[52 Pa.B. 1454]
[Saturday, March 12, 2022]
[Continued from previous Web Page]
CHAPTER 603a. EMPLOYEES IN THE
CLASSIFIED SERVICESubchap.
A. PROBATIONARY PERIODS AFTER APPOINTMENT OR PROMOTION
B. EMPLOYEE PERFORMANCE EVALUTIONS
C. MOVEMENT OF EMPLOYEES BY APPOINTING AUTHORITIES
D. RECLASSIFICATIONS BY THE OFFICE OF ADMINISTRATION
E. COMPENSATION
Subchapter A. PROBATIONARY PERIODS AFTER APPOINTMENT OR PROMOTION Sec.
603a.1. Probationary periods required. 603a.2. Duration and extension of probationary periods. 603a.3. Probationary period following reassignment or transfer. 603a.4. Probationary period following demotion. 603a.5. Probationary period following reinstatement. 603a.6. Probationary period following promotion. 603a.7. Probationary period of trainees. 603a.8. Probationary period of interns. 603a.9. Credit towards probationary period. 603a.10. Effect of leave of absence on probationary period. 603a.11. Effect of a leave of absence for military duty on probationary period. 603a.12. Conferment of regular status and removal of probationary employees. § 603a.1. Probationary periods required.
Except as otherwise provided by the act and this subpart, an employee in the classified service shall serve a probationary period after an appointment or promotion.
§ 603a.2. Duration and extension of probationary periods.
(a) Duration of probationary period. The length of the probationary period required for appointments and promotions for a full-time position is a minimum of 6 months, defined as 180 calendar days, and will be determined by the Office of Administration for each job classification. The probationary period for part-time positions shall be prorated according to the number of hours in the work week.
(b) Extension of probationary period. The probationary period, except for a trainee job classification, may be extended up 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 must notify the employee in writing at least 1 workday prior to the effective date of the extension.
§ 603a.3. Probationary period following reassignment or transfer.
(a) Regular employees. An employee who has achieved regular status and who is appointed to a position through reassignment or transfer shall retain regular status.
(b) Probationary employees. The unexpired portion of the probationary period of an employee who never achieved regular status and who is appointed to a position through a reassignment or transfer shall continue to be served in the position, unless the employee accepted the appointment 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 appointment.
§ 603a.4. Probationary period following demotion.
(a) Regular employee. An employee who has achieved regular status and who is demoted shall retain regular status.
(b) Probationary employee. The unexpired portion of the probationary period of an employee who never achieved regular status and who is demoted shall continue to be served in the position, unless the employee accepted the demotion 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 appointment. An employee who held regular status in a lower-level job classification shall be assigned regular status in the job classification to which the employee is demoted, unless the employee had not previously held the job classification to which they are demoted.
(c) Subsequent promotion. When a regular employee has voluntarily demoted to a lower-level job classification and is subsequently promoted to the higher-level job classification held prior to demotion, the appointing authority may waive all or part of the probationary period for the higher-level job classification.
§ 603a.5. Probationary period following reinstatement.
An appointing authority may waive the probationary period for a position if the former employee is reinstated within 2 years after resignation. If more than 2 years have expired since the former employee's resignation, the former employee shall serve the probationary period prescribed for the job classification to which reinstated.
§ 603a.6. Probationary period following promotion.
(a) Generally. A regular status employee who is promoted shall serve the duration of the probationary period that is specified for the job classification 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 held immediately prior to the employee's promotion.
(2) At any time after the first 3 months of the probationary period, an employee in probationary status may return to the previous regular status position or job classification held immediately prior to the employee's promotion, with written consent of the appointing authorities.
(3) If the performance of the employee is found to be unsatisfactory by the appointing authority, the employee shall be returned to the previous regular status position or job classification held immediately prior to the employee's promotion.
(b) Status after return. Employees returned under subsection (a) shall be assigned regular status in the job classification to which the employee is returned, provided the employee achieved regular status in that classification.
(c) Employees without regular status. 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.
§ 603a.7. Probationary period of trainees.
(a) Status as trainee. A trainee shall maintain the status of a probationary employee while employed in the trainee job classification.
(b) Duration of probationary period. The probationary period for the trainee job classification and working level job classification will be combined and may be set by the Office of Administration at a minimum of 6 months, defined as 180 calendar days, and a maximum of 24 months, defined as 730 calendar days, to coincide with the length of the designated training period.
(c) Extension of probationary period. The probationary period of a trainee may be extended up to a maximum of 24 months, defined as 730 calendar days, at the discretion of the appointing authority. If the appointing authority extends an employee's probationary period, it must notify the employee in writing at least 1 workday prior to the effective date of the extension.
(d) Promotion to working level job classification. A trainee shall be promoted to the working level job classification, with regular status, if the trainee successfully completes the designated probationary period. Notice of successful completion of the probationary period shall be given in accordance with § 603a.12 (relating to conferment of regular status and removal of probationary employees).
(e) Removal of trainee. An appointing authority must immediately remove, or, if appropriate, return a trainee who fails to successfully complete the designated probationary period in accordance with § 603a.12(d).
§ 603a.8. Probationary period of interns.
(a) Status as intern. An intern shall maintain the status of a probationary employee while employed in the intern job classification.
(b) Duration of probationary period. The probationary period for an intern job classification shall coincide with the duration of the internship.
(1) Minimum duration. The minimum duration of a probationary period for an intern job classification shall be 6 months, defined as 180 calendar days or 975 hours if the internship is completed over a noncontiguous period.
(2) Maximum duration. The maximum duration of a probationary period for an intern job classification shall be 18 months, defined as 545 calendar days (365 calendar days plus 6 months at 30 days per month) or 2,925 hours if the internship is completed over a noncontiguous period.
(c) Promotion after internship. An intern who has successfully completed the duration of the internship may be promoted in the manner set forth in § 602a.33(b)(2) (relating to promotion). Notice of successful completion of the probationary period shall be given in accordance with § 603a.12(a) (relating to conferment of regular status and removal of probationary employees).
(d) Removal of intern. An appointing authority must immediately remove or, if appropriate, return an intern who fails to successfully complete the internship in accordance with § 603a.12(d).
§ 603a.9. Credit towards probationary period.
(a) Temporary assignment of higher-level duties. A probationary employee who is temporarily assigned the duties of a higher-level position shall have the period during which they are performing the higher-level duties credited toward the lower-level probationary period.
(b) Service in same level position. If an appointing authority reassigns a probationary employee to another position in the same or a similar job classification within the appointing authority, the employee shall be credited with time served in the previous position toward the completion of the probationary period required for the present position.
§ 603a.10. Effect of leave of absence on probationary period.
(a) Generally. A leave of absence shall not count toward the completion of a probationary employee's probationary period. Upon return from a leave of absence, a probationary employee shall complete the unserved portion of the probationary period.
(b) Extended leave. When a leave of absence exceeds 30 consecutive workdays, the appointing authority may require that a new, full probationary period be served by the returning probationary employee.
§ 603a.11. Effect of a leave of absence for military duty on probationary period.
A leave of absence for military duty shall not count toward the completion of a probationary employee's probationary period. Upon return from a leave of absence for military duty, a probationary employee shall complete the unserved portion of the probationary period.
