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COMMISSION ON AUDIT RESOLUTION NO.

96-303 April 16, 1996

SUBJECT : MERIT PROMOTION PLAN (MPP)

WHEREAS, the professional management and innovative development of human


resources are capstones in the making of an effective Commission on Audit;

WHEREAS, the Audit Code of the Philippines (PD 1445), the Administrative Code, the
Philippine Civil Service Law (PD 807), and the CSC Omnibus Rules lend guidance and support
to this concern of the Commission;

WHEREAS, the Commission is committed to secure the services of competent


professionals, develop their capacity in line with excellent public work ethics, maintain loyalty to
the constituted authority, and cultivate the unrelenting service to the people;

NOW, THEREFORE, the Commission Proper Resolves, as it does hereby resolve, that
the COA Merit Promotion Plan (MPP) herein stated be adopted and made operational.

1. THIS COA MERIT PROMOTION PLAN AIMS TO:

1.1 Establish recruitment and promotion system based on merit and fitness;

1.2 Sustain fairness, consistency, and objectivity in the selection and promotion of
personnel; and

1.3 Create equal opportunities for personnel development and career mobility to all
personnel within the Commission.

2. SCOPE

This Plan shall serve all COA officials and employees classified under the first
and second levels of the career service in the Commission.

2.1 Definition of Terms

2.1.1 Recruitment - hiring of an outsider to serve for the first time the
Commission.

2.1.2 Promotion - advancement of an employee from one position to another


with an increase in duties and responsibilities and usually accompanied
by an increase in salary.

2.1.3 Merit Promotion - systematic method of selecting employees for


advancement or promotion based on qualification, fitness and ability to
perform the duties and assume the responsibilities of the position being
filled.

2.1.4 Plantilla or Staffing Pattern - manning structure of COA offices, audit unit,
audit group, & audit team based primarily on work load requirements.

2.1.4 Career Service - a category in the Philippine Civil Service characterized


by entrance to position based on merit and fitness to be determined as far
as practicable by competitive examinations or based on highly technical
qualifications, opportunity for advancement to higher career positions,
and security of tenure.

2.1.6 First Level - includes clerical, trades and crafts, and custodial service
positions which involve sub-professional work in a non-supervisory or
supervisory capacity requiring less than four (4) years of collegiate
studies.

2.1.7 Second Level - includes professional, technical, and scientific positions


which involve professional, technical, and scientific work in a non-
supervisory or supervisory capacity requiring at least four (4) years of
college studies up to Division Chief level.

2.1.8 Position Groupings - refers to the various position titles falling under a
particular position or occupational group.

Ex. - Auditing Group

State Auditor V
State Auditor IV
State Auditor III
State Auditor II
State Auditor I

2.1.9 Position Ranking (Nest-in-Rank Position) - the hierarchical arrangement


of positions in a specific position grouping and is determined in terms of
functional relationships between positions taking into account the
following:

a. Organizational Structure(s) as reflected in the approved


organizational charts,

b. classification and/or functional relationship.

c. salary and/or range allocation, and

d. geographical location wherever applicable.

Such determination shall be made on a wide area of selection as


possible within the functional/structural relationship.

2.1.10 Ranking of Personnel - the hierarchical arrangement of all employees


from highest to lowest on the basis of the position level, job performance,
and qualifications.
2.1.11 Functional Relationship - the correlation between the position to be filled
and the position to be considered next-in-rank taking into consideration
the duties and responsibilities of both positions.

2.1.12 Geographical Location - the location of the position to be filled and


position/s to be considered next-in-rank to the same, as follows:

1st level - Office or Province wide


2nd level - Region Wide

2.1.13 Qualified Next-in-Rank - an employee appointed on a permanent basis to


a position previously determined to be next-in-rank to the vacancy
proposed to be filled and who meets the requisites for appointment
thereto as previously determined by the appointing authority and
approved by the Commission.

2.1.14 Open Position - refers to those positions that do not have any positions
next-in-rank or residual positions of each level or group which may be
filled by laterally/vertical entry.

2.1.15 Superior Qualifications - means outstanding performance, relevant work


experience and specialized academic preparation or training appropriate
for the position to be filled.

2.1.16 In-depth Promotion - promotion and other personnel movements based


on individual special achievements. This complements the regular
promotional movements.

2.1.17 Promotional Line-Up - a listing incumbents of positions next-in-rank to a


vacancy as well as those who, though not next-in-rank, are deemed
qualified and competent together with all necessary information about
each incumbent.

