Documentation Requirements

HR Handbook

DOCUMENTATION AND REPORTING REQUIREMENTS FOR 
PERSONNEL AND POSITION ACTIONS

CONTENTS

1. Reporting Requirements for Unclassified Employees
2. Reporting Requirements for Classified Employees
   1. Methods of reporting
   2. Data items that must be reported
   3. Actions that must be reported
   4. Actions that need not be reported
3. Employee Notification
4. Specific Requirements for Pay
5. Documents Sent to Civil Service
6. Documents Maintained at the Agency
   1. General Requirements
   2. Employee Actions
      1. Appointments, Promotions & Transfers
      2. Demotions
      3. Position/Pay Changes
      4. Resignations, Dismissals, Removals, etc.
   3. Position Actions
   4. Demonstrating Appointing Authority Approval and Certification of Compliance With Civil Service Law   
          1.   Defining Appointing Authority Approval and Certification Functions
          2.   Ways To Delegate Appointing Authority
          3.   Ways To Document Appointing Authority Approval and Certification of
                Compliance
          4.   Adequate Internal Controls
7. Confidential & Public Records
8. Access to Documentation
9. Retention Schedule
10. Documentation of Who Has Appointing Authority
     

I.  REPORTING REQUIREMENTS FOR UNCLASSIFIED EMPLOYEES

The following items of information must be reported to the Department of Civil Service for ALL UNCLASSIFIED EMPLOYEES. (Per Revised Statute 42:290)

• Name
• Address
• Social Security Number
• Employing Agency
• Date of Employment
• Position
• Position Location (Place of Employment)
• Salary (Annual preferred, Hourly, Bi-weekly also acceptable, or Per Diem)
• Hours of Work
• Full Time Equivalent (FTE)

The above information must be reported to the Department of Civil Service within 30 days of the appointment of an unclassified employee.

Any CHANGE in an unclassified employee’s status (salary, title, name, etc.) must be reported to the Department of Civil Service within 30 days.

In addition to reporting the above information for all unclassified employees, agencies must maintain records of any authority granted to them under Civil Service Rules 4.1(d)1 or 4.1(d)2 for unclassified positions.

II. REPORTING REQUIREMENTS FOR CLASSIFIED EMPLOYEES

A. Methods of Reporting
Agencies must report actions to the Department of Civil Service according to a method approved by the Director. (Examples of approved reporting methods include: direct entry into the ISIS-HR statewide database, electronic interface with the ISIS-HR database or submittal of a paper form approved by Civil Service.)

Any change in an agency’s reporting mechanism can be made only with the prior approval of the Director.

B. Data Items Which Must Be Reported
When reporting actions, agencies must include the following information:

• Agency Identification
• Nature of Action or "Action Type"
• Civil Service Rule Authority for the action or "Action Reason"
• Civil Service Rule Authority for the level of pay or "Pay Reason"
• Employee Status or "Contract Type" (Probational, Permanent, etc.)
• Employee Group (Full-time, Part-time, WAE, etc.)
• Effective Date of the Action ("from" date)
• End Date of the Action ("to" date)
• Employee Name
• Social Security Number
• Salary & Pay Grade Level
• Job Title & Job Code
• Position Number
• Position Location
• Full-time Equivalent ("FTE") of position

C. Actions Which Must Be Reported
All of the actions listed below must be reported to the Department of Civil Service within 30 days of their effective date.

Actions which require prior approval by the Director of Civil Service

• Details to Special Duty of more than 1 year
• Double incumbencies
• Job Corrections
• Layoff Avoidance Measures
• Layoffs and Displacement (bumping) actions in Lieu of Layoff
• Suspension pending criminal proceedings
• Temporary Inter-Departmental Assignments of more than 1 year
• Waiver of competition for appointment of Voc Rehab Clients (Rule 7.20(c).)

