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(NAR) VOL. 15 NOS. 3-4 / OCTOBER - DECEMBER 2004

[ PRC RESOLUTION NO. 2004-233A, September 08, 2004 ]

RULES OF PROCEDURE IN THE CONDUCT OF ADMINISTRATIVE INVESTIGATIONS IN THE PROFESSIONAL REGULATION COMMISSION AND THE VARIOUS PROFESSIONAL REGULATORY BOARDS



WHEREAS, Section 7(p) of Republic Act No. 8981 empowers the Professional Regulation Commission (Commission) to adopt and promulgate such rules and regulations as may be necessary to effectively implement policies with respect to the regulation and practice of the professions;

WHEREAS, Section 7(d) of the same Republic Act further empowers the Commission to impose the penalty of suspension or prohibition from taking licensure examinations to any examinee charged and found guilty of violating the rules and regulations governing the conduct of licensure examinations promulgated by it;

WHEREAS, Section 7 (s) of the same Republic Act still further empowers the Commission to investigate motu proprio or upon a verified complaint, any member of the Professional Regulatory Boards (Boards) for causes enumerated therein;

WHEREAS, Section 9 (c) of the same Republic Act provides that the Boards shall hear and investigate cases arising from violations of their respective laws, the rules and regulations promulgated thereunder and their Codes of Ethics;

WHEREAS, the existing rules and regulations in administrative investigation need to be updated and revised to make them more responsive to the demands of speedy, fair and judicious disposition of cases;

NOW, THEREFORE, The Commission hereby adopts and promulgates the following rules that shall govern the procedure in the conduct of administrative investigations.


ARTICLE I
ADMINISTRATIVE INVESTIGATIONS


SECTION 1. A complaint against an examinee or a registered professional or a member of the Board which includes but not limited to immoral or dishonorable conduct; insanity; conviction of a criminal offense involving moral turpitude; unprofessional or unethical conduct; gross negligence or incompetence in the practice of the profession; the use of or perpetration of fraud or deceit in the acquisition of certificate of registration/professional license; for any cause or causes as provided by the Rules and Regulations of the Commission, the law creating the Professional Regulatory Board and the Rules and Regulations promulgated pursuant thereto; neglect of duty; or commission of irregularities in the licensure examinations which taint or impugn the integrity and authenticity of the results of the said examinations, shall be in writing and under oath or in verified complaint.

SECTION 2. The complaint may be filed by any person, firm, or corporation, through its duly authorized representative, or the Commission or the Board itself may, motu proprio, file the charge or charges.

SECTION 3. The complainant, in his complaint together with the sworn statements of his witness or witnesses, if any, subject to cross-examination by the respondent or his counsel during the investigation, shall set forth distinctly, clearly, and concisely the charge or charges or the offense or offenses complained of.

SECTION 4. The complaint shall be filed in six (6) copies with the Commission.  Upon receipt of the complaint, which is sufficient in form and substance, the Commission or the Board, shall require the respondent to submit his counter-affidavit or verified answer within ten (10) days from notice.

In his counter-affidavit or verified answer, the respondent shall state clearly and unequivocally if he elects to have a formal investigation of the charges against him or waives his right thereto.

Failure to file a counter-affidavit or verified answer within the required period shall be construed as a waiver thereof.

The Commission or the Board may also require the complainant and respondent to submit Reply and Rejoinder, respectively, as the case may warrant, within ten (10) days from notice.

The complaint, with sufficient supporting documents, may itself be the basis for determination of the existence of prima facie case, at the discretion of the Commission or the Board.

SECTION 5. After the parties have submitted the required pleadings, the case folder shall be submitted to the Commission or to the Board within five (5) days from receipt of the last pleading, for the determination of the existence of prima facie case.  If no prima facie case is found, then the complaint shall be dismissed; otherwise, the Commission or the Board shall order the case to proceed for trial.

SECTION 6. The complainant shall then be required to pay the docket and legal research fees within ten (10) days from notice.  Non-payment thereof shall be a basis for the dismissal of the complaint.

After payment of the docket and legal research fees, the case shall then be given a designated number which shall be known as administrative case number.

The case shall be set for preliminary conference, where the complainant, the respondent and their counsels shall be required to appear to determine the possibility of amicable settlement and other matters which may aid in the early disposition of the case.  The preliminary conference shall be mandatory.

SECTION 7. Any complaint before the Board may be withdrawn by the complainant, in writing and under oath.  The Board shall forthwith dismiss the case unless the Board, in the interest of the public and for the protection of the standards of the profession shall deem it necessary to prosecute the case notwithstanding the withdrawal of the complainant.

SECTION 8. The respondent shall then be served with summons within ten (10) days from the docketing of the case.

