STATE OF LOUISIANA

DEPARTMENT OF STATE CIVIL SERVICE

BATON ROUGE, LOUISIANA

General Circular No. 001464

To: Heads of State Agencies and Human Resource Directors

Subject: Demonstrating Appointing Authority Approval and Certification

Issue Date: January 3, 2002

With the implementation of ISISHR, PeopleSoft and other new databases, during the past year, a number of changes have affected how agencies demonstrate Appointing Authority approval and certification of actions. The Standard Form 1 (SF-1) has been eliminated as a universally used approval form. Agencies have developed other forms to document the approval and execution of personnel transactions. These documents are tailored to fit individual agency preferences and procedures.

The Department of Civil Service has received a number of requests from agencies for guidance on what type of documentation is needed to adequately demonstrate Appointing Authority Approval and Certification of transactions. In response to such requests, we have prepared an addendum to the official "Documentation and Reporting Requirements for Personnel and Position Actions" section of the Civil Service HR Handbook. This new section, titled "Demonstrating Appointing Authority Approval and Certification" has been added as section VI. D. However, for your convenience, a copy of the text of this new section, minus sample forms, has been reproduced below.

If you have any questions about this information, please contact our Accountability Division at 225-219-9537.

Sincerely,

Allen H. Reynolds

Director

The Appointing Authority for each agency is defined by state law, either by statute or constitutional provision. This statutory Appointing Authority has the power to authorize personnel transactions and the responsibility to certify that those transactions comply with Civil Service law. The Appointing Authority may delegate the authority to approve and certify transactions by Authentic Act or through less formal means.

Civil Service Rules require an Appointing Authority to certify that each personnel transaction complies with the requirements of Article X of the Louisiana Constitution, the Civil Service Rules, the Uniform Classification and Pay Plans and the policies and procedures issued by the Director. (C.S. Rule 15.3(b)) This means that each personnel transaction must have documentation that it has been certified by the statutory or the delegated Appointing Authority.

The Human Resources staff must know who has the authority to approve and certify actions at the agency. Documentation of delegations of authority should be maintained in the Human Resources office. Documentation for each personnel transaction must include proof of the approval and certification of the action by someone who had Appointing Authority.

Documentation of approval and certification by an Appointing Authority, whether statutory or delegated, may take many forms. The most classic form of documentation is an Appointing Authority’s signature on the form used to record an action. However, documentation might also be copy of a memo or an e-mail from an Appointing Authority, instructing the Human Resources office to execute some action. (See example.) No matter what the particular format, there must be documentation to show that an Appointing Authority, or his or her official designee, granted permission for the action to be taken and certified that the action complied with Civil Service law.

In many agencies, the statutory Appointing Authority may find it impractical to personally sign every personnel transaction. Instead, the Appointing Authority may choose to delegate the power to approve and certify certain transactions to other members of the organization.

For example, an Appointing Authority might choose to delegate the power to approve and certify appointments and promotions to all Division Heads, and the power to approve and certify merit increases to all Division Heads, Office Managers and Unit Supervisors. In this case, an appointment would have to have documentation of approval and certification by a Division Head, while a merit increase would only require documentation of approval and certification by a Unit Supervisor.

Although a statutory Appointing Authority may delegate to others the power to approve and certify personnel transactions, the responsibility for the propriety of those transactions remains with the statutory Appointing Authority. Appointing Authorities must be prepared to demonstrate that they have delegated power responsibly and that they are exercising adequate control over the personnel activities within their agency.

In addition to documentation of Appointing Authority approval and certification of transactions, the agency must also implement procedures that provide adequate internal controls. Internal controls should provide a system of review, or checks and balances, to ensure that the execution of transactions matches the approvals. Internal controls should include routine reviews of the exercise of discretion granted by the Appointing Authority.

When an Appointing Authority chooses to delegate the power to approve and certify transactions, it is essential to document the terms and extent of the delegation. Delegation of authority may be informally documented in the form of a memo, policy statement or official procedure, or it may be formally documented by Authentic Act.

Informal documentation of delegation is generally adequate for most routine personnel transactions. However, if an action is challenged, such as in an appeal, the person who delegated the authority must testify in person at the hearing.

For this reason, when an Appointing Authority delegates the power to approve disciplinary actions, such as reductions in pay, suspensions without pay, demotions or dismissals, it is wise to formally delegate, through Authentic Act or Rule. Having formal delegation will alleviate the need to have the Appointing Authority personally testify to the delegation.

Delegation of Authority by Authentic Act is accomplished when the statutory Appointing Authority signs a written statement of delegation before a notary and two competent witnesses. See samples of Delegation of Appointing Authority.

1. Whenever possible, delegate appointing authority by authentic act.
2. Pass authentic acts in quadruplicate originals so that the notary, the delegator, the person receiving the delegation, and the Human Resources Director can each be a custodian of an original. This will enable any one these individuals to certify a copy as needed.
3. Avoid re-delegating appointing authority. Although legal, each re-delegation must be proved in the same manner as the original delegation. A series of re-delegations becomes difficult to prove unless the original delegation and every re-delegation is by authentic act.
4. When a new statutory appointing authority takes office, update all delegations made by his/her predecessor.
5. Delegate authority to a particular position or to a named occupant of a particular position "and his/her successor in office." This avoids having to redo the delegation when the person receiving appointing authority leaves his/her position.
6. Even if no other authority is delegated, there should be at least one person at the work location, for each work shift, who has the authority to impose an emergency suspension and to accept a resignation.
7. Do NOT split the authority for approving the action and the responsibility for certifying that the action complies with Civil Service law.
8. Human Resources Directors should advise all supervisors and managers of what authority (if any) has been delegated to them. This is particularly important when incumbents change.
9. See sample forms of delegation.