Actions which may be approved by Appointing Authorities
(no prior approval by the Director of Civil Service needed)

• Allocations (Creation) of new positions
• Appointments – Probational, Job, Restricted
• Assignments of position to a Training Series
• Assignments of Special Pay(s) to position (including Special Entrance Rates, Base Supplement, Premium Pay, Shift Differential, On-Call Pay)
• Changes in "Contract" Status (probational, permanent, etc.)
• Changes in duty station to a new geographical area
• Changes in Part-Time/Full-Time employment
• Changes to a different position number (but within same job title)
• Demotions (Voluntary and Involuntary)
• Details to Special Duty of more than 30 days but less than 1 year
• Detail Terminations (end of Detail of any duration)
• Dismissals
• Job Corrections
• Leave without pay in excess of 30 days
• Merit Increases (including Merit Increase not on eligible date)
• Pay changes
• Promotions
• Reallocations of employees
• Reallocations of existing positions in accordance with approved Delegated Classification Authority
• Reassignments
• Reductions in Pay (disciplinary, non-disciplinary, layoff avoidance)
• Re-employments -- based on prior service or from a preferred list
• Reinstatements
• Removals (Non-Disciplinary)
• Resignations
• Separations while on Probation
• Suspension while on other non-permanent appointment
• Suspension without Pay (disciplinary and emergency)
• Temporary Inter-Departmental Assignments of less than 1 year
• Terminations of any Temporary Inter-Departmental Assignments
• Transfers

D. Actions Which Need NOT Be Reported
The following actions need NOT be reported to Civil Service.

• Changes in duty stations within a geographical area
• Changes in work schedule
• Details to special duty under 30 days w/o change in title, status or pay
• Leave without pay for less than 30 days
• Reprimands or warnings

III. EMPLOYEE NOTIFICATION
Agencies must provide employees with official notification of any change in their position, pay, status or organizational assignment. Shown below is an example of an employee notification form. Variations may be used, provided the essential information is communicated.                                       

IV. SPECIFIC REQUIREMENTS FOR PAY

A. Authorized Payroll Periods
Appointing Authorities may use any of the following standard payroll periods. Paychecks must be issued no later than seven calendar days following the end of the pay period. Use of any other payroll period, or a delay of more than seven days for the issuance of paychecks, must be approved by the Director of Civil Service.

Standard Payroll Periods: Weekly, Bi-weekly, Semi-Monthly, Monthly

B. Reporting Employee Pay
Pay for full-time Classified employees must be reported as a bi-weekly amount.
Pay for part-time Classified employees must be reported as an hourly amount.
Pay for Unclassified employees may be reported as an annual, hourly, OR bi-weekly amount.

C. Calculating Employee Pay
All calculations of employee pay must be based on the HOURLY amount, rounded up or down to the nearest penny. (For example, $9.004 is rounded to $9.00, while $9.005 is rounded to $9.01.)  Agencies need not maintain documentation of their individual pay calculations. However, they must be able to explain HOW they reached a particular pay calculation.

D. Special Pay
Agencies must also keep a record of any special pay granted to an employee, such as premium pay, on-call pay, shift differentials, Special Entrance Rates, etc. The documentation of such additional pay must include the appointing authority’s or designee’s authorization as well as Civil Service authorization for the pay.

V. DOCUMENTS SENT TO CIVIL SERVICE

The following documents must be submitted to Civil Service by all agencies each time they are used to effect a personnel action.

• Position Descriptions (SF-3)
• Department Preferred Reemployment List Activity with cover sheet
• Layoff Plan (must be submitted and approved by the Civil Service Director before any layoff action is effected) with Assistance Division cover sheet.
• Layoff Report (must be submitted after all layoff action effective dates) with Assistance Division cover sheet.

Agencies also must submit upon request any other documentation supporting their personnel or position transactions.

VI. DOCUMENTS MAINTAINED BY THE AGENCY

Documents maintained by the agency may be stored in paper or electronic format and must be made available to DSCS employees upon request.

A. General Requirements
Agencies must maintain:

• Application of appointee
• Payroll records
• Attendance & Leave records
• Appointment records, including job postings, application and certificate of eligibles
• Status Change records
• Position Allocation records
• Performance Planning & Review records
• Discipline records
• Suspension Pending Investigation records
• When layoff has occurred at agency, as per General Circular No. 1466.

B. Specific Requirements for Employee Actions
The following records and documents related to personnel actions must be maintained by the agency in a form readily available for Civil Service review.

1. Appointment, Promotions and Transfers
For all appointments, promotions and transfers, regardless of type, agencies must maintain the following records and documentation:

• Appointing Authority approval
• Application of appointee and any documents used to verify qualifications such as transcripts, licenses, certifications, etc.
• Applicant flow information
• Documentation of who verified the qualifications and supporting documents (license, transcript, certification, etc.)
•  For appointments only, if salary set using Rule 6.5(g), proof that extraordinary qualifications verified and initials or signature of the person who verified them.
• Justification if candidate appointed did not meet “flexible qualifications.”

