DOCUMENTATION AND REPORTING
REQUIREMENTS FOR
PERSONNEL AND POSITION ACTIONS
CONTENTS
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Sample Documentation Checklist |
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Applicant Flow FAQ’s |
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Certification of Rule Compliance (Before and After Decentralization) chart |
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Appointing Authority Approval - Compliance Certification - Internal Controls Chart |
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Sample Agency Policy for Certification of Compliance of Personnel Actions With Civil Service Law |
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)
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:
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
Actions which may be approved by Appointing Authorities
(no prior approval by the Director of Civil Service needed)
D. Actions Which Need NOT Be Reported
The following actions need NOT be reported to Civil Service.
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.
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EMPLOYEE NOTIFICATION FORM |
Issued: 09/15/2000 |
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Personal Information |
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Employee Name: John Doe |
Personnel Number: 00000001 |
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Organizational Information |
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Company Code: 0010 |
Personnel Area: 107 Div. of Administration |
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Position Information |
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Position: 50001444 |
Job Code: 001003 |
Job Title: State Worker 3 |
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Nature of Action or Change |
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Action: Org Assign |
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.
Agencies also must submit upon request any other documentation supporting their personnel or position transactions.
VI. DOCUMENTS MAINTAINED BY THE AGENCY
A. General Requirements
Agencies must maintain:
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:
· 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.
In addition to the above, appointments made under Quality Express Staffing or QUEST, the agency must also maintain:
· 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.
· Names and scores of all candidates who applied, including appointee.
· Justification if candidate appointed did not meet “preferred qualifications.”
· Justification if candidate appointed scored below 40th percentile on required written examination.
· Copy of job search posting
Additional Specialized Documentation
If any of the subsequent conditions apply, the agency must maintain the
following additional documentation
Job or Restricted appointment: documentation of need for temporary
appointment
Vacancy Posting used: Copy of posting
Certificate used: Copy of worked certificate and Inquiries of
Availability/SF9’s for all applicants contacted
Test Score Required: Score of appointee (copy of a certification
history screen print )
Vocational Rehab or Blind Services Client appointed: Letter from Civil
Service approving exemption from competition and letter from rehab counselor
Provisional Converted to Probational or Job Appointment: Score of
appointee (based on certification history, copy of a screen print is
acceptable)
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 SF9’s for all contacted
Probational Appt w/o Break in Service: Although not mandatory, when a
permanent employee accepts a probational appointment without a break in
service, we strongly recommend that the agency obtain a signed statement from
the employee confirming his/her understanding that he/she will serve a 6-24
month probational period.
2. Demotions
a. Voluntary Demotion
b. Involuntary Demotion
Note: An Involuntary Demotion is
a Disciplinary Action – see Chapter 12 of the Civil Service Rules
c. Demotion in Lieu of Layoff
3. Position/Pay Changes
For all position / pay changes, regardless of type, agencies must maintain:
For changes that result in a Change in Geographic Duty Station for probational, provisional, and job appointees, agencies must also maintain:
4. Resignations, Dismissals, Removals and Separations
a. Voluntary Resignation
If unable to obtain written resignation:
b. Dismissal (Disciplinary -- Separation for fault)
c. Removal (Non-Disciplinary Separation)
d. Separation of Non-Permanent Classified Employees
C. Specific Requirements for Position Actions
1. Allocation and Reallocation of Positions
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 training series:
Position descriptions (SF-3s) reflect the title of the "cap"
of the training series, or the highest level in the training 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 within the training series
group you intend to use.
2. Pay Documentation
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
Public 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.
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 (whether through announcement or certificate) must be kept for ninety days, whether they qualified or not. All such applicants must be counted as part of the applicant flow and for affirmative action reporting.
Retention Schedule For Applications
Under QUEST
The standard retention schedule
will be for 90 days after the effective date of the appointment. The applications of everyone who responds to
the announcement must be kept for ninety days whether they qualify or not. All such applicants must be counted as part
of applicant flow and for affirmative action reporting. The application of the person appointed
should be kept as long as the person is an employee.
Special retention schedule
When either of the following conditions occurs:
1. The person appointed does not meet preferred qualification.
2. The person appointed scores below the 40th percentile on both the COAST Behavior Assessment and the COAST Office Skills test.
The applications of all persons responding to the announcement must be kept for a minimum of one year beyond the effective date of the appointment.
Neither the general retention nor the QUEST retention schedule modifies how long you should maintain applicant pool records summary information, which should still be kept for three years in accordance with public records laws.
XI.
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.