CESB rules on 3rd level appointments

Legal basis and policy framework

Paragraph 2, Article IV, Part III of the Integrated Reorganization Plan (IRP), as amended mandates the CESB as governing body of the Career Executive Service (CES)** to promulgate rules, standards and procedures on selection, classification, compensation and career development of members of the CES.
Section 8 (2), Chapter 2, Subtitle I, Book V of the Administrative Code of 1987 requires that entrance to the third level shall be prescribed by the CESB.
Section 8 (1) (c), Chapter 2, Subtitle A, Book V of the Administrative Code of 1987 covers third level positions in the Career Executive Service.
Section 7 (3), Chapter 2, Subtitle A, Title I, Book V of the Administrative Code of 1987 provides that the career service includes CES positions, including Undersecretary, Assistant Secretary, Bureau Director, Assistant Bureau Director, Regional Director, Assistant Regional Director, Chief of the Department Service, and other officers of equivalent ranks as may be identified by the CESB, all of whom are appointed by the President.
Executive Order No. 891 (dated 10 June 2010) directs departments, agencies of the national government, and government-owned and/or controlled corporations with original charters to submit appointments of appointees occupying CES and/or third level positions to the CESB for attestation.
Supreme Court doctrines are used to support that attestation determines whether appointments conform to law, and that CES appointments are tied to CESO rank eligibility and the role of eligibility for positions in the CES.

What “third level” and CES cover

The CES is composed of positions in the third level that are career positions, above Division Chief level, and whose duties and responsibilities require executive or managerial functions (Executive Order No. 891, Section 2).
The third level includes CES positions and positions occupied by non-presidential appointees that are above Division Chief and performing executive and managerial functions (Executive Order No. 891).
Personnel action in the career executive service includes promotion, transfer, reinstatement, reemployment, detail, reassignment, secondment, demotion, and job rotation (Rule I, Section 3).

Core appointment eligibility and screening

The State must ensure and promote the constitutional mandate that civil service appointments are made only according to merit and fitness (Rule I, Section 1).
Merit and fitness for appointments in the career executive service are determined, among other things, by completion of a four-stage screening process promulgated by the CESB:
- Written Examination
- Assessment Center
- Validation of on-the-Job Performance
- Board Interview, plus any other CESB requirements (Rule I, Section 2).
After successful completion of the four-stage screening process, and upon conferment of CES eligibility and compliance with other CESB requirements, a CES Eligible appointed to a CES position may qualify for appointment to a Career Executive Service Officer (CESO) rank by the President of the Philippines (Rule I, Section 2).

Common requirements for regular appointments

Appointments to CES and/or third level positions submitted for CESB attestation must meet required elements, and non-compliance is a ground for non-attestation (Rule II, Section 1).
The appointment submission must include:
- Signature of the appointing authority: the original appointment must be duly signed, and the succeeding two (2) copies must be at least initialed by the appointing authority (Rule II, Section 1(a)).
- Position title: the position title must conform with the approved position Allocation List and be found in the Index of Occupational Service (10S), and the salary grade must always be indicated after the position title (Rule II, Section 1(b)).
- Employment status: the employment status must be indicated, and may be permanent, provisional, temporary, substitute, or co-terminous (Rule II, Section 1(c)).
- Date of signing: the date of issuance must be indicated below the signature and initials of the appointing authority (Rule II, Section 1(d)).
- Nature of appointment: the nature must be correctly indicated; it may be original, initial, promotion, transfer, reemployment, reappointment, reinstatement, renewal, change of status, or demotion (Rule II, Section 1(e)).
- Third Level Selection Board (TLSB) evaluation/screening: appointees must be screened and evaluated by the TLSB where applicable, proven by a certification signed by the Chairman of the Board at the back of the appointment or minutes/proceedings showing TLSB deliberation not earlier than the date of final TLSB screening/deliberation (Rule II, Section 1(f)).
TLSB screening exemptions apply to:
- Substitute appointments due to short duration and emergency nature, but if the position is filled by regular appointment, candidates must be screened and passed upon by the TLSB (Rule II, Section 1(f), I).
- Change of status from temporary to permanent (Rule II, Section 1(f), II).
A properly and completely accomplished Personal Data Sheet (CS Form 212, Revised, 1998) must be attached to the appointment (Rule II, Section 1(g)).

