Advertise at OFWguide.com

FILING OF COMPLAINTS

Section 1. Who May File. Any aggrieved person may file a complaint in writing and under oath for violation of the Labor Code and the POEA Rules and Regulations and other issuances relating to recruitment. For this purpose, an aggrieved person is one who is prejudiced by the commission of a violation. However, the Administration, on its own initiative, may conduct proceedings based on reports of violation POEA Rules and Regulations and other issuances on overseas employment subject to preliminary evaluation.

Section 2. Contents of Complaint. All complaints must contain, among others, the following:

1. The name/s and address/es of the complainant/s;

2. The name/s and address/es of the respondent/s;

3. The nature of the complaint;

4. The substance, cause/grounds of the complaint;

5. When and where the action complained of happened;

6. The amount of claim, if any;

7. The relief/s sought.

The complaint shall be under oath and must be accompanied by supporting documents and a certificate of non-forum shopping.

Section 3. Docket and Assignment of Cases. Complaints duly received shall be docketed and raffled for investigation and hearing.

RULE III

ACTION UPON COMPLAINT

Section 1. Answer. Upon receipt of the complaint, the Administration shall issue an order, together with the complaint and supporting documents, if any, directing the respondent/s to file a verified Answer and not a Motion to Dismiss within ten (10) calendar days from receipt, attaching proof that a copy was sent to the complainant.

Section 2. Failure to File Answer. In case of failure to file Answer, the investigation /hearing shall proceed. An Answer filed out of time shall not be admitted except on meritorious grounds and upon motion.

Section 3. Motion for Extension. Only one motion for extension of time to file Answer shall be allowed. The OE Adjudicator, upon receipt of such motion may, upon meritorious grounds, grant a non-extendible period of ten (10) calendar days. Except where allegations in the complaint refers to facts or circumstances which occurred abroad making it necessary to verify with the concerned foreign principal, a longer period may be granted. A ruling on the motion may be made by the OE Adjudicator during the proceedings and entered in the minutes or sent by personal service or by registered mail.

Section 4. Proof and Completeness of Service. The contents of the return shall be proof of the facts stated therein. Service by registered mail is complete upon receipt by the addressee or agent; but if the addressee or agent fails to claim his mail from the postmaster, service shall take effect after the date of the last notice. Where the present location of the addressee is unknown, service made at the last known address shall be sufficient. Personal service made in any registered office or officer or personnel of the private recruitment agency shall likewise be sufficient.

Section 5. Nature of Proceedings. The proceedings shall comply with the requirements of due process without strictly adhering to the technical rules of procedure and evidence applicable to judicial proceedings. The OE Adjudicator may avail himself of all reasonable means to ascertain the facts of the case.

Section 6. Preliminary Hearing. The OE Adjudicator shall set the date, time and place of the preliminary hearing with due notice to the parties, with the end view of arriving at an amicable settlement and for purposes of simplifying the issues, marking of evidence and stipulation of facts.

Section 7. Clarificatory Questions. At any stage of the proceedings and before the case is submitted for resolution, the OE Adjudicator may initiate clarificatory questions to the parties or their witnesses to further elicit relevant facts or information. The OE Adjudicator may set a hearing where the parties shall be given an opportunity to be present but without right to examine or cross-examine. If the parties so desire, they may submit questions to the OE Adjudicator who may ask the parties or witnesses concerned.

Section 8. Service of Order to Appear/To Produce Documents. The Administration may issue an order to appear/to produce documents specified in the order. The process server who personally served the order to appear/produce documents, notice order, resolution or decision shall submit his return within five (5) calendar days from the date of his service thereof, stating legibly in the return his name, the mode/s of service, the name/s of the other person/s to whom it was served and the date/s of receipt. If no service was effected, the serving officer shall state the reason. The return shall form part of the records of the case.

Section 9. Failure or Refusal to Obey Order to Appear/to Produce Documents. The license of any agency whose officers or employers fail or refuse to comply with an order to appear/to produce documents without justifiable reason shall be suspended until other wise ordered. This is without prejudice to the outcome of the investigation where the proper penalty may be imposed.

Section 10. Summary Judgment. Should the OE Adjudicator find, upon consideration of the complaint, answers and evidence submitted, that resolution/decision may be rendered, the case shall be deemed submitted and a summary judgment shall be issued.

Section 11. Effects of Withdrawal of Complaint/ Desistance. The withdrawal of complaint/ desistance shall not bar the Administration from proceeding with the investigation of the recruitment violation/s. The Administration shall resolve the case on the merits and impose the appropriate penalties.

