REVISED RULES IN THE INVESTIGATION IN THE ADMINISTRATIVE CASES INVOLVING SECURITY AND TRAINING PERSONNEL, SECURITY AGENCIES AND TRAINING INSTITUTIONS

Rule I
Preliminary Provisions

Section 1. Scope – These rules shall apply to all
administrative cases filed before SAGSD and Regional FESAGS against
security and training personnel, security agencies and training institutions for acts or omissions in violation of RA 5487 and its implementing rules and regulations.

Section 2. Purpose – To provide uniform procedure and
expeditious disposition in the conduct of investigation by SAGSD and
Regional FESAGS on administrative cases involving security and training
personnel, security agencies, and training institutions.

Section 3. Nature of Proceedings – The
investigation and hearing under this rule shall be summary in nature and
shall not strictly adhere to the technical rules of procedure and
evidence applicable in judicial proceedings.

Rule II
General Provisions

Section 1. Definition of Terms – The following terms shall be understood to mean as follows:

1. Answer – a pleading in which the respondent or
other adverse party sets forth the negative and affirmative defenses
upon which he relies;

2. Appellate Authority – shall refer to the
Chief, PNP and Director, Civil Security Group on cases resolved by
SAGSD and the Regional Director on cases resolved by the Regional
FESAGS;

3. Complaint – a written and sworn statement regarding a wrong, grievance or injury sustained by a person;

4. Decision – the written disposition of the regulatory authority stating the facts and the law upon which it is based;

5. Finality of the Decision – there is finality of
the decision when upon the lapse of ten (10) days from receipt or
notice of such decision, no motion for reconsideration or appeal has
been filed in accordance with these rules;

6. Formal Charge – a complaint initiated before the regulatory office after finding the existence of a prima facie case;

7. Hearing Officer – an officer designated by the regulatory office to conduct formal hearing, and to submit a report of the investigation;

8. Jurisdiction – the authority vested by law to hear and decide a case;

9. Newly Discovered Evidence – that evidence which
could have been discovered and produced during the hearing of the case
despite due diligence, and if presented would probably alter the
decision;

10. PAD PAO – refers to the Philippine
Association of Detective and Protective Agency Operators, Inc., which is
an association of all licensed security agencies and company security
forces;

11. Pending Case – refers to a case when the respondent had been formally charged before a regulatory authority or when the case is on appeal;

12. Reglementary Period – the period required by
law or these rules to perform a specific act. In the computation of a
period of time, the first shall be excluded and the last day shall be
included unless it falls on a Saturday, Sunday or a legal holiday, in
which case the last day shall fall on the next working day;

13. Security Personnel – refers to private
security guards, security officers, private detectives, protection
agents, security consultants, rendering or performing security or
detective services as employed by private security agencies and/or
private firms;

14. Subpoena Ad Testificandum – a process directing a person to appear and testify in an investigation or hearing;

15. Subpoena Duces Tecum – a process directing a
person to appear and bring with him books, documents or things under his
control in an investigation or hearing;

16. Substantial Evidence – such relevant evidence as a reasonable mind might accept to support a conclusion;

17. Summary Proceeding – an expeditious
administrative proceeding conducted consistent with due process to
determine the culpability or innocence of the respondent;

18. Summons – a written notice informing the
respondent that he is charged with an offense and securing his
appearance in the proceedings or directing him to file his Answer;

19. Private Security Training Institution – shall refer to an entity that provides and/or conducts private security training.

20. Training Personnel – refers to a training instructor, officer and director and others that may be classified later.

Section 2. Venue – Any complaint shall be filed with the
Complaint and Investigation Section, SAGSD, CSG for acts or omissions
committed in the National Capital Region. In all other cases, the
complaint shall be filed with the Regional FESAGS having territorial
jurisdiction where the acts or omissions were committed. Provided that
it may also be filed before the PNP regulatory office where the
complainant works or resides, or where the respondent’s principal
office is located, at the option of the complainant.

