SOP Library
SOP NO:
HR-PR03
(List of Exhibits/Attachments)
Missi
on
:
Finance and Administration
Area:
Human Resource (HR)
Activity:
Personnel Records and Information (HR-PR)
Title:
Certificate of Clearance
Date Approved/Issued:
10/23/1985
Date Effective:
11/01/1985
Digest:
I. TERMS OF REFERENCE
A. Rationale
B. Objective
C. Scope
D. Basis
II. IMPLEMENTING GUIDELINES
1.
Covered Personnel
1. 1
All NFA employees whether appointed to a regular, casual or contractual position, are required to secure
Certificate of Clearance (COC)
when applying for:
a. Vacation leave exceeding 30 days;
b. Sick Leave exceeding 30 days;
c. Maternity Leave;
d. Terminal Leave;
e. Change of permanent official station/transfer from one branch/office to another; and
f. Separation from the service due to resignation, retirement or transfer to another government agency.
1.2 If the employee applying for a permanent separation from NFA service is a Regional Director/Assistant Regional Director/Provincial Manager/Assistant Provincial Manager, he/she is required to secure two (2) clearances, namely:
Field Office Clearance and Central Office Clearance. The first being a pre-requisite for the latter. This policy is in accordance with auditing rules and regulations.
1.3 Employees of other government entities who are officially assigned/detailed at the NFA, e.g. COA personnel, are also required to secure clearance for the aforementioned cases.
2.
Purpose of the Certificate of Clearance (COC)
The
Certificate of Clearance
(
Exhibits 1
and
1-A
serves as an assurance to the addressee or person(s) concerned that subject personnel is free from any cash and property accountability and that he/she has no pending administrative and/or criminal/civil case. The COC is also a basic requirement in the processing of applications, claims and other documents pertaining to the cases referred in number 1.
For an employee who is applying for a permanent separation from NFA service due to resignation, retirement, or transfer to another government agency, the approved COC shall evidence that he/she is already released form any obligation as an employee, and therefore, the NFA can n o longer hold him/her liable/responsible for any accountability which he/she had already been cleared of . On the part of the NFA, this shall serve as a control measure in safeguarding its interest since the approved COC is one of the basic requirements for the processing of the application for leave/transfer and other money claims against the NFA. This, therefore, shall cause the settlement/liquidation of accountabilities by the concerned employee.
3.
Copy Distribution of Approved Certificate of Clearance (COC)
The Certificate of Clearance is prepared in four (4) copies. Its copy distribution is as follows:
Central Office
Regional Office
Provincial Office
Copy 1 Employee Employee Employee
2 DAB (supporting Accounting Section Accounting Unit (supporting
document to vouchers/ (supporting document document to vouchers/claims)
claims) to vouchers/claims)
3 HRMD-Records and HRMD-RIS HRMD-RIS
Information Section
4 Directorate/Office Administrative Section Administrative Unit
of Employment
4.
Certifying Officials
The following shall be the certifying officials for the Certificate of Clearance and shall be responsible for any certification to be made therein:
A.
Central Office
Certifying Official
1. As to Cash/Property/Records Obligations Director/Head of Office concerned
within the directorate/office
2. As to Property Accountability
2.1 Books and other Reading Materials Director, DPA
2.2 Fixed Assets Director, GSD
3. As to Cash Accountability
3.1 Payable to NFA
3.1.1 Cash, TEVs, and stocks Director, DAB
3.1.2 Cash Advances from Petty Cash
Fund/Funds for Special Projects
3.2 Payable to NFAEA President, NFAEA
3.3 Payable to Grainscor President, Grainscor
3.4 Payable to Quedan Executive Director, Quedan
3.5 Character loans from various banks Director, DTFM
4. Whether employee has or has no pending
administrative and/or criminal/civil case Director, DLA
Certifying Official
Regional
Provincial
B.
Field Offices
Office
Office
1. As to Property/Records Accountability Regional Provincial
Adm. Officer Adm. Officer
2. As to Cash Accountability-Payable Regional Provincial
to NFA and its subsidiaries Accountant Accountant
3. Whether employee has or has no Regional Provincial
pending administrative and/or Investigator Investigator
criminal/civil case
5.
COA Certification for Accountable Officers
Prior to the certification on the COC application of an accountable officer by the DAB Director/Regional or Provincial Accountant, a
COA certification
(Exhibit 2) attesting to the settled/unsettled accountabilities of the accountable officer per audit records should be first secured.
