[49 Pa.B. 1297]
[Saturday, March 16, 2019]
[Continued from previous Web Page]
Annex A
TITLE 4. ADMINISTRATION
PART XV. OFFICE OF ADMINISTRATION
Subpart A. CIVIL SERVICE REFORM—
TEMPORARY REGULATIONS
CHAPTER 601. GENERAL PROVISIONS
GENERAL PROVISIONS Sec.
601.1. Short title. 601.2. Purpose. 601.3. Definitions. 601.4. Veterans' preference. 601.5. Age Preference 601.6. Reasonable accommodations. 601.7. Service to departments, boards and commissions, agencies and political subdivisions; cooperation with other civil service agencies. 601.8. Electronic records and signatures. § 601.1. Short title.
This subpart shall be known and cited as the ''Merit System Employment Regulations.''
§ 601.2. Purpose.
(a) This subpart is designed to effectuate the primary purpose of civil service reform, as required by 71 Pa.C.S. Part III (relating to civil service reform), declared to create and sustain a modern merit system of employment within the Commonwealth work force that promotes the hiring, retention and promotion of highly qualified individuals, ensuring that government services are efficiently and effectively delivered to the public.
(b) This subpart implements and supplements the act and is to be read together with the applicable provisions of the act.
§ 601.3. Definitions.
Words, terms and phrases, when used in this subpart, have the meaning as set forth in 71 Pa.C.S. Part III (relating to civil service reform), unless the context clearly indicates otherwise. The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise:
Act—The Act of June 28, 2018 (P.L. 460, No. 71) (71 Pa.C.S. Part III (relating to civil service reform)).
Alternate rule—A rule that gives appointing authorities the ability to select from all eligibles on an eligibility list or a specific alternate number of eligibles, other than three, but not less than three.
Certification—The referral of one or more eligibles by the Office of Administration to an appointing authority, in order to fill one or more positions.
Disability—As defined by the Americans with Disabilities Act of 1990, as amended (42 U.S.C.A. §§ 12101—12213), a physical or mental impairment that substantially limits one or more major life activities, a record of such an impairment, or being regarded as having such an impairment.
Eligible Veteran—An individual, excluding a spouse, who is eligible to receive an employment preference pursuant to 51 Pa.C.S. Chapter 71 (relating to veterans' preference).
Emergency employee—A qualified person hired by an appointing authority to meet an unexpected need and whose tenure will be not more than 60 work days.
Examination—A test, series of tests, or assessments used to determine the degree to which applicants or employees are qualified for appointment or promotion, including examinations delivered at test centers, oral tests, ratings of qualifications, performance tests, medical tests, physical or agility tests, personality or interest inventories, and biographical inventories.
Job specification—A written description of a job that defines and describes representative duties and responsibilities and sets forth the experience and training that provides the knowledge, skills and abilities essential to the performance of the work of the job.
Leave of absence—A temporary interruption of employment for which the employee is given a specified period of leave without pay for purposes such as illness, school attendance, cyclical employment, military duty or training, or employment in a non-civil service position.
Minimum qualifications—The education, experience, licensure, certification or other requirements that are established in the job specification for a job and which must be met by applicants or employees seeking appointment or promotion.
Preferred reemployment list—A list of persons who had regular or probationary status and could not be returned from a civil service leave of absence due to the lack of a vacant position.
Probationary employee—A person serving a probationary period prior to acquiring regular status in a classified service position.
Provisional employee—A person selected by an accelerated examination program and serving a 6-month working test period prior to the required probationary period.
Reassignment—The movement of an employee, within the same appointing authority, from one position to another position in the same job or in a similar job for which the employee qualifies at the same maximum salary.
Reclassification—The change of a classification of a position from one job and code to another job and code.
Regular status—Standing achieved by a classified service employee who has successfully completed a probationary period.
Reinstatement—The return to the classified service of a former employee who resigned or otherwise voluntarily separated from civil service employment.
Resignation—The voluntary termination of employment by an employee, which is evidenced by the employee's written or verbal notice.
Rule of three—The requirement that the appointing authority choose from among the three-highest-ranking available eligibles in filling a particular vacancy.
Senior Management Service—Positions in the Commonwealth unclassified service that have broad policy participation and management responsibility.
Seniority—The amount of time an employee has served in a position in the classified service, provided that the employment has been on a continuous basis, calculation and use of which is defined in this subpart.
Separation—The voluntary or involuntary termination of employment, which includes temporary and permanent terminations.
Special Advisor for Veterans' Programs—The individual appointed by the Secretary of Administration under 71 Pa.C.S. § 2202(a)(12) (relating to duties of Office of Administration).
Suspension—The temporary and involuntary separation of an employee.
Temporary employee—A qualified person appointed to a position from an eligible list for a period not to exceed 12 months.
Trainee—A qualified person appointed or promoted to a training level job.
Training period—The period of time prescribed for a trainee job, during which the incumbent receives general or specialized training, or both, upon the successful completion of which the trainee is promoted without further examination to the job for which trained.
Transfer—The movement of an employee from one appointing authority to a different appointing authority.
§ 601.4. Veterans' preference.
(a) Eligible Veterans. In determining standing on each certified eligibility list, the Office of Administration will credit an additional 10 points to the final examination score obtained by an eligible veteran, in accordance with 51 Pa.C.S. Chapter 71 (relating to veterans' preference).
(b) Spouses. A spouse of a deceased or disabled veteran will receive the same credit to the final examination score given to an eligible veteran under subsection (a), in accordance with 51 Pa.C.S. Chapter 71.
(c) Appointing Authorities. An appointing authority shall give preference to eligible veterans and spouses of deceased or disabled veterans in accordance with the act, this subpart and 51 Pa.C.S. Chapter 71.
(d) Required Documentation. To establish veterans' preference, eligible veterans shall submit a copy of service discharge, DD Form 214 or other equivalent military documentation acceptable to the Office of Administration showing date of entry, into the military, successful completion of basic training, character of service, and where applicable, completion of the military service commitment.
(1) A widow or widower of an eligible veteran shall submit a copy of the spouse's documents as required in subsection (d) and a certified copy of the death certificate of the spouse.
