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I.
POLICY - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
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13
I. Policy
Pursuant to Department order No. 57-04 the conduct of inspection shall be undertaken by the
DOLE labor inspectors in establishments, workplaces and worksites with 10 to 199 workers and
effect restitutions/corrections if there are violations. Spot-checks in relations to self-assessment
(SA) shall likewise partake the nature of a labor inspection, as well as those covered by Technical
Advisory Visits (TAVs) in defined circumstances.
Any violation of Labor Standards unearthed during the conduct of Inspection, SelfAssessment or any case arising therefrom shall be disposed of in accordance with Articles
128,129,162, and 165 of the Labor Code of the Philippines, as amended and its implementing rules
and regulations.
II. Disposition of Labor Standards Cases under Administrative Proceedings
A. Flowcharts on the Modes of Labor Standards Enforcement.
The following flowcharts will show the process of each mode. Details of procedures
for each mode are provided under specific manuals on SA/TAV and Inspection.
Figure 1 - Self-Assessment (SA)
Figure 2 - Technical Advisory Visits (TAVs)
Figure 3 - Inspection Procedures/Disposition of LS Cases
Figure 1.
START
Identify Establishment
covered by SA
Conduct SA
(within 1 mo. from
Receipt of Checklist)
Submit
Checklist
(5 days
after SA)
No
Need
Assistance
No
Yes
Validation
(RET)
Issue Authority
to Assist
Conduct SA
With
Violation
Yes
1
No
END
After one
(1) Year
Spot Check
(RET)
Figure
Figure 2.
Conduct TAV
Orientation
(owners/managers)
Action Plan
(with commitments)
Submitted
Monitor Commitments
Complied
No
2nd Follow-up
Visit
Yes
After one (1) year
Complied
No
Yes
Figure
3
Figure
3
* Details of procedures are provided under Manual of Instructions on the Conduct of Technical
Assistance/Advisory Services for Regional Offices
Figure 3.
START
Issue Inspection
Authority
Establishment *
Inspected/spot check
No Violation
Issue Notice of
Inspection
Result
(NIR)
With
Violation
END
Yes
Issue NIR
Yes
END
Complied
after 7 days
No
Complaints/
Contested
Conduct Hearing
Endorsed to
NLRC
Complied
after 10 days
Decision
Amicably
settled/dismissed
END
END
No
Resolution of MR
/ within 10days /
Forward to OSEC
* Inspection Procedures
Satisfaction of judgement
Opening Conference
Records Review
Walk-Around/Plant
Closing Conference
Details of Procedures on Workplace/Worksite Inspection are
discussed under the Revised Inspection Manual.
B.
Procedures
1. How inspection/spot check is commenced.
Inspection/spot check will be conducted as a result of the implementation of the
Labor Standards Enforcement Framework (D.O. No. 57-04) through the three (3) modes
as aforementioned and as shown under the Flowcharts (Figure 1 to 3) hereto.
2. Coverage of inspection/ spot check.
An inspection/ spot check shall be a thorough inquiry and verification of whether or
not the employer is complying with the labor Standards Laws. However, the Regional
Director can specify that the inspection/ spot check shall be limited only to wages,
occupational health and safety standards or imminent danger.
All inspection/ spot check conducted shall apply to all employees similarly situated.
3. Inspection Authority
The Regional Director in the first instance shall have the authority to conduct
inspections/ spot checks in workplaces/worksites within his/her territorial jurisdiction
pursuant to Department Order No. 57-04.
He/she shall issue an inspection authority directing the duly authorized labor
inspector to conduct an inspection/ spot check at the workplace/worksite specified
therein.
The inspection authority shall be in the prescribed form (IF No.1), specifying the
names or names of the assigned labor inspectors, workplaces/worksites to be inspected,
including their locations.
Within a reasonable time fixed by the Regional Director from the issuance of the
inspection authority, the labor inspector shall proceed to the workplace/worksite listed in
the inspection authority.
Inspection authority for a complaint inspection shall be issued within the day and
inspection authority for accident/imminent danger investigation shall be issued within
twenty four (24) hours from knowledge of the accident/imminent danger situation or
upon receipt of a request of such accident/imminent danger situation.
4. Who may join the inspection (Sec.9 of RA 6727 Implementing Rules and Regulations)
The labor inspector assigned to conduct the inspection shall always be accompanied
by the President or of other responsible officer of the recognized unit or of any interested
union. In non-unionized establishments, a worker representing the worker in said
company shall accompany the inspector.
The workers representative shall have the right to submit his own findings to the
Department of Labor and Employment and to testify on the same if he does not concur
with the findings of the labor inspector.
5. Inspection results
Upon completion of the inspection, the labor inspector shall record the inspection
findings together with the amount to be restituted in the prescribed inspection results
form (Annexed as IF No. 2)
The labor inspector shall furnish copy thereof and explain the same to the owner of
the establishment or to his representatives and the workers or their representatives.