SECTION 9. Summons shall consist of the letter-subpoena requiring the appearance of the respondent at a designated time and place or a letter requiring him to answer within ten (10) days from notice, in case none has been filed.  A copy of the complaint and its supporting documents shall be enclosed.

SECTION 10. Service of summons on the respondent vests upon the Commission or the Board the power to hear and decide the case even if the respondent should subsequently leave the Philippines.

SECTION 11. Service of summons, pleadings, motions, notices, orders, decisions, resolutions and other papers shall be made either personally or by mail at the last known or registered address of the complainant and respondent or of their respective counsel.  Any change in address shall be reported in writing to the Commission or to the Board having charge of the investigation.

Service of summons, pleadings, motions, notices, orders, decisions, resolutions and other papers on the counsel of record shall be binding on the party he represents: Provided, however, that notice in open hearing shall be sufficient notice to the parties present thereat.

SECTION 12. Service of summons, pleadings, motions, notices, orders, decisions, resolutions or other papers may be made by delivering personally a copy to the party or his counsel, or by leaving it in his office with his clerk or with a person having charge thereof.  If no person is found in his office, or if his office is not known or he has no office, then by leaving the copy, between the hours of eight (8) in the morning and six (6) in the evening, at the party's or counsel's residence, if known, with a person of sufficient age and discretion then residing therein to receive the same.

SECTION 13. If service is not made personally, service by registered mail shall be made by depositing the copy in the post office, in a sealed envelope, plainly addresses to the party or his counsel at his office, if known, otherwise at his residence, if known, with postage prepaid, and with instructions to the postmaster to return the mail to the sender after ten (10) days if undelivered.

SECTION 14. Personal service shall be considered complete upon actual delivery.  Service by registered mail shall be complete upon actual receipt by the addressee or after five (5) days from the date he received the first notice of the postmaster whichever date is earlier.

SECTION 15. Whenever the address of a respondent is unknown and cannot be ascertained by diligent inquiry, service by summons may, by leave of the Commission or the Board, be effected upon him by publication in a newspaper of general circulation in the City of Manila not later than sixty (60) days from notice.  Such service may be proven by the affidavit of the printer, his foreman or principal clerk, or of the editor, business or advertising manager, to which affidavit a copy of the publication shall be attached.

SECTION 16. The respondent shall be entitled to be represented by counsel or be heard in person, to have a speedy and public trial, to confront and to cross-examine witnesses against him, and to all other rights guaranteed by the Constitution.

SECTION 17. The parties may appear personally or with the aid of counsel.  Any change in counsel of record must be by leave of the Commission or the Board.

SECTION 18. The hearing or investigation of administrative cases may be delegated by the Commission or by the Board, thru its Chairman, to any Legal or Hearing Officer of the Commission.

Lawyers or Attorneys of the Commission may act as either Legal or Hearing Officers or Special Prosecutors in motu proprio investigations.

SECTION 19. The order of hearing shall be as follows:

  1. The complainant must produce the evidence on his part;

  2. The respondent shall then offer the evidence in support of his defense;

  3. The parties may then respectively offer rebuttal evidence only, unless the Commission or the Board, for good reasons, in the furtherance of justice, permits them to offer evidence upon their original case;

  4. When the presentation of evidence is concluded, the Commission or the Board may require the parties to simultaneously submit their respective written memoranda within fifteen (15) days from notice before the case is submitted for decision.

SECTION 20. Administrative investigation shall be conducted in accordance with these Rules.  The Rules of Court shall only apply in these proceedings by analogy or in a suppletory character and whenever practicable and convenient.  Technical errors in the admission of evidence which do not prejudice the substantive rights of either party shall not vitiate the proceedings.

SECTION 21. Any member of the Commission or the Board or hearing officer of the Commission shall have the power to exclude from the hearing room any person who, during the hearing, conducts himself in a disorderly manner or disrupts the proceedings.

SECTION 22. All motions shall be made in writing and served upon all parties concerned at least five (5) days, except motions for continuance made in the presence of the adverse party, or those made in the course of a hearing.

SECTION 23. Motions for continuance shall be served by the movant upon all parties concerned at least five (5) days before the scheduled hearing sought to be postponed.

SECTION 24. No motion shall be acted upon by the Commission or the Board without proof of service thereof, except when the Commission or the Board is satisfied that the rights of the adverse party or parties are not affected.

SECTION 25. If the complainant does not appear at the time and place designated in the summons, subpoena, or in a subsequent order, the Commission or the Board may dismiss the complaint for lack of interest or failure to prosecute.  But such dismissal without a hearing shall not be a bar to a subsequent complaint for the same cause unless otherwise stated by the Commission or by the Board.

SECTION 26. If the respondent does not appear at the time and place designated in the summons, subpoena, or in a subsequent order, he may be declared in default and the Commission or the Board shall thereupon proceed to conduct the cross-examination of the complainant and his witnesses and render its decision in accordance with the facts alleged and proved.