(2) A spouse of a disabled veteran shall submit documentation as required by the Office of Administration, including a copy of the spouse's documents, as required in subsection (d); a United States Department of Veterans Affairs letter dated within the past 6 months verifying the eligible veteran's qualifying disability rating; and a signed statement from the disabled veteran authorizing the use of the preference in accordance with 51 Pa.C.S. § 7108 (relating to preference of spouses).
(e) Special Advisor for Veterans' Programs. The Secretary of Administration will appoint a Special Advisor for Veterans' Programs who shall be a veteran and will serve at the pleasure of the Secretary of Administration.
(f) Powers and duties of the Special Advisor for Veterans' Programs.
(1) The Office of Administration will provide the Special Advisor for Veterans' Programs a copy of the results of audits conducted by the Commission under 71 Pa.C.S. § 3304 (relating to audits of application of veterans' preference).
(2) The Special Advisor for Veterans' Programs may recommend investigations, as authorized under 71 Pa.C.S. § 2202(a)(10) (relating to duties of Office of Administration), of appointments or changes in employment in the classified service not in compliance with 51 Pa.C.S. Chapter 71.
§ 601.5. Age preference.
(a) In accordance with the act, this subpart and section 2203-A of the Administrative Code of 1929 (71 P.S. § 581-3(b)), the Department of Aging shall give age preference to individuals who are 60 years of age or older.
(b) Notwithstanding individuals qualifying for veterans' preference under 51 Pa.C.S. Chapter 71 (relating to veterans' preference), the Department of Aging may select an individual qualifying for age preference in accordance with the act, this subpart and 71 P.S. § 581-3(b).
(c) Certifications issued to the Department of Aging will indicate those applicants with age preference status.
§ 601.6. Reasonable accommodations.
(a) Purpose. This section establishes the procedures for requesting and providing reasonable accommodations in the application and examination process for an employee or applicant with a disability seeking an appointment or promotion.
(b) Applications and Examinations. Reasonable accommodations in the application and examination process will be provided to individuals with a disability.
(c) Requests for Accommodations. An applicant or employee seeking appointment or promotion may request an accommodation by submitting an application for accommodation on a form prescribed by the Office of Administration.
§ 601.7. Service to departments, boards and commissions, agencies and political subdivisions; cooperation with other civil service agencies.
(a) Acquisition of services. The services and facilities of the Office of Administration and its staff will be made available to departments, boards, commissions, or agencies, and political subdivisions of the Commonwealth under the following terms and conditions:
(1) A formal request for extension of the services of the Office of Administration shall be made in writing and shall be signed by the executive head of the requesting department, or by the chair of the board, commission, or agency, accompanied by a resolution adopted by the board, commission, or agency, or by the proper official of the political subdivision, as appropriate.
(2) If less than a complete merit system is desired, a request for extension of the services of the Office of Administration shall state in detail the services requested. If a complete merit system is desired, the request shall specify the desired exceptions to the application of the act.
(3) Granting of the request shall be evidenced by a formal written contract or agreement, consistent with this section, between the department, board, commission, agency, or political subdivision and the Office of Administration.
(4) A request for the extension of services may be granted in whole or in part at the discretion of the Office of Administration.
(b) Reimbursement for services. Reimbursement shall be as follows:
(1) An appointing authority shall reimburse the Office of Administration on a semi-annual basis for the actual cost of preparing, administering and rating examinations delivered at test centers.
(2) For all other services and facilities, an appointing authority shall reimburse the Office of Administration for the semi-annual cost of services and facilities made available, in the proportion which the cost of the services and facilities bears to the total cost of these services and facilities of the Office of Administration, based on the ratio of the appointing authority's employees in the classified service to those of all the appointing authorities serviced by the Office of Administration.
(3) At the request of the Office of Administration, the number of employees in the classified service in each appointing authority serviced shall be reported to the Office of Administration.
(c) Personnel actions by political subdivisions. A personnel action taken by a political subdivision under contract with the Office of Administration shall conform to the act, this subpart, and the contract executed under subsection (a)(3), unless the action would have an impossible or unreasonable result, in which case the Office of Administration will determine the appropriate action to be taken.
§ 601.8. Electronic records and signatures.
The Office of Administration or an appointing authority may, in its discretion, utilize and accept, in the form and manner prescribed by such entity, electronic records and electronic signatures, where written documents, forms, signatures, or other required submissions are required by this subpart, provided that such records and signatures comply with the Uniform Electronic Transactions Act (73 P.S. §§ 2260.303—2260.312), and other laws governing electronic records and signatures.
CHAPTER 602. SELECTION OF EMPLOYEES FOR ENTRANCE TO, OR PROMOTION IN, THE CLASSIFIED SERVICE Subchap.
A. EXAMINATIONS REQUISITE FOR APPOINTMENT AND PROMOTION B. NATURE OF EXAMINATIONS C. ADMINISTRATION OF EXAMINATIONS D. PUBLIC NOTICE OF EXAMINATIONS E. RATINGS OF COMPETITORS F. ESTABLISHMENT ELIGIBLE LISTS G. DURATION OF ELIGIBLE LISTS
Subchapter A. EXAMINATIONS REQUISITE FOR APPOINTMENT AND PROMOTION Sec.
602.1. Application requirements. 602.2. Residence requirements. 602.3. Selective certifications. 602.4. Promotion procedure. § 602.1. Application requirements.
(a) Submission of Applications. An application for entrance to, or promotion in, the classified service, shall be made in a format prescribed by the Office of Administration. An application shall contain a statement made subject to the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities), verifying the truthfulness of all responses contained thereon.
(1) Application. An application for entrance to, or promotion in, the classified service is accessible on the Office of Administration's web site.
(2) Completeness of application. The Office of Administration may reject an incomplete application.
(3) Timeliness of applications. An application shall be submitted by the date and time if specified in the public notice of examination. An application received prior to midnight of the closing date indicated on the public notice of examination or a vacancy posting will be deemed filed within the time limit.
(b) Evidence of merit and fitness.
(1) An applicant shall supply information relevant for determining whether the applicant possesses the minimum requisites for appointment or promotion.
(2) The Office of Administration may require an applicant to supply certificates and other appropriate documents as may be relevant in assessing the applicant's fitness and qualifications for appointment or promotion.