§ 603a.12. Conferment of regular status and removal of probationary employees.
(a) Evaluation of performance. Prior to the expiration of an employee's probationary period, the appointing authority shall evaluate the employee's performance and provide the employee with the results of the evaluation.
(b) Form of evaluation. Performance evaluations of probationary employees shall be made using the same form developed in accordance with § 603a.13(c) (relating to performance evaluations generally).
(c) Conferment of regular status. If an employee's overall performance during the probationary period has been rated satisfactory or higher, the appointing authority shall confer regular status upon the employee at the expiration of the probationary period.
(d) Removal of probationary employee.
(1) If at any time during the probationary period the appointing authority determines that an employee is failing to perform satisfactorily, the appointing authority may promptly remove or, if appropriate, return, the employee in accordance with the act and this subchapter.
(2) If at the completion of the probationary period the appointing authority determines that an employee failed to perform satisfactorily, the appointing authority will immediately remove or, if appropriate, return, the employee in accordance with the act and this subchapter.
Subchapter B. EMPLOYEE PERFORMANCE EVALUATIONS Sec.
603a.13. Performance evaluations generally. 603a.14. Completion of performance evaluations. 603a.15. Retention of performance evaluations. 603a.16. Review of performance evaluations. 603a.17. Use of performance evaluations. § 603a.13. Performance evaluations generally.
(a) Generally. Subject to the review and approval of the Office of Administration, appointing authorities shall establish and maintain a job-related system of performance evaluations for employees in the classified service.
(b) Basis of performance evaluations. 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.
(c) Forms and procedures. Performance evaluation forms and procedures shall be reviewed and approved by the Office of Administration prior to utilization.
§ 603a.14. Completion of performance evaluations.
Performance evaluations of regular employees shall be completed at least once each year, unless a different schedule is approved by the Office of Administration.
§ 603a.15. Retention of performance evaluations.
(a) Generally. Appointing authorities shall retain copies of a regular employee's performance evaluation for a period of 3 years.
(b) Review by Office of Administration. Upon request by the Office of Administration, performance evaluations shall promptly be made available by an appointing authority to the Office of Administration.
§ 603a.16. Review of performance evaluations.
An appointing authority shall provide the employee with the results of the performance evaluation 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. The appointing authority shall inform the employee of the standards used in determining the evaluation.
§ 603a.17. Use of performance evaluations.
Performance evaluations may 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 C. MOVEMENT OF EMPLOYEES BY
APPOINTING AUTHORITIESSec.
603a.18. Reassignment by appointing authority. 603a.19. Transfer by appointing authority. 603a.20. Involuntary demotions. 603a.21. Status after involuntary movement. § 603a.18. Reassignment by appointing authority.
(a) Generally. An appointing authority may reassign an employee from one position to another in the same job classification or in a similar job classification for which the employee qualifies.
(b) Similar job classification. Whether a job classification constitutes a similar job classification for purposes of subsection (a) will be determined by the Office of Administration on a case by case basis. In determining whether job classifications are similar, the Office of Administration will consider whether the job classifications have the same maximum hourly salary rate in the compensation plan, and whether the job classifications require comparable minimum qualifications.
(c) Disapproval. The Office of Administration may disapprove a reassignment that is not in compliance with the act and this subpart, or that otherwise violates merit principles.
§ 603a.19. Transfer by appointing authority.
(a) Generally. Upon agreement between appointing authorities, an appointing authority may transfer an employee from one position to another position in the same job classification within a different appointing authority.
(b) Initiation of transfer. 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.
(c) Disapproval. The Office of Administration may disapprove a transfer that is not in compliance with the act and this subpart, or that otherwise violates merit principles.
§ 603a.20. Involuntary demotions.
An appointing authority may demote an employee who does not satisfactorily perform the duties of the position that they currently hold to a position in any job classification that the employee previously had the status of a regular employee or to any position for which the employee is qualified.
§ 603a.21. Status after involuntary movement.
The corresponding provisions of §§ 603a.1—603a.12 shall apply to appointments made in accordance with this subchapter.
Subchapter D. RECLASSIFICATIONS BY
THE OFFICE OF ADMINISTRATIONSec.
603a.22. Reclassifications. 603a.23. Effect of reclassification on status. § 603a.22. Reclassifications.
(a) Reclassifications required. When an employee's job duties change or the Board changes a job classification and a reallocation of the position becomes necessary, the employee shall be reclassified to the new job classification if the employee meets the established requirements. If the reclassification is to a lower-level job classification, it will not be construed as a demotion and the reclassified employee shall be credited with seniority acquired in the higher-level job classification.
(b) Request for classification review. When an appointing authority believes that a reclassification is necessary, the appointing authority shall submit a written request for a classification review to the Office of Administration, which shall include justification as to why reclassification of the position is necessary.
(c) Approval. The Office of Administration will approve requests for reclassification in accordance with the act and this subchapter.
(d) Denial. The Office of Administration may 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 and this subpart, or is otherwise unnecessary.
§ 603a.23. Effect of reclassification on status.
An employee reclassified laterally or to a lower-level job classification under this subchapter shall retain their current status.
Subchapter E. COMPENSATION Sec.
603a.24. Effect of change in compensation schedules. § 603a.24. Effect of change in compensation schedules.
Revisions to the established schedule of compensation for a job classification, 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.
CHAPTER 604a. SEPARATION OF EMPLOYEES FROM THE CLASSIFIED SERVICE Subchap.
A. LEAVES OF ABSENCE
B. FURLOUGH
C. REMOVAL AND SUSPENSION
D. RESIGNATION
E. SENIORITY
Subchapter A. LEAVES OF ABSENCE Sec.
604a.1. Leaves of absence generally. 604a.2. Leaves of absence for military duty. 604a.3. Vacancies due to leaves of absence for military duty. 604a.4. Leave of absence for Senior Management Service employment. § 604a.1. Leaves of absence generally.
(a) Request. An employee seeking a leave of absence shall submit a written request for a leave of absence to the appointing authority. The written request shall state the date on which the leave will start, the date on which the leave will end and the reason for the request.
(b) Approval. A leave of absence may be granted at the discretion of the appointing authority in accordance with the act and this subpart.
(c) Duration. Approved leaves of absence shall be for a definite period, up to a 2-year increment of time.
(d) Extension. Upon the written request of the employee, a leave of absence may be extended at the discretion of the appointing authority in 2-year increments and for a maximum continuous duration of 12 years. If after a leave of absence consisting of 12 continuous years the employee does not return to a position in accordance with subsection (e), the employee shall be deemed to have resigned from their position on the date the approved leave of absence terminates.
(e) Right of return. Upon the expiration of an employee's approved leave of absence, or after an employee requests to return from an approved leave of absence in writing to the appointing authority, the employee shall have the right to return to employment in the classified service with the same appointing authority, subject to the following:
(1) An employee shall have the right to return to a vacant position, which the appointing authority is filling, in the same job classification from which the leave of absence was approved and shall retain the same status as they held prior to taking the leave of absence.
(2) If there are no vacant positions in the same job classification from which the employee took a leave of absence, the employee shall have the right of return to any of the following:
(i) A vacant position, which the appointing authority is filling, in a job classification previously held and shall retain the same status as they held prior to taking the leave of absence.
