By
Obiter07
At a time when we see
profligate spending and scams using the people’s money, it is encouraging to
see one government office shunning even the appearance of impropriety. The SEC, in Office Order No. 391 dated 1 July
2013,
has established a policy prohibiting the solicitation, acceptance and receipt
of gifts:
“II. POLICY ON GIVING
AND ACCEPTING OF GIFTS, DONATIONS AND SPONSORSHIP
Section 1. SEC officials and employees shall not,
directly or indirectly, solicit, accept or receive any gift and/or benefit for
themselves or for others from the following:
“Section 2. The following are EXCEPTIONS to Section 1;
a)
Parties, counsel and
their agents;
b)
Corporations,
partnerships, associations and their agents;
c)
Suppliers and
contractors, and their agents; and
d)
Any member of the public
transacting business with the Commission.”
The policy is iron-clad.
One would think there may be loopholes but the exceptions are likewise clearly
defined:
“Section 2. The following are EXCEPTIONS to Section 1;
a.
Gifts
that may be exchanged between and among SEC officials and employees appropriate
to the occasion in which it is given such as Christmas or birthday
celebrations; provided that, these gifts are not given in anticipation of,
or in exchange for a favor and do not exceed P2,50O in value;
b.
Contributions/assistance
from the Commission, fellow officials and employees in cases of
death, illness, calamities and other similar emergencies;
c.
Gifts
and/or benefits received by the Commission as an institution from other
offices, organizations or individuals not covered under Section 1 hereof
including grants and donations which are aimed at sustaining or enhancing SEC
programs and services, as well- as gifts and benefits for official
functions/events like Christmas, Labor Day, Founding Anniversary,
Independence Day Celebrations; provided that, the gifts and/or benefits that
were delivered in the work place and valued at Ten Thousand Pesos
(P10,000.00) or more shall be recorded in the Registry Book of Gifts to be
maintained and kept in the custody of the Assistant Director of the General
Services Division of the Human Resources & Admin. Department
(“GSD-HRAD");
d.
Gifts
or cash awards given by the Commission to SEC officials and employees
during Anniversary, Christmas celebrations and other related official
or milestone events and those
covered by an appropriate Collective Negotiation Agreement;
e.
Gifts
that may be exchanged between and among members of the Inter-Agency
Committees and other organizations to which the SEC is a member, provided
that gifts received amounting to Five Thousand Pesos (P5,000.00) or more
shall likewise be recorded in the Registry Book of Gifts by the Assistant
Director of the Gso-HRAD;
f.
Performance-based cash rewards, scholarship grants, and
similar benefits granted to SEC officials and employees by other government
agencies, private institutions, or national or international organizations; and
g.
Unsolicited gifts or
tokens of nominal or insignificant value offered or given as a mere
ordinary token of gratitude or friendship according to local customs or usage
in accordance with Section 14 of Republic Act No. 3019 and Section 3 (d) of RA
6713.” [Underscoring supplied]
The last item above may
seem to provide an avenue for token gifts from private parties but even this is
defined to be a gift the value of which “should not exceed Five Hundred Pesos
(P500.00)” (Part I, Definition of Terms).
And if someone is creative enough to disguise the gift as something for
sale, this will still be caught under the policy. A gift is defined as “a thing disposed of
gratuitously, in favor of another, and shall include a simulated sale, or a
disposition onerous to the giver and/or unduly beneficial to the recipients.” A benefit “refers to a right, privilege,
entertainment, exemption or any other similar act of liberality in favor of
another.”
Neither can an SEC
official “pad” the fees due them or the office.
“Section 3. In the course of the performance of their
official functions, SEC officials and employees shall not accept any fee or
remuneration beyond what they are legally entitled to receive in their official
capacity in accordance with law. However,
they may receive plaques, awards, certificates, souvenirs or other tokens of
appreciation or gratitude as appropriate to the occasion/ceremonies in which it
is made, provided that such plaques, awards or certificates will not be perceived
as intended to influence SEC officials and employees in the performance of
their official functions.” [Underscoring supplied]
What happens if a party
persists and sends a gift? Not all is
lost, as this will end up with charitable organizations or the indigent.
“Section 4. All other gifts not mentioned in Sections 2
and 3 hereof shall not be accepted and shall be immediately returned to the
giver. In circumstances where it is considered
inappropriate or impractical to return said gifts (e.g. perishable goods), or where
the giver/sender is nowhere to be found despite diligent inquiry, the SEC
official or employee concerned shall immediately turn over the same to the
Asst. Director of GSD-HRAD, who shall acknowledge the same and record such
gifts in the Registry Book of Gifts and dispose the same in the name of the
Commission in favor of charitable organizations, schools, or any other
appropriate institutions or organizations including indigent families.”
[Underscoring supplied]
Any violation will be
dealt with in accordance with applicable law, rule or regulation as the Order
only serves to supplement existing laws, rules and regulations on giving and
accepting gifts and/or benefits (Part III, Penalties). The Order specifically mentions that it was
established in compliance with the 1987 Constitution and the following laws:
1. R.A. 6713 (Code of
Conduct and Ethical Standards for Public Officials and Employees),
2. R.A. 9485 (Anti-Red Tape Act of 2007),
3. R.A. 3019 (Anti-Graft And Corrupt Practices Act),
4. Secs. 46 (a) and (b)(9) Title I, Subtitle A, Chapter 5, Book V, Executive
Order No. 292 (1987 Administrative Code),
5. P.D. 46 (Making It Punishable For Public Officials And Employees To
Receive, And For Private Persons To Give, Gifts On Any Occasion, Including
Christmas), and
6. SRC Rule 6.2 (6)(E)(i) of the Implementing Rules and Regulations of the
Securities Regulation Code.
It may be better to give
than to receive. But both are no longer allowed at the SEC as no party can
give, and no SEC official can receive, unauthorized gifts and/or benefits.