(3) The job specification shall be the primary basis and source of authority for the evaluation of the minimum qualifications of applicants for examinations.
(c) Limitations on inquiry. Limitations shall be as follows:
(1) Except as provided in paragraphs (2) and (3), no questions in the application nor in the examination will require the applicant to provide information concerning age, race, color, religious creed, ancestry, national origin, gender, sexual orientation, gender identity or expression, political opinions or affiliations, union membership or affiliations, AIDS or HIV status, or disability nor will the information be required in another manner by an official or employee of the Office of Administration or of an appointing authority in connection with the examination, certification or appointment of an applicant for another purpose.
(2) The Office of Administration may make inquiries of an applicant's age or national origin, or both, as is necessary to comply with Federal and State laws and regulations and this subpart.
(3) The Office of Administration may make inquiries of applicants regarding sex, race, age and similar factors, as are necessary to conduct research required to validate selection procedures or to comply with State and Federal laws and regulations on equal opportunity. Applicants shall be informed that response to questions is not mandatory.
(d) Rejection of applicants and disqualification of eligibles. The Office of Administration is not required to examine, nor certify after examination, an applicant who lacks the established or announced requirements for admission to the examination or for appointment from an entrance or promotion list. The Office of Administration may refuse to examine an eligible applicant; or after examination, remove the eligible from an eligible list; or otherwise refuse to certify an eligible applicant who:
(1) Has been convicted of or has pled guilty to a crime, including a plea of nolo contendere, or has engaged in conduct that renders the eligible unfit or unsuitable for the position sought.
(2) Has been terminated from employment for incompetency or misconduct that renders the applicant unfit or unsuitable for the position sought.
(3) Has made a false statement, or omitted a material fact, or engaged in, or attempted to engage in, deception or fraud in application, examination, securing eligibility, or seeking appointment.
(4) Lacks professionalism, honesty, trustworthiness, and dependability.
(5) Does not meet qualifications required by Federal or State law or regulation.
(e) Discretionary acceptance of applications. The Office of Administration may extend the deadline for the acceptance of applications if sufficient need exists for additional applicants, and if acceptance is uniformly applied to all applications for the same examination filed on the same date or on an earlier date. The Office of Administration, in its discretion, may accept applications filed after the announced final filing date if it determines extraordinary circumstances warrant acceptance.
(f) Notice of rejection of applications. Whenever an application has been rejected prior to the holding of the examination, notice thereof, with the reasons for the rejection, shall be given to the applicant.
§ 602.2. Residence requirements.
(a) Resident defined. A resident is a person who resides, and who has manifested the intent to continue to reside in this Commonwealth, or a former resident who meets the criteria in paragraph (2)(i) or (ii).
(1) Evidence of intent to continue to reside in this Commonwealth includes the following:
(i) Rent, lease or purchase of a property which the applicant has made a primary residence in this Commonwealth.
(ii) Payment of State and local taxes.
(iii) Registration of personal property, such as bank accounts, stocks, bonds and automobiles within this Commonwealth.
(iv) Possession of a current Pennsylvania driver's license.
(v) Current registration to vote in this Commonwealth.
(2) A former resident of this Commonwealth who relocated out-of-State for academic or employment purposes, shall establish Pennsylvania residency within 6 months of beginning employment in the classified service and shall have done one of the following:
(i) Graduated from a public, private or nonpublic secondary school in this Commonwealth or satisfied the requirements set forth in sections 1327 and 1327.1 of the Public School Code of 1949 (24 P.S. §§ 13-1327 and 13-1327.1), within 5 years of applying for a position in the classified service.
(ii) Attended a public, private or nonpublic school in this Commonwealth at least 80% of the time while enrolled in grades one through twelve within 5 years of applying for a position in the classified service.
(iii) Graduated or attended a public, private or nonpublic secondary school in this Commonwealth and graduated from a postsecondary institution in the Commonwealth within 5 years of applying for a position in the classified service.
(b) Application. Application requirements are as follows:
(1) A person appointed, promoted or reinstated to a position in the classified service shall be a resident, as defined in subsection (a), unless residency has been waived under subsection (c). The provisions in this paragraph do not apply to a person who previously held regular civil service status and is returned to employment from an approved leave of absence without pay, through mandatory reemployment, or through contractual recall or placement rights.
(2) The Office of Administration, upon submission by an appointing authority of satisfactory justification, may limit certification for appointment or promotion to eligibles who are residents of a county or other administrative district. The limitations will not be imposed for a job for which residence in this Commonwealth has been waived.
(3) In the absence of, or upon exhaustion of, a county or other administrative district list, the Office of Administration may certify residents of contiguous counties or districts or of the entire Commonwealth as deemed appropriate by the Office of Administration.
(4) If an eligible changes residence from one district or county to another district or county of this Commonwealth, the Office of Administration may, upon request, transfer the person's eligibility to the other existing promotion or employment list.
(c) Waiver. When it appears that there is an insufficient number of qualified residents of this Commonwealth, as defined in subsection (a), available for a particular occupation, the Office of Administration, upon request by one or more appointing authorities, may waive the residency requirement for a position, a job or a group of jobs.
§ 602.3. Selective certifications.
(a) Upon the request of an appointing authority, the Office of Administration may impose special requirements and may restrict application for or selectively certify positions.
(b) A request to impose special requirements shall be submitted in a form prescribed by the Office of Administration.
§ 602.4. Promotion procedure.
(a) Methods of promotion. A vacancy may be filled by promotion in the following ways:
(1) By appointment of a probationary or regular employee of a given appointing authority or between appointing authorities from an appropriate employment list.
(2) By appointment of a probationary or regular employee from an appropriate promotion list resulting from a promotional examination.
(3) By appointment of a Commonwealth employee of a given appointing authority or between appointing authorities, who appear on an appropriate employment list and who meet eligibility criteria as established by the Office of Administration.
(4) By appointment of a probationary or regular employee from the next most appropriate promotion list or employment list, if the official promotion or employment lists have been exhausted.
(5) By appointment of a regular employee without examination, based upon meritorious service and seniority.