(ii) A vacant position, which the appointing authority is filling, in a job classification with the same maximum hourly salary and shall retain the same status as they held prior to taking the leave of absence, provided the employee meets the minimum qualifications for the job classification.
(iii) A vacant position, which the appointing authority is filling, in a lower-level job classification and shall retain the same status as they held prior to taking the leave of absence, provided the employee meets the minimum qualifications for the job classification.
(3) If there is no vacancy to which the employee on leave can be returned, or if the employee returned to a lower-level job classification in accordance with paragraph (2) (relating to leaves of absence generally), the employee's name shall be placed on a preferred reemployment list, for a period of 1 year, for employment in the job classification from which the leave of absence was approved.
(f) Preferred reemployment lists. Certifications from a preferred reemployment list shall take precedence over all other eligible lists and referrals from internal recruitment methods.
(g) Scope. This section shall not apply to leaves of absence for military service and leaves of absence for employment in the Senior Management Service.
§ 604a.2. Leaves of absence for military duty.
(a) Generally. An appointing authority shall grant a leave of absence to an employee for military duty.
(b) Request. An employee seeking a leave of absence for military duty shall submit a written request for a leave of absence for military duty to the appointing authority as soon as possible prior to the military duty commencing or as soon as possible after the military duty begins. An employee shall include with their written request all documents necessary to establish that the employee is, or will be, on military duty during the relevant period of time.
(c) Duration. The duration of the leave of absence shall coincide with the duration of the employee's military duty and any delayed return to work as prescribed by the Uniformed Services Employment and Reemployment Rights Act, as amended (38 U.S.C. §§ 4301—4335).
(d) Right of return. An employee on a leave of absence for military duty shall have a guaranteed right of return in accordance with the act, this subpart, and the Uniformed Services Employment and Reemployment Rights Act, as amended.
§ 604a.3. Vacancies due to leaves of absence for military duty.
(a) Vacancies filled. When an employee in the classified service is granted a leave of absence for military duty, the position vacated shall be left vacant or otherwise filled by a substitute employee, provided the position vacated is a permanent position.
(b) Return of incumbent. Upon return of the incumbent under § 604a.2(d) (relating to leaves of absence for military duty), the substitute employee shall be required to vacate the position.
(1) Substitute employees who held regular status or probationary status in a job classification immediately prior to accepting the substitute appointment or substitute promotion shall have the right to return to their previously held position and status.
(2) A substitute employee who did not hold regular status or probationary status in a job classification immediately prior to accepting the substitute appointment shall be separated.
(c) Permanent appointment or promotion. A substitute appointment or substitute promotion shall be converted to a permanent appointment or promotion when the incumbent who was granted the leave of absence for military duty fails to return to the position within the applicable time frame prescribed by the Uniformed Services Employment and Reemployment Rights Act (38 U.S.C. §§ 4301—4335).
(d) Rights of substitute employee. A regular or probationary employee who accepts a substitute appointment or substitute promotion shall maintain the same rights and privileges to which entitled if the employee had continued to serve in the previous position with the same status. The substitute appointment or substitute promotion will not prejudice the employee's rights to promotion, transfer, reemployment or retention in service.
§ 604a.4. Leave of absence for Senior Management Service employment.
(a) Generally. An employee who accepts a Senior Management Service position shall be granted a leave of absence upon starting employment in the Senior Management Service position.
(b) Duration. The duration of leave of absence shall coincide with the duration of the employee's employment in the Senior Management Service.
(c) Return. Upon leaving employment in a Senior Management Service position, the employee shall have the right to return to a position at the same pay scale group as the last classified service position held prior to employment in the Senior Management Service position, at the same status held, and in the same appointing authority in which the Senior Management Service position was located. If a position does not exist at the time the employee leaves the Senior Management Service position, the appointing authority shall create such a position and place the employee in it.
Subchapter B. FURLOUGH Sec.
604a.5. Furlough. § 604a.5. Furlough.
(a) Reasons. Furloughs shall occur only because of a lack of funds or a lack of work.
(b) Furlough units. Furloughs will be conducted within approved furlough units. For purposes of this section, a furlough unit shall be defined as all employees in the job classification within an affected institution, division, office, bureau or a combination of the institutions, divisions, offices, or bureaus within an appointing authority. Each appointing authority will submit recommended furlough units to the Office of Administration. Once approved by the Office of Administration, the furlough units will be used for subsequent furloughs. Changes to approved furlough units shall be submitted to and approved by the Office of Administration prior to use in subsequent furloughs.
(c) Provisional employees, temporary employees and emergency employees. An appointing authority shall remove all emergency employees, temporary employees and provisional employees within the designated furlough unit before furloughing a probationary employee or regular employee in the designated furlough unit.
(d) Order of furlough. Furloughs shall occur in the following order:
(1) Probationary employees. An appointing authority will not furlough a regular employee while a probationary employee is employed in the designated furlough unit. An appointing authority shall furlough probationary employees in the inverse order of seniority. Seniority for this purpose shall be the length of continuous service in the classified service if there has been no break in service.
(2) Regular employees. When it is necessary to furlough regular employees in a designated furlough unit, the last annual or probationary performance evaluations, as applicable, of the regular employees in the furlough shall be converted to categories or relative ranks. The regular employees will be placed into quarters, and those in the lowest quarter will be furloughed or returned under subsection (e), in the inverse order of seniority. Seniority for this purpose shall be the length of continuous service in the classified service if there has been no break in service.
(e) Rights before furlough. Upon notification of furlough, and until the effective date of it, a regular employee to be furloughed shall have a right of return to vacant positions in the appointing authority in any job classification and status previously held, or to any job classification and status in the same or lower job classification, if the employee meets the minimum qualifications and provided the appointing authority is filling the vacancy. A probationary employee will be returned to the job classification previously held if the probationary status resulted from promotion.
(f) Mandatory reemployment after furlough. A furloughed employee who is unable to exercise their right of return under subsection (e) will be given a mandatory 1-year preference for reemployment in the same job classification and appointing authority from which they were furloughed. The preference does not apply to vacancies that an employee on leave of absence has priority of return, or to a filled position which has been reclassified to a higher-level job classification after the effective date of furlough.
(g) Optional reemployment after furlough. A furloughed employee who is unable to exercise their right of return under subsection (e) will, for 1 year, be placed on optional reemployment lists for the job classification from which furloughed and for equal and lower-level job classifications for which they are qualified, for certification to all appointing authorities.
(h) Reemployment certification. The following requirements apply to certifications of reemployment lists of furloughed employees:
(1) A certification from a mandatory reemployment list shall preclude issuance of a certification otherwise applicable to available vacancies except for a certification from a preferred reemployment list, which shall take precedence over all other eligible lists. Certification from optional reemployment lists shall be considered equally with all other employment or promotion certifications issued for available vacancies.
(2) Furloughed employees shall be certified from mandatory reemployment lists according to their stated availabilities. The appointing authority will give reemployment preference to those on mandatory reemployment lists with higher overall performance evaluations. In cases of identical performance evaluations, furloughed employees with greater continuous classified service seniority will have reemployment preference.
