DepEd Order No. 97, s. 2011: Revised Guidelines on the Allocation and Reclassification of School Head Positions

DepEd Order No. 97, s. 2011, dated December 16, 2011, issues the Revised Guidelines on the Allocation and Reclassification of School Head Positions. It sets the rules for two things. The first is how many Head Teacher and Principal positions a school or cluster of schools should get. The second is how a school head can be promoted by reclassifying his or her current position when no vacant higher position exists. It was signed by then Education Secretary Br. Armin A. Luistro FSC and took effect on January 1, 2012.

On this page 10 sections

Key points

• The National Educators Academy of the Philippines (NEAP) runs the qualifying process for applicants to Principal I positions. It works with the Schools Division Offices through the Regional Offices.
• The qualifying process includes a written examination and a required training course. NEAP issues a Certificate of Eligibility to those who qualify. The regular schedule is January to June 30, starting in 2012 and repeated every year.
• Promotion of school heads is based on educational qualification, merit, and performance, not on the number of teachers and learners. This follows Section 7E of Republic Act 9155, the Governance of Basic Education Act of 2001. The exception is Head Teacher I and Principal I, which are still tied to the number of teachers.
• Reclassification is allowed only when there is no vacant school head position.
• A candidate needs at least 60 out of 100 points to qualify for reclassification.
• Regional Offices receive and process requests for allocation and reclassification from calendar year 2012 onward.

Who it covers

The guidelines apply to:

• The allocation of school head positions for schools divisions, school districts, and clusters of schools. This includes elementary, secondary, integrated, special education, special science, and technical-vocational schools.
• The promotion of a school head through reclassification of his or her plantilla item. The school head must have mastered all job elements of the current position and meet the requirements of a higher one, with no vacancy in the division’s or school’s Personal Services Itemization and Plantilla of Personnel (PSIPOP).

School head positions are the following plantilla items:

• Head Teacher I to VI (Salary Grade 14 to 19)
• Principal I to IV (Salary Grade 19 to 22)

Not covered: a secondary Head Teacher who serves as Academic Department Head. That position can be reclassified only if the incumbent first takes on the duties of a School Head and meets the requirements under these guidelines.

Key terms

• Allocation: the distribution of plantilla items for school heads under these guidelines.
• Reclassification: a change in position title that requires a new appointment, with a higher rank and salary.
• Cluster of schools: a group of schools located near each other and brought together to improve learning outcomes.
• Integrated school: a school offering complete basic education (elementary and secondary) on one site, with unified instructional programs under one school head.
• School head: the person responsible for the administrative and instructional supervision of a school or cluster of schools.
• Qualification standards: the minimum qualifications for a position, covering education, experience, training, and civil service eligibility.
• Merit and performance: instructional and administrative competencies based on the levels of School-Based Management (SBM) practice, including physical and psychosocial fitness.
• Outstanding accomplishments: exceptional or meritorious achievements that improve service delivery and benefit the school and community.
• Relevant experience: performing the duties and functions required for the higher position.
• Relevant training: training on human resource development, management and leadership, research and planning, fiscal management, and curriculum and instructional supervision. It must be conducted by NEAP or other DepEd-accredited service providers.

How school head positions are allocated

Any existing school or cluster of schools without a school head position will be given a Head Teacher or Principal position.

Position	Basis for one position
Head Teacher I	A school with at least 6 teachers
Head Teacher I	A cluster of at least 3 schools with a total of at least 6 teachers
Head Teacher	A cluster of schools in a far-flung area, as determined by the Schools Division Superintendent
Principal I	A complete elementary or secondary school with at least 9 teachers
Principal I	A cluster of at least 3 schools with a total of at least 9 teachers

Other allocation rules:

• Schools with at least 60 teachers get a Head Teacher to assist the School Head. Integrated schools with at least 30 teachers may have a Head Teacher position.
• At least three neighboring schools in the same district may be clustered, including primary and multi-grade schools. This is allowed only if no other school heads are available to handle them.
• New Head Teacher I and Principal I positions may be created for a region or division found to have a shortage, using the criteria above.
• Schools or divisions with excess Head Teacher and Principal items must defer filling or creating more positions.
• Regional Offices regulate the use of excess items by converting them to teaching positions or transferring them to other divisions.

Rules on reclassification

• Except for Head Teacher I and Principal I, reclassification is based on merit and performance, not on the number of teachers.
• Reclassification is used only when no vacant School Head position is available.
• A further reclassification is allowed only after three consecutive years of at least Very Satisfactory performance, or two consecutive years of Outstanding performance, counted from the latest appointment.
• Experience must be relevant to the position. Being designated Teacher-in-Charge for at least one year in a public school counts.
• An elementary Head Teacher III who has supervised at least 9 teachers for at least three years may request reclassification to Principal I. All other requirements except experience must be met.
• Citations and awards for outstanding accomplishments are considered. Examples include moving the school to a higher level of SBM practice or accreditation, and recognition such as Brigada Eskwela, APPES, or Sterling awards.
• The school assignment of a reclassified school head is non-station specific (in line with DepEd Order No. 42, s. 2007) but stays within the same schools division.