In addition to the above, appointments made under any of the exceptions to public announcement as listed in Civil Service Rule 22.3, the agency must also maintain:

• ZMD sheet from ISIS or a printout from the agency HR system (eg: PeopleSoft) that details all experience used to make the qualification determination and the signature/initials of the person making that determination.
• -OR-
• Written document (spreadsheet/memo) that details all experience used to make the qualification determination and the signature/initials of the person making that determination.
• -OR-
• Employment application that details all experience used to make the qualification determination and the signature/initials of the person making that determination

Additional Specialized Documentation
If any of the subsequent conditions apply, the agency must maintain the following additional documentation

Job appointment , Restricted appointment, or Detail to Special Duty: documentation of need for temporary appointment. This documentation must meet the requirements of Rules 23.5, 23.6, 23.12, and the Policy Standards for Temporary Appointments.

Test Score Required: Score of appointee

Vocational Rehab or Blind Services Client appointed: Letter from the Vocational Rehabilitation or Blind Services Program counselor outlining that the candidate is a bona fide client

Re-Employment Based on Prior Service: Documentation of eligibility and who determined that appointee had permanent status within the last 10 years, and was not last separated by dismissal
Re-Employment from Preferred List: Department Preferred List worked and written offer letters or documentation of inquiries

2. Demotions

    a. Voluntary Demotion

• Application of the employee.
• Documentation of who verified the qualifications and supporting documents (license, transcript, certification, etc.)
• Letter of Understanding signed by the employee with new position and new salary
• Documentation of Appointing Authority’s approval
• Justification if the usual reduction in salary is waived.
• Justification if appointee did not meet "flexible qualifications"
• Score of appointee if required

    b. Involuntary Demotion
        Note: An Involuntary Demotion is a Disciplinary Action – see Chapter 12 of the Civil Service Rules

• Proof that pre-disciplinary procedure was carried out
• Copy of the Written Notice given to the employee
• Documentation of how and when employee was given Written Notice
• Documentation of who verified the qualifications
• Justification if appointee did not meet "flexible qualifications"
• Documentation of  Appointing Authority approval

    c. Demotion in Lieu of Layoff

• Application of the employee
• Documentation of who verified the qualifications
• Justification if appointee did not meet "flexible qualifications"
• Layoff Offer Letter signed as accepted by employee
• Copy of Approved Layoff Plan and Copy of Layoff Report (One master copy will suffice.)
• Proof employee was offered placement on Department Preferred List

3. Position/Pay Changes
For all position / pay changes, regardless of type, agencies must maintain:

• Documentation of position movement (from and to) including job title, position #, and job code
• Documentation of salary changes (from and to with % difference)
• Documentation of Appointing Authority’s approval
• Documentation of any Civil Service Director or Commission authorization required (for example: Special Entrance Rates, etc.)
• Proof of existence of pay policies required by Civil Service Rules
• Documentation that agency pay policies were followed.

v  Documentation of who verified the qualifications and supporting credentials (if job title changed) plus:

Ø  ZMD sheet from ISIS or a printout from the agency HR system (eg: PeopleSoft) that details all experience used to make the qualification determination and the signature/initials of the person making that determination.

v  -OR-

Ø  Written document (spreadsheet/memo) that details all experience used to make the qualification determination and the signature/initials of the person making that determination.

v  -OR-

Ø  Employment application that details all experience used to make the qualification determination and the signature/initials of the person making that determination

v  Justification if appointee did not meet " flexible qualifications"

For changes that result in a Change in Geographic Duty Station for probational, job appointees, agencies must also maintain:

• Documentation of employee’s certification history showing that change did not circumvent competition requirements.

4. Resignations, Dismissals, Removals and Separations

    a. Voluntary Resignation

• Letter of Resignation OR Signed Resignation Form (SF14R)
• Acceptance of resignation by Appointing Authority
• Employee Notification Form

    If unable to obtain written resignation:

• Documentation of why a written resignation could not be obtained and reasons for resignation (if known)

    b. Dismissal (Disciplinary -- Separation for fault)

• Documentation of Pre-deprivation procedure ("Loudermill Notice") given to employee
• Employee’s response to Pre-deprivation Notice
• Copy of Letter of Dismissal given to employee
• Documentation that someone with appointing authority took the action
• Documentation that employee was given Letter of Dismissal before effective date

    c. Removal (Non-Disciplinary Separation)