(3) Furloughed employees shall be certified from optional reemployment lists according to their stated availabilities. The appointing authority may select any furloughed employee from the optional reemployment list, in accordance with merit principles.
(i) Refusal of reemployment from mandatory reemployment list. A furloughed employee who refuses reemployment from a mandatory reemployment list in a county other than the county from which they were furloughed, shall retain mandatory reemployment rights solely to the county from which they were furloughed. Furloughed employees who accept or refuse mandatory reemployment in the county from which they were furloughed shall lose all mandatory and optional reemployment rights and consideration.
(j) Refusal of reemployment from optional reemployment list. A furloughed employee who refuses appointment from an optional reemployment list in the same job title from which they were furloughed or in a job title with the same pay grade as the job title from which they were furloughed shall forfeit all optional reemployment preference, but shall retain mandatory preference for reemployment. A furloughed employee who refuses appointment from an optional reemployment list in a job title with a pay grade lower than the job title from which they were furloughed shall retain reemployment preference for job titles with pay grades higher than the job title to which reemployment is offered and equal to the job title from which they were furloughed. Reemployment preference is forfeited for all job titles with pay grades equal to and lower than the job title to which reemployment is offered. If preferences subsequently are not, or cannot be, exercised, the furloughed employee shall be considered as having voluntarily resigned as of the furlough effective date.
(k) Labor agreements. If there is a labor agreement covering the employees to be furloughed, the terms of the agreement as to furlough and reemployment procedures shall be controlling.
Subchapter C. REMOVAL AND SUSPENSION Sec.
604a.6. Removal 604a.7. Suspension. § 604a.6. Removal.
Just cause for removal of a regular employee must be based on at least one merit-related reason.
§ 604a.7. Suspension.
(a) Generally. An appointing authority may suspend an employee for good cause, which shall be based on at least one merit-related reason.
(b) Suspension pending investigation. An appointing authority may, for the purpose of ascertaining an employee's fitness for continued employment, suspend an employee pending the outcome of an internal or external investigation.
(1) When an investigation has not revealed cause for disciplinary action, the suspension shall be retracted and expunged from all records, and the employee shall receive back pay for the full period of suspension.
(2) When an investigation has revealed cause for disciplinary action, the suspension shall be converted, either in whole or in part, to a disciplinary action.
(c) Duration of suspension.
(1) A suspension, including during a pending internal investigation, may not exceed 60 working days in 1 calendar year.
(2) A suspension pending investigation by external agencies may be maintained up to 30 working days after conclusion of the external investigation.
(3) A suspension under 71 Pa.C.S. § 2705(f) (relating to political activity) may not exceed 120 working days.
Subchapter D. RESIGNATION Sec.
604a.8. Notice of resignation. 604a.9. Effective date of resignation. 604a.10. Acceptance or rejection of resignation. § 604a.8. Notice of resignation.
Notice of resignation shall consist of a voluntary termination of employment evidenced by an affirmative statement, either written or oral, of the employee's intent to resign.
§ 604a.9. Effective date of resignation.
(a) When an employee gives notice of the effective date of resignation, the resignation shall take effect on the specified date.
(b) When an employee does not specify an effective date of resignation, the resignation shall take effect immediately.
(c) A resignation submitted during or at the termination of a leave of absence shall be effective on the date submitted.
§ 604a.10. Acceptance or rejection of resignation.
(a) Response to notice of resignation. An appointing authority shall respond to an employee's notice of resignation, in writing, within 15 calendar days after the appointing authority's receipt of the notice of resignation. The appointing authority's response shall state whether the employee's resignation is accepted or rejected by the appointing authority. An appointing authority may not reject a resignation unless the employee is being investigated or removal action is pending.
(b) Removal after notice of resignation. The acceptance of a resignation will not bar an appointing authority from thereafter removing an employee for causes that occur or become known during the period between the acceptance and the effective date of the resignation.
(c) Withdrawal of resignation. An employee's resignation may not be withdrawn without the written consent of the appointing authority once the resignation has been accepted by the appointing authority. A resignation that has not been accepted by the appointing authority may be withdrawn by the employee at any time prior to acceptance or the effective date.
(d) Rescission of acceptance after resignation. Upon notice to the former employee, an appointing authority may rescind its acceptance of a resignation after the effective date for just cause and convert the resignation to a removal.
Subchapter E. SENIORITY Sec.
604a.11. Break in service. § 604a.11. Break in service.
(a) Generally. For purposes of seniority, the following shall constitute a break in service:
(1) Removal for just cause.
(2) Resignation.
(3) Retirement.
(4) Failure to accept an offer to return after furlough under 71 Pa.C.S. § 2602(b)(1) (relating to furlough) and this subpart.
(5) Failure to accept an offer to return after a leave of absence under 71 Pa.C.S. § 2608(b) (relating to leave of absence) and this subpart.
(6) Expiration of mandatory, preferred or optional reemployment rights.
(7) Failure to report after a leave of absence.
(b) Effect on seniority. If a break in service occurs, the employee shall lose accrued seniority.
(c) Furlough and leave. Periods of furlough and leaves of absence shall be deemed continuous employment for seniority purposes, except that during the period of furlough or leave of absence, the employee shall not accrue credit towards seniority.
(d) Involuntary demotion. A demotion under § 602a.31 (relating to voluntary demotion) shall terminate seniority in the job classification from which demoted.
CHAPTER 605a. ENFORCEMENT OF ACT; PROHIBITIONS AND PENALTIES Subchap.
A. OFFICE OF ADMINISTRATION REVIEW OF LEGALITY OF EMPLOYMENT ACTIONS
B. PROHIBITION ON POLITICAL ACTIVITY
C. INVESTIGATIONS; NOTICE OF VIOLATIONS AND PENALTIES
Subchapter A. OFFICE OF ADMINISTRATION REVIEW OF LEGALITY OF
EMPLOYMENT ACTIONSSec.
605a.1. Reporting. 605a.2. Review of personnel actions. § 605a.1. Reporting.
Each appointing authority shall promptly report to the Office of Administration an appointment, promotion, or change in position or job classification of an employee in the classified service in its employ; or any other additional information related to an employee in the classified service in its employ requested by the Office of Administration.
§ 605a.2. Review of personnel actions.
Whenever the Office of Administration determines that a personnel action is not in accordance with the act and this subpart, the Office of Administration will notify the appointing authority in writing, including the reasons for the determination and the required corrective action.
Subchapter B. PROHIBITION ON
POLITICAL ACTIVITYSec.
605a.3. Scope of prohibition. § 605a.3. Scope of prohibition.
(a) The provisions of 71 Pa.C.S. § 2705 (relating to political activity) shall not apply to employees who are on furlough, who are on a leave of absence, or who are on a leave covered under the State Employees' Retirement Code in 71 Pa.C.S. § 5302(b) (relating to credited State service).
(1) An employee who is elected to and assumes public office while on a leave of absence or a leave covered under the State Employees' Retirement Code in 71 Pa.C.S. § 5302(b) shall, upon returning to employment in the classified service, resign from the elective public office and otherwise comply with the provisions of 71 Pa.C.S. § 2705.