3. GENERAL POLICIES

3.1 Merit, fitness, and competency shall be the bases of personnel action in
recruitment and promotion.

3.2 Recruitment and promotional actions shall always be transparent, fair, and
objective.

3.3 Open, professional, and competitive procedures shall be used to determine the
best qualified candidate to fill the position.

3.4 Government employment in the career service shall be open to qualified Filipino
citizens and shall attract the best qualified candidates.

4. SPECIFIC GUIDELINES

4.1 All COA offices, units, and audit groups shall have and maintain Plantilla of
personnel positions for effective delivery of audit and other services. Positions
allotted to the region, office or operating area (i.e. NGAO and LGAO in Metro
Manila) shall be maintained and used only within these places.

4.2 The Pool of position items as a practice shall remain operational solely for the
purpose of meeting the manpower needs and effectiveness management of the
office. It shall be effected in the following manner.

1st level positions - for movements or assignments within office, city or


province wide.

2nd level positions - for movements or assignments region wide.

4.3a. The COA Qualification Standards and other determinants of sound personnel
management shall be used to ensure effective recruitment and promotion
processes.

b. Employee who holds a next-on-rank position and qualified for promotion shall be
considered for appointment to the next higher vacant position.

4.4 Promotional movement shall be allowed up to one (1) rank higher position.

4.5 The Commission Proper may promote an employee who is not next-in-rank in
case of the in-depth selection in accordance with the prescribed requirements.

4.6 Reasons for disqualifying an employee from promotion must be substantiated


and evaluated by the Selection and Promotions Board.

4.7 When an employee has a pending administrative case, he shall be disqualified


for promotion during the pendency thereof. If he is found guilty, he shall be
disqualified for promotion for a period based on the penalty imposed as
prescribed by the Commission. For purposes of this Rule, a pending
administrative case shall be construed as follows: (1) when the disciplining
authority has already filed a formal charge; or (2) in case of a complaint filed by
a private person, a prima facie case is already found to exist by the disciplining
authority.

4.8 Employee on a scholarship grant either here or abroad may be considered for
promotion.

4.9 The two (2) immediately preceding performance ratings prior to the
recommendation shall be used for the purpose of evaluation and ranking.

5. MERIT PROMOTION PLAN

5.1 First and Second Levels

The following procedures shall be observed in the filling of any vacant


position in the 1st and 2nd levels of the career service.
5.1.1 Publication and Posting of Vacancies

The vacancies authorized to be filled shall be published and filled


ten (10) days after publication.

The complete list of all vacant positions shall be posted in at least


three (3) conspicuous places at the Central Office. The same shall be
done at the Regional level, provincial auditing units, and offices of audit
group for at least ten (10) days.

This shall be the responsibility of the Director of HRMO, the


Regional Directors, and provincial auditors and head auditors.

The above provisions shall apply only after COA's reorganization.

5.1.2 Submission of Recommendations

a. Recommendations for original or promotional appointment by the


Director in the Central Office and NCR auditing units shall be
submitted to the Central Office Selection and Promotions Board
(SPB) for evaluation.

Those from the regional field auditing units shall be


submitted to the Regional SPB.

b. COA employees not recommended but feel that they are


competent and qualified for promotion may submit applications for
promotion directly to the Central/Regional SPB within fifteen (15)
days from notice of vacancies.

The Central Office SPB shall inform the Director concerned


about the application and the latter shall act on it within five (5)
working days. Otherwise, the SPB shall decide on the application
based on available data.

In case of those in the region, the Regional SPB shall


inform the applicants of the action taken, copy furnished the COA
Chairman.

Walk-in applicants and others who apply through an


application form shall also be considered for the position.

c. Immediate supervisors may recommend their promotable


employees as follows:

Immediate Concurring
Recommendee Supervisor Recommendation

Div. Chief Director

Office Staff Div. Chief Director


Head Auditor/ Div. Chief Director
Unit Head (Operating Div.)
(for the duration
of streamlining)

Audit Group Head Auditor Director


(including (Operating Offices)
Audit Teams)

Unit Staff Unit Head Director


(for transi- (Operating Office)
tion during the
streamlining)

d. The Director at any instance may initiate his recommendation.

e. The Central/Regional SPB shall recommend the appointment of


competent and qualified personnel to the CP.

f. CP approved proposal of recommendation/ ranking for


appointment shall be returned to the Director, HRMO for the
preparation of the appointment papers.

g. The Chairman shall sign the prepared appointment for and in


behalf of the CP.

