General Circular No. 001393
To: Heads of State Agencies and Human Resource Directors
Subject: Proposed Rules to Decentralize Actions
Issue Date: June 8, 2000
The State Civil Service Commission will hold a public hearing on July 12, 2000, to consider the attached Rule proposals. The hearing will begin at 9:00 a.m. and will be held in the Department of State Civil Service Second Floor Hearing Room, DOTD Annex Building, 1201 Capitol Access Road, Baton Rouge, Louisiana.
Individuals who wish to comment upon these proposals may do so at the public hearing or by writing the Director at Post Office Box 94111, Baton Rouge, Louisiana 70804-9111.
If any special accommodations are needed, please notify the Director prior to the public hearing.
Sincerely,
Allen H. Reynolds
Director
EXPLANATION SUMMARY
The Department of Civil Service is altering the method used to review personnel actions for compliance with the provisions of Article X of the Constitution, the Civil Service Rules, the Uniform Classification and Pay Plans and the policies and procedures issued by the Director. The new method will decentralize both the processing of personnel and position actions and the maintenance of associated documentation. These alterations will allow agencies to effect most personnel and position actions without obtaining prior approval from the Director. Civil Service review of such actions will occur after their effective date. The requirement for all personnel actions to be taken in accordance with the provisions of Article X of the Constitution, the Civil Service Rules, the Uniform Classification and Pay Plans and the policies and procedures issued by the Director will remain unchanged.
AMEND TITLE OF CHAPTER 15
Chapter 15 Effecting and Reporting Actions
AMEND RULE 15.1
15.1 Effecting and Recording Actions
(a) Appointing Authorities shall take actions in accordance with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
(b) The Director shall prescribe the records which appointing authorities must maintain to provide adequate documentation of personnel and position actions, payroll and attendance, applicant flow and such other information as may be specified. The Director shall prescribe the retention schedule for such records.
(c) Each appointing authority shall establish adequate internal controls to prevent fraud and to ensure that actions are effected in compliance with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
EXPLANATION
Section (a) authorizes appointing authorities to effect actions without the prior approval of the Director, provided that those actions fully comply with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
Section (b) requires the Director to specify the records agencies must maintain and the length of time they must maintain them.
Section (c) requires appointing authorities to maintain a system of internal control which prevents fraud and ensures that all actions taken fully comply with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
15.2…
15.2.1…
AMEND RULE 15.3
15.3 Reporting and Certifying Actions
(a) The Director shall inform the appointing authorities which actions and status changes must be reported to the Department of Civil Service. These actions and status changes must be reported no later than 30 days after their effective date.
(b) The appointing authority or his designated agent shall certify for each action effected under his authority that the action complies with the requirements of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director. Certification by the appointing authority shall constitute authorization for payment of compensation to an employee at the rate specified as long as the employee remains in a pay status. The appointing authority shall notify the employee subject to such actions.
EXPLANATION
Changes to Section (a) eliminate language that requires agencies to report actions by means of paper forms, since decentralization will enable most agencies to report actions electronically. Actions must be reported no later than 30 days after their effective date.
Changes to Section (b) eliminate the requirement for pre-approval from the Director in order to pay an employee. Instead, appointing authorities are required to certify that their personnel actions comply with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans and the policies and procedures issued by the Director. Such certification by the appointing authority will authorize payments to employees. Appointing authorities must continue to notify employees of any actions affecting their pay or status.
AMEND RULE 15.4
15.4 Required Director’s Approval of Actions
The Director may require an appointing authority to obtain his approval of certain actions before they may be effected.
EXPLANATION
Changes to Rule 15.4 clarify the Director’s authority to require an appointing authority to obtain his prior approval before the appointing authority may take certain types of actions.
15.5…
AMEND RULE 15.6
15.6 Review of Records
The Director may examine departmental records to determine whether there is a violation of any provision of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, or the policies and procedures issued by the Director. The appointing authority shall provide copies or originals of any such records upon the Director’s request and within the time specified by the Director.
EXPLANATION
These changes clarify the Director’s right to examine an agency’s personnel related records to assess compliance with Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director. This amendment also specifies the appointing authority’s obligation to provide the Director with personnel records upon his request.
AMEND RULE 15.7
15.7 Actions in Violation of the Rules
If the Director finds that any action has been effected in violation of the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, or the policies and procedures issued by the Director, he may take any corrective action he deems appropriate or may direct the appointing authority to take such corrective action. Corrective actions may include, but are not limited to, the rescinding of any actions and associated compensation, or restitution to the employee.
EXPLANATION
Changes to this Rule clarify the Director’s authority to correct or to instruct an appointing authority to correct any action found to violate Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, or the policies and procedures issued by the Director. The amended Rule also gives some examples of corrections that may be made.