6. Restitutions/ corrections ( Sec. 7 a,b and c, Rule II, Rules on the Disposition of Labor
Standards Cases in the ROs
a) Whether the employer has agreed to make the necessary restitution of violations
discovered in the course of inspection, such restitution may be effected at the plant level
within five (5) calendar days from receipt of the inspection results by the employer or his
authorized representative.
b) Plant-level restitution may be effected for money claims not exceeding Fifty
Thousand (P50,000.00). A report of the restitutions shall be immediately submitted to
the Regional Director for verification and confirmation. In case the Regional Director
finds that the restitutions effected at the plant-level are not in order, he may direct the
LSED Chief to check on the correctness of the restitution report.
c) Restitution in excess of the aforementioned amount shall be effected at the
Regional Office or at the worksite subject to prior approval of the Regional Director
7. Compromise Agreements/Quitclaims/Waivers (Sec. 8, Rule II on the Disposition of
Labor Standards Cases and Administrative Order No. 105, series of 1995)
Should the parties arrived at an agreement as to the whole or part of the dispute, such
compromise agreement may be considered binding provided:
1. It is reduced in writing; and
2. signed by the parties in the presence of the Regional Director or his duly
authorized representative.
As a general rule, quitclaim/waiver executed by an employee in favor of the
employer may bind the parties provided:
1.
2.
3.
4.
8. Summary Hearings (Sec. 11 Rule II, Rules on the Disposition of Labor Standards Cases
in the ROs)
a) Hearing. - Where no proof of compliance is submitted by the employer after seven
(7) calendar days from receipt of the inspection results, the Regional Director shall
summon the employer and the complainants to a summary investigation. In regular
routine inspection cases however, such investigation shall be conducted where no
complete field investigation can be made for reason attributable to the fault of the
employer or his representatives, such as those but not limited to instances when the field
inspectors are denied access to the premises, employment records, or workers of the
employer.
b) Failure to appear (Sec. 14 , Rule II, rules on the Disposition of Labor Standards Cases
in the Ros)
Where the employer or the complainant fails or refuses to appear during
investigation, despite proper notice, for two (2) consecutive hearings without justifiable
reasons, the hearing officer may recommend to the Regional Director the issuance of a
compliance order based on the evidence at hand or an order of dismissal of the
complaint, as the case may be.
11. Motion for Reconsideration (Sec. 19, Rule II, Rules on the Disposition of Labor
Standards Cases)
The aggrieved party may file a motion for reconsideration of the Order of the
Regional Office within seven (7) calendar days from receipt by him of a copy of said
Order.
The Regional Director shall resolve the motion for reconsideration of the Order of
the Regional Office within ten (10) calendar days from receipt thereof. A motion for
reconsideration filed beyond the seven-day reglementary period shall be treated as an
appeal if filed within the ten-day reglementary period for appeal but subject to the
requirements for the perfection of an appeal.
No second motion for reconsideration shall be entertained in any case.
12. Appeals (Rule IV, Rules on the Disposition of Labor Standards Cases in the ROs)
a. Appeal - (Section 1, Rule IV)
The Order of the Regional Director shall be final and executory unless
appealed to the Secretary of the Labor and Employment within ten (10) calendar
days from receipt thereof.
b. Grounds for appeal (Section 2, Rule IV)
The aggrieved party may appeal to the Secretary the Order of the Regional
Director on any of the following grounds;
1.
2.
3.
4.
2.
The appellee may file with the Regional Office his reply or opposition to the
appeal within ten (10) calendar days from receipt thereof. Failure on the part
of the appellee to file his reply or opposition within the said period shall be
construed as a waiver on his part to file the same.
B. Non-imminent danger cases ( Sec.3, Rule VII, Rules on the Disposition of Labor
Standards Cases)
Where the condition is not the type falling under imminent danger cases, the labor
inspector shall determine reasonable periods of compliance depending on the gravity
of the hazards needing corrections or the period needed to come into compliance
with occupational safety and health standards.
16. Other measures to secure compliance (Sec.7, Rule VII, Rules on the Disposition of
Labor Standards Cases).
The Regional Director , in addition to measure available to him to secure compliance
with labor standards, particularly those involving technical safety and general
occupational safety standards, may furnish a copy of the inspection findings to the
insurance company of the employer, the power company the municipal authorities
which issue business Licenses/permits, the labor union in the enterprise concerned, and
to other government offices to further persuade voluntary compliance with existing
standards.
17. Disposition of simple money claims and other benefits (Art.129 of the labor Code, as
amended by RA No. 6715 and under Rule X of the Rules Implementing Book III of the
Code, as incorporated by Section 2 of Rules and Regulations implementing RA 6715)
Summary Proceedings
1. A Regional Director or any duly authorized Hearing Officer of the Department shall
have the power through summary proceedings and after due notice and hearing over
cases involving recovery of wages and other monetary claims if all the following
requirements are present;
a. The claim is presented by an employee or person employed in
domestic/household service, or househelper.
b. The claim arises from employer-employee relationship.
c. The complaint does not include a claim for reinstatement.
d. The aggregate money claim, including legal interest, of each employee or
househelper does not exceed Five Thousand Pesos (P5,000.00)
2.
3.
Appeal
Unless appealed to the NLRC within five (5) calendar days from receipt of the
decision of the Regional Director, the same shall become final and executory.
The procedure for perfecting an appeal shall follow these procedures under
Article 223 of the Labor Code, as amended.
The NLRC shall resolve the appeal within (10) calendar days from submission
of the last pleading required or allowed under its rules.
4.
Supervised Payment
The Regional Director or his/her duly authorized representative shall supervise
the payment of unpaid wages and other monetary claims and benefits, including
(legal) interest, found owing to any employee or househelper under the Labor Code.
B.
C.
D.
E.
F.
Jurisprudence