e e Bangko Sentral ng Pilipinas OFFICE OF THE GOVERNOR OFFICE ORDER NO. _940 Series of 2004 Pursuant to Monetary Resolution No. 1707 dated November !8, 2004, the following rules shall govem the conduct of administrative disciplinary proceedings ‘against officers and employees of the Bangko Sentral ng Pilipinas (BSP for brevity) Rule! GENERAL PROVISIONS Section 1. Title, - These rules shall be known as the Rules On Administrative Disciplinary Cases in the Bangko Sentral ng Pilipinas. Sec. 2. Coverage. - These rules shall apply to all administrative disciplinary cases filed with the BSP against its officers and employees, such as, but not limited to, the following: Acts punishable under the Anti-Graft and Corrupt Practices Act (R.A. No. 3019), as amended; Acts punishable under Title Seven of the Revised Penal Code; Violations of Sections 16, 23, 27 and 127 of the BSP Charter (R.A. No. 7653); Administrative offenses under Section 52, Rule IV of the Uniform Rules on Administrative Cases in the Civil Service (CSC Res. No. 991936 dated August 31, 1999) in relation to Section 46, Chapter 7 of Book V of Executive Order No. 292 and its implementing Omnibus Rules, and other pertinent Civil Service laws circulars, rules and regulations; Violations of the Code of Conduct and Ethical Standards for Public Officials and Employees and its implementing rules (RA. 6713); MAG-IMPOK SA BANGKO MAYNILA, PILIPINAS 1004 + Tel No. 524-70-11 trunkline + URL: www-bsp.gov:ph + e-mail: bspmail @bsp.gov.phSec. 3. @ e 2 Violations of Office Rules and Regulations as provided in the Central Bank of the Philippines Service Manual (CBPSM) insofar as these are applicable to and adopted in the administrative disciplinary process in the BSP, and Violations of pertinent BSP issuances such as Office Orders and Memoranda. Definition of Terms. - As used in these rules, the terms herein below shall be understood to mean as follows: a OGCLS refers to the Office of the General Counsel and Legal Services which is tasked with, among other duties, conducting the preliminary investigation of administrative complaints and prosecuting administrative cases. HRMD refers to the Human Resource Management Department which is tasked with conducting the formal investigation of administrative cases and recommending to Management the disposition of said cases. BSP PROSECUTOR refers to the OGCLS lawyer assigned to prosecute the administrative disciplinary case. PRIVATE PROSECUTOR refers to the counsel engaged by the private party complainant and duly authorized by the OGCLS subject to the terms and conditions prescribed thereby. PRIVATE PARTY COMPLAINT refers to the swom complaint filed by a private party other than the Bangko Sentral ng Pilipinas, which complaint, after a preliminary inquiry conducted by the OGCLS, is given due course and filed with HRMD for a formal investigation. PRIVATE PARTY COMPLAINANT refers to a person/entity other than the Bangko Sentral ng Pilipinas who filed a swom complaint against any BSP personnel. PERSON COMPLAINED OF refers to the person who is the ‘subject of a complaint but not of a Formal Charge. FORUM-SHOPPING exists when two or more actions or proceedings, grounded on the same cause(s) and involving ‘the same parties and reliefs, are instituted in the same or different forums.e @ ; i, PRELIMINARY INVESTIGATION/ INQUIRY refers to the examination by the OGCLS of duly submitted evidence for the sole purpose of determining whether or not a prima facie case exists to warrant the filing of a Formal Charge against a BSP officer or employee. j. FORMAL CHARGE refers to the written accusation containing the specification of the offense charged, duly ‘approved by the General Counsel, and filed with the Human Resource Management Department (HRMD). k. FORMAL CHARGE SHEET refers to the document in which the formal charge is written. | RESPONDENT refers to the person who is the subject of a Formal Charge. m. ALTERNATIVE DISPUTE RESOLUTION or ADR refers to the process whereby the private party complainant and the BSP personnel complained of are encouraged to settle their differences amicably applying the various modes of dispute resolution. n. FORMAL INVESTIGATION refers to the actual hearing of the case conducted by the Hearing Officers of the Human Resource Management Department, which includes the presentation of witnesses and evidence of the contending parties. ©. DISCIPLINING AUTHORITY refers to the Monetary Board or in appropriate cases, the Governor of BSP. Sec. 4 Application of Technical Rules. - The proceedings covered by these Rules shall be conducted for the purpose of ascertaining the truth without necessarily adhering to technical rules applicable in judicial proceedings. Rule Il PRELIMINARY INVESTIGATION/INQUIRY Section 1. Complaint.