Section 12. Resolution of the Case. Except as provided in Section 16 hereof and Section 6, Rule II, Part VII, the OE Adjudicator shall, within ninety (90) calendar days from the filing of the case, submit his findings and recommendations in the form of a draft order.

Section 13. Who May Issue Orders. The Administrator may issue orders of reprimand, suspension of documentary processing, suspension, cancellation or revocation of license, or dismissal on the merits of the case. All other orders or resolutions shall be signed by the Director, Adjudication Office of the Administration.

Section 14. Contents of Orders/Resolutions. Orders/ Resolutions issued by the Administration shall be clear and concise and shall include a brief statement of the following:

1. facts of the case;

2. issue/s involved;

3. applicable law/s or rule/s;

4. conclusions and reasons therefor; and

5. specific remedy/ies or relief/s granted or sanction/s.

Section 15. Suspension of Documentary Processing. The Administration may order the suspension of the processing of documents of a respondent agency for violation of any provision of these Rules, Orders, and Regulations. Such is without prejudice to the outcome of the investigation wherein the proper penalty may be imposed.

Section 16. Preventive Suspension. Pending investigation of the recruitment violation/s, the license of the respondent agency may be suspended for a period not exceeding the imposable penalties under the revised schedule of penalties, on the following grounds:

1. There exist reasonable grounds to believe that the continued operation of the agency will lead to further violation or exploitation of the workers being recruited or adversely affect friendly relations with any country or otherwise prejudice national interest; and

2. There is a prima facie evidence of a case for violation of the pertinent provisions of the Labor Code, its implementing rules and regulations, POEA Rules and Regulations or any issuance of the Administration where the evidence of guilt is strong. The Administrator may issue an order lifting or modifying the order of preventive suspension as the circumstances may warrant. Where an Order of Preventive Suspension is issued by the Administration, the OE Adjudicator shall, within sixty (60) calendar days from filing of the case, submit his findings and recommendations in the form of a draft order.

Section 17. Effects of Orders of Suspension, Revocation or Cancellation of License. An order of suspension, cancellation or revocation of license shall have the effect of suspending or terminating all activities of the agency which fall under the definition of recruitment and placement.

Section 18. Fines. The Administration may also impose fines for failure to comply with a final order.

RULE IV

CLASSIFICATION OF OFFENSES

AND SCHEDULE OF PENALTIES

Section 1. Classification of Offenses. Administrative offenses are classified into serious, less serious and light, depending on their gravity. The Administration shall impose the appropriate administrative penalties for every recruitment violation.

1. The following are serious offenses with their corresponding penalties:

1. Deploying underage workers

1st  Offense – Cancellation of License

2. Engaging in act/s of misrepresentation for the purpose of securing a license or renewal thereof, such as giving false information or documents

1st  Offense – Cancellation of License

3. Engaging in the recruitment or placement of workers in jobs harmful to public health or morality or to dignity of the Republic of the Philippines

1st  Offense – Cancellation of License

4. Transfer or change of ownership of a single proprietorship licensed to engage in overseas employment

1st  Offense – Cancellation of License

5. Charging or collecting placement fee for deployment to countries where the prevailing system, either by law, policy or practice do not allow the charging or collection of placement and recruitment fees.

1st  Offense – Cancellation of License plus refund of the  placement fee charged or collected from the worker. The penalty shall carry the accessory penalty of refund of the fee collected from the worker.

6. Charging or accepting directly or indirectly any amount greater than that specified in the schedule of allowable fees prescribed by the Secretary, or making a worker pay any amount greater than that actually received by him as a loan or advance

1st  Offense – Cancellation of License plus refund of the placement fee charged or collected from the worker. The penalty shall carry the accessory penalty of refund of the excessive fee charged or collected from the worker.

2. The following are less serious offenses with their corresponding penalties:

1. Charging, imposing or accepting directly or indirectly, any amount of money goods or services, or any fee or bond for any purpose whatsoever before employment is obtained for an applicant worker

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License. The penalty shall carry the accessory penalty of refund of the fee charged or collected from the worker, in case of non-deployment.

2. Collecting any fee from a worker without issuing the appropriate receipt clearly showing the amount paid and the purpose for which payment was made

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd  Offense - Cancellation of License

3. Engaging in act/s of misrepresentation in connection with recruitment and placement of workers, such as furnishing or publishing any false notice, information or document in relation to recruitment or employment

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

4. Obstructing or attempting to obstruct inspection by the Secretary, the Administrator or their duly authorized representatives

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

5. Substituting or altering to the prejudice of the worker, employment contracts approved and verified by the Administration from the time of actual signing thereof by the parties up to and including the period of the expiration of the same without the approval of the Administration

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

6. Withholding or denying travel or other pertinent documents from workers for reasons other than those authorized under existing laws and regulations.