Requirements by position

All positions also require a performance rating of at least Very Satisfactory for the last 3 consecutive years, or Outstanding for the last 2 consecutive years. Training must be initiated, sanctioned, approved, or recognized by DepEd and not used in the immediate previous promotion. “Fields” below means administration, supervision, leadership, or management.

Position	SG	Education	Experience	Training
Head Teacher I	14	At least 12 MA units in the fields	3 years teaching and at least 1 year as Teacher-in-Charge or Officer-in-Charge	24 hours
Head Teacher II	15	At least 24 MA units in the fields	1 year as HT I	24 hours
Head Teacher III	16	At least 36 MA units in the fields	2 years as HT II	32 hours
Head Teacher IV	17	Completed academic requirements in the fields	2 years as HT III	32 hours
Head Teacher V	18	Completed academic requirements in the fields	2 years as HT IV	40 hours
Head Teacher VI	19	Master’s degree in the fields	2 years as HT V	40 hours
Principal I	19	Master’s degree in the fields	2 years as HT III (elementary); 2 years as HT VI (secondary)	48 hours
Principal II	20	Master’s degree in the fields plus 6 doctoral units	1 year as Principal I	48 hours
Principal III	21	Master’s degree in the fields plus 12 doctoral units	2 years as Principal II	56 hours
Principal IV	22	Master’s degree in the fields plus 24 doctoral units	2 years as Principal III	56 hours

Additional requirements for Principal I

Applicants for Principal I must have:

1. Passed the National Qualifying Examination for Principals (NQEP) and completed the Basic Training Course for School Heads, as certified by NEAP.
2. Obtained at least 50% of the indicators for internal and external stakeholders, as assessed and certified by the Division SBM Task Force using the SBM assessment tools.
3. Obtained at least 10 points in Psychosocial Attributes and Personality Traits, as assessed and certified by the Division Selection and Promotions Board.

Incumbent Principals I, II, or III and passers of the regional Qualifying Examination for Principals (QEP) do not need to take the NQEP. They must attach their QEP rating.

Applicants for reclassification to Head Teacher I to VI and Principal II to IV must be certified by NEAP as having attended the required trainings. The Schools Division Superintendent (SDS) attests that the trainings are true and correct, and the records go to NEAP through the Regional Office.

Exceptions for superior qualifications

Exceptions to the Principal I and training requirements above may be allowed if the applicant has superior qualifications, such as:

• Supervising a school in the top 10 performing schools of the region, division, or secondary or elementary level for the last 2 school years. This is based on any three of the following: National Achievement Test, completion rate, cohort survival rate, dropout rate, or reaching the maturity level of SBM practice with Level III accreditation.
• Introducing, adopting, or implementing innovations in curriculum and instruction (documented outstanding accomplishments), certified by the SDS.

Documents to submit

From the applicant

1. Justification for the reclassification of the position
2. Duly accomplished CS Form 212 (Personal Data Sheet)
3. Certified, Authenticated and Verified (CAV) Transcript of Records
4. Service records
5. Performance rating sheets for the last three consecutive years
6. Certificates or proofs of outstanding accomplishment
7. Equivalent Records Form (for Head Teacher positions) or Position Description Form (for Principal positions)
8. NEAP certification of the NQEP result and the Basic Training Course for School Heads attended
9. SBM Task Force certification of the rating in the internal and external stakeholders’ assessment
10. Division Selection and Promotions Board certification of the points in the Psychosocial Attributes and Personality Traits assessment
11. Enrolment data (Form 3) for the present school assignment, including any cluster schools handled

The applicant submits originals or certified true copies and is accountable for their authenticity.

From the Division Office

Signed by the Schools Division Superintendent:

1. A copy of the latest post-audited PSIPOP where the item is reflected
2. A list of teachers under supervision, with their plantilla item numbers from the latest post-audited PSIPOP
3. A copy of the latest post-audited PSIPOP showing the names of the teachers under supervision
4. A certification that no item is available

Procedure

Allocation of school head positions

1. At the start of the budget preparation phase each year, the Division Human Resource Management Officer (HRMO) prepares the School Head Positions Requirement Analysis and submits it to the Regional Office through the SDS. The analysis counts the schools and clusters needing school heads, minus the division’s existing school head positions in the PSIPOP and the teacher positions with DBM-approved reclassification to Head Teacher I, II, III and Principal I for the year. Doing it before the school year begins is encouraged.
2. The Regional HRMO validates and consolidates the analyses per division for the region’s budget proposal.