(2) An employee who is elected to and assumes public office while on furlough may serve out the remaining portion of the present term of office, provided the duties of the elective public office do not present a conflict of interest with the duties of the employee's position in the classified service, and the employee does not otherwise engage in activity prohibited by 71 Pa.C.S. § 2705. The employee may not seek and accept appointment, nomination, and election for a new term in office.
(b) An employee who is elected to and assumes public office prior to appointment to a position in the classified service may serve out the remaining portion of the present term of office, provided the duties of the elective public office do not present a conflict of interest with the duties of the employee's position in the classified service, and the employee does not otherwise engage in activity prohibited by 71 Pa.C.S. § 2705. The employee may not seek and accept appointment, nomination or election for a new term in office.
Subchapter C. INVESTIGATIONS; NOTICE OF
VIOLATIONS AND PENALTIESSec.
605a.4. Procedure. § 605a.4. Procedure.
(a) Investigations. The Office of Administration will investigate allegations of violations of the act or this subpart by an employee.
(b) Request for Investigation. An individual suspecting that an individual has violated the act or this subpart may file a written request for investigation with the Office of Administration, which shall contain sufficient details of the alleged violation so as to enable proper investigation by the Office of Administration.
(c) Hearing. When appropriate, the Office of Administration may convene a hearing under 71 Pa.C.S. § 2202(a)(10) (relating to duties of Office of Administration) to determine whether an employee violated the act or this subpart and the appropriate penalty or remedy. The hearings shall be conducted in accordance with Chapter 607a (relating to practice and proceedings before the Office of Administration) of this subpart.
(d) Notice. Whenever the Office of Administration determines that an employee has violated the act or this subpart, the Office of Administration will give written notice to the appropriate appointing authority of the determination, including appropriate corrective actions. Notice that an employee intentionally falsified information, failed to disclose a material fact or otherwise concealed information to obtain appointment or promotion shall also include a reference to 71 Pa.C.S. § 2702(b) (relating to false statements made under oath and concealing information).
(e) Penalties. Unless otherwise required by the act or this subpart, penalties for violation of the act or this subpart shall be within the discretion of the Office of Administration.
(1) Intentional violation. Except as provided in paragraphs (2) and (3), an employee who intentionally violates the act or this subpart shall be immediately removed from employment in the classified service.
(2) Political activity. An employee who violates 71 Pa.C.S. § 2705 (relating to political activity) or § 605a.3 (relating to scope of prohibition) shall be removed from employment in the classified service, provided the Office of Administration may impose a penalty of suspension without pay for not more than 120 working days if the Office of Administration finds that the violation does not warrant removal.
(3) Concealment. An employee who intentionally falsified information, failed to disclose a material fact, or otherwise concealed information to obtain appointment or promotion shall be removed from all eligible lists for a period of time to be determined by the Office of Administration and, if appointed or promoted, be summarily removed.
(f) Removal. When the Office of Administration orders the removal of an employee due to the employee's violation of the act or this subpart, the appointing authority shall remove the employee immediately.
(g) Ineligibility after removal. When an employee has been found to have violated the act or this subpart and as a result has been removed from employment in the classified service, the employee shall be ineligible for reappointment to any position in the classified service for a period of time determined by the Office of Administration. In setting the period of ineligibility, the Office of Administration may, in its discretion, determine that permanent ineligibility is appropriate.
CHAPTER 606a. PERSONNEL ACTIONS Sec.
606a.1. Personnel actions. 606a.2. Notice of personnel actions. 606a.3. Signatory authority. § 606a.1. Personnel actions.
(a) When used in the act or this subpart, the term personnel action shall be limited to the following:
(1) Appointment.
(2) Promotion.
(3) Removal, including the removal of a probationary employee before the expiration of the probationary period.
(4) Suspension.
(5) Acceptance of resignation.
(6) Demotion.
(7) Furlough.
(8) Transfer.
(9) Reassignment.
(10) Leave of absence.
(11) Extension or reduction of probationary period.
(12) Compensation changes, except salary increments, general pay increases, or special pay for such things as overtime or out-of-class work.
(13) Performance evaluation.
(14) Reclassification.
(15) Return to a position or job classification held prior to promotion.
§ 606a.2. Notice of personnel actions.
(a) Required. An appointing authority shall provide written notice of a personnel action to the affected employee.
(b) Content. A written notice of a removal, furlough, involuntary demotion or suspension issued to a regular employee shall include a clear statement of the reason(s) for the personnel action, sufficient to apprise the employee of the grounds upon which the personnel action is based. A written notice of a removal, furlough, involuntary demotion or suspension shall provide information on the employee's right to appeal the personnel action to the State Civil Service Commission.
(c) Effective date of personnel action. Unless otherwise required by the Office of Administration or stated in the notice by the appointing authority, the personnel action will take effect immediately upon the provision of notice to the employee by the appointing authority.
(d) Simultaneous copy. When the appointing authority notifies an employee of a furlough or a suspension, it shall simultaneously submit a copy of the notice to the Office of Administration. Copies of other notices of personnel actions shall be provided to the Office of Administration upon request.
(e) Mandatory requirements. Except as provided in subsection (f), the requirements in this section are mandatory. Failure to adhere to the notice requirements set forth in this section may nullify the personnel action.
(f) Acceptance of resignation. The requirements of this section do not apply to an appointing authority's acceptance of an employee's resignation, which are governed by §§ 604a.8—604a.10 (relating to notice of resignation; effective date of resignation; and acceptance or rejection of resignation).
§ 606a.3. Signatory authority.
(a) Generally. A notice of personnel action shall be signed by the head of the appointing authority or an authorized designee.
(b) Authorized designee. An authorized designee of the head of an appointing authority includes a deputy secretary, a bureau director, an office director, a superintendent, a deputy superintendent or an equivalent position employed by the appointing authority; a human resources director or an equivalent position supporting the appointing authority; or an individual who is delegated signatory authority on behalf of the head of the appointing authority in the manner prescribed by the Office of Administration. For purposes of performance evaluations, an employee's immediate supervisor shall be deemed the authorized designee of the head of the appointing authority without the need for delegation of signatory authority.
(c) No further delegation. An authorized designee of the head of an appointing authority may not further delegate signatory authority.
(d) Rebuttable presumption. A notice of personnel action bearing the signature of the head of the appointing authority, or an authorized designee, shall create a rebuttable presumption that the head of the appointing authority or the authorized designee signed the notice and had the proper authority to issue the notice.
CHAPTER 607a. PRACTICE AND PROCEEDINGS BEFORE THE OFFICE OF ADMINISTRATION Subchap.
A. GENERAL PROVISIONS
B. HEARINGS UNDER SECTION 2202(a)(10) OF THE ACT
C. LIST CANCELLATION HEARINGS
Subchapter A. GENERAL PROVISIONS Sec.
607a.1. Applicability of General Rules of Administrative Practice and Procedure. 607a.2. Public access. 607a.3. Presiding officer. 607a.4. Computation of time. 607a.5. Filings with Docket Clerk. § 607a.1. Applicability of General Rules of Administrative Practice and Procedure.
This chapter is intended to supersede 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure). The General Rules of Administrative Practice and Procedure are not applicable to activities of and proceedings before the Office of Administration.
§ 607a.2. Public access.