Section 3. Role of PADPAO – Except for cases equally
cognizable by courts or other disciplinary agencies or tribunals, all
complaints of security agencies against another, security guards
against a security agency or vice-versa shall be filed first with PAD
PAO offices covering its area of jurisdiction for mediation/arbitration.
PAD PAO shall resolve the case within thirty (30) days upon receipt of
the complaint. No complaint shall be filed directly with SAGSD or the
Regional FESAGS unless there has been a confrontation between the
parties before PAD PAO and that no conciliation or settlement has been
reached as certified by the secretary of the organization or unless
settlement has been repudiated by the parties.

Arbitration made by PADPAO with a corresponding recommendation
for a fine against a respondent security agency shall be subsequently
filed with SAGSD for the National Capital Region or FESAGS for the
regions for investigation. It shall be treated as a complaint with a
prima facie case.

Any party may file directly to SAGSD or the Regional FESAGS when
death, injury to persons or damage to property has been committed as a
result of the action or omission of the respondent, or when any PAD PAO
officer or personnel has an interest on the security agency or training
institution subject of the complaint. Complaints instituted by any
person or entity against a security agency, training institutions or
security personnel may be filed directly with the SAGSD or regional
FESAGS.

Rule III
Commencement of Action

Section 1. Complaint – It shall be written in clear,
simple and concise language and in a systematic manner as to apprise the
respondent of the nature of the charge against him and to enable him to
prepare his defense. It shall also be under oath.

Section 2. How Initiated – It can be initiated by any of the following:

a. The Chief, PNP, Director, CSG, Regional Director or through
their respective representative through an Official Report or Memorandum
showing the acts or omissions allegedly committed;
b. The Chief, SAGSD, CSG or Chief, ROPD thru the Regional FESAGS or
any of their authorized representative through an Official Report
showing the acts or omissions arising from the results of inspection
conducted by any of the Branches or Sections of SAGSD, CSG or Regional
FESAGS; or
c. Upon sworn and verified complaint of any person, accompanied by
sworn statements of witnesses and other pieces of evidence in support of
the complaint.

Section 3. Contents – The complaint shall contain:

a. the full name and address of the complainant;
b. the full name and address of the respondent as well as the position and office of employment;
c. specification of charges; and
d. a narration of relevant and material facts which shows the act
and/or omission constituting the offense allegedly committed by the
respondent.

Section 4. Grounds for filing an administrative complaint –
Any act or omission in violation of RA 5487 or its implementing rules
and regulations may constitute a ground for filing the complaint.

Section 5. Preliminary Evaluation – Within one (1) day upon
receipt of the complaint, the Case/Investigating Officer shall
initially evaluate the complaint based on the allegations contained
therein and the supporting documents submitted and shall recommend to
the Chief, Complaint and Investigation Section whether it shall be:

a. closed or dropped outright for lack of merit or a prima facie
case is found not to exist or the complaint is insufficient in form and
substance;

b. referred officially to other government agencies if the complaint falls under the jurisdiction of DOLE, SSS or other forum;

c. recommended for hearing if a prima facie case is found to exist.

A recommendation by the Case/Investigating Officer closing or
dropping the complaint shall in all cases be approved by Chief, SAGSD or
the Chief, ROPD on cases being investigated by Regional FESAGS.

If after preliminary evaluation a prima facie case is found to exist,
the Case/Investigating Officer shall recommend for the hearing of
the case and the designation of a Hearing Officer to be selected among
the Police Commissioned Officers assigned with SAGSD or ROPD for the
approval of their Chiefs of Office. The Investigation Report shall
include the Charge Sheet signed by the Chief, Complaint and
Investigation Section of the office.