This COA Certification shall be an attachment to the COC of every accountable officer
. This shall be issued by the Corporate/Regional/Provincial Auditor in charge of the place of assignment of the accountable officer.
Before the issuance of this certification by the field auditors, they should first secure confirmation from the Central Office Corporate Auditor as to the settled/unsettled accountabilities of the accountable officer applying for clearance. This shall assure the verification of the results of audit examination of the accountable officer's accountabilities as per Central Office and field office audit records.
6.
Approving Official
The COC shall be approved for the Authority by the following officials:
a. Minister - if the applicant is Deputy Administrator or an Assistant Administrator.
b. AAFA - if the applicant is an executive below the rank of an Assistant Administrator
c. Director*, HRMD - if the applicant is a Central Office rank and file employee.
d. Regional Director* - if the applicant is a regional office employee.
e. Provincial Manager - if the applicant is a provincial office employee.
Application for COC of Provincial Managers and Assistant Regional Directors should be duly noted by the Regional Director.
In the absence of the designated official, the asterisk after the name of the official indicates that the COC shall be approved by an official next lower-in-rank. The absence of this symbol shall mean that the COC shall be approved by an official next higher-in-rank.
Prior to the approval of the COC by the Minister/AAFA, the Director of HRMD shall initial the COC to attest to the compliance to other requirements such as surrender of I.D., undergoing an exit interview, and submission of statement of assets and liabilities.
7.
Basis for the Approval of the COC
7.1
Purpose of the Clearance re: Settlement of Liabilities
The purpose for which a clearance is being secured can be a basis in approving the application. If the COC is to be used as a supporting document to applications for sick/vacation leave exceeding 30 days, maternity leave, or transfer of place of assignment within the NFA, liabilities of the employee-applicant that are not yet due and demandable such as salary/policy/educational loans and other obligations which are to be paid within a prescribed period may not be settled by the employee. The rationale for this is that the employee who is going on such sick/vacation/maternity leave is expected or has promised to report back to the service upon expiration of the leave and that such obligations have co-makers/guarantors who are liable in case of non-payment by the borrower.
However, COC applications as to resignations, retirement or transfer to another government agency shall not be approved unless all cash accountabilities appearing on the certification are first fully settled/liquidated. In this case, a proof of such settlement/liquidation such as official receipt and other certification to that effect by authorized official shall be presented together with the clearance subject to verification of its correctness and authenticity by the approving official.
The policy on the non-settlement of liabilities does not apply to those under the accountabilities of accountable officers, their accountabilities should be fully liquidated prior to the approval of the COC even if the purpose of their leave application is only temporary in nature.
7.2
Settlement of other Accountabilities
Other accountabilities (cash accountability within the Directorate or office/Property/Records) should be first settled regardless of the COC purposes. Likewise, clearance from any administrative and/or criminal/civil case is a must for the approval of the COC.
7.3
Compliance to other Requirements
The following should be complied with in accordance with the policies covering them as provided in this SOP:
a. Undergoing an exit interview
b. Surrender of ID Cards
c. Submission of Statement of Assets and Liabilities/Latest Performance Rating in case
such is not available on file.
7.4
Accountable Officers Leaving the NFA Service
The COC of those employees holding accountable positions as:
a. Collecting/Disbursing Officer;
b. Warehouse Supervisor II;
c. Cashier;
d. Supply Officer;
e. Property Custodian;
f. Senior Librarian;
g. Jr. Operations Officer/KC Accountable Officer/Depot Custodian;
h. Tellers; and
i. Other specially designated accountable officers.
Should be approved only when a complete liquidation of their accountabilities had been effected.
In order not to cause any undue delay in the payment of claims or benefits to the employee, the normal liquidation process shall be observed and expedited. As prescribed bylaw, the period for such liquidation including the final release of clearance should not exceed three (3) months.
The policy on the use of a guarantor to facilitate the approval of COC of said accountable officers without waiting for the final liquidation of their accountabilities shall be discontinued. Only the accountable officer should be made responsible and liable for all his/her accountabilities.
9.
Exit Interview and Surrender of NFA I.D. as Pre-requisite
All NFA employees applying for COC due to separation from the service thru resignation, retirement or transfer to another agency shall undergo an exit interview to be conducted by either the Career Development Division (CDD), HRMD for Central Office or respective Administrative Officer for field offices. For this purpose, a copy of the resignation letter shall be submitted to CDD/Administrative Officer.