1 st Offense – Suspension of License (Two Months to Six

Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

7. Engaging in recruitment activities in places other than that specified in the license without previous authorization from the Administration

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

8. Appointing or designating agents, representatives or employees without prior approval from the Administration

1 st Offense – Suspension of License (Two Months to Six   Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

9. Falsifying or altering travel documents of applicant worker in relation to recruitment activities

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

10.   Deploying workers whose employment and travel documents were not processed by the Administration or those agencies authorized by it

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

11.   Deploying workers to principals not accredited by the Administration.

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

12.   Withholding of workers’ salaries or remittances without justifiable reasons or shortchanging of remittances

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

The penalty shall carry the accessory penalty of immediate release of the salaries or remittances being claimed.

13.   Allowing persons who are otherwise disqualified to participate in the overseas employment program under existing laws, rules and regulations to participate in the management and operation of the agency

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

14.   Failure to reimburse expenses incurred by the worker in connection with his documentation and processing for purposes of deployment, where deployment does not take place without the worker’s fault

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

The penalty shall carry the accessory penalty of immediate refund of expenses incurred by the worker

15.   Failure to comply with the undertaking to provide Pre-Departure Orientation Seminar to workers

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

16.   Non-compliance with any other undertaking in connection with the issuance or renewal of the license

1 st Offense – Suspension of License (Two Months to Six Months)

2 nd Offense – Suspension of License (Six Months and One day to One year)

3 rd Offense - Cancellation of License

3. The following are light offenses with their corresponding penalties:

1. For the owner, partner, or officer/s of any licensed agency to become an officer or member of the Board of any corporation or partnership engaged directly or indirectly in the management of a travel agency

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

2. Inducing or attempting to induce an already employed worker to transfer from or leave his employment for another unless the transfer is designed to liberate a worker from oppressive terms and conditions of employment

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

3. Influencing or attempting to influence any person or entity not to employ any worker who has not applied for employment through his agency

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

4. Failure to deploy a worker within the prescribed period without valid reason

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

5. Coercing workers to accept prejudicial arrangements in exchange for certain benefits that rightfully belong to the workers

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

6. Disregard of orders, notices and other legal processes issued by the Administration

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

7. Failure to submit reports related to overseas recruitment and employment within the specified time as may be required by the Secretary or the Administration

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One

day to Six Months)

4 th Offense - Cancellation of License

8. Violation of other pertinent provisions of the Code and other relevant laws, rules and regulations, guidelines and other issuances on recruitment and placement of workers for overseas employment and the protection of their welfare

1 st Offense – Reprimand

2 nd Offense – Suspension of License (One Month to Three Months)

3 rd Offense – Suspension of License (Three Months and One day to Six Months)

4 th Offense - Cancellation of License

Money claims arising from recruitment violation may be awarded in addition to the administrative penalties imposed.

Section 2. Imposition of Fines. In addition or in lieu of the penalty of suspension of license, the

Administration may impose the penalty of fine which shall be computed at P10,000.00 for every month of suspension.

Section 3. Mitigating, Aggravating or Alternative Circumstances. In the determination of the penalties to be imposed, the following mitigating, aggravating and alternative circumstances attendant to the commission of the offense shall be considered:

1. First Offender;

2. Admission of guilt and voluntary restitution, where applicable;

3. Good faith;

4. Exemplary Performance;

5. Recidivism;

6. Prejudice to the worker;

7. Gross negligence;

8. Other analogous circumstances.

Section 4. Manner of Imposition. When applicable, the imposition of the penalty may be made in accordance with the manner provided below:

1. The minimum of the penalty shall be imposed where only mitigating and no aggravating circumstances are present.

2. The medium of the penalty shall be imposed where no mitigating and aggravating circumstances are present.

3. The maximum of the penalty shall be imposed where only aggravating and no mitigating circumstances are present.

4. Where aggravating and mitigating circumstances are present, paragraph (a) shall be applied where there are more mitigating circumstances present; paragraph (b) shall be applied when the circumstances equally offset each other; and paragraph (c) shall be applied where there are more aggravating circumstances.

Section 5. Penalty for Cases Involving Five or More Complainants. A respondent found guilty of committing an offense, regardless of the number or nature of charges, against five (5) or more complainant in a single case shall be imposed the penalty of cancellation of license.

[ back to POEA Rules and Regulations ]