Implementing Guidelines on Probationary Period Following the Issuance of Original Appointment in the COA

March 6, 2013

COA RESOLUTION NO. 011-13

 

WHEREAS, pursuant to Section 1 (2), Article IX-B of the 1987 Constitution, all appointments in the Civil Service shall be made only according to merit and fitness;

WHEREAS, Section 2 (a), Rule VII of the Omnibus Rules Implementing Book V of EO 292 provides that following their original appointment, all employees must serve a probationary period of six (6) months and must undergo a thorough character investigation;

WHEREAS, the probationary period is important in keeping with the principle of merit and fitness, and the new employees' conduct and performance during this period can be used to determine the continuity of their permanent appointments or their separation from the service;

WHEREAS, the appointee may be separated from the service for unsatisfactory conduct or want of capacity anytime before the expiration of the probationary period;

WHEREAS, the Commission recognizes the need for a clear-cut policy on probationary period, particularly its duration and coverage, assessment of new employees' performance and conduct, conditions for continuity of permanent appointment or termination of service, and mechanism for facilitative action on appeal or motion for reconsideration.

NOW, THEREFORE, foregoing premises considered, the Commission Proper (CP) resolves, as it is hereby resolved, to prescribe the following rules on probationary period:

1. Objectives

The probationary period for permanent appointment shall have the following objectives:

(a) To serve as an on-the-job assessment of a new appointee's knowledge, skills and attitude necessary to perform the duties and responsibilities of the position as enumerated in the Position Description Form (PDF) and specified in the approved performance targets and work output standards;

(b) To provide the appointee with appropriate assistance through human resource interventions, such as coaching, mentoring and other applicable interventions; and to closely supervise and monitor their performance; ACTIHa

(c) To monitor and assess the conduct of the appointee and act appropriately on any incidence of unsatisfactory behavior; and

(d) To determine whether the appointee shall continue to hold permanent appointment or be separated from the service within or at the end of the probationary period due to want of capacity or unsatisfactory conduct.

2. Definition of Terms

(a) Probationary period refers to the period of actual service following the issuance of an original appointment where the appointee undergoes a thorough character investigation and assessment of capability to perform the duties of the position enumerated in the PDF.

(b) Original appointment is the initial entry into the career and non-career service. For purposes of this Resolution, entry into the career and non-career service through original appointment, re-employment and transfer shall be covered by the probationary period.

(c) Re-employment is the re-entry into the government service where the appointee was previously appointed to a position in the career or non-career service under permanent status but was separated from the service as a result of voluntary resignation, optional retirement, and end-of-term of the appointing official (for coterminous employees). Re-employment presupposes a gap in service.

(d) Transfer is the movement of the appointee from a government agency to the COA without break in service.

(e) Career service employees are those whose entrance in the service presupposes having passed the standard test of merit and fitness.

(f) Non-career service employees pertain to those whose entrance in the service is based on the trust and confidence of the appointing authority, without the need to pass through the usual test of merit and fitness, and whose tenure is coterminous with the appointing authority.

(g) Want of capacity refers to the failure of the appointee during the probationary period to perform the duties and responsibilities based on standards of work outputs agreed upon and reflected in the duly signed performance targets.

(h) Unsatisfactory conduct refers to the failure of the appointees to observe propriety in their acts, behavior and human/public relations, and to irregular punctuality and attendance while performing their duties and responsibilities during the probationary period.

3. Duration of the Probationary Period

The probationary period shall be for six (6) months reckoned from the date of assumption of office.

4. Coverage

The probationary period shall cover the following employees:

4.1 those who are issued original appointments under permanent status, transferees from other government agencies and those who are re-employed by the government, who meet all the requirements of the positions including the civil service eligibility;

4.2 non-career service employees who are first-time appointees under permanent status in the service; and

4.3 those who are issued original appointments under temporary status in the career service.

The start of the probationary period shall also be utilized as a reckoning point for completion by the appointee of the medical/documentary requirements, such as: neuro-psychiatric examination in a COA accredited hospital; medical certificate showing results of blood test, urinalysis, drug test, and chest x-ray; and NBI clearance, within two months from date of assumption of office. EAcIST

A notation that the appointee is under probation for a specified period shall be indicated in the appointments issued to those covered by this Resolution.

5. Probationary Period shall not apply in the following cases:

5. 1Appointments to effect change of status from Temporary to Permanent; and

5.2 Previous holders of permanent positions who were appointed to Temporary or Coterminous position, and eventually re-issued a permanent appointment.