5.1.3 Evaluation of the Candidates for Promotion

5.1.3.1 Regular Promotion Schemes

FACTORS WEIGHTS

Performance 50%
Education 10%) In excess of the minimum
Training 9%) requirements of COA
Experience 7%) Q.S.
Proficiency Exams 10%
Physical Characteristic
& Personality Traits 2%
Potential 12% -To be evaluated and
determined by the
Commission Proper as the
appointing authority.
Supervisors may be required
to provide necessary
information.
------
100%
====
5.1.3.2 For streamlining appointments the following criteria shall apply:

(a) Performance (50%) for two semesters of 1995. For


those who entered COA in 1996, the latest Performance
Rating shall be used.

(b) Education (20%), Training (10%), Experience (6%), and


Physical Characteristics & Personality Traits (2%), shall
use current data.

(c) Potential (12%) - to be evaluated and determined by the


Commission Proper as the appointing authority.
Supervisors may be required to provide necessary
information.

5.1.3.3 Performance : (50%)

a. Employees with at least "Very Satisfactory" performance


rating on two (2) semesters immediately preceding shall
be considered for promotion. The criteria for
performance are computed simply by multiplying the
performance rating by 50%.

b. The performance rating of a reassigned employee shall


be given by the immediate supervisor/team leader under
whom the employee worked for at least four (4) months
within the semester or average of the ratings given by
the previous and current supervisors/team leaders.

c. Employee assigned to perform special tasks should be


given performance ratings by the supervisor for the
duration of the engagement.

d. A normal curve distribution of the performance ratings of


employees shall be applied as follows:

o For every office, personnel performing auditing or


other allied functions shall be ranked against one
another while support staff shall be ranked against
one another while support staff shall be ranked
together.

This ranking shall adopt these percentage


distributions of the normal curve of performance ratings:
5% for "Outstanding" and 20% for "Very Satisfactory,"
etc. This will not apply for streamlining proposals.

e. Any recommendation to change the percentage


distributions of the performance rating shall be justified
by the supervisor with the approval of the Director and
submitted to the Chairman for consideration.

5.1.3.4 Education: (10%)

a. This criterion shall include skills and knowledge acquired


by means of formal schooling. This shall be credited
only in excess of the minimum requirements for the
positions.

b. Regular Streamlining
Appointments Appointments
Degree Points Points
---------- ------------------- -------------------

Doctorate Degree 10 20
Masteral Degree 9 18
LLB 8 17
BSC Accounting 7 16
Other BSC Major 6 15
Engineering 6 15
Other relevant under- 5 14
graduate degree
relevant to position
All academic units 2 7
earned toward any
of these courses but
not less than 21 units

c. BAR and PRC licenses relevant to the work shall be


given additional two (2) points.

d. When all factors have been considered and the ratings of


candidates are equal, scholastic honors earned shall be
credited with one (1) point to break the tie.

5.1.3.5 Training: (9%)

a. This refers to the successful completion of relevant


training courses, scholarships and training grants duly
supported by official certificate in excess of the minimum
requirements for the position. Only training courses
attended from the date of the last promotion of the
employee shall be credited.
b. Points for trainees shall be given in the following manner:

No. of Regular Streamlining


Training Appointments Appointments
Hours Points Points
---------- ----------------------- ---------------------
1441 - 1600, or 10 mos. 9 10
of relevant
training grant
1121-1440 8 9
801-1120 7 8
481- 800 6 7
161- 480 5 6
40 - 160, or 1 mo. 4 5
of relevant
training grant

5.1.3.6 Experience: (7%)

a. Experience refers to specialized or actually gained in the


previous positions and shall be relevant to the functions
of the proposed position. This deals with actual and
realistic work experience that can directly contribute to
the effective performance of the new position.
Appointment to a position but not actually performing the
functions of the position shall not be given credit.

b. This criterion shall be in excess of the minimum


requirement under the Qualification Standards (Q.S.)

Regular Streamlining
Yrs. of Appointments Appointments
Experience Points Points
--------------- ------------------ -----------------
12 - above 7 6
10 - 11 6 5
8- 9 5 4
6- 7 4 3
1- 5 3 2

The reckoning date for experience shall be the date


of last promotion.

c. Auditor serving as heads of auditing units/division chiefs


for a period of five (5) years shall be given the maximum
points.
5.1.3.7 Proficiency Examinations: (10%)

Written examinations based on knowledge and skills


required in the performance of auditorial functions and
competency.

5.1.3.8 Physical Characteristics and Personality Traits: (2%)

The physical fitness, attitudes and personality traits of the


individual which must have a bearing on the position to be filled.

5.1.3.9 Potential: (12%)

Employees capability not only to perform the duties and


assume the responsibilities of the position to be filled but also
those of higher and more responsible positions.