Reclassification of school head positions

1. The applicant files the request with the Personnel Section of the Schools Division Office, with the required documents. For elementary schools, the District Office recommends and endorses it.
2. The Division HRMO checks the completeness and truthfulness of the documents and the applicant’s qualifications, and prepares a matrix of each applicant’s qualifications.
   • Only complete applications are considered.
   • Failing to complete the documents within the period set by the SDS may lead to denial. The SDS may disqualify an applicant for false information, without prejudice to administrative or criminal action.
   • The SDS may reject applicants who lack the minimum qualifications.
   • The SDS sends each applicant a letter on the action taken.
3. The Division HRMO forwards the evaluation report, signed by the Division Administrative Officer, with the application and attachments to the SDS.
4. The Division Personnel Selection Board interviews applicants based on the position description and signs a statement attesting that the applicants are qualified.
5. The SDS reviews the qualified applications and sends a recommendation to the DepEd Regional Office for validation.
6. After validating documents and determining funding, the Regional Office recommends approval to the DBM Regional Office.
7. The Regional Director informs the applicants, through the SDS, of the action taken by the DBM Regional Office.

Computation of points

A candidate must get at least 60 points to qualify. Applicants are advised to earn the minimum for each criterion; for example, outstanding accomplishments has a minimum of 10 points.

Criterion	Maximum points
Performance rating	20
Experience	10
Outstanding accomplishments	30
Education and training	15
Potential	10
Psychosocial attributes and personality traits	15
Total	100

Performance rating (20 points)

The average rating must be at least Very Satisfactory for the last 3 consecutive years or Outstanding for the last 2 years.

Average numerical rating	Points
9.4 to 10	20
8.7 to 9.3	16
8.0 to 8.6	12
7.3 to 7.9	8
6.6 to 7.2	4

Experience (10 points)

Relevant experience, including mentoring and coaching, earns 1 point per year, up to 10 points. Extra months count proportionally. For example, 1 year and 5 months equals 1.4 points, and 5 years and 11 months equals 5.9 points.

Outstanding SBM-related accomplishments (30 points)

• Outstanding Employee Award (5 points): school awardee, 1; division nominee or district awardee, 2; regional nominee or division awardee, 3; Department nominee or regional awardee, 4; national awardee, 5.
• Innovations (5 points): documented, approved by the immediate chief, attested by a regional or division official, and focused on instructional leadership, educational management, or curriculum. Conceptualized, 1; started implementation, 2; fully implemented in the school, 3; adopted in the district, 4; adopted in the division, 5.
• Research and development (10 points): school-level action research, 5; district-level full-blown research, 7; division-level full-blown research, 10.
• Publication or authorship (5 points): article in a journal, newspaper, or magazine of nationwide circulation, 2 per article up to 4; co-authorship of a book, 4 divided by the number of authors; sole authorship of an education or school-improvement book, 5.
• Consultant or resource speaker (5 points): district, 1; division, 2; regional, 3; national, 4; international, 5.

Education and training related to SBM, leadership, and management (15 points)

• Education (10 points): complete academic requirements for a master’s degree, 6; master’s degree, 7; complete academic requirements for a doctoral degree, 9; doctoral degree, 10.
• Training (5 points):
  • Participant in a specialized training, 5. Scholarship programs, short courses, and study grants get 1 point per month of attendance, not to exceed 10 points (as printed).
  • Participant in three or more trainings at each level, each at least three days long and not credited in the last promotion: district, 1; division, 2; regional, 3.
  • Participant in one training of at least three days not credited in the last promotion: national, 4; international, 5.
  • Chair or co-chair of a technical or planning committee: district, 1; division, 2; regional, 3; national, 4; international, 5.

Potential (10 points)

This is the candidate’s ability to take on the duties of the position and higher ones, judged by the Personnel Selection Board or Committee. Each component is worth 2 points:

• Communication skills: speaks and writes well in Filipino and English, and can use information and communication technology.
• Ability to present ideas: presents organized, precise ideas with good command of the language.
• Alertness: shows presence of mind and awareness of the environment.
• Judgment: shows sound judgment.
• Transformational leadership: influences others to do tasks.

Psychosocial attributes and personality traits (15 points)

Each indicator is worth 1 point.

• Human relations (5 points): adjusts to different personalities, ranks, and groups, including external ones; accepts work changes with ease; accepts constructive criticism objectively; observes proper decorum with superiors, peers, and stakeholders; takes the initiative to organize work groups and set procedures and standards.
• Decisiveness (5 points): thinks logically and acts accordingly; considers alternatives and recommends solutions; gives convincing recommendations; acts quickly and makes the best possible decision; is flexible.
• Stress tolerance and management (5 points): tolerates tension from heavy workload, change, or conflict; uses coping mechanisms creatively; controls negative emotions; performs duties well under tension; channels negative emotions into constructive work.

Other provisions

• Repealing clause: rules, regulations, and issuances inconsistent with these guidelines are repealed or modified.
• Penalty clause: violations of these guidelines will be dealt with accordingly.
• Effectivity: the guidelines took effect on January 1, 2012.
• Contact: the order names Ms. Louisa S. Roberto, Chief Administrative Officer, Management Division, at telephone (02) 633-72-48, as printed in 2011.

The order was addressed to Undersecretaries, Assistant Secretaries, Bureau Directors, Directors of Services, Centers and Heads of Units, Regional Directors, Schools Division and City Superintendents, and all others concerned, with a directive for immediate dissemination and compliance.

Frequently asked questions