Hearings scheduled by the Office of Administration under its authority under the act shall be open to the public. Notices of public hearing shall be published by the Office of Administration on its publicly accessible web site.
§ 607a.3. Presiding officer.
(a) Hearings scheduled by the Office of Administration under its authority under the act shall be conducted by a presiding officer designated, in writing, by the Secretary of Administration.
(b) Subsection (a) supersedes 1 Pa. Code § 35.185 (relating to designation of presiding officers).
§ 607a.4. Computation of time.
(a) When any period of time is referred to in this chapter, such period in all cases shall be so computed as to exclude the first and include the last day of such period. Whenever the last day of any period shall fall on Saturday, Sunday or a legal holiday under the laws of this Commonwealth or the United States, the day shall be omitted from the computation.
(b) Subsection (a) supersedes 1 Pa. Code § 31.12 (relating to computation of time).
§ 607a.5. Filings with Docket Clerk.
(a) Generally. When a document is required to be filed with the Docket Clerk, the filing shall occur within the applicable time limits, if any, by first class mail or electronic mail. The Office of Administration shall indicate the mailing address and electronic mail address of the Docket Clerk on its publicly accessible web site.
(b) Mail. When a document is filed with the Docket Clerk by first class mail, the date of mailing, as evidenced by the United States Postal Service postmark on the envelope containing the filing, a United States Postal Service Form 3817 (Certificate of Mailing), or another similar United States Postal Service form from which the date of deposit with the United States Postal Service can be determined, shall be deemed the date of filing.
(c) Electronic mail. When a document is filed with the Docket Clerk by electronic mail, the date of receipt recorded by the Docket Clerk's electronic mail system shall be deemed the date of filing. A party filing a document by electronic mail is responsible for any delay, disruption, interruption of electronic signals, and readability of the document and accepts the risk that the document may not be properly or timely filed.
(d) Supersession. Subsections (a)—(c) supersede 1 Pa. Code §§ 31.5(a), 31.11 and 33.34 (relating to communications and filings generally; timely filing required; and date of service).
Subchapter B. HEARINGS UNDER
SECTION 2202(a)(10) OF THE ACTSec.
607a.6. Order to show cause. 607a.7. Answer to order to show cause. 607a.8. Representation. 607a.9. Consolidation of proceedings. 607a.10. Severance of proceedings. 607a.11. Notice of hearing. 607a.12. Continuances. 607a.13. Subpoenas. 607a.14. Authority of presiding officer. 607a.15. Form of hearings. 607a.16. Failure to attend hearing. 607a.17. Additional hearings and evidence. 607a.18. Record of proceedings. 607a.19. Post-hearing brief. 607a.20. Proposed decision and order. 607a.21. Exceptions. 607a.22. Brief opposing exceptions. 607a.23. Further response or pleading. 607a.24. Final decision and order. § 607a.6. Order to show cause.
(a) Generally. The Office of Administration shall commence a proceeding under 71 Pa.C.S. § 2202(a)(10) (relating to duties of Office of Administration) through the filing of a verified order to show cause with the Docket Clerk. The individual against whom the order to show cause is filed shall be deemed the respondent.
(b) Content. An order to show cause must set forth with specificity the grounds for the proceeding, including a concise statement of the relevant factual allegations, matters of law and a request for relief.
(c) Entry of Appearance. An order to show cause filed under this section shall be accompanied by an entry of appearance for the attorneys and legal interns representing the Office of Administration in the proceeding.
(d) Service. On the date of filing, the Office of Administration shall simultaneously serve a copy of the order to show cause on the respondent by first class mail. The date of mailing shall be deemed the date of service and shall be determined in the manner set forth in § 607a.5(b) (relating to filings with Docket Clerk). The Office of Administration shall include with its order to show cause a certificate of service indicating proper service on the respondent.
(e) Supersession. Subsections (a), (b) and (d) supersede 1 Pa. Code §§ 33.31, 35.14 and 35.121 (relating to service by agency; orders to show cause; and initiation of hearings). Subsection (c) supersedes 1 Pa. Code § 31.24(b) (relating to notice of appearance).
§ 607a.7. Answer to order to show cause.
(a) Generally. A respondent shall file with the Docket Clerk an answer to the order to show cause within 20 days of the date of service indicated on the certificate of service accompanying the order to show cause.
(b) Content. An answer shall specifically admit or deny the allegations presented in the order to show cause, set forth the facts upon which the respondent relies, and state concisely the relevant matters of law. General denials of the allegations contained in the order to show cause will not be considered as complying with this section and may be deemed a basis for entry of a proposed decision and order without a hearing, unless otherwise required by the act, on the ground that the response has raised no issues requiring a hearing or further proceedings.
(c) Service. On the date of filing, a respondent shall simultaneously serve a copy of the answer on the Office of Administration's legal counsel by first class mail at the mailing address indicated in the order to show cause, unless the Office of Administration agrees to accept service by electronic mail. A respondent shall include with their answer a certificate of service indicating proper service on the Office of Administration.
(1) When an answer is served by first class mail, the date of mailing shall be deemed the date of service and shall be determined in the manner set forth in § 607a.5(b) (relating to filings with Docket Clerk).
(2) When an answer is served by electronic mail, the date of receipt recorded by the Office of Administration's electronic mail system shall be deemed the date of service. A party filing a document by electronic mail is responsible for any delay, disruption, interruption of electronic signals, and readability of the document and accepts the risk that the document may not be properly or timely filed.
(d) Failure to file answer. A respondent failing to file an answer with the Docket Clerk within the time allowed shall be deemed in default, and relevant facts stated in the order to show cause may be deemed admitted and provide a basis for entry of a proposed decision and order without a hearing, unless otherwise required by the act, on the ground that the response has raised no issues requiring a hearing or further proceedings.
(e) Supersession. Subsections (a), (b) and (d) supersede 1 Pa. Code § 35.37 (relating to answers to orders to show cause) and subsection (c) supersedes 1 Pa. Code § 33.32 (relating to service by a participant).
§ 607a.8. Representation.
(a) A respondent appearing before the Office of Administration may do so on their own behalf or may be represented by an attorney licensed to practice law in this Commonwealth or a legal intern certified by the Supreme Court of Pennsylvania. An appointing authority shall be represented by an attorney licensed to practice law in this Commonwealth or a legal intern certified by the Supreme Court of Pennsylvania. Attorneys and legal interns shall file with the Docket Clerk an entry of appearance with the Office of Administration.
(b) Subsection (a) supersedes 1 Pa. Code §§ 31.21, 31.22, 31.23 and 31.24.
§ 607a.9. Consolidation of proceedings.
(a) The Office of Administration may consolidate two or more proceedings at its discretion where the proceedings involve a common question of law or fact, provided that consolidation does not prejudice any party thereto.
(b) Subsection (a) supersedes 1 Pa. Code §§ 35.45 and 35.122 (relating to consolidation; and consolidation of formal proceedings).
§ 607a.10. Severance of proceedings.
The Office of Administration may sever two or more proceedings at its discretion where the proceedings lack a common question of law or fact, provided that severance does not prejudice any party thereto.
§ 607a.11. Notice of hearing.