The identification cards of said NFA employees shall be surrendered to the Personnel Services Division (PSD)/Administrative Officer shall attest tot he compliance to these two requirements. Likewise, it shall be the responsibility of the Chief of CDD to check if the latest performance rating of the employee is on file.
The resignation letter and Statement of Assets and Liabilities of the employee should be attached to the COC prior to the approval of the Director, HRMD for subsequent submission to PSD together with a copy of the approved COC.
III. RESPONSIBILITIES
A.
Central Office
1.
Minister
Approves the application for Certificate of Clearance of the Deputy Administrator and Assistant Administrator as recommended by the Director of HRMD.
2.
AAFA
Approves the application for Certificate of Clearance of executives below the rank of an Assistant Administrator as recommended by the Director of HRMD.
3.
Director, HRMD
3.1 Approves the application for Certificate of Clearance of rank and file employees considering the certification made by certifying officials as to the employee-applicant's accountabilities, the position of the applicant, the purpose of the COC and compliance to other requirements such as undergoing an exit interview, surrender of I.D and submission of Statement of Assets and Liabilities/Latest Performance Rating (if not available on file).
3.2 Initials the application for COC of executives attesting to the compliance to the requirements provided herein prior to the approval of the Minister/AAFA. In effect, recommends the approval of the COC to the Minister/AAFA.
4.
Director/Head of Office
Certifies as to the employee's cash/property/records obligations/accountabilities within the Directorate/Office.
5.
Director, DPA
Certifies as to the employee's property accountability involving books and other reading materials.
6.
Director, GSD
Certifies as to the employee's property accountability involving fixed assets.
7.
Director, DAB
Certifies as to the employee's cash accountability involving cash, TEVs, stocks and other claims by the NFA against the employee.
8.
Director, DTFM
Certifies as to the employee's cash accountability involving cash advances from Petty Cash Fund and other funds for special projects under the care of the DTFM.
9.
President, NFAEA
Certifies as to the employee's cash accountability (payables) to the NFAEA.
10.
President, GRAINSCOR
Certifies as to the employee's cash accountability (payables) to the Grainscor.
11.
Executive Director, Quedan
Certifies to the employee's cash accountability (payables) to Quedan.
12
.
Director, DLA
Certifies whether the employee has or has no pending administrative and/or criminal/civil case.
13.
Chief, Career Development Division, HRMD
Attest to the compliance to the requirement as to undergoing an exit interview. Verifies if the employee's latest performance rating is on file.
14.
Chief, Personnel Services Division, HRMD
Attests to the compliance to the requirement as to the surrender of NFA Identification Card. Maintains on file the employee's Resignation Letter, Statement of Assets and Liabilities.
15.
Administrative Assistant
Advises resigning employees to submit a copy of the resignation letter to the CDD for purposes of exit interview.
B.
Field Office
____________
1.
Regional Director/Provincial Manager
-
/ RD-18/PM-46 /
Approves the application for COC in the Regional/Provincial Office considering the certification made by certifying officials as to the employee-applicant's accountabilities, the position of the applicant, the purpose of the COC, and compliance to other necessary requirements such as undergoing an exit interview, surrender of I.D. and submission of resignation letter/statement of assets and liabilities/latest performance rating (if not available on file).
______________
2.
Regional/Provincial Administrative Officer
-
/ RAO-03/PAO-05/
2.1 Certifies as to the property/records accountability of the employee.
2.2 Attests to the compliance to the requirements as to undergoing an exit interview, surrender of I.D., and submission of resignation letter/statement of assets and liabilities. Verifies if the employee's latest performance rating is on file.
__________________
3.
Regional/Provincial Accountant
- /
RACNT-06/PACNT-18/
Certifies as to the cash accountability of the employee to the NFA and its subsidiaries after COC had been initialled by the Cashier and the concerned accounting personnel.
______________
4.
Regional/Provincial Investigator
- /
RINV-04/PINV-05/
Certifies whether the employee has or has no pending administrative and/or criminal/civil case.
_______
5.
Cashier/Concerned Accounting Personne
l - /
CDO-17/
Initials the COC attesting to the cash accountability of the employee to the NFA and its subsidiaries.
Initials the COC attesting to the cash accountability of the employee to the NFA and its subsidiaries.
IV. FLOW CHART
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