5.1.4 Ranking of Employees

5.1.4.1 Using the criteria stated above, all personnel belonging to the
same position (1st level positions - office/unit wide; 2nd level
positions - province/region wide) shall be evaluated and ranked
from the highest to the lowest every semester. This shall be the
basis for the recommendation of the Directors.

5.1.4.2 Based on the number of vacant positions to be filled, the PRPPD


(Central) and Administrative Division (Regional) shall prepare a
list of all contenders using "Selection and Promotions Board
Ranking List of Promotables" (SPB Form No. 2). The SPB
(Central and Regional) shall evaluate and recommend in writing
to the Commission Proper the top contenders qualified for the
vacancy.

5.1.4.3 The number of contenders to be submitted by the Director for


consideration shall be double the number of vacancies plus one
(1) as illustrated as follows:

No. of vacancies to No. of recommendees


be filled for the for the Commission
same position Proper consideration
------------------------- ------------------------------

1 First ........ 3
3 First ........ 7
5 First ........11
6 First ........13
10 First ........21
20 First ........41
5.1.4.4 The Commission Proper shall select from this submitted list of
contenders their appropriate choice for appointment to the
vacant position.

5.1.4.5 Employees shall be ranked in the office of present assignment


irrespective of the date of reassignment.

5.1.4.6 Ranking lists and subsequent amendments shall be posted for


at least one month on the bulletin board in the office of the
Directors. Copies shall be provided to the Unit Heads for
information to the staff.

5.1.4.7 Requests for amendments of the ranking list by the aggrieved


parties should be addressed to the Director. The director shall
submit to the COA SPB his appropriate comments and
recommendations within five (5) working days.

5.1.5 COA and Promotion Board (SPB)

5.1.5.1 Composition -

Central office

a. An official of the Commission on Audit directly


responsible for the office in charge of personnel matters
and shall serve as ex-officio vice chairman;

b. A representative of management to be designated by the


COA Chairman and shall sit with the Board for a term of
one (1) year as presiding officer of the Board;

c. Representatives of the two (2) Commissioners for a term


of one (1) year;

d. A representative of the organizational unit which may be


an Office, or Division where the vacancy is;

e. Two (2) representatives of the rank and file employees,


one for the first level and another for the second level.
They shall be chosen by the duly registered and
accredited employees union of the Commission and shall
serve for a term of one (1) year; and

f. All members of the Board who have specified term of


service shall observe strictly the duration of their tenure.
The proper replacement shall be authorized by their
respective superiors.
Regional Office

The Board shall be composed of the following: Regional


Director, as Chairman, Chief of the Administrative Division, a
representative of the rank and file employees, one for the first
level and another for the second level, who shall be chosen by
the duly registered and accredited employees union, and a
representative of the regional division where the vacancy is.

5.1.5.2 Duties and Responsibilities of the SPB -

a. Selects candidates for promotion based on the ranking list


submitted by the respective Offices;

b. Evaluates and selects recommendations/ applications of


the candidates in accordance with the approved criteria
and other means to validate competence, knowledge, and
skill of the candidates.

c. Assists the COA Chairman in the selection of the most


qualified candidate for promotion among the top pre-
qualified candidates for promotion;

d. Validates Performance Appraisal Ratings of employees


e.g., conducts inquiries or requires Supervisors/Directors
to support or show basis upon which performance of
employees under their supervision were rated;

e. Maintains records of deliberations which shall be available


for inspection by the Civil Service Commission or its duly
authorized representatives.

f. Makes available upon request to any member of the CP


any and all reference documents used in the evaluations of
candidates;

g. Evaluates appeals and requests for reconsideration and


recommends proper disposition thereof to the Commission
Proper, and

h. The SPB shall meet regularly every Tuesday 8:30 A.M. at


the HRMO.

5.1.5.3 The Personnel Recruitment Placement and Promotions


Division (PRPPD), HRMO

The PRPPD, Human Resource Management Office


(HRMO), shall perform the following functions with regards to
promotion:
a. Develops and maintains the qualification standards of all
positions in the Commission in consultation with the Civil
Service Commission;

b. Recommends policies, systems, and procedures on


personnel recruitment and promotion to the Chairman;

c. Proposes when necessary, amendments to administrative


procedures and documents relevant to the effective
implementation of these promotion guidelines;

d. Serve as Secretariat of the Central Office SPB and


coordinates with the Regional SPB in the implementation
of promotions for regional office;

e. Undertakes the date-to-date evaluation of candidates for


promotions; and

f. Performs other functions as may be directed by the COA


Chairman in the implementation of the promotional policies
of the Commission.