- Save when otherwise provided by law, complaint against a BSP officer or employee shalll be given due course unless it is in writing, subscribed and sworn to by the complainant, and filed with the OGCLS: provided, however, that in cases instituted by the proper Department/Office Head or ‘the OGCLS the complaint need not be under oath,e e 4 The complaint shall contain: (a) the full name and address of the complainant; () the full name and address of the person complained of, as well as his position and Department/Office address; (©) _ specification of the charge(s): (4) a brief statement of the material facts; (©) certificate or statement of non-forum shopping: provided, that in cases instituted by the proper Department/Office Head or the OGCLS, this requirement may be dispensed with. In the absence of any of the aforementioned requirements, the complaint shall be dismissed. Sec. 2. Outright dismissal of the Complaint. - The OGCLS shall dismiss the complaint outright if it finds no factual or legal basis to proceed with the preliminary investigation or inquiry. Sec. 3. Counter-Affidavit. - If it finds that the complaint is sufficient in form and substance, the OGCLS shall furnish the person complained of with a copy thereof, together with a copy of the supporting affidavit(s) and other document(s), if any. The OGCLS shall require the person complained of to file within three (3) days from receipt of the complaint, his swom comment/explanation together with the affidavit(s) of his witness(es), if any, with the warning that the matter shall be deemed submitted for resolution, with or without his comment/explanation, upon the expiration of the three (3) day period. Sec. 4. Fact-finding Investigation. - A fact-finding investigation may be conducted further or prior to the preliminary investigation/inquiry for the purpose of ascertaining the truth. The OGCLS may seek the assistance of any department office, officer, or employee of the BSP or any other goverment agency to obtain ‘such information as it may deem necessary and proper to ascertain the facts in issue. If the investigating lawyer finds that there are matters to be clarified, he may call the parties and their witnesses, if any, to a meeting for the purpose of ‘propounding clarificatory and other relevant questions or require them by written notice to file with the OGCLS their swom written comments thereon, together with supporting documents, if any, within the period stated in said notice.9 e 7 Sec. 5. Preliminary Investigation/Inquiry Report. - After termination of the preliminary investigation/inquiry, the investigating lawyer shall, as much as practicable, within ten (10) days submit his Preliminary Investigation/inquiry Report and Recommendation (PIR), thru the Deputy Director and the Deputy General Counsel, Litigation & Investigation Group (LIG), OGCLS, to the General Counsel for approval or disapproval. The PIIRR shall recommend either the dismissal of the complaint or the filing of the corresponding Formal Charge(s) together with such ‘other recommendations, if any, as the facts and the law may warrant. If the PIIRR recommending for the dismissal of the complaint is approved by the General Counsel, the HRMD, the complainant and the proper Department/Office Head shall be furnished with a notice of such action. If the PIIRR recommending for the filing of a Formal Charge(s) is approved by the General Counsel, the corresponding Formal Charge(s) together with the ‘supporting documents, other than the PIIRR, shall be forwarded to the HRMD: ‘provided, however, that if the PIIRR is for the filing of a Formal Charge(s) for a grave or less grave offense as the same is classified under pertinent Civil Service Rules, it shall be cleared with the Deputy Governor having supervision over the person complained of before a Formal Charge(s) is filed with the HRMD. RULE Ill FORMAL INVESTIGATION. Section 1. Hearing Officers. - Generally, the function of conducting the formal investigation of administrative cases and making recommendations to the Governor or the Monetary Board on the disposition of such cases is vested in the lawyers of the HRMD. Whenever the respondent is of the rank of a Deputy Director or its equivalent position or higher, the Director of HRMD shall constitute a Hearing Committee ‘composed of a Chairman and two (2) members all coming from the lawyers of HRMD. However, the Director of HRMD may, in exceptional cases, recommend to the Monetary Board the constitution of an Ad Hoo Hearing Committee. Sec. 2. Notice to Respondent. - immediately upon receipt of the Formal Charge(s), the assigned Hearing Officer or Hearing Committee, as the case maybe, ‘shall forthwith issue a written notice addressed to the respondent containing a directive to file an Answer to the charge(s) in writing and under oath within seventy- two (72) hours from receipt of said notice and to indicate in his answer whether or not he elects a formal investigation of the charge(s) against him. The respondent ‘shall also be informed that he has the right to be assisted by a counsel of his own choice. The said notice shall be accompanied by a certified true copy of the Formal Gharge(s) together with the supporting documents thereof.Sec. 3. Prohibited pleadings. - No requests for clarification, bills of particulars or motions to dismiss shall be allowed. If interposed by the respondent, the same shall be considered as an answer and shall be evaluated as such. Sec. 4. Failure to File an Answer. - If the respondent fails to file his Answer to the Formal Charge(s) within five (5) days from receipt of a copy thereof, he shall be considered to have waived his right to file an Answer and the case shall be deemed submitted for resolution on the basis of available evidence/documents. Sec. 6. Preventive Suspension/Reassignment. - To preclude the Possibility that respondent might exert undue influence or pressure on witnesses ‘against him or tamper with documentary evidence on file with his office, the OGCLS may, after filing of the formal charge with the HRMD, recommend to the Governor, ‘motu proprio or at the inetance of the complainant, the preventive suspension of the respondent during the pendency of the administrative case against him, provided that the charge involves dishonesty, oppression, grave misconduct, or gross neglect of duty, or if there are strong reasons to believe that the respondent is guilty of the charge(s) which would warrant his removal from the service. For the same purpose and in lieu of preventive suspension, respondent may be reassigned to any department, office, or unit in the Bank during the pendency of the formal investigation. Sec. 6. Conduct of Formal Investigation. - Although the respondent does not request a formal investigation and/or failed to file a swom Answer, one shall nevertheless be conducted by the Hearing Officer if the merits of the case cannot be decided judiciously without conducting such investigation. ‘The formal investigation shall be held not earlier than five (5) days nor later than ten (10) days from receipt of the respondent's answer. Said investigation shall, as far as practicable, be finished within thirty (30) days from the receipt of the ‘Answer or lapse of the period to file an Answer. Sec. 7. Application of ADR. - If the case involves conficts which are purely personal in nature between the parties involved, the same shall be referred for ADR before the conduct of the formal investigation. In the event the ADR process fails, the formal investigation shall continue up to its final termination. Sec. 8. Pre- Hearing Conference. - At the commencement of the formal investigation, the Hearing Officer shall conduct a pre-hearing conference for the parties to appear and consider any or all of the following: . Stipulation of facts; b. Simplification of issues: G. Waiver of objections to admissibility of evidence;e e 7 d. Identification and marking of evidence of the parties; ©. Limiting the number of witnesses, identifying each by name; f. Dates of subsequent hearings; @. The possibility of entering into a plea bargaining agreement as may be allowable and which shall be subject to the approval of the disciplining authority; and h. Such other matters as may aid in the prompt and just resolution of the case. During the hearing, the Hearing Officer shall not, except for good and compelling reasons, allow the presentation of evidence not pre-marked or witnesses not identified during the pre-hearing conference. The parties may submit the case for resolution based on the result of the pre-hearing conference without any need for further hearings. Sec. 9. Continuous Hearing Until Terminated; Postponement. - As a general rule, the schedule of hearings previously set shall be strictly followed without further notice. However, upon written motion and for good and compelling reason, a party may be granted a maximum