15.8 …
AMEND RULE 15.9 (c) 3.
15.9 (a) …
15.9 (b) …
15.9 c)
1. …
2. …
3. Files, statements, reports, correspondence and other data in connection with and related to investigations of violations of the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, or the policies and procedures issued by the Director, when such inquiries are conducted by the Commission or the Director, except as permitted under Rule 16.3 c).
4…
5…
6…
EXPLANATION
The change to this rule allows the Director to share the findings in an investigation with other appropriate officials as listed in Rule 16.3 (c), such as the legislative auditor, etc.
AMEND 16.3 (b) and ADOPT 16.3 (c), (d) and (e)
16.3 Investigations by the Director
(a) …
(b) Upon receipt of a request for investigation, the Director or his designee shall conduct such investigation as he deems warranted based on the information contained in the request for investigation.
(c) Following an investigation, the Director may issue a letter of admonishment, take corrective action, order an appointing authority to take corrective action, impose special reporting requirements on an appointing authority, revoke authority previously granted by the Director, require an appointing authority to obtain prior approval of personnel actions, file formal charges under Rule 16.4, report the facts disclosed in the investigation to the legislative auditor, attorney general, district attorney, or other officers, and/or take or order any other action deemed appropriate.
(d) Corrective action may include, but is not limited to, rescinding an action and associated compensation, and the effecting of back-pay to an employee.
(e) Corrective action which reduces an employee’s pay, lowers an employee’s pay grade, results in loss of permanent status, or nullifies an appointment, shall not become effective until the employee has been given notice of the reasons for the action, and a reasonable opportunity to respond.
EXPLANATION
The changes to rule 16.3 (b) and the addition of 16.3 (c) expand the Director’s choice of remedies for violations beyond the current single option of filing formal charges under Rule 16.4. The options provided by the amended rule include issuing letters of admonishment, taking corrective action, ordering an appointing authority to take corrective action, imposing special reporting requirements on an appointing authority, revoking authority previously granted, requiring prior approval of personnel actions, reporting the facts disclosed in the investigation to the legislative auditor, attorney general, district attorney, or other officers, and/or taking or ordering any other action deemed appropriate.
The proposed rule 16.3 (d) explicitly states that corrective actions the Director may take or may order an appointing authority to take can include the rescinding of actions and associated compensation.
The proposed rule 16.3 (e) specifies the requirements of due process which must be afforded an employee who is going to suffer a loss of pay or appointment as a result of a corrective action.
AMEND RULE 14.1 (i) and ADOPT RULES 14.1 (q), (r) and (s)
14.1 Prohibited Activities
(a)…
(h)…
(i) No employee shall receive any compensation except as authorized by or pursuant to the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
(j)…
(p)…
(q) No person shall fail to comply with any order or directive issued by the Director pursuant to the authority granted by the rules.
(r) No person shall fail to comply with any agency policy or procedure when the rules require either the Director or the Commission to specifically approve such policy or procedure, and where such approval has been obtained.
(s) No person shall fail to comply with any delegation agreement.
EXPLANATION
The change to Rule 14.1( i) eliminates the requirement for the Director’s prior approval of compensation to employees, but preserves the requirement that any compensation of employees must comply with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
Rule 14.1 (q) makes failure to comply with directives issued by the Director a violation of Civil Service Rules. This would include failure to take corrective action as ordered by the Director to remedy actions found to have been effected in violation of the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
Rule 14.1 (r) makes failure to follow agency policies formally approved by the Director or the Commission a violation of Civil Service Rules. This rule applies to agency policies which require either Director or Commission approval such as dual career ladders, rewards and recognition programs, etc. It does not apply to agency policies which do not require approval by the Director or the Commission, such as internal grievance procedures, leave policies, etc.
Rule 14.1 (s) makes failure to comply with the terms of a delegation agreement a violation of Civil Service Rules.
AMEND RULE 6.13
6.13 Certification and Payment
(a) No employee shall receive any compensation except as authorized by or pursuant to the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director.
(b) If payments to an employee are found to have been made in violation of the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, or the policies and procedures issued by the Director, the Director may take any corrective action he deems appropriate or may direct the appointing authority to take such corrective action. Corrective actions may include, but are not limited to, the rescinding of any actions and associated compensation, or restitution to the employee.
EXPLANATION
The amended Rule eliminates the requirement for the Director’s pre-approval of personnel actions effecting employee pay. It standardizes the language that requires all actions to be taken in compliance with the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, and the policies and procedures issued by the Director. It standardizes the language describing the Director’s authority to take or to direct appointing authorities to take corrective action. It provides some examples of corrective actions which may be taken.