6. Performance Rating during the Probationary Period

Performance rating under this Resolution shall be done every three (3) months during the probationary period but not to extend beyond five and a half (5.5) months.

7. Procedures

7.1 Performance Target Setting and Standards

7.1.1 The performance targets and work output standards of the appointee shall be set and agreed upon by the appointee (ratee), the immediate supervisor (rater), the head of office/cluster and the sector head within five (5) working days upon the appointee's assumption of office.

7.1.2 The immediate supervisor (rater) shall fill up the Individual Action Plan (IAP) portion of the Individual Action Plan and Accomplishment Report (IAPAR) form (Annex A). This shall contain the activities that shall be undertaken by the appointee, expected work output and timeline by which the activities should be accomplished in line with the goals of the Unit/Division/Cluster/Office/Sector, as set, agreed upon and duly signed by the appointee (ratee), the immediate supervisor (rater), the head of office/cluster and the sector head.

The IAPAR shall form part of the appointee's 201 file records.

7.2 Performance Monitoring and Coaching

7.2.1 The immediate supervisor (rater) of the appointee shall:

(a) discuss issues and concerns relative to the conduct of the appointee to ensure that he/she has a clear understanding of the conduct expected of him/her;

(b) regularly monitor the work activities of the appointee to determine work progress and ensure quality of work output and assess the conduct of the appointee and give timely and appropriate counseling to immediately correct any unsatisfactory conduct;

(c) record critical incidents of unsatisfactory conduct such as habitual tardiness and absenteeism, leaving the work place without permission, loafing, and unusual behaviors (such as rumor-mongering, scandal-mongering, ego-tripping, arrogance, abrasive behavior, bullying, and the like); and

(d) gather feedback on the appointee's performance, and conduct feedback sessions or counseling to determine appropriate interventions to improve the appointee's performance.

7.2.2 To ensure that unsatisfactory performance or conduct is immediately addressed during the probationary period, the immediate supervisor (rater) shall consider the following strategies:

(a) Issues on performance shall be discussed by the immediate supervisor (rater) with the appointee citing both positive and negative feedback on the latter's performance;

(b) Unsatisfactory conduct shall be addressed by the immediate supervisor (rater) and the appointee through a private meeting with the intention of giving the latter a warning that unsatisfactory behavior must be corrected immediately and that failure to do so shall mean termination of his/her service during the probationary period. In addition, a written warning, duly signed by the immediate supervisor (rater) and the head of office/cluster, shall be served by the immediate supervisor (rater) to the appointee during the one-on-one meeting. The written warning shall state the nature of the unsatisfactory conduct, the specific improvement to be made, the time within which he/she must improve and the consequence of the failure to make the improvement; a copy thereof will be furnished the appointee's 201 File;

(c) If after a written warning has already been issued to the appointee and his/her unsatisfactory performance or conduct has not been corrected despite the normal mentoring and coaching, appropriate counseling, constructive criticism, and specific training provided by the immediate supervisor (rater), the Performance Evaluation and Review Committee (PERC) shall recommend to the COA Chairperson the issuance of a Notice of Termination of Service to the appointee.

7.3 Performance Review

7.3.1 Performance review shall be conducted at least every month or within ten (10) working days before the end of each rating period during the probationary period;

7.3.2 The appointee shall fill up the Accomplishment Report (AR) portion of the IAPAR form within ten (10) working days before the end of the month or the quarter during the probationary period to indicate his/her accomplishments. Any intervening activities shall also be reflected therein.

7.3.3 The immediate supervisor (rater) shall review/validate the actual work output of the appointee and determine the gaps between the set target and actual work output. The rater shall discuss with the appointee the result of validation made on the AR. The AR shall be reviewed/validated and signed by the appointee (ratee), the immediate supervisor (rater), the head of office/cluster and the sector head ten (10) working days before the end of each rating period during the probationary period.