(b) Promotion examinations. Examinations shall be as follows:
(1) Except as indicated in this subsection, a promotion examination shall be open to a regular or probationary status employee who meets the qualifications and who occupies a position with a lower maximum salary. As determined by the Office of Administration, a promotion examination may be limited to employees occupying positions in specified jobs.
(2) The Office of Administration may, after consultation with the appropriate appointing authorities, establish the length of service required of an employee in the qualifying job or jobs for eligibility to participate in a promotion examination.
(3) As determined by the Office of Administration, a promotion examination may be interdepartmental or intradepartmental.
(c) Promotion without examination. Promotion without examination may be accomplished under the following circumstances provided that the promotion does not circumvent merit system principles as set forth in the act:
(1) When a trainee in a lower-level training job has successfully completed the prescribed period of training, the trainee will be promoted, without further examination, to the higher-level job.
(2) When an appointing authority desires to fill a vacant position by promotion without examination, based on meritorious service and seniority, it may follow one of the following alternatives subject to Office of Administration approval:
(i) Competitive promotion without examination. The appointing authority shall post the vacancy, consider the eligible employees who express an interest and make the promotion decision based upon an objective review of each employee's meritorious service and seniority. Seniority for this purpose shall be the length of continuous service of an employee in the designated next lower job if there has been no break in service. Eligibility for consideration for the promotion may be limited by the appointing authority to a particular geographic or program area. The posting shall, whenever possible, specify the jobs determined to be next lower. Otherwise, the posting shall state that applications will be reviewed to determine if employees previously held regular status or currently hold regular status in a job for which there is a logical occupational, functional or career development relationship to the posted position or if there is a clear linkage between the required knowledge, skills and abilities of the previously or currently held job with those needed for the posted position.
(ii) Noncompetitive promotion without examination. An appointing authority shall ensure that the employee meets the experience and training requirements of the higher-level job, has regular status, and meets the meritorious service and seniority requirements. The appointing authority shall provide the Office of Administration with justification for using a noncompetitive promotion without examination.
(3) When a classification review reveals that a position should be classified to a higher level, the incumbent of the position will be promoted without examination to the higher level, if the incumbent possesses the established requirements for the higher-level job.
(4) When an unskilled position in the unclassified service exists immediately below a vacancy in a position in the classified service, the incumbent of the unskilled position shall be promoted into the classified service position, if the following occur:
(i) The promotion is into a classified service position immediately above the employee's position.
(ii) The promotion is based on seniority and meritorious service.
(iii) The employee meets all the established requirements for the higher position.
(iv) The employee satisfactorily completes a 6-month probationary period in the classified service position.
(5) When there is a labor agreement covering a position to which an employee is to be promoted, the terms of the agreement as to promotion procedures shall be controlling.
(d) Eligibility for promotion. An employee whose last regular or probationary performance evaluation is unsatisfactory or otherwise fails to meet standards, is ineligible for appointment or promotion from any list and promotion without examination.
Subchapter B. NATURE OF EXAMINATIONS Sec.
602.5. Frequency of examinations. 602.6. Cooperation regarding examinations. 602.7. Tests in examinations. 602.8. Use of position descriptions in examinations. § 602.5. Frequency of examinations.
The Office of Administration will administer examinations to establish employment and promotion lists when necessary to meet or anticipate the employment needs of appointing authorities.
§ 602.6. Cooperation regarding examinations.
(a) Review of examination content. The Office of Administration may collaborate with representatives of appointing authorities, qualified testing organizations and other qualified individuals regarding the content of examination material. The interchange of information shall be made under circumstances and subject to conditions designed to prevent premature disclosure of examination content to prospective applicants.
(b) Cooperative testing. The Office of Administration may authorize collaboration with another public testing or placement agency in a program of cooperative testing of applicants, if competitive principles are observed.
§ 602.7. Tests in examinations.
(a) Types of tests. In addition to written, oral and performance tests, the Office of Administration may administer an evaluation of education and experience and may authorize medical tests, physical strength and physical agility tests, and other types of tests, singly or in combination as the circumstances warrant. For promotional examinations, the Office of Administration may authorize other performance criteria, such as seniority and performance evaluations. Performance evaluations may not be a weighted factor in an interdepartmental promotion examination.
(b) Weights of tests. The Office of Administration, after considering the relative value of the tests in assessing the relative capacity and fitness of applicants to perform the duties of the job to which they seek to be appointed or promoted, and after consultation with the appointing authority, will fix the relative weights of the tests. Modifications to the relative weights will be announced to all applicants.
§ 602.8. Use of position descriptions in examinations.
(a) Basis for examinations. The position description shall be the primary basis and source of authority for the content and level of difficulty of examinations. Supplemental job information, obtained through job analysis, and job specifications may be used as a further basis for examination standards.
(b) Lines of promotion. Lines of promotion, when indicated in the job specifications, will not be considered as barring other lines of promotion, unless so specified in the public announcement of examinations.
Subchapter C. ADMINISTRATION OF EXAMINATIONS Sec.
602.9. Authority. 602.10. Administration and scoring of examinations. 602.11. Establishment and maintenance of competitive standards. 602.12. Examination accommodations. § 602.9. Authority.
The appointing authority shall select the method of examination that shall be used for the individual position or job for which the employment or promotion list is being established. Except as otherwise authorized in this subpart, or as authorized in writing by the Office of Administration, appointing authorities may not develop and administer their own examinations for employment or promotion in the classified service.
§ 602.10. Administration and scoring of examinations.
(a) Notice of examinations. An applicant will be notified of admittance or non-admittance to examinations. An applicant shall be given a delayed examination in place of the one for which the applicant failed to appear if the failure to appear was caused by an act or omission of the Office of Administration or another appropriate reason, as determined by the Office of Administration.
(b) The Office of Administration may authorize postponement, cancellation or rescheduling of examinations.
(c) Cancellation of part of an examination. Whenever the Office of Administration finds that it is impracticable or unnecessary, for reasons which shall be made part of the examination record, to hold any part of a multipart examination the Office of Administration may cancel that part or parts and reassign the weights, in an equitable manner, to the remaining part or parts.
(d) Retaking examination. An applicant may retake an examination provided the job announcement sets a specified date or time for retaking the examination. Standing on an eligible list will be determined by the score received on the most recent examination.