Section 6. Action on the Complaint – All complaints for
preliminary evaluation shall be stamped on its face with the date and
time of its receipt and assigned reference numbers, and shall be
recorded in a docket book exclusively for that purpose. The office of
the Complaint and Investigation shall monitor the status of the cases
and shall maintain a docket book that shall contain in addition to the
data mentioned by the preceding paragraph: the name of the parties, the
offense charged, the hearing officer to whom the case was assigned,
the date the Resolution/Decision was rendered, the proof of service of
Resolution/Decision, date the motion for reconsideration of the appeal
was filed, the date the decision became final and other relevant
material data.

Rule IV
Formal Hearing and Disposition of Cases

Section 1. Summons – Within three (3) days upon receipt of
the formal complaint and the records of the case by the Hearing Officer, he shall issue the summons to be served upon the respondent,
directing him to submit his answer within five (5) days from receipt
thereof, together with whatever documentary evidence the respondent may
have in support of his defense.

Section 2. Answer – The answer shall be in writing, under
oath and must contain material facts, which may either be a specific
denial or affirmation of the allegations in the complaint. It shall be
accompanied by documentary or other evidence, if there be any, in
support of the defense, copy furnished the complainant. It shall also
contain a list of witnesses and their individual addresses, whenever
appropriate.

The answer shall be filed in two (2) copies either personally or by
registered mail, with proof of appropriate service to the complainant.
If the answer is sent by registered mail, it is deemed filed on the date
and hour of receipt stamped by the post office on the envelope. Said
envelope shall be kept and made an integral part of the answer and
records of the case.

The proceedings being summary in nature, no motion to dismiss, motion
for bill of particulars or any other motion shall be allowed, and the
filing of the same shall not interrupt the running of the reglementary
period for filling an answer.

Section 3. Effect of Failure/Refusal to File Answer –
Failure of the respondent to file an answer within the reglementary
period shall be considered as a general denial of the charges.

Section 4. Effect of Admission by Respondent – When the
respondent in his answer admits its culpability to the charge, the
hearing shall, nonetheless, proceed in order to determine the degree of
his responsibility, and the appropriate penalty to be imposed.

Section 5. Preliminary Conference – If, on the basis of the
sworn statements and the pieces of evidence presented by both parties,
the hearing officer finds no sufficient cause to warrant further
proceedings, the complaint may outright be dismissed. Otherwise, he
shall send, within three (3) days, summonses to all parties and their
witnesses for a preliminary conference for the purpose of arriving at an
amicable settlement, or simplifying of issues, marking of evidence and
stipulation of facts and such other matters that may aid in the prompt
disposition of the action.

The parties may agree in writing that summary hearing be dispensed with, instead, memorandum or position papers be submitted.

The conference shall be completed within two (2) days and the
proceedings shall be duly recorded and attested by the parties and/or
counsel.

Whether the parties are represented by counsel or not, they shall be
made to sign the certificate of readiness to appear at the scheduled
hearings. In the said certification, the date of hearing agreed upon by
the parties shall be strictly followed to avoid unnecessary delay in
the proceedings.

Section 6. Hearing Proper – Within five (5) days from the preliminary conference, the summary hearing of the case shall proceed.

Section 7. Order of Summary Hearing – The order of summary hearing shall be as follows:

a) The complainant shall adduce evidence with proper identification and marking thereof of his exhibits;
b) The respondent shall then present evidence in support of his
defense with proper identification and marking thereof of his exhibits;
c) The proceedings being summary in nature, direct examination of
witnesses shall be dispensed with and the sworn statements/affidavits of
witnesses, after proper identification and affirmation on the truth of
the contents thereof, shall take the place of their oral testimony,
except for witnesses who appeared pursuant to a subpoena;
d) Clarificatory questions may be allowed, if requested by either party, but shall be confined strictly to material and relevant matters and,
insofar, as may be compatible with the ends of justice.

Section 8. Submission of Position Papers – The hearing
officer may require the parties to submit their respective position
papers within ten (10) days from the date the summary hearing is
terminated.

Section 9. Right to Counsel – Parties have the right to
avail of counsel. If the parties at the start of the proceedings appear
without counsel, they shall be informed of the right to avail of one if
they so desire. However, the hearings shall proceed as scheduled even
in the absence of counsel.