of three (3) postponements. Thereafter, no further postponements shall be. granted. If any of the parties fail to appear during the scheduled hearings despite due Notice and without any valid reason, the investigation shall proceed ex parte and the absent party shall be deemed to have waived his rights to be present, to submit evidence in his favor, and to conduct his cross examination during said hearings. Sec. 10. Request of the Issuance of Subpoena. - A party who desires the attendance of a witness or the production of documents shall make a request for the issuance of the appropriate subpoena three (3) days before the scheduled hearing. Sec. 11. Direct Evidence of the Parties. - The direct evidence of the parties shall consist of their sworn testimonies/affidavits and those of their witnesses, ‘subject to oross-examination of either counsel. Sec. 12. When an Administrative Disciplinary Gase is Deemed Pending. - An administrative disciplinary case shall be deemed pending in the BSP ‘once the cormesponding Formal Gharge(s) is filed and dooketed in the HRMD.® @ 8 Sec. 13. Effect of the Pendency of an Administrative Disciplinary Case. - The pendency of an administrative case shall disqualify the respondent from being granted any loan or benefit of whatever nature from any source. Sec. 14. Formal Investigation Report. - Within thirty (30) days after the conclusion of the formal investigation or after the submission of the last pleading by the parties, an Investigation Report containing a narration of the material facts established during the investigation, the findings and the evidence supporting said findings, as well as the recommendations, shall be submitted by the Hearing Officer thru proper channel to the Governor or the Monetary Board as the case maybe, for approval. The said Investigation Report, once approved, shall be considered as the decision on the case. However, if the disciplining authority does not agree with the recommendation of the Report, then it shall direct a review of the case, as prescribed in Section 16 below. The Investigation Report shall still form part of the records. Sec. 15. When Case is Decided. - The proper disciplining authority shall render his decision on the case within thirty (30) days from receipt of the Report of Investigation. Sec. 16. Review of the Investigation Report of the Hearing Officer.- ‘The Monetary Board or the Governor, as the case may be, may refer for review the Formal Investigation Report of the Hearing Officer to the General Counsel for his, appropriate action. Sec. 17. Finality of Decision. - A decision rendered by the proper disciplining authority whereby a penalty of suspension for not more than thirty (30) days or a fine in an amount not exceeding thirty (30) days’ salary is imposed, shall be immediately final and executory. No appeal from or motion for reconsideration of said decision shall be allowed. However, if the penalty imposed is suspension ‘exceeding thirty (30) days, or fine in an amount exceeding thirty (30) days salary, the same shall be final and executory after the lapse of the reglementary period for filing ‘a motion for reconsideration or an appeal and no such motion or appeal has been filed Rule IV TION FOR RECONSIDERATI Section 1. Filing of Motion for Reconsideration. - The party adversely affected by the decision mentioned in the second sentence of Section 13 of Rule Ill hereof may file within fifteen (15) days from receipt thereof a motion for reconsideration with the Govemor or the Monetary Board, as the case may be. Sec. 2. When deemed filed. - A motion for reconsideration sent by registered 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 the case of personal delivery, the date stamped thereon by the proper office.Sec. 3. Grounds for Motion for Reconsideration. - The motion for reconsideration shall be based on any of the following: a. Newly discovered evidence which materially affects the decision rendered; b. 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. Sec. 4. Limitation. - Only one motion for reconsideration shall be entertained. If and when a second motion for reconsideration is filed, even with leave, the same shall not stop the running of the period to file appeal. Sec. 5. Effect of Filing. - _ The filing of a motion for reconsideration with the reglementary period of fifteen (15) days shall stay the execution of the decision ‘sought to be reconsidered. Sec. 6. Effectivity of these Rules. - These rules shall take effect immediately. / GD Wy ARMANDO L. SURATOS jcer-In-Charge December “| _, 2004