§ 602.11. Establishment and maintenance of competitive standards.
(a) Maintenance of competitive conditions. An applicant for an examination will be given equal opportunity to demonstrate relative merit and fitness. The Office of Administration reserves the right to cancel tests or appropriate sections thereof, if severable, whenever the conditions under which a test is held have materially impaired its competitive nature or worth in assessing qualifications.
(b) Cheating on examinations or seeking undue advantage. An applicant who impersonates another or has another person impersonate the applicant in connection with an examination, or who uses or attempts to use unauthorized aids or assistance, including copying or attempting to copy from or helping or attempting to help another applicant in any part of an examination, or who otherwise seeks to attain undue advantage for himself or others in connection with the examination will be disqualified.
(c) Examination materials. An applicant in an examination may not copy, record or transcribe an examination question or answer, or remove from the examination room a question sheet, answer sheet or booklet, scrap papers, notes or other papers or materials related to the content of the examination. An applicant will be notified of these requirements, and no examiner, proctor, monitor or other person charged with the supervision of an applicant or group of applicants will have authority to waive it.
(d) Violations. The Office of Administration may disqualify an applicant or refuse to certify an eligible person who violates this section.
§ 602.12. Examination accommodations.
The Office of Administration may make reasonable accommodations for an applicant with a disability, as defined by § 601.3 (relating definitions), to ensure the opportunity to fairly compete for and pursue career opportunities. An examination accommodation may include alternative formats, extended time, adjustments to examinations, or after consultation with the appointing authority, an alternate method of examination. An accommodation shall be designed to ensure that an applicant with a disability receives equal and fair participation and consideration in the examination process.
Subchapter D. PUBLIC NOTICE OF EXAMINATIONS Sec.
602.13. Content and publication of examination announcements. § 602.13. Content and publication of examination announcements.
The Office of Administration will determine the content, method, and scope of publication for each examination announcement. The publication may be electronic. An examination announcement will be published for a minimum of 2 weeks. The scope of publication will be based on the geographic availability of positions and potentially qualified and available applicants and may be regional or Statewide and may include both in-State and out-of-State locations.
Subchapter E. RATINGS OF COMPETITORS Sec.
602.14. Qualifying points on examinations. 602.15. Correction of errors in scoring or eligibility. 602.16. Calculation of final earned ratings. 602.17. Determination of rank in event of tie. 602.18. Examination analysis and alternatives. 602.19. Review of eligibility or examination results. § 602.14. Qualifying points on examinations.
(a) Basis for determination. The Office of Administration sets qualifying points for each part or parts of examinations. The determination may take into account both the number and quality of prospective eligibles needed to serve the best interests of the classified service, as well as the validity and reliability of the examination.
(b) Qualifying points. When there is a multipart examination, the Office of Administration may require applicants to attain a qualifying score or rating on each test or part of test.
(c) Effect of failure on part of examination. An applicant who has failed to achieve a passing score on any part of the examination may be disqualified from participation in any other parts of the examination, whether or not the applicant has participated or has been rated therein, and if so disqualified, shall be deemed to have failed the entire examination.
§ 602.15. Correction of errors in scoring or eligibility.
The Office of Administration, upon finding an error in the determination of an applicant's eligibility or examination scores, which has, or may have, a material bearing on certification or appointment from the resulting eligible list, shall correct the error and report the error to the affected applicant.
§ 602.16. Calculation of final earned ratings.
(a) When test scores are used to rank applicants, the requirements of this section apply. The final earned ratings of each applicant who passes all parts of an examination shall be calculated prior to the addition of any veterans' preference credit as follows:
(1) The minimum qualifying score shall be assigned a final earned rating of 60.
(2) The estimated highest score, the score which the best qualified applicant would be reasonably expected to attain, shall be assigned a final earned rating of 100.
(3) The intermediate scores shall be assigned ratings between 60 and 100 on the basis of their relationship to the qualifying score, the estimated highest score, and the reliability and accuracy of the examination procedures. Scores above the estimated highest score shall exceed 100, and shall be assigned final earned ratings on the basis of their relationship to the qualifying score and the estimated highest score.
(b) When test scores are used to categorize or group similarly qualified applicants, all applicants in a category shall be assigned the same final earned rating.
§ 602.17. Determination of rank in event of tie.
Final earned ratings shall be calculated to whole numbers or categories represented by whole numbers. Ties in final earned ratings may not be broken. All available eligibles with the same final earned rating shall be certified in accordance with the rule of three or an alternate rule selected by the appointing authority. This section provides for issuance of a complete certification of eligibles, as determined by the number of vacancies, which includes all eligibles with the same final earned rating, as well as to group for consideration those eligibles determined by the examination process to be similarly qualified.
§ 602.18. Examination analysis and alternatives.
(a) The Office of Administration will initiate analysis of examinations as necessary to ensure that examinations do not discriminate on the basis of nonmerit factors.
(b) The Office of Administration, after investigation, may invalidate all or part of the examination results and substitute an alternative method of examination. The Office of Administration will notify applicants of the action and the reasons therefore.
§ 602.19. Review of eligibility or examination results.
An applicant who wishes to challenge a finding of ineligibility or an examination score shall submit a written request for a review of eligibility or examination results to the Office of Administration, in writing, within 20 calendar days of receipt of notice of the result being challenged. The Office of Administration will review the applicant's qualifications or examination results and provide the applicant with an explanation or revised result.
Subchapter F. ESTABLISHMENT ELIGIBLE LISTS Sec.
602.20. Eligible lists. § 602.20. Eligible lists.
Eligible lists shall contain the names of individuals who have qualified for and successfully passed examinations. Eligible lists shall be arranged in order of final earned ratings and must include applicable veterans' preference credits.
Subchapter G. DURATION OF ELIGIBLE LISTS Sec.
602.21. Extension and cancellation of eligible lists. 602.22. Amendment of an eligible list. § 602.21. Extension and cancellation of eligible lists.
(a) Length of eligibility. The duration of eligible lists will be fixed by the Office of Administration.