AMEND RULE 8.15 (a)
8.15 Transfer
(a) Subject to the provisions of subsection (d) hereof, a permanent or probationary employee may be voluntarily transferred from any position in the classified service in one department to any position in the classified service for which he is qualified in another department upon the recommendation of the appointing authority of the receiving department, provided the employee meets the qualification requirements of the job to which he is transferring and has met Civil Service requirements for testing and competition.
EXPLANATION
The amended Rule eliminates the requirement for the Director’s pre-approval of employee transfers from one department to another.
AMEND Rule 8.15.1
(a) Upon agreement between departments, a permanent employee may be assigned to a classified position in another department for a period not to exceed one year, provided the employee meets the qualification requirements of the job to which he is being assigned and has met Civil Service requirements for testing and competition.
(b)…
(c)…
(d) Either participating department may terminate the interdepartmental assignment of an employee at any time, with proper notification to the Director. The Director may terminate such assignment if he determines that it violates the provisions of Article X, the Civil Service Rules, the Uniform Classification and Pay Plans, or the policies and procedures issued by the Director.
(e) Notwithstanding any other provision of these Rules, a temporary inter-departmental assignment may not be continued beyond one year without the Director’s approval.
EXPLANATION
This amendment removes the requirement for the Director’s prior approval of temporary inter-departmental assignments of up to one year. It retains the requirement to obtain the Director’s approval before extending such a temporary assignment beyond one year.
AMEND 8.16 (a)
8.16 (a) Reassignment
An appointing authority may reassign any probationary or permanent employee to a position with a different job title that has the same minimum entrance rate of pay, provided the employee meets the qualification requirements of the job to which he is being assigned and has met Civil Service requirements for testing and competition.
EXPLANATION
This amendment removes the requirement to obtain the Director’s approval prior to laterally reassigning an employee.
AMEND 8.16 (c)
8.16 (c) Change in Duty Station
An appointing authority may change the duty station of a permanent employee from one geographical area to another. An appointing authority may change the duty station of a provisional or probationary employee from one geographical area to another in accordance with guidelines specified by the Director to ensure observance of appropriate competition requirements.
EXPLANATION
This amendment removes the requirement to obtain the Director’s approval prior to changing the duty station of a provisional or probationary employee, provided such a change does not circumvent competition.
AMEND Rule 11.27(a) and ABOLISH Rule 11.27(b)
(a) An appointing authority may extend leave of absence without pay to an employee, provided that such leave shall not prolong the period of the employee’s appointment.
(b) Abolish effective October 1, 2000.
EXPLANATION
The changes to Rule 11.27(a) and (b) eliminate the requirement to obtain the Director’s approval to extend leave without pay to an employee for more than one year. It preserves the prohibition against granting such leave to extend the length of an employee’s appointment.
AMEND RULE 9.2
9.2 Permanent Appointment Action Following Probationary Period
(a) Permanent appointment of a probationary employee shall begin upon certification by the appointing authority that the employee has met the required standard of work during the probationary period.
(b) A permanent appointment must be reported to the Director in the manner he prescribes.
EXPLANATION
The changes to Rule 9.2 eliminate language requiring the use of the "Standard Form 1" to report actions to the Director. The Standard Form 1 will be replaced. Some agencies will report such actions electronically, others will be instructed in the use of a new paper form.
ADOPT RULE 1.1.2
1.1.2 "Action" means a personnel transaction effecting a change to a person’s employment or to a position.
ADOPT RULE 1.24.03
1.24.03 "Personnel Action" means a personnel transaction effecting a change to a person’s employment or to a position.
EXPLANATION
These definitions are being added to clarify that the use of the terms "action" or "personnel action" in these rules may refer to both transactions affecting an employee and/or transactions affecting positions.
AMEND RULE 7.4 (a)
7.4 Minimum Qualifications
(a) The Director shall establish Minimum Qualifications for each job in the classified service. These Minimum Qualifications shall be included as part of the job specification for each classified job. Appointees to any classified job must meet the Minimum Qualifications established for that job unless exempted under provisions of Rules 7.9(a)2 (c), 7.9(a)2(d), 8.16(d), 8.18, or 5.8. The Director may order the removal or separation of any employee found to have been appointed who does not meet the Minimum Qualifications.
EXPLANATION
Currently, the Director sets Minimum Qualifications for all jobs in the classified service, not just those which have examinations. Even when the term "examinations" is used in its broadest sense to include Experience and Training ratings as well as written tests, the current wording is misleading and subject to misinterpretation. The proposed rule provides clarification and codification of current practice.
AMEND RULE 7.5(a)3
7.5 Rejection of Application
(a) The Director may reject the application of any person who
EXPLANATION
This change is needed to clarify the wording so it does not appear to limit rejecting the application to jobs using tests.