5.2. Third Level

Appointments to the third level positions (State Auditor V/Director II and


above), shall be initiated, evaluated and approved by the Commission Proper.

6. SELECTION AND APPOINTMENT BY THE COA COMMISSION PROPER

The Commission Proper shall assess the merits of the recommendation of the
Central/Regional SPB and select the contender deemed best qualified for the position.
The Personnel Recruitment Placement and Promotions Division (PRPPD), Human
Resource Management Office (HRMO) shall prepare the appointment upon the direction
of the Commission Proper.

6.1 The Central SPB shall submit to the Commission Proper the evaluated papers of
the recommendees in accordance with the No. 5.1.4.3 (p.10).

6.2 The decision of the CP on appointment or non- appointment of recommendees


based on the ranking list shall be returned by the Commission Secretary to
HRMO.

7. PROCESSING AND RELEASING OF APPOINTMENTS

7.1 The Personnel Recruitment Placement and Promotions Division (PRPPD),


HRMO shall prepare the appointment paper, and together with all the
requirements for the signature of the Chairman.

7.2 The PRPPD, HRMO shall submit the appointment to the Civil Service
Commission (CSC) for approval. All approved appointments shall be released to
the appointee through the Director. The PRPPD shall be furnished certificate of
the employee's assumption of office.

8. ANNOUNCING PROMOTIONAL APPOINTMENTS

A notice about approved promotions shall be posted by the


Director, HRMO on the Central Office Bulletin Board and by the Regional Director at the
Regional office immediately within one (1) week upon receipts of the approved
appointments.

9. APPEAL AND REQUESTS FOR RECONSIDERATION

9.1 Who may file protest?

Only a qualified nest-in-rank employee who is not considered for


promotion may file a protest with COA Commission Proper thru the COA SPB.

9.2 Form and Content of Protest

The protest shall be written in clear, simple, concise language, with


following contents:

a. The position contested including its item number and the salary per
annum of both the protestant and the protestee;

b. The full name, office, position and salary per annum of both the protestant
and the protestee;

c. The specifications of the protest; and

d. The comparative qualifications data of both the protestant and protestee


showing: education and training, experience, outstanding
accomplishments, civil service eligibility, latest performance rating, copy
of their approved organizational charts/s of the Department/Agency, and
updated personal data sheets.

9.3 Procedure in filing protest

a. The protest shall be filed in triplicate within fifteen (15) days from notice of
the issuance of the appointment or promotion to the Commission Proper
thru the COA SPB. Failure to file a protest within the prescribed period
shall be deemed a waiver of one's right and no protest shall thereafter be
entertained.

b. The SPB shall secure the comment of the recommending authority within
three (3) days from receipt of the protest. The comment shall be made
within five (5) days. Upon failure on the part of the recommending
authority to file his comment, the case shall be decided on the basis of
the records at hand.

c. The Commission Proper shall decide a protest case within sixty (60) days
from receipt of the protest.

d. A Motion for reconsideration of the decision may be filed with the


Commission Proper within fifteen (15) days from receipt of the decision.

e. The decision of the Commission Proper is appealable to the Civil Service


Commission within fifteen (15) days.

10. RESPONSIBILITY

The PRPPD, Human Resource Management Office, shall be responsible for the
publication and dissemination of this MPP to all COA personnel after its approval by the
Civil Service Commission.

11. APPLICABILITY

The guidelines prescribed herein shall apply to all COA career positions.

12. REPEALING CLAUSE

All issuances by this Commission which are inconsistent herewith are hereby
deemed repealed or modified accordingly.

13. EFFECTIVELY

This Merit Promotion Plan shall take effect upon its approval thereof by the Civil
Service Commission. Any subsequent changes in, or amendments to this Merit and
Promotion Plan shall be subject to the approval of the Civil Service Commission and
shall take effect six (6) months from the date of the approval.

RESOLVED, FINALLY, (a) to direct the Human Resource Management Office to


regularly monitor the implementation of this plan. The Director, HRMO shall submit semestral
reports to the Chairman, Attention: Policy Study Group; (b) after one (1) year of full
implementation of the system, the Policy Study Group shall review, evaluate, and submit
necessary recommendation for improvements of the plan to the Commission Proper; and (c) for
the COA Chairman to establish immediately a committee to administer and manage the plan on
proficiency examinations.

Adopted this 16th day of April, 1996 at Quezon City, Philippines.

(SGD.) CELSO D. GAGAN, Chairman


(SGD.) ROGELIO B. ESPIRITU, Commissioner
(SGD.) SOFRONIO B. URSAL, Commissioner