• Documentation of Pre-deprivation procedure ("Loudermill Notice") given to employee
• Employee’s response to Pre-deprivation Notice
• Copy of Letter of Removal given to employee
• Documentation that someone with appointing authority took the action
• Documentation that employee was given Letter of Removal before effective date

    d. Separation of Non-Permanent Classified Employees

• Documentation that someone with appointing authority took the action

C. Specific Requirements for Position Actions

1. Allocation and Reallocation of Positions

• One copy of the approved position description (SF-3) with position number and required signatures. MUST BE SENT TO CIVIL SERVICE
• Supporting documents such as organizational charts, audit reports, notes, etc.
• Documentation of position changes or movement including job titles, job codes and position numbers
• Documentation of who verified the qualifications
• Justification if appointee did not meet " flexible qualifications"

Special note about position descriptions:
For the foreseeable future, you must continue to submit hard copies of position descriptions (SF-3s). However, if you have direct entry access into ISIS HR, and access to Microsoft Word, please begin to use the "copy and paste" functions to include the description of work section of the SF-3 in the description section of the ISIS HR position record.

Special note about jobs in career progression groups:
Position descriptions (SF-3s) reflect the title of the "cap" of the career progression series , or the highest level in the career progression series job group that the duties assigned to the position will support. In ISIS HR, please note in the description section of the electronic position record, the title of the cap of the series and the career progression you intend to use.

2. Pay Documentation

• Change in salary (from and to amounts and % increase or decrease)
• Reason for pay change (example: merit increase)
• Appointing authority’s approval
• Letters of request and justification to the Civil Service Commission
• Letters granting Commission approval of requests
• Agency pay policies as required by rules
• Plans for implementation of special pay with flexible rates

VII. CONFIDENTIAL AND PUBLIC RECORDS
Agencies must maintain personnel files for each employee containing records relevant to his/her employment and service history. Confidential items should be maintained in a manner that allows them to be separated from the public record. ALL personnel records should be handled with discretion. The following information is not all-inclusive; for additional information, see Public vs. Private Information.

Confidential Information

• Social Security Number
• Address & Telephone Number (when employee requests confidentiality)
• Scores and notes of interview panel members
• Performance Ratings (including the rating and comments)
• Internal grievance documents
• Letters of counseling, warning or reprimand
• Documentation of Suspension Pending Investigation
• Pre-discipline ("Loudermill") notices UNLESS discipline results
• Medical records
• Insurance claim forms
• Life insurance applications
• Requests for payment of insurance benefits
• Beneficiary information (retirement, insurance, etc.)
• Bank information
• Pay check deductions
• Tax information
• College transcripts

Public Information

• Appointment affidavits (SF13)
• Record of appointments
• Record of changes in status or position (promotion, reassignment, etc.)
• Copy of current position description (SF3)
• Records of completed training courses
• Copies of applications for appointments
• Attendance and leave records (excluding confidential medical records)
• Letters supporting formal disciplinary actions
• Rate of pay and salary information
• Garnishment information

VIII. ACCESS TO DOCUMENTATION

Agencies must maintain information and records in a manner that will enable a Civil Service representative to ascertain whether the agency has acted in compliance with Civil Service Rules and directives. Agencies must allow Civil Service representatives to review their records at any time. Agencies must provide Civil Service with copies or originals of documents upon request. Authorization of actions by the Appointing Authority or designee must be clearly documented.

Documents maintained by the agency may be stored in paper or electronic format and must be made available to DSCS employees upon request.

IX. RETENTION SCHEDULE

Records of Active Employees
Agencies must maintain the personnel records for their active employees for the duration of each individual’s employment with that agency.

Records of Separated or Transferred Employees
When an employee leaves an agency, either through separation from state service or through transfer to another state agency, the losing agency must retain that employee’s personnel records for a period of 3 years.

All Other Records
All other records, including vacancy postings and results, applicant flow data, etc. must be retained by the agency for a period of three years from the date the record was created.

General Retention Schedule for Applications
The application of any person appointed to a job vacancy should be kept as long as the person is an employee and three years after their separation from employment.

The applications of everyone who responds to a job vacancy must be kept for three years, whether they qualified or not. All such applicants must be counted as part of the applicant flow and for affirmative action reporting.

X. DOCUMENTATION OF WHO HAS APPOINTING AUTHORITY
The Appointing Authority for each agency is defined by state law. The Statutory Appointing Authority may delegate authority within the agency. Each agency Human Resource Office must maintain a record of any delegation of Appointing Authority within the agency, and any changes to that delegation of Appointing Authority. Records of delegation of appointing authority must be permanently retained.

DOCUMENTATION JOB AIDS