLAINTS

The rules in handling cases was promulgated by the Professional Practice Committee (PPC) pursuant to

Article VIII Sec 3.6 of the Constitution and By-laws of the Institute of Integrated Electrical Engineers of The Philippines, Inc. (IIEE) which vests authority to the PPC to take charge of all matters relating to the professional

practice consistent with the R.A. 7920 otherwise known as New Electrical Engineering Law and other related laws.

AUTHORITY

JURISDICTION

• The PPC shall act on all matters brought before it in accordance with the IIEE Constitution and By-laws.

(Rule I. Section 4. Jurisdiction of the PPC.)

JURISDICTION

• All actions arising from acts or omissions violating the rights of another relating to the practice of Electrical Engineering, R.A. 7920, IIEE Code of Ethics, Electrical Engineers Code, IIEE Manual of Professional Practice and Constitution & By-Laws of the Institute.

• (Rule I. Section 5. Cases Covered.)

JURISDICTION

• Acts or omissions allegedly committed by the IIEE member or by a non-member which has infringed upon the right of an IIEE member;

• (Rule II. Section 6.C.)

JURISDICTION • No anonymous complaint

shall be entertained unless there is obvious truth or merit to the allegations therein or supported by documentary or direct evidence, in which case the person complained of may be required to comment upon discretion of the PPC en banc. (Rule II. Sec. 6)

RULES

• The complaint should be written in a clear, readable simple and concise language and in a systematic manner as to apprise the PPC of the nature and cause of the accusation against the person complained of and to enable the person to intelligently prepare his defense or answer following the format provided in the next slide (Rule II. Section 6.)

• Upon receipt of a complaint which is sufficient in form and substance, the PPC shall require the person complained of to submit a Counter- Affidavit/Comment under oath within fifteen (15) calendar days from receipt thereof. (Rule II. Section 9.)

COMPLAINANT

PERSON COMPLAINED OF

COMPLAINANT

PERSON COMPLAINED OF

RULES • The complaint shall at least contain the following:

a. Full name and complete address of the complainant;

b. Full name and complete address of the person complained of;

c. a narration of the relevant and material facts which shows the acts or omissions allegedly committed by the IIEE member or by a non-member which has infringed upon the right of an IIEE member;

RULES d. Certified true copies of documentary evidence and affidavits of witnesses, if any; and

e. Certification or Statement of non-forum shopping.

In the absence of any one of the aforementioned requirements, the complaint shall be dismissed. (Rule II. Section 6)

WHEN and WHERE to FILE a COMPLAINT

• A complaint may be filed at anytime with the PPC which may be lodged directly to the IIEE National Office, Regional or Chapter Offices; (Rule II. Sec. 7)

• A complaint against an IIEE member shall not be given due course unless it is in writing and subscribed and sworn to by the complainant in accordance with the Constitution and By-Laws of the Institute. However, in cases initiated by the proper disciplining authority, the complaint need not be under oath. (Rule II. Sec. 6)

WITHDRAWAL of the COMPLAINT

• The withdrawal of the complaint does not result in its outright dismissal nor discharge the person complained of from any liability. Where there is obvious truth or merit to the allegation in the complaint or where there is documentary evidence that would tend to prove the guilt of the person complained of, the same should be given due course

(Rule II. Section 8)

PRELIMINARY INVESTIGATION • This involves evaluation of documents /

records submitted both by complainant and the

person complained of, where both are given

the privileges of submitting affidavits and

counter affidavits.

• Failure of the person complained of to

submit his counter affidavit within the

reglamentary period shall be considered

as a waiver thereof whereby the case

will be adjudicated based on the

documents submitted.


PRELIMINARY INVESTIGATION

• If necessary, both parties maybe called for

further clarifications

• If counter affidavit is received, PPC may decide

whether it warrants that formal investigation

shall proceed.

• Fact-finding investigation follows which serves

as preliminary investigations for the

proceedings.

DURATION of the INVESTIGATION

A preliminary investigation shall

commence not later than fifteen (15)

calendar days from receipt of the

complaint by the PPC or earlier

depending upon the merit of the case

and shall be terminated within sixty

(60) calendar days thereafter.