(b) Replacing and integrating lists. A newly established eligible list may replace an earlier list, appropriate for the same job. The Office of Administration may integrate an eligible list with an equivalent list established later based on final earned ratings and veterans' preference credits, when applicable.
(c) Notice to eligibles. When a list is cancelled or an examination is announced which may result in an eligible list which replaces an existing list, the persons whose names remain on the list being cancelled or replaced shall be notified of the cancellation or of their opportunity to participate in a new examination.
§ 602.22. Amendment of an eligible list.
(a) Basis for amendment. The Office of Administration may amend an eligible list to: correct a clerical error; indicate a change in veteran status; add or remove a name; or suspend or change eligibility for certification or appointment.
(b) Effect of amendment. An amendment to an eligible list may not disadvantage a fully qualified eligible already appointed or notified of appointment in good faith, based on a valid certification previously issued.
CHAPTER 603. APPOINTMENT AND PROMOTION OF EMPLOYEES IN THE CLASSIFIED SERVICE Subchap.
A. CERTIFICATION B. SELECTION AND APPOINTMENT OF ELIGIBLES C. SUBSTITUTE APPOINTMENTS D. PROBATIONARY PERIOD
Subchapter A. CERTIFICATION Sec.
603.1. Multiple lists. 603.2. Certification of eligible lists. 603.3. Effect of appointment from list. § 603.1. Multiple lists.
An eligible list shall be composed of as many types of lists as necessary to meet employment needs in locations where positions are available.
§ 603.2. Certification of eligible lists.
(a) General content of certification. The Office of Administration will certify from the appropriate lists as many names of eligibles who have applied for the position as necessary to satisfy the employment requirements of the appointing authority.
(1) Certification of eligible lists will include final earned ratings and veterans' preference eligibility.
(2) Upon request of the appointing authority, the Office of Administration will selectively certify the names of individuals eligible for veterans' preference.
(b) Duration of certification. A certification of names for appointment shall be valid for 90 business days after the date of certification, unless extended by the Office of Administration, and appointive action may be initiated at any time within that period.
§ 603.3. Effect of appointment from list.
The name of an eligible who has been appointed may not be certified from the list for a similar or lower-level job, unless otherwise provided by law or this subpart, or by specific request of the eligible. The acceptance of other than permanent, full-time employment will not result in loss of eligibility for permanent appointment. Conversion of a temporary appointment to a permanent appointment shall require regular certification and appointment procedures.
Subchapter B. SELECTION AND
APPOINTMENT OF ELIGIBLESSec.
603.4. Appointment process. 603.5. Removal of eligible for certification or appointment. 603.6. Prohibition against securing withdrawal from competition. 603.7. Consideration of certified eligibles. § 603.4. Appointment process.
(a) Right of choice in making appointments and promotions when using the rule of three. Unless an appointing authority elects to use an alternate rule, the rule of three applies when making selections from employment and promotion lists. If the appropriate list contains fewer than three eligibles, the Office of Administration may, upon request of the appointing authority, certify applicants from other appropriate lists to ensure the appointing authority has at least three available eligibles from which to choose. This rule does not prohibit an appointing authority from making an appointment if there are fewer than three available eligibles.
(b) Right of choice to make appointments and promotions when using an alternate rule.
(1) When electing to use an alternate rule, the appointing authority shall notify the Office of Administration of election of an alternate rule when requesting a vacancy posting, including the specified alternate number of eligibles.
(2) Appointing authorities electing an alternate rule may not use an alternate rule unless notification has been received by the Office of Administration, as required in paragraph (1), and the Office of Administration has acknowledged the election of an alternate rule, in writing.
(3) In cases in which an examination program is open on a continuous basis, the election of an alternate rule may be initiated at any time; however, no appointment using the new rule can be made before notice of the election is given to and acknowledged in writing by the Office of Administration.
(4) The Office of Administration will certify the names of the highest-ranking individuals on the eligible list, based upon an alternate rule elected by the appointing authority. This rule does not prohibit an appointing authority from making an appointment if there are fewer than the alternate rule elected by the appointing authority.
(5) The Office of Administration reserves the right to reject an appointing authority's election of an alternate rule if it appears the use of the rule is designed to circumvent merit system principles as set forth in the act.
(c) Right of choice in multiple appointments. During the process of making the multiple appointments from a certification, the appointing authority shall follow the same procedure, as set forth in subsection (a) and (b), and shall make only appointments, as is permissible when a series of certifications is used in making single appointments. The appointing authority may in its discretion, appoint a certified eligible whose name was previously rejected three times.
§ 603.5. Removal of eligible for certification or appointment.
(a) Request for removal of eligible for certification or appointment. A request for removal of an eligible for certification or appointment is subject to the following:
(1) A request for removal of an eligible for certification or appointment whose name appears on a certification shall be promptly raised by the appointing authority.
(2) An appointing authority requesting removal of an eligible for certification or appointment shall submit a written request for removal to the Office of Administration, which shall include the basis for the request for removal and all supporting documents that were relied upon to determine that the eligible's name should be removed.
(3) A request for removal must be based upon merit-related criteria.
(4) On the same date an appointing authority submits a request for removal to the Office of Administration, the appointing authority shall send a copy of the request for removal, including all supporting documents provided to the Office of Administration, to the eligible. The copy of the request for removal sent to the eligible must include specific instructions on how to respond to the request for removal, as set forth in subsection (b).
(b) Eligible's opportunity to respond. An eligible may, within 10 calendar days from the mailing date of the appointing authority's request for removal, submit a written response to the Office of Administration, including any supporting documents. The eligible shall send a copy of the response and supporting documents to the appointing authority on the same date the response is submitted to the Office of Administration.
(c) Removal. If a request for removal is granted by the Office of Administration, the eligible's name will be removed from the appropriate list or lists, as determined by the Office of Administration, and the appointing authority will not be required to consider the eligible for appointment.
§ 603.6. Prohibition against securing withdrawal from competition.
A person may not influence another person to withdraw from competition for a position in the classified service, nor may a waiver of another person's rights or availability be solicited for the purpose of either improving or impairing the prospects of an applicant for appointment or promotion. The Office of Administration may take action under its authority under the act whenever it finds that a person has violated this section.
§ 603.7. Consideration of certified eligibles.