7.4 Performance Evaluation

7.4.1 The immediate supervisor (rater) shall prepare the Performance Appraisal Form (PAF) prescribed under the COA Performance Appraisal System (COA-PAS) within ten (10) working days before the end of the probationary period:

PAF for Level I (Salary Grade 1 to 10) — Annex B

PAF for Level II (Salary Grades 11 to 24) — Annex B.1

7.4.2 The immediate supervisor (rater) shall rate the appointee based on the commitments made in the IAP, the actual work output in the AR and his/her conduct during the probationary period and prepare the narrative assessment in the PAF. The immediate supervisor (rater) shall discuss with the appointee the result of validation made on the PAF. The PAF shall be reviewed/deliberated by the Sectoral/Regional PERC. The PAF shall be signed by the appointee (ratee), the immediate supervisor (rater), the head of office/cluster and the sector head within ten (10) working days before the end of the probationary period. EHTSCD

Illustrative Example:

Activity		Schedule
Date of appointment		20-Dec-12
Date of Assumption of Office		2-Jan-13
Probationary Period (six (6)		January 2 to July 1, 2013
months)
Setting of Performance Targets		January 2 to 4, 2013
Performance Rating Periods:	1st	January 2 to April 1, 2013
	2nd	April 2 to June 14, 2013
PERC Deliberation and Decision		June 17 to 19, 2013
Issuance of Notice of Termination		Within ten (10) days
		immediately after it was
		proven that the appointee
		has demonstrated
		unsatisfactory conduct or
		want of capacity during the
		probationary period

7.4.3 The critical factors to be reviewed shall be based on the performance standards provided in the COA-PAS and may include aptitude, learning ability, work quality, timeliness in submission of work output, human/public relation, attitude (service orientation, accountability, resourcefulness, team spirit, courtesy, initiative, loyalty, and ambition), and job-related critical incidents, such as loafing, habitual tardiness/undertimes, and continuous absence from work.

7.4.4 The appointee shall be furnished with copies of the records of feedback, job-related critical incidence, and PAF with comments on his/her capability to meet the performance targets and work output standards and/or recommendation for the continuance/discontinuance of his/her the permanent appointment. Corresponding copies shall be included in the 201 File of the appointee.

Attached is the Performance Setting/Review/Evaluation and Filing of Appeal Schedule, for reference (Annex C).

8. Continuance of Permanent Appointment After the Probationary Period

The permanent status of the new appointee shall continue after the completion of the probationary period provided that:

(a) the average rating he/she obtained in the two (2) performance rating periods during the probationary period is at least "Very Satisfactory" and the PERC has approved the continuance of the permanent appointment based on the recommendation of the immediate supervisor (rater).

Illustrative Example

Probationary period	:	6 months
Performance rating periods	:	1st-3rd month and 4th-5 and 1/2 month
Rating on the 1st rating period	:	89.989 (Satisfactory)
Rating on the 2nd rating period	:	93.698 (Very Satisfactory)
Average rating	:	(89.989 + 93.698) ÷ 2 = 91.843 (Very Satisfactory)

or

(b) no Notice of Termination of Service is issued by the COA Chairperson during the probationary period or within five (5) working days before its completion due to unsatisfactory conduct or want of capacity.

9. Notice of Termination of Service

9.1 For non-compliance with medical/documentary requirements:

(a) In case the appointee has not complied with the medical/documentary requirements after the two-month prescriptive period has lapsed, the Director, Human Resource Management Office (HRMO), shall immediately issue a written warning to the appointee, requiring him/her to submit the required documents within one (1) month from receipt by the appointee of the written warning and stating that non-compliance will mean his/her termination from the service. THADEI

(b) Should the appointee fail to comply with the medical/documentary requirements mentioned under item 4 of this Resolution, upon the recommendation of the Director, HRMO, the COA Chairperson shall issue a Notice of Termination of Service (Annex D) to the appointee within ten (10) working days immediately after the one (1) month extension period reckoned from the receipt of the written warning.

9.2 For unsatisfactory conduct or want of capacity during the probationary period:

Upon the recommendation of the Head, PERC, the appointee shall be issued a Notice of Termination of Service by the COA Chairperson within ten (10) working days immediately after it was proven that the appointee has demonstrated unsatisfactory conduct or want of capacity during the probationary period. Such notice shall state, among other things, the reasons for the termination of service and shall be supported by at least two (2) of the following:

(a) PAF;

(b) IAPAR;

(c) Report of the immediate supervisor (rater) on job-related critical and unusual incidents and on unsatisfactory conduct or behavior of the appointee; or,

(d) Other valid documents that may support the notice of termination of service.

9.3 The notice of termination of service shall be immediately executory, pending appeal.

9.4 A copy of the Notice of Termination of Service shall be included in the 201 file of the appointee, and the name of the appointee whose service has been terminated shall be reflected by the Human Resource Database Management Service (HRDMS), HRMO, in the Report on Separation to be submitted to the CSC Field Office (CSC-FO), with a copy of the Notice of Termination of Service furnished to the Human Resource Welfare Service (HRWS), HRMO, and the Accounting Office, Planning Finance and Management Sector (PFMS).