(a) The Office of Administration shall provide the parties advance notice of a scheduled hearing. The notice will contain a statement of the matters to be addressed at the hearing, as well as specific instructions regarding the date, time and place of hearing.
(b) Subsection (a) supersedes 1 Pa. Code § 35.121 (relating to initiation of hearings).
§ 607a.12. Continuances.
The presiding officer may, upon a showing of good cause, grant a request for a continuance of a scheduled hearing. The requests shall be submitted as far in advance of the scheduled hearing date as possible, be made in writing, and must state the specific reason(s) for the continuance request. A copy of a request for a continuance shall be simultaneously served on the non-requesting party.
§ 607a.13. Subpoenas.
(a) Procedure for requesting subpoena.
(1) A subpoena for the attendance of witnesses or for the production of documents will be issued only upon written application to the presiding officer, with a copy to the non-requesting party. Notwithstanding the forgoing, the presiding officer may, by their own motion, issue a subpoena for the attendance of witnesses or the production of documents.
(2) A written application shall specify the relevance of the testimony or documentary evidence sought. For documentary evidence, the request must specify, to the extent possible, the documents desired and the facts to be proved thereby.
(3) A subpoena for new or additional witnesses will not be issued after a hearing has been started and continued unless orally requested on the record at the hearing and approved by the presiding officer; except that subpoenas issued prior to the start and continuance of the hearing may be reissued upon written request.
(4) Failure to adhere to the requirements of this subsection may result in the refusal to issue the requested subpoena.
(b) Service of subpoena.
(1) A subpoena for the attendance of a witness must be personally served on the witness at least 48 hours prior to the hearing, unless the witness agrees to waive the 48-hour requirement.
(2) A subpoena for the production of documents may be served personally, by mail, by facsimile machine or by other electronic means upon the individual in possession of the documents, the legal counsel for the entity or individual in possession of the documents, or the designated custodian of the documents. A subpoena for the production of documents shall be served no later than 10 business days prior to hearing.
(3) Failure to adhere to the requirements of this subsection may result in a ruling by the presiding officer denying the enforceability of the subpoena.
(c) Enforcement of subpoena.
(1) If the subject of a subpoena fails or refuses to comply with the terms of the subpoena, the subpoenaing party may file with the Docket Clerk a request for enforcement.
(2) If the presiding officer determines that the testimony or documentary evidence sought through the subpoena is probative of a material fact or issue relevant to the proceeding, the Secretary of Administration, or their designee, will petition a court of record for enforcement of the subpoena in accordance with 71 Pa.C.S. § 2202(c) (relating to duties of Office of Administration).
(d) Supersession. Subsections (a)—(c) supersede 1 Pa. Code §§ 35.142 and 35.145—35.152 (relating to subpoenas; and depositions).
§ 607a.14. Authority of presiding officer.
(a) A presiding officer has the discretionary authority to do the following:
(1) Determine the burdens of proof and production, if necessary, and determine the order of procedure.
(2) Regulate the conduct of hearings, including the scheduling, recessing, reconvening and adjournment, and to do acts and take measures necessary or proper for the efficient conduct of hearings.
(3) Administer oaths and affirmations.
(4) Receive evidence.
(5) Rule upon offers of proof and evidentiary objections.
(6) Hold appropriate conferences before or during hearings and order the parties to submit memoranda in advance of the conference.
(7) Dispose of procedural requests, including discovery or similar matters.
(8) Specify the manner in which pleadings are to be submitted to the presiding officer, including the format and contents of these documents.
(9) Require that the parties, prior to the hearing, submit witness lists or lists of documents, or both, to be presented at the hearing.
(10) Take other actions as necessary and appropriate to discharge the presiding officer's vested duties, consistent with statutory and regulatory authority.
(b) Subsection (a) supersedes 1 Pa. Code Chapter 35, Subchapter E (relating to presiding officers).
§ 607a.15. Form of hearings.
(a) A hearing before the Office of Administration shall be formal but need not adhere to the technical rules of evidence or procedure. In cases involving issues of fact, oral testimony shall be under oath or affirmation.
(b) Subsection (a) supersedes 1 Pa. Code §§ 35.123 and 35.189 (relating to conduct of hearings; and manner of conduct of hearings).
§ 607a.16. Failure to attend hearing.
When a properly notified party fails to appear at a hearing, the hearing may be held without the participation of the non-appearing party and, thereafter, the presiding officer may take appropriate action in due course.
§ 607a.17. Additional hearings and evidence.
(a) After the conclusion of a hearing, but prior to the issuance of a final disposition, the presiding officer may, upon their own motion or upon request of a party, allow one or more additional hearings or the submission of additional relevant evidence.
(b) Subsection (a) supersedes 1 Pa. Code § 35.128 (relating to additional evidence).
§ 607a.18. Record of proceedings.
(a) A complete record of the proceedings shall be made. A party shall make arrangements to purchase copies of the record directly with the reporting service. The Office of Administration's copy of the record may be reviewed at the Office of Administration's office in Harrisburg. Arrangements to review the record may be made by contacting the Docket Clerk.
(b) Subsection (a) supersedes 1 Pa. Code §§ 35.131 and 35.133 (relating to recording of proceedings; and copies of transcripts).
§ 607a.19. Post-hearing brief.
(a) Generally. At the close of the proceedings, or as directed by the presiding officer, each party will be given the opportunity to file a legal brief in support of their position.
(b) Briefing schedule. The presiding officer will set forth a briefing schedule and the order in which the briefs shall be filed. The briefs shall be filed with the Docket Clerk.
(c) Content of brief. A post-hearing brief does not need to conform to a specific format but must include:
(1) A statement of the facts supporting the party's position, with citation to the relevant exhibits and pages of the transcript.
(2) A discussion of the arguments supporting the party's position, including citation to relevant statutes, regulations and case law.
(d) Service. On the date of filing, a party shall simultaneously serve a copy of the brief on the opposing party by first class mail, unless the parties mutually agree to accept service by electronic mail. A party shall include with their brief a certificate of service indicating proper service on the opposing party.
(1) When a brief is served by first class mail, the date of mailing shall be deemed the date of service and shall be determined in the manner set forth in § 607a.5(b) (relating to filings with Docket Clerk).
(2) When a brief is served by electronic mail, the date of receipt recorded by the opposing party's electronic mail system shall be deemed the date of service. A party filing a document by electronic mail is responsible for any delay, disruption, interruption of electronic signals, and readability of the document and accepts the risk that the document may not be properly or timely filed.
(e) Supersession. Subsections (a)—(d) supersede 1 Pa. Code Chapter 35, Subchapter F (relating to briefs).
§ 607a.20. Proposed decision and order.
(a) Generally. Upon the closing of the record, the presiding officer shall issue a proposed decision and order, based on the established record, which will be provided to the parties and filed with the Docket Clerk.
(b) Content. The proposed decision and order shall contain a statement of (1) findings and conclusions, as well as the reasons or basis therefor, resolving all the material issues of credibility, fact and law presented on the record, and (2) an appropriate order, sanction, relief or denial.
(c) Finality. A proposed decision and order shall be deemed a final order of the Office of Administration upon the expiration of 20-calendar days from the date of issuance, unless exceptions are timely and properly filed in accordance with § 607a.21 (relating to exceptions).