An appointing authority may conduct an interview or otherwise assess relative suitability for appointment of a certified eligible, but the assessment must be based on position-related criteria and be conducted in accordance with subpart.
Subchapter C. SUBSTITUTE APPOINTMENTS Sec.
603.8. Conditions for substitute appointments and promotions. 603.9. Rights of substitute employees. § 603.8. Conditions for substitute appointments and promotions.
(a) A substitute appointment or promotion shall be made to fill a permanent position whenever a probationary or regular status incumbent of the position is granted military leave.
(b) When a probationary or regular status incumbent returns from military leave, a substitute employee without prior service shall be separated from the position.
§ 603.9. Rights of substitute employees.
(a) A substitute employee may be granted a right to a permanent appointment because of service as a substitute when the incumbent who was granted military leave fails to return to the position within 90 calendar days after the termination of military duty.
(b) The rights of the employee to certification and appointment from an eligible list or to return to the previous position, if any, in the classified service may not be impaired by the acceptance of an appointment as a substitute.
(c) A regular or probationary employee who accepts a substitute appointment or promotion shall continue to receive the same rights and privileges to which entitled if the employee had continued to serve in a previous position with the same status. The substitute appointment will not prejudice the employee's rights to promotion, transfer, reemployment or retention in service.
Subchapter D. PROBATIONARY PERIOD Sec.
603.10. Duration and extension of probationary periods. 603.11. Effects of leaves of absence. 603.12. Service in higher-level position. 603.13. Service in same level position. 603.14. Restoration to eligible list. 603.15. Trainee jobs. 603.16. Probation following promotion. 603.17. Notice about performance. § 603.10. Duration and extension of probationary periods.
(a) The length of the probationary period required for appointments and promotions for a full-time position, except for a trainee job, shall be a minimum of 6 months, defined as 180 calendar days—6 months at 30 days per month, and will be determined by the Office of Administration for each job. The probationary period for part-time positions shall be prorated according to the number of hours in the work week.
(b) The probationary period, except for a trainee job, may be extended to a maximum of 18 months (defined as 545 calendar days—365 calendar days plus 6 months at 30 days per month), at the discretion of the appointing authority. If the appointing authority extends an employee's probationary period, it shall notify the employee in writing at least 1 work day prior to the effective date of the extension. Upon request by the Office of Administration, a copy of the notice shall be submitted by the appointing authority.
(c) The probationary period must be successfully completed by the employee for all classified service appointments or promotions before regular status is conferred. Appointing authorities must act affirmatively to confer regular status by evaluating employee performance and providing notification to the employee that such performance was satisfactory.
§ 603.11. Effects of leaves of absence.
A probationary employee who returns from a leave of absence shall make up the time lost on the leave by completing the unserved portion of the probationary period. When the leave exceeds 30 consecutive work days, except for military leave, the appointing authority may require that a new, full probationary period be served.
§ 603.12. Service in higher-level position.
A probationary employee who has served any portion of the probationary period and is given a temporary appointment to a higher-level position in the same or closely related job under the same appointing authority may have the period of the higher-level service credited toward the lower-level probationary period. Written notice of the credited service in the higher-level position shall be given to the employee on or before the date the probationary period expires.
§ 603.13. Service in same level position.
(a) A probationary employee who has been reassigned to another position in the same or a similar job by the same appointing authority, shall be credited with time served in the previous position toward the completion of the probationary period required for the present position. The probationary employee shall meet the established requirements for the new job.
(b) When a regular status employee has been returned from furlough or has demoted voluntarily to a lower job and is subsequently promoted to the job previously held, the appointing authority may waive all or part of the probationary period for the higher-level job.
§ 603.14. Restoration to eligible list.
If a probationary employee resigns, is removed, is granted a leave of absence, is furloughed or is demoted and requests restoration to the eligible list, the Office of Administration may authorize the restoration to the same list or a similar list to that from which appointed.
§ 603.15. Trainee jobs.
The Office of Administration, in cooperation with the appointing authorities and the Executive Board, may designate specific jobs for training purposes.
(1) The trainee job must correspond to a working level job.
(2) The probationary period for the training and working level will be combined and may be set by the Office of Administration at a minimum of 6 months, defined as 180 calendar days—6 months at 30 days per month, and a maximum of 24 months, defined as 730 calendar days—2 years at 365 days per year, to coincide with the length of the designated training period.
(3) The employee appointed into a trainee position may not attain regular status as a trainee but shall be promoted to the working level, with regular status, if the designated training period is successfully completed.
(4) A trainee who is unsuccessful in the training shall be removed from the trainee position promptly.
(5) The appointing authority may extend probationary periods of a trainee up to the maximum of 24 months, if written notice is provided to the trainee at least 1 work day prior to the effective date of the extension. A copy of the notice shall be submitted, upon request, to the Office of Administration.
§ 603.16. Probation following promotion.
A regular status employee who is promoted shall serve the duration of the probationary period that is specified for the job to which promoted, subject to the following conditions:
(1) During the first 3 months of the probationary period, the employee has the option to return to the regular status position previously held.
(2) At any time after the first 3 months of the probationary period, the employee may return to the previous regular status position or job with written consent of the appointing authorities.
(3) If the services of the employee are found unsatisfactory by the appointing authority, the employee shall be restored to the previous regular status position or job.
(4) A promoted employee who has never held regular status in the classified service does not have a right to return to a probationary status position previously held.
§ 603.17. Notice about performance.
The appointing authority shall notify the employee in writing whether the services of the employee have or have not been satisfactory prior to the expiration of the employee's probationary period. If the employee's performance has been satisfactory, the appointing authority shall confer regular status upon the employee.
CHAPTER 604. EMPLOYEES IN THE
CLASSIFIED SERVICESubchap.
A. SERVICE STANDARDS AND RATINGS B. REASSIGNMENTS AND TRANSFERS C. REDUCTIONS IN PAY OR DEMOTIONS D. RECLASSIFICATIONS; STATUS OF INCUMBENTS OF RECLASSIFIED POSITIONS
Subchapter A. SERVICE STANDARDS
AND RATINGSSec.