The HRDMS and the HRWS shall reflect in the leave cards and Service Record, respectively, of the appointee the effectivity date of the appointee's separation from the service.

10. Performance Evaluation and Review Committee (PERC)

For the purpose of evaluating/screening the performance of appointees during the probationary period, each sector/region shall have its own PERC which shall be composed of the following:

	Organizational Unit		Composition
A.	Central Office/National Capital Region
	Executive	Chair:	Chief of Staff
	Offices (Office of
	the Chairperson,		The Vice-Chair for the Chairman's Office
	Internal Audit		shall be designated by the Chairperson
	Office (IAuO),
	Public Information		The Vice-Chair for the Office of the
	Office, Internal		Commissioners I and II shall be designated
	Affairs Office		by the Commissioner concerned
	(IAO), Office of
	the Commissioners		Director of the Internal Affairs Office/PIO/
	I and II,		Internal Audit Office (if the appointee is
	Commission		assigned at the IAO/PIO/IAuO)
	Secretariat
	[COMSEC])		Director, COMSEC (if the appointee is
			assigned at the COMSEC)
		Members:	State Auditor V (Supervising Auditor) or its
			equivalent
			Immediate Supervisor
			Chief Administrative Officer of the Office
	Clusters	Chair:	Sector Head
	(Operating
	Offices: NGS,	Vice-Chair:	Cluster/Office Director
	CGS, LGS, GAS)
		Members:	State Auditor V (Supervising Auditor) or its
			equivalent
			Immediate Supervisor
			Chief Administrative Officer of the Cluster
	Support Offices	Chair:	Sector Head
		Vice-Chair:	Director
		Members:	State Auditor V (Supervising Auditor) or its
			equivalent
			Immediate Supervisor
			Chief Administrative Officer of the Office
B.	Regional Office
		Chair:	Regional Director
		Vice-Chair:	Assistant Director
		Members:	State Auditor V (Supervising Auditor) or its
			equivalent
			Immediate Supervisor
			Chief, Administration, Training and Finance
			Services

Each Sector/Office shall immediately submit to the HRMO, thru the Assistant Commissioner, Administration Sector, the officials constituting their respective PERCs. In the event that any official/member of the PERC is reassigned/replaced at any time, the concerned PERC shall submit the name/s of the replacement. ADaECI

11. Mechanism for Appeal

11.1 The new appointee whose service has been terminated during or at the end of probationary period may contest the termination of the service pursuant to CSC MC No. 03, s. 2005.

11.2 The appointee shall file a formal appeal directly to the CSC-FO concerned within 15 days from receipt of the Notice of Termination of Service, copy furnished the COA Chairperson, who in turn shall submit his/her comments, together with the records, to the CSC-FO concerned within ten (10) days from receipt thereof.

11.3 The appeal on the termination shall be supported by at least two (2) of the following pertinent documents:

(a) Record of the actual duties and the appointee's work outputs duly certified by the immediate supervisor (rater);

(b) PAF (which includes behavioral aspects) signed by the appointee, his/her immediate supervisor (rater) and the Sector Head/Regional Director concerned; and

(c) Other valid documents that may support the appeal/motion for reconsideration.

Appeals filed beyond the prescribed period shall no longer be entertained.

12. Indication of Probationary Period in the Appointment

The appointment of the employee covered under this Resolution shall indicate the probationary condition of the appointment under the NOTASYON portion at the back of the appointment, to read as follows:

Pursuant to Section 2, Rule VII, of the Omnibus Civil Service Rules and Regulations and COA Resolution No. _______ dated __________, 2013, the appointee must serve a probationary period of six (6) months immediately upon assumption of Office. He/She may be dropped from the service for unsatisfactory conduct or want of capacity any time before the expiration of the probationary period: Provided, that such action is appealable to the Civil Service Commission. However, if no notice of termination or six (6)-month unsatisfactory conduct is given by the COA Chairperson before the expiration of the six (6)-month probationary period, this probationary condition is deemed automatically ended.

13. Effectivity

These rules shall take effect immediately.

Done this 6th of March, 2013, Quezon City, Philippines.

 

(SGD.) MA. GRACIA M. PULIDO TANChairperson

 

(SGD.) HEIDI L. MENDOZACommissioner