SECTION 27. The Commission or the Board may, at its discretion, require the complainant or respondent, or both, through their respective counsel, should they have any, to submit their written memoranda in support of their respective positions within fifteen (15) days from notice in lieu of oral testimony.  Thereafter, the Commission or the

Board shall meet en banc to render its findings of facts and to determine the penalty to be imposed if the respondent shall be adjudged guilty of the charge or charges against him.

SECTION 28. The Board shall decide the case within sixty (60) days from its submission.  The decision shall be in writing and shall be signed by at least a majority of the members of the Board.

SECTION 29. The decision shall contain clearly and distinctly findings of facts and of law on which said decision is based.  If the complaint is based on a breach of rules and regulations or of the ethics of the profession, the same shall also be stated in the decision.

SECTION 30. The filing or the pendency of a criminal and/or civil case in the courts of law or an administrative case in another quasi-judicial body against an examinee or registered professional involving the same facts as in the administrative case filed or to be filed before the Commission or the Board shall neither suspend nor bar the proceedings of the latter case.  The Commission or the Board shall proceed independently with the investigation of the case and shall render therein its decision without awaiting for the final decision of the courts or quasi-judicial body.

SECTION 31. A motion for reconsideration shall be filed within fifteen (15) days from receipt of the decision.  A motion filed after this period shall not be entertained and shall be archived without action unless the Commission or the Board, for special reasons, which must be stated in its resolution, decides to act on the motion.  Only one motion for reconsideration shall be entertained.

SECTION 32. No motion for reconsideration shall be entertained unless it be for the following cause or causes, which in all probability may affect the substantive rights of the aggrieved party;

  1. Imposition of excessive penalty, or

  2. Insufficiency of the evidence to justify the decision, or

  3. The decision is against the law or not in accordance with the facts presented.

ARTICLE II
APPEAL


SECTION 33. The respondent may appeal the decision of the Board within fifteen (15) days from receipt thereof to the Commission whose decision shall be final. Interlocutory order shall not be appellable to the Commission.

Complainant, when allowed by law, may interpose an appeal from the decision of the Board within the same period of fifteen (15) days from receipt thereof.

SECTION 34. The decision of the Board may be appealed to the Commission by filing a notice of appeal together with the arguments in support thereof, the payment of the appeal and legal research fees and proof of service on the adverse party within fifteen (15) days from receipt of the decision.

The time during which a motion for reconsideration has been pending shall be deducted from the period for perfecting an appeal unless such motion is pro forma or filed for purposes of delay.

Appealed cases shall be decided within sixty (60) days from submission for resolution.  The decision or resolution shall be in writing and shall be signed by at least a majority of the members of the Commission.

The Commission may dismiss the appeal for cause or causes which include but not limited to failure of the appellant to pay the appeal and legal research fees or to serve a copy upon the adverse party or to perfect the appeal within the reglementary period of fifteen (15) days from receipt thereof.

SECTION 35. The notice of appeal shall specify the parties, shall designate the decision appealed from and the appellate authority to which the appeal is taken.

SECTION 36. Upon the filing of the notice of appeal together with the arguments in support thereof, the payment of the appeal and legal research fees and proof of service on the adverse party which must all be made within the reglementary period of fifteen (15) days from receipt of the decision of the Board, the appeal shall be deemed perfected and the Board loses its jurisdiction over the case.

SECTION 37. The Clerk-in-charge of the Legal & Investigation Division shall transmit to the Commission the complete record of the case within five (5) days after appeal is perfected.  The adverse party shall thereupon be given fifteen (15) days from notice to submit his counter-argument.  After receipt of the counter-argument, the appeal shall be considered submitted for resolution unless otherwise directed by the Commission.


ARTICLE III
EXECUTION OF DECISION


SECTION 38. Execution shall issue only upon a decision or order that finally disposes of the action or proceeding.  Such execution shall issue as a matter of right upon the expiration of the period to appeal therefrom if no appeal has been duly perfected.

SECTION 39. Decisions or orders of the various Professional Regulatory Boards which have become final and executory shall be immediately enforced and executed.


ARTICLE IV
REPEALING CLAUSE


SECTION 40. All rules, regulations, memoranda, circulars, or parts thereof which are in conflict with the provisions of these Rules of Procedure are hereby repealed, modified or amended accordingly.


ARTICLE V
EFFECTIVITY


SECTION 41. These Rules of Procedure shall take effect after fifteen (15) days following the completion of the publication in the Official Gazette.

Adopted: 08 Sept. 2004

 
(SGD.) ANTONIETA FORTUNA-IBE
Chairperson
(SGD.) AVELINA A. DE LA REA
(SGD.) LEONOR TRIPON-ROSERO
Commissioner
Commissioner
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