(d) Supersession. Subsections (a)—(c) supersede 1 Pa. Code §§ 31.13 (relating to issuance of agency orders), 35.201—35.207 (relating to proposed reports generally) and 35.226 (relating to final orders).
§ 607a.21. Exceptions.
(a) Generally. A party aggrieved by the proposed decision and order may, within 20 days after the issuance of the proposed decision and order, appeal to the Secretary of Administration, by filing with the Docket Clerk exceptions to the proposed decision and order, or part of it, in the form of a brief on exceptions.
(b) Content.
(1) A brief on exceptions shall, at a minimum:
(i) State the specific issues of procedure, fact or law, or other portion of the proposed decision and order to which each exception is taken.
(ii) Identify the page or part of the proposed decision and order to which each exception is taken.
(iii) Designate by page citation or exhibit number the portions of the record relied upon for each exception.
(2) A brief on exceptions may include specific findings and conclusions proposed in lieu of those to which exception is taken and any proposed additional findings and conclusions.
(c) Service. On the date of filing, a party shall simultaneously serve a copy of the brief on exceptions on the opposing party by first class mail, unless the parties mutually agree to accept service by electronic mail. A party shall include with their brief on exceptions a certificate of service indicating proper service on the opposing party.
(1) When a brief on exceptions is served by first class mail, the date of mailing shall be deemed the date of service and shall be determined in the manner set forth in § 607a.5(b) (relating to filings with Docket Clerk).
(2) When a brief on exceptions is served by electronic mail, the date of receipt recorded by the opposing party's electronic mail system shall be deemed the date of service. A party filing a document by electronic mail is responsible for any delay, disruption, interruption of electronic signals, and readability of the document and accepts the risk that the document may not be properly or timely filed.
(d) Waiver. A party's failure to file with the Docket Clerk a brief on exceptions within the time allowed under this section shall constitute a waiver of all objections to the proposed decision and order. Objections to any part of a proposed decision and order that are not included in a party's brief on exceptions shall be deemed waived.
(e) Supersession. Subsection (a) supersedes 1 Pa. Code §§ 35.190(a) and 35.211 (relating to appeals to agency head from rulings of presiding officers; and procedure to except to proposed report), subsections (b)—(d) supersede 1 Pa. Code §§ 35.211 and 35.212(a)(1) (relating to procedure to except to proposed report; and content and form of briefs on exceptions) and subsection (d) supersedes 1 Pa. Code 35.213 (relating to effect of failure to except to proposed report).
§ 607a.22. Brief opposing exceptions.
(a) Generally. In response to a brief on exceptions, a party may file with the Docket Clerk a brief opposing exceptions within 20 days of date of service of the brief on exceptions.
(b) Content. A brief opposing exceptions shall generally follow the same format prescribed in § 607a.21(b) (relating to exceptions) for a brief on exceptions.
(c) Service. On the date of filing, a party shall simultaneously serve a copy of the brief opposing exceptions on the opposing party by first class mail, unless the parties mutually agree to accept service by electronic mail. A party shall include with their brief opposing exceptions a certificate of service indicating proper service on the opposing party.
(1) When a brief opposing exceptions is served by first class mail, the date of mailing shall be deemed the date of service and shall be determined in the manner set forth in § 607a.5(b) (relating to filings with Docket Clerk).
(2) When a brief opposing exceptions is served by electronic mail, the date of receipt recorded by the opposing party's electronic mail system shall be deemed the date of service. A party filing a document by electronic mail is responsible for any delay, disruption, interruption of electronic signals, and readability of the document and accepts the risk that the document may not be properly or timely filed.
(d) Supersession. Subsections (a) and (b) supersede 1 Pa. Code § 35.212(a) and (b) (relating to content and form of briefs on exceptions).
§ 607a.23. Further response or pleading.
After the filing of a brief opposing exceptions, or the expiration of the time period for filing a brief opposing exceptions, whichever occurs first, no further response or pleading by any party will be entertained unless the Secretary of Administration, or their designee, with or without motion, so orders.
§ 607a.24. Final decision and order.
(a) After reviewing the record, including any briefs on exceptions and briefs opposing exceptions, the Secretary of Administration, or their designee, shall issue a final decision and order, which will be provided to the parties and filed with the Docket Clerk. The Secretary of Administration, or their designee, may affirm, modify, or reverse the findings of credibility and fact, the conclusions of law, and the decision of the presiding officer as the secretary deems appropriate on the basis of all of the record evidence.
(b) Subsection (a) supersedes 1 Pa. Code § 35.226(a) (relating to final orders).
Subchapter C. LIST CANCELLATION HEARINGS Sec.
607a.25. Generally. 607a.26. Notice of list of cancellation hearing. 607a.27. Format of hearing. 607a.28. Record of proceedings. 607a.29. Notice of list cancellation. § 607a.25. Generally.
(a) Under 71 Pa.C.S. § 2307(d) (relating to duration of eligible lists), the Office of Administration will hold a hearing before cancelling the whole or a part of an eligible list due to illegality or fraud in connection with the eligible list. The hearings shall be referred to as ''list cancellation hearings.''
(b) Subsection (a) supersedes 1 Pa. Code § 35.121 (relating to initiation of hearings).
§ 607a.26. Notice of list cancellation hearing.
(a) The Office of Administration shall provide advance notice of a list cancellation hearing to those eligibles whose names appear on the relevant list. The notice will contain a statement of the matters to be addressed at the hearing, as well as specific instructions regarding the date, time and place of hearing. Additionally, the notice will provide instructions on how an eligible can submit to the Office of Administration written objections concerning the list cancellation.
(b) Subsection (a) supersedes 1 Pa. Code § 35.121 (relating to initiation of hearings).
§ 607a.27. Format of hearing.
(a) At the onset of a list cancellation hearing, the presiding officer shall make a statement describing the circumstances necessitating the cancellation of the list, including the findings and conclusions of any investigation undertaken by the Office of Administration. Thereafter, each eligible whose name appears on the relevant list and objected, in writing, to the cancellation will be given an opportunity to state their objections, under oath or affirmation, on the record. After all objections are heard, the presiding officer shall adjourn the hearing, and the record shall be considered closed.
(b) Subsection (a) supersedes 1 Pa. Code § 35.123 (relating to conduct of hearings).
§ 607a.28. Record of proceedings.
(a) A complete record of the proceedings shall be made. Individuals may arrange to purchase copies of the record directly with the reporting service. The Office of Administration's copy of the record may be reviewed at the Office of Administration's office in Harrisburg. Arrangements to review the record may be made by contacting the Docket Clerk.
(b) Subsection (a) supersedes 1 Pa. Code §§ 35.131 and 35.133(a) and (b) (relating to recording of proceedings; and copies of transcripts).
§ 607a.29. Notice of list cancellation.
If, after holding a list cancellation hearing, the Office of Administration determines that cancellation of the whole or a part of an eligible list is warranted due to illegality or fraud in connection with the eligible list, the Office of Administration shall provide notice of the cancellation of the list to those eligibles whose names appeared on the relevant list.
[Pa.B. Doc. No. 22-373. Filed for public inspection March 11, 2022, 9:00 a.m.]
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