Employment status and appointment nature rules

Permanent appointments are issued to persons meeting minimum qualification requirements and the appropriate eligibility for the position (Rule II, Section 2(a)).
Temporary appointments are issued to persons meeting education, experience, and training requirements but lacking appropriate eligibility only in the absence of a qualified eligible actually available; they must not exceed twelve months from issuance, and the appointee may be replaced sooner if a qualified eligible becomes available (Rule II, Section 2(b)).
Substitute appointments are issued when the regular incumbent is temporarily unable to perform duties (e.g., approved leave, suspension, scholarship grant, or secondment) and are effective only until the former incumbent returns; a substitute appointment is issued only if the leave is at least three (3) months (Rule II, Section 2(c)).
Co-terminous appointments are issued based on trust and confidence, or co-existence with incumbent, project duration, or the lifespan of the agency, and include categories: with appointing authority, with head of the organizational unit, with the incumbent, with the lifespan of the agency (Rule II, Section 2(d)).
The law defines appointment natures:
- Original: initial entry into career service; the first six months are probationary, with character investigation; a probationer may be dropped for unsatisfactory conduct or want of capacity anytime before probation ends; the action is appealable to the Board; if no notice of termination or unsatisfactory conduct is given before the six-month probation ends, the appointment automatically becomes permanent (Rule II, Section 3(a)).
- Initial: appointments of persons entering government service for the first time (career or non-career) not covered by original appointment (Rule II, Section 3(b)).
- Promotion: advancement to another authorized position with increased duties/responsibilities, usually with increased salary (Rule II, Section 3(c)).
- Transfer: movement to equivalent rank/level/salary without break in service; excludes movements from non-career to career; requires permission from the head of the employing department/agency stating effective date; if not granted, it is deemed approved after 30 days from notice; failure to transfer on the specified date results in resignation, with reemployment in former office at the discretion of its head; effectivity is the day following last day in the former agency; heads of oversight agencies and their staff are prohibited from transferring to an office/unit they oversee/are designated to oversee within one year after termination of assignment/designation, covering officials who can exert pressure or influence on the new/accepting agency (Rule II, Section 3(d)).
- Reemployment: reappointment after separation from CES due to reduction in force, reorganization, retirement, voluntary resignation, non-disciplinary separation (dropping from rolls), and other modes; presupposes a gap; no prior authority is required for a person previously retired who has not reached the compulsory retirement age of 65 (Rule II, Section 3(e)).
- Reappointment: re-issuance of an appointment during reorganization, devolution, salary standardization, re-nationalization, or similar events; presupposes no gap (Rule II, Section 3(f)).
- Reinstatement: issuance to a person previously appointed to a career position but separated through no delinquency/misconduct, or exonerated of administrative charges unless the exoneration decision restores a different position; those illegally terminated or exonerated are deemed not to have left service (Rule II, Section 3(g)).
- Renewal: subsequent appointment upon expiration of a temporary appointment when a qualified eligible is not actually available; presupposes no gap (Rule II, Section 3(h)).
- Change of status:
  - Temporary to permanent when the temporary employee acquires appropriate eligibility or becomes fully qualified (Rule II, Section 3(i)).
- Demotion: movement to a position with reduced duties/responsibilities/status/rank, with or without salary reduction, and not disciplinary; if demotion reduces salary but is non-disciplinary, written consent from the demoted employee is required; voluntary demotion appointments are at the hiring rate of the class of position (Rule II, Section 3(j)).
- Upgrading/Reclassification: change in position title with corresponding increase in salary grade through appointment; often involves abolition/collapsing of insignificant positions; a permanent incumbent upgraded/reclassified is appointed to the upgraded/reclassified position without change in employment status regardless of qualification requirements, but cannot be promoted to the next higher position unless qualification requirements are met (Rule II, Section 3(k)).