INVESTIGATION REPORT

Within fifteen (15) calendar days

from the termination of the

preliminary investigation, the

investigating officer shall submit

the Investigation Report and the

complete records of the case to

the PPC en banc.


DECISION or RESOLUTION After PRELIMINARY INVESTIGATION

If a prima facie case is established

during the investigation, a formal

charge shall be issued by the

PPC. In the absence of a prima

facie case, the complaint shall be

dismissed.


FORMAL CHARGE to the RESPONDENT

After a finding of a prima facie case, the

person complained of shall be formally

charged. The formal charge shall contain:

A specification of the charge(s)

A brief statement of material or relevant facts,

accompanied by certified true copies of the documentary

evidence, if any

Sworn statements covering the testimony of witnesses


A directive to answer the charge(s) in

writing under oath within fifteen (15)

calendar days from receipt thereof

An advice for the respondent to indicate in

his answer whether or not he elects a

formal investigation of the charge(s)

Notice that he is entitled to be assisted by

a counsel of his choice.


If the respondent has submitted his

comment and counter affidavits

during the preliminary investigation,

he shall be given the opportunity to

submit additional evidence.


The PPC shall not entertain requests for

clarification, bills of particulars or motions

to dismiss which are obviously designed

to delay the administrative proceedings.

If any of these pleadings are interposed

by the respondent, the same shall be

considered as an answer and shall be

evaluated as such.


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 the

case. It shall also include a statement

indicating whether or not the respondent

elects a formal investigation.


FAILURE to FILE an ANSWER

If the respondent fails or refuses to file

his answer to the formal charge within

fifteen (15) calendar days from

receipt thereof, the respondent shall be

considered to have waived the right

thereto and formal investigation may

commence.


Conduct of Formal Investigation

Even the respondent does not request a

formal investigation, one shall nevertheless be

conducted by the PPC where from the

allegations of the complaint and the answer of

the respondent, including the supporting

documents of both parties, the merits of the

case cannot be decided judiciously without

conducting such investigation.

Conduct of Formal Investigation

The investigation shall be held not earlier than

fifteen (15) calendar days not later than

thirty (30) calendar days from receipt of the

respondent’s answer. Said investigation shall

be finished within sixty (60) calendar days

from the issuance of the formal charge or the

receipt of the answer unless the period is

extended by the PPC in meritorious cases.


PRE-HEARING CONFERENCE

At the commencement of the formal

investigation, the PPC may conduct a

prehearing conference for the parties

to appear, consider and agree on any

of the following:


Stipulation of facts;

Simplification of issues;

Identification and marking of evidence of the

parties;

Waiver of objections to admissibility of

evidence;

Limiting the number of witnesses, and their

names;

Dates of subsequent hearings; and

Such other matters as may aid in the prompt

and just resolution of the case.


The parties may submit position

paper/memoranda and submit the

case for resolution based on the

result of the prehearing conference

without any need for further hearings.

(Rule II, Section 18)

Parties may enter into an amicable settlement or submit to any of the alternative modes of dispute resolution at any time during the pendency of the case but before the PPC has rendered a decision. (Rule II. Section 19)

AMICABLE SETTLEMENT

Continuous Hearing Until Terminated; Postponement

Hearings shall be conducted on the

hearing dates set by the PPC or as

agreed upon during the pre-hearing

conference.


Where no pre-hearing conference is conducted, the

parties, their counsel and witnesses, if any, shall be

given a notice of at least fifteen (15) calendar days

before the first scheduled hearing specifying the time,

date and place of the said hearing and subsequent

hearings. Thereafter, the schedule of hearings

previously set shall be strictly followed without further

notice. A party shall be granted only two (2)

postponements upon oral or written requests. A third

postponement may be granted only upon written

request and subject to the discretion of the PPC.


If the respondent fails or refuses to

appear during the scheduled hearings

despite due notice, the investigation

shall proceed ex parte and the

respondent is deemed to have waived

the right to be present and to submit

evidence in favor during those hearings.


ORDER of HEARING Unless the PPC directs otherwise, the order

of hearing may be as follows:

a. The prosecution shall present its evidence

subject to the pre -hearing agreement;

b. Cross-examination by the party;

c. There may be redirect and re-cross

examination;

d. The respondent shall then offer evidence in

support of his defense following the same

order;

e. Rebuttal and sur-rebuttal, if any.