If a party is not represented by counsel, the Hearing Officer shall
mark the exhibits presented during the preliminary conference and may
propound clarificatory questions, if necessary.

Section 10. Postponement – Postponement of hearing should
be discouraged and shall be allowed only in meritorious cases, such as
illness of a party or his/her counsel and/or other similar unavoidable
causes. A request for postponement on the ground of illness shall be
supported by a duly sworn medical certificate.

Regardless of the ground invoked, not more than two (2) postponements
shall be allowed for either of the parties. Thereafter, the hearing
shall proceed as scheduled.

Section 11. Effect of Absence/Non-Appearance of Complainant
– If the complainant fails or refuses to appear during the two (2)
consecutive scheduled hearings, despite due notice, it shall be a
sufficient ground to drop the complaint for failure to prosecute where
the culpability of the respondent could not be established or proven
without the testimony of the complainant. However, before dropping the
complaint, the designated hearing officer shall exert best efforts to
locate the complainant and his witnesses and to inquire into the
reason(s) for their failure to prosecute the case.

In cases where the culpability of the respondent can be established
by evidence other than the testimony of the complainant, non-appearance
of the latter shall not be a ground to terminate the proceedings.

Section 12. Effect of Desistance of the Complainant – If
the complainant desist prior to the presentation of the evidence by the
prosecution, the case shall be dismissed for failure to prosecute;
Provided that the affidavit of desistance must be affirmed personally
by the summary hearing officer who shall ask searching questions
regarding the execution and facts therein.

Section 13. Effect of Failure or Refusal of Respondent to Appear
– If the respondent, despite due notice, fails or refuses to appear
without justifiable reason during the scheduled hearings, he is deemed
to have waived his right to be present and to submit evidence.

Section 14. Submission of Resolution – The hearing officer
shall have thirty (30) days to submit to the Chief, SAGSD or Chief, ROPD
the copy of Resolution for approval accompanied by the complete records
from the date the case is submitted for resolution. Once approved, the
said Resolution shall constitute the Decision in the
case. Copies of which shall be served to all parties within five (5)
days upon approval of the resolution. Resolution with recommendation for
the suspension or cancellation of a Temporary License To Operate shall
be approved by the Director, CSG while for Regular License To Operate,
by the Chief, PNP.

Section 15. Contents of Resolution – Resolutions shall be clear and concise; and shall include the following:

a. facts of the case

b. issues involved
c. applicable laws, rules and regulations
d. findings and conclusions
e. disposition thereof

Section 16. Service of Resolution – The Resolution shall be
served either personally or by registered mail at complainant and
respondent ’s place of business or at his last known address within
three (3) days from approval thereof. In all cases, proof of such
service shall be attached to the records of the case for purposes of
determining jurisdiction in case of appeal.

Section 17. Motion for Reconsideration – The party
adversely affected may file a motion for reconsideration from the
decision rendered within ten (10) days from receipt of a copy of the
decision on the following grounds:

a) Newly discovered evidence which, if presented, would materially affect the decision rendered; or
b) Errors of law or irregularities have been committed prejudicial to the substantial rights and interest of the movant.

The filing of a motion for reconsideration shall stay the execution
of the decision sought to be reconsidered. Only one (1) motion for
reconsideration shall be allowed and the same shall be considered and
decided by the regulatory office within fifteen (15) days from receipt
thereof.

Section 18. Finality of Decision – The Decision rendered by
the concerned regulatory office shall be final and executory if no
appeal or motion for reconsideration is filed within the time provided
in these Rules. Within one (1) day after the lapse of the said
reglementary period, the final order signed by the Chief, SAGSD or
Chief, ROPD or in cases of Appeal, the Director, CSG or Regional
Director or in cases of cancellation of Regular License To Operate, by
the Chief, PNP together with the copies of the Resolution/Decision shall
be served to the respondent either personally or by registered mail at
the respondent ’s place of business or at his last known address.