Effectivity of appointments and salary rights

An appointment issued in accordance with pertinent laws and rules takes effect immediately upon issuance by the appointing authority; if the appointee has assumed duties, the appointee is entitled to salary at once without waiting for CESB attestation.
An appointment remains effective until disapproved by the Board; in no case may it take effect earlier than the date of issuance (Rule III, Section 1).
No appointment may be effective earlier than its issuance date, except change of status due to acquisition of a career executive service eligibility.
The effectivity of change of status is the date of conferment of the CES eligibility; it may be indicated as a footnote on the temporary appointment if that temporary appointment has not yet expired (Rule III, Section 2).
The effectivity of change of status from temporary to permanent because of the conferment of the CESO rank is effective upon presentation of proof and corresponding indorsement from the appointing authority; the Board indicates effectivity as a footnote and in the service card (Rule III, Section 2).
Where no appropriate eligibles are available and filling a vacancy is necessary in the public interest, a temporary appointment may be issued meeting all position requirements except the appropriate CES eligibility, but it must not exceed twelve months, and the appointee may be replaced sooner if a qualified CES eligible becomes available (Rule III, Section 3).
A temporary appointment of a non-CESO to a CES position must not exceed twelve months; upon appointment to a CES position, a non-CES eligible or non-CESO must subsequently take the Career Executive Service Eligibility Examinations (Rule III, Section 3).
A CESO is defined as a person conferred CES eligibility by the CESB, appointed to a CES position, and appointed to a CES rank by the President upon recommendation by the Board (Rule III, Section 3).
For temporary appointments, the twelve-month period is reckoned from the date of issuance, not from the date of assumption (Rule III, Section 3).
Only one renewal of a temporary third-level appointment is allowed if no qualified applicants are actually available and willing to assume the position; at the lapse of the second year, if the appointee lacks required CES eligibility, the appointment can no longer be allowed (Rule III, Section 3).
The Commission on Audit must be furnished a copy of the renewal or non-renewal of temporary third-level appointments (Rule III, Section 3).
The vacancy must be published in accordance with R.A. No. 7041; otherwise, renewal is not allowed (Rule III, Section 3).
No official or employee may be required to assume duty without being furnished a copy of the appointment after issuance; the appointee must acknowledge receipt by signing the duplicate and other copies (Rule III, Section 4).
Services rendered without an appointment issued by the appointing authority are not credited or recognized by the Board and remain the personal accountability of the person who caused assumption (Rule III, Section 5).

Additional requirements in specific cases

Appointments involving change of status from temporary to permanent must be supported by the appointee’s performance ratings during the temporary appointment, certified by the appointing authority (Rule IV, Section 1(a)).
Non-disciplinary demotion appointments require:
- a certification by the agency head that the demotion is not the result of an administrative case; and
- written consent by the employee that the employee interposes no objection to the demotion (Rule IV, Section 1(b)).
Where a license is required by special law for the exercise of a profession or vocation, the appointee must possess the necessary license before appointment (examples include licenses issued by the Professional Regulations Commission and the Supreme Court) (Rule IV, Section 1(c)).

Submission, attestation, reconsideration, and consequences

Appointments must be submitted to the CESB within 30 calendar days from the date of issuance (the date indicated below the appointing authority’s signature); otherwise, the appointment shall be made effective 30 days prior to the submission date (Rule V, Section 1).
The CESB may delegate authority to accredited departments and agencies to take final action on appointments to CES positions (Rule V, Section 1).
If appointments are issued by accredited agencies, the Report of Personnel Actions (ROPA) plus photocopies of appointments issued during the month must be submitted within 15 days of the succeeding month; appointments not submitted in time must be made effective 30 days prior to submission (Rule V, Section 1).
If the appointee does not assume office within 30 calendar days from receipt of the attested appointment, the appointing authority may cancel and report to the CESB for record purposes; the position is automatically deemed vacant without need for CESB approval or declaration (Rule V, Section 1).
If the appointing authority prevents assumption of office despite CESB attestation, the concerned official is held administratively liable (Rule V, Section 1).
A request for reconsideration or appeal from disapproval may be made by the appointing authority other than the President and must be filed with CESB within 15 calendar days from receipt of the disapproved appointment (Rule V, Section 2).
If the appointment of an appointing authority other than the President is disapproved, the appointee’s services are immediately terminated unless a timely motion for reconsideration or appeal is filed (Rule V, Section 3).
Services rendered during the period of a disapproved appointment are not credited as government service for any purpose (Rule V, Section 3).
If disapproval is based on grounds that do not constitute a violation of civil service law (including failure to meet Qualification Standards (QS)), the appointment is considered effective until disapproved by CESB, and the appointee is entitled to salary from the government (Rule V, Section 3).
If a motion for reconsideration or appeal is seasonably filed, the appointment remains effective; disapproval becomes final only after affirmation by CESB (Rule V, Section 3).
The appointing authority is personally liable for the salary of appointees whose appointments are disapproved for violations of pertinent laws, including publication requirements under R.A. No. 7041 (Rule V, Section 4).
Where the appointee’s appointment is attested but made effective 30 days prior to Board submission, the appointee is entitled to payment of salary immediately following appointment effectivity; salaries for actual services before the approved effectivity date are the liability of whoever caused the delay (Rule V, Section 5).
If the appointee fully qualifies for a position already temporarily filled, the appointing authority shall no longer issue an appointment for change of status from temporary to permanent; after presentation of required documents, change may be effected as a footnote on the temporary appointment, with a copy furnished to the CESB (Rule V, Section 6).

Supplementary rules and final clauses

Civil Service Commission rules and regulations apply suppletorily to these CESB rules (Rule VI).
All CESB board issuances inconsistent with these rules are deemed repealed or amended (Rule VII).
If any part, section, or provision is held invalid or unconstitutional, the remaining parts are not affected (Rule VIII).