604.1. Establishment of system. 604.2. Reporting of performance evaluations. 604.3. Review of performance evaluations. 604.4. Application of performance evaluations. § 604.1. Establishment of system.
(a) The Office of Administration, in cooperation with appointing authorities, will establish and maintain a job-related system of performance evaluations for employees in the classified service.
(b) Performance evaluations must be based upon job-related factors appropriate for determining the manner in which the employee performs the duties and carries out the responsibilities of the position occupied. To provide a uniform and equitable basis for rating employees, the Office of Administration, in cooperation with appointing authorities, may establish work performance guides.
(c) Performance evaluation forms and procedures shall be reviewed and approved by the Office of Administration prior to utilization.
§ 604.2. Reporting of performance evaluations.
Performance evaluations for probationary status employees shall be completed and provided to the employees prior to the scheduled expiration of the probationary period by the appointing authority. All other performance evaluation reports shall be completed at least once each year, unless a different schedule is approved by the Office of Administration, and copies shall be retained in the employee's official personnel file. Upon request by the Office of Administration, performance evaluation reports shall promptly be made available for audit.
§ 604.3. Review of performance evaluations.
Appointing authorities shall provide the employee with the results of performance evaluations as soon as practicable after the evaluation is completed. The employee will be given an opportunity to review the performance evaluation with the rater and the reviewing officer. Appointing authorities shall inform employees of standards used in determining the evaluation.
§ 604.4. Application of performance evaluations.
Performance evaluations shall be utilized for purposes of determining eligibility for promotion, to assist in establishing priority for promotion, or for determining order of furlough as provided in this subpart.
Subchapter B. REASSIGNMENTS
AND TRANSFERSSec.
604.5. Reassignments and transfers authorized. 604.6. Initiation of transfers. 604.7. Limitations on transfer. 604.8. Effect of transfer on probationary period. 604.9. Transfer of classified service employees entering the Senior Management Service. § 604.5. Reassignments and transfers authorized.
(a) An employee may be:
(1) Reassigned within the same appointing authority from one position to another in the same job or in a similar job for which the employee qualifies.
(2) Transferred from one position to another position in the same job or in a similar job within a different appointing authority.
(b) A similar job:
(1) Has the same maximum salary rate in the compensation plan.
(2) Involves essentially the same duties and responsibilities.
(3) Requires essentially the same minimum qualifications.
(4) Calls for essentially the same knowledge, skills, and abilities.
§ 604.6. Initiation of transfers.
Transfers. A transfer shall be initiated by the appointing authority having jurisdiction over the position to which the transfer is sought and must be approved by the Office of Administration. A transfer requires the written consent of the employee and the present appointing authority.
§ 604.7. Limitations on transfer.
The Office of Administration may disapprove a transfer not in compliance with the act and this subpart, including:
(1) When the consent and approvals required by law and this subpart have not been given.
(2) When a departmental reemployment list is in existence, appropriate for filling the position to which transfer is sought.
(3) When the employee sought to be transferred has a disqualification which would bar that person from qualifying for the position sought.
§ 604.8. Effect of transfer on probationary period.
The unexpired portion of the probationary period of a transferee shall continue to be served in the position to which transferred, unless the prospective transferee accepted the position after being notified in writing that the appointing authority having jurisdiction over the position requires a full probationary period in the position as a condition of the transfer.
§ 604.9. Transfer of classified service employees entering the Senior Management Service.
When a classified service employee accepts a Senior Management Service position, under a different appointing authority, the employee shall be transferred to the agency having the Senior Management Service position. The return right of a Senior Management Service employee shall be to a position in the classified service under the same appointing authority in which the Senior Management Service position is located.
Subchapter C. REDUCTIONS IN PAY
OR DEMOTIONSSec.
604.10. Reductions of pay within the same job. 604.11. Demotions to a different job. 604.12. Effect of demotion on status. § 604.10. Reductions of pay within the same job.
(a) An appointing authority may reduce the salary of an employee because of unsatisfactory performance of duties or for disciplinary reasons, to a lower salary rate within the salary range prescribed for that job.
(b) Salary reduction under these circumstances will not be deemed a demotion.
§ 604.11. Demotions to a different job.
An appointing authority may demote an employee who requests the demotion or who does not satisfactorily perform the duties of the position to which appointed or promoted, to a position in any job in the classified service in which the employee previously had the status of a regular employee or to any position for which the employee is qualified.
§ 604.12. Effect of demotion on status.
Employees returned under § 603.16 (relating to probation following promotion) or demoted under § 604.11 (relating to demotions to a different job) shall be assigned status as follows:
(1) Regular status employee. An employee who has achieved regular status shall be assigned regular status in the job to which returned or demoted.
(2) Probationary status employee. An employee who has never held regular status in a job shall be assigned probationary status in the job to which returned or demoted and shall be required to successfully complete the probationary period begun at a higher level. An employee who held regular status in a lower-level job shall be assigned regular status in the job to which the employee is returned or demoted.
Subchapter D. RECLASSIFICATIONS; STATUS OF INCUMBENTS OF RECLASSIFIED POSITIONS Sec.
604.13. Reclassifications. 604.14. Effect of reclassification on probationary and regular status. § 604.13. Reclassifications.
(a) When an employee's job duties change or the Executive Board changes a job and a reallocation of the position becomes necessary, the employee shall be reclassified to the new job if the employee meets the established requirements. If the reclassification is to a lower level, it will not be construed as a demotion and the reclassified employee shall be credited with seniority acquired in the higher-level job.
(b) Appointing authorities shall submit requests for reclassification in writing to the Office of Administration and shall include justification as to why reclassification of the position is necessary.
(c) The Office of Administration reserves the right to deny an appointing authority's request for reclassification if it appears the request is designed to circumvent merit system principles as set forth in the act.
§ 604.14. Effect of reclassification on probationary and regular status.
An incumbent reclassified laterally or to a lower-level job shall retain current status.
Subchapter E. COMPENSATION Sec.
604.15. Effect of change in compensation schedules. § 604.15. Effect of change in compensation schedules.
Revision of the established schedule of compensation for a job, with no significant change in job specifications as determined by the Office of Administration, will have no effect upon the status and seniority of employees. Changes in compensation may not be construed as promotions or demotions.
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