ORDER of HEARING When the presentation of evidence has been

concluded, the parties shall formally offer their

evidence either orally or in writing and thereafter

objections thereto may also be made either

orally or in writing. After which, both parties may

be given time to submit their respective

memorandum which in no case shall be beyond

fifteen (15) calendar days after the termination of

the investigation. Failure to submit the same

within the given period shall be considered a

waiver thereof.


DECISION of the CASE

The IIEE-BOG shall render the

decision on the case within

sixty (60) calendar days from

receipt of the Report of

Investigation.


Filing of Motion for Reconsideration

The party adversely affected by

the decision may file a motion for

reconsideration with the IIEE

BOG who rendered the same

within fifteen (15) calendar

days from receipt thereof.

(Rule III. Section 34)

WHEN DEEMED FILED

A motion for reconsideration sent by

mail shall be deemed filed on the

date shown by the postmark on the

envelope which shall be attached to

the records of the case and in case

of personal delivery, the date

stamped thereon by the proper

office.


Grounds for Motion for Reconsideration.

The motion for reconsideration shall be based on

any of the following:

New evidence has been discovered which

materially affects the decision rendered, or

The decision is not supported by the evidence

on record, or

Errors of law or irregularities have been

committed prejudicial to the interest of the

movant.


LIMITATION

Only one motion for

reconsideration

shall be entertained.


EFFECT of FILING

The filing of a motion for

reconsideration within the

reglamentary period of fifteen (15)

calendar days shall stay the

execution of the decision sought to

be reconsidered.


FILING of APPEALS

Decisions imposing a penalty

exceeding thirty (30) days

suspension or expulsion from IIEE

membership, may be appealed to

the IIEE-BOG within a period of

fifteen (15) calendar days from

receipt thereof.

Pending appeal, the same shall be

executory except where the penalty

is expulsion, in which case the same

shall be executory only after

reconfirmation by the IIEE-BOG.


When Case is Remanded for Violation of Respondent’s Right to Due Process

If the case on appeal is remanded to the PPC

for further investigation, the PPC shall finish

the investigation within three (3) calendar

months from the date of receipt of the records,

unless the investigation is delayed due to the

fault, negligence or petition of the respondent,

or an extension is granted by the IIEE-BOG in

meritorious cases. The period of delay shall

not be included in the computation of the

prescribed period.

When Case is Remanded for Violation of Respondent’s Right to Due Process

Within fifteen (15) days from the

termination of the investigation, the IIEE-

BOG shall render its decision. If at the

end of said period, the IIEE-BOG fails to

decide the case, the decision shall be

vacated and set aside, the respondent

shall be exonerated of the charge.


Recommendation for Reinstatement of Membership

In meritorious cases and upon

recommendation of the PPC, the

IIEE-BOG may commute or remove

penalties or disabilities imposed

upon IIEE members, subject to such

terms and conditions as it may

impose in the interest of the IIEE.

Recommendation for Reinstatement of Membership

For this purpose, a petition for a favorable recommendation for

the grant of clemency may be filed by a disciplined member with

the IIEE BOG upon submission of the following:

a. certified true copy of the decision in the disciplinary case

with a favorable recommendation by the PPC;

b. certification from three (3) reputable IIEE members who

vouched that the respondent has become a practitioner of

good standing.

c. proof of non-pendency of an appeal/petition for review

relative to his disciplinary case before any court/tribunal;


Penalties

Penalties will be provided in detail

in the IIEE Manual of Professional

Practice but it is not limited to the

following:

1. Suspension

2. Removal from IIEE

Membership

3. Institution of Legal Action

(Rule IV. Section 42)

2015 PPC COMMITTEE • Antonio S. Guevarra-

Member

• Jesus B. David - Member

• Ariel O. Soriano - Member

• Rolan J. Dio - Member

• Marli A. De Fiesta – Member

• Dominador N. Valmonte, Jr. - Member

• Leo S. Cabasag –Vice Chairman

• Marlon F. Parot - Chairman

THANK

YOU!

Documents

IIEE RULES IN HANDLING COMPLAINTSiiee.org.ph/.../2015/06/Rules-in-Handling-Complaints.pdfIIEE RULES IN HANDLING COMPLAINTS The rules in handling cases was promulgated by the Professional