Rule V
Appeal

Section 1. Perfection of Appeal – An appeal shall be
perfected by the party adversely affected by filing and serving upon
the Chief, SAGSD, CSG or Chief, ROPD a Notice of Appeal within ten (10)
days from receipt of the Resolution subject of appeal and furnishing a
copy thereof to the other party. Within three (3) days upon receipt of
the notice of appeal, the Chief, SAGSD or Chief, ROPD shall forward the
complete original records of the case to the appellate body which shall
be systematically and chronologically arranged, paged and securely
bound to prevent loss of any piece of document thereof.

Section 2. Notice of Appeal and Memorandum On Appeal – A
Notice of Appeal together with the memorandum on appeal shall contain
the following: 1) the material dates showing that it was filed on time;
and 2) the assignment of the specific errors of fact or law, or both,
allegedly committed by the investigating office.

Section 3. Dismissal of Appeal – Failure of the appellant
to comply with the requirements provided in Sections 1 and 2 of this
Rule shall be sufficient ground for the dismissal of the appeal.

Section 4. Period to Decide an Appeal – The appellate body
shall decide the appeal within thirty (30) days after the receipt of
the entire records of the case from Chief, SAGSD or Chief, ROPD. Failure
of the appellate body to decide the appeal within that period shall
render the decision of the investigating office final and executory
without prejudice to the filing of an appeal by the party adversely affected to the Chief, PNP. The officer or board designated by the
appellate body to resolve the appeal shall make a written explanation to
the Director, CSG or Regional Director on its failure to do so. The
latter shall conduct investigation against the said officer or board if
it appears from the explanation that neglect of duty was committed.

Section 5. Docketing of Appealed Cases – Upon receiving the
complete original record of the case from the investigating office, the
appellate body shall immediately docket the same by stamping the time
and date of receipt on its cover, assigning the appellate the case
number and entering the same on the docket book which shall be purposely
maintained for appealed cases only.

Rule VI

Miscellaneous Provisions

Section 1. Effect of a Pending Case and Non-Compliance to Final Order
– Pendency of a case before SAGSD or FESAGS for a grave offense and
those cases falling under the provision of Section 7, Rule XVII, of
2003 Revised Implementing Rules and Regulations by the respondent shall
be a ground for suspension of the documentary processing of the License
To Operate (LTO) of respondent agency, accreditation for training
institution and license to exercise profession for security and training
personnel. Furthermore, the Chief, SAGSD or Chief, ROPD shall issue a
Cease and Desist Operation to the particular post of the security agency
or the training institution where the grave offense has been
committed. While non-compliance to a final order by the respondent in
all cases, shall be a bar for the processing of the application for the
renewal of licenses and accreditation.

Section 2. Status of application under suspension – Chief,
SAGSD or Chief, ROPD may issue an interim license to operate or exercise
profession to the licensee who applied for the renewal of his license
until the final disposition of the case has been rendered.

Section 3. Issuance of Clearance/Certification – The Chief,
SAGSD or the Chief, ROPD, upon written request and the payment of the
legal fee shall issue a clearance or certification indicating the
pendency or non-pendency of an administrative case against a security
and training personnel or security agency.

Rule VII
Transitory Provisions

Section 1. Repealing Clause – All rules and regulations
and other issuances, or portions thereof, inconsistent with this
Memorandum Circular are deemed superseded or modified accordingly.

Section 2. Separability Clause – In the event that any of
the provisions of this Memorandum Circular is declared legally
unenforceable, the validity of the other provisions shall not be affected by such declaration.

Section 3. Effectivity Clause – This Memorandum Circular
shall be effective after fifteen (15) days following the completion of
its publication in at least two (2) newspapers of general circulation
nationwide.

Adopted: 11 Nov. 2008

(SGD.) JESUS A. VERZOSA
Police Director General Chief, PNP