COMMENT DUE DATE:
March 4, 2008
February 13, 2008
Tracy Tatum-Thomas HRMD (405) 522-2099
Dena Thayer PMU Manager (405) 521-4326
Pat McCracken PMU Specialist (405) 522-1017
APA WF 08-02
The proposed policy is Permanent . This proposal will go to the Commission meeting on
CHAPTER 2. ADMINISTRATIVE COMPONENTS
Subchapter 1. Human Resources Management Division (HRMD)
Part 3. Internal Human Resources
OAC 340:2-1-34 [AMENDED]
Part 7. Recruitment, Selection, and Placement
OAC 340:2-1-89 [AMENDED]
SUMMARY:The purpose of the proposed revisions of Subchapter 1 of Chapter 2, amends the rules to:(1) change to the Oklahoma Department of Human Services (OKDHS) form numbers to reflect changes created by the OKDHS forms system; (2) incorporate terminology changes related to technological advances; (3) remove unnecessary language; (4) and improve wording.
PERMANENT RULEMAKING APPROVAL IS REQUESTED.
LEGAL AUTHORITY:Commission for Human Services, Article XXV, Sections 2, 3, and 4 of the Oklahoma Constitution; and Sections 250 et seq. of Title 75 of the Oklahoma Statutes.
To:Dena Thayer, Programs Administrator
Policy Management Unit
From:Diane Haser-Bennett, Division Director
Human Resources Management Division
Date:January 3, 2008
Re:Chapter 2 Administrative Components
(Reference APA WF 08-02)
Sub-Chapter 1, Human Resources Management Division (HRMD)
Part 3, Internal Human Resources
OAC 340:2-1-34 [AMENDED]
Part 7, Recruitment, Selection, and Placement
OAC 340:2-1-89 [AMENDED]
Contact:Kevin Sharp, (405) 521-6829
Or Tracy Tatum-Thomas, (405) 522-2099
A.Brief description of the purpose of the proposed rule:
Purpose.The purpose of the proposed revisions of Subchapter 1 of Chapter 2, amends the rules to:(1) change to the Oklahoma Department of Human Services (OKDHS) form numbers to reflect changes created by the OKDHS forms system; (2) incorporate terminology changes related to technological advances; (3) remove unnecessary language; (4) and improve wording.
Strategic Plan impact.The proposed rules achieve OKDHS goals by reflecting OKDHS continuous improvement of systems and processes to achieve the OKDHS mission.
OAC 340:2-1-34, is amended to reflect current form numbers.
OAC 340:2-1-89, is amended to implement terminology changes and the procedural changes due to technological advances at the Office of Personnel Management (OPM).
Reasons.The proposed revisions are to reflect and maintain procedural changes implemented for compliance or technological progress.Further the proposed changes clean-up and use clarifying language.
Repercussions. The proposed rules document changes to processes and will aid in understanding various procedures.If the proposed revisions are not implemented it may cause an applicant, an employee, Human Resources or the agency to have liability due to incomplete or dated procedures.
Legal authority. Commission for Human Services, Article XXV, Sections 2, 3, and 4 of the Oklahoma Constitution; and Sections 250 et seq. of Title 75 of the Oklahoma Statutes.
Permanent approval.Permanent rulemaking approval is requested.
B.A description of the classes of persons who most likely will be affected by the proposed rule, including classes that will bear the costs of the proposed rule, and any information on cost impacts received by the Agency from any private or public entities: The classes of persons most likely to be affected by the proposed rules are OKDHS applicants and employees. The affected classes of persons will bear no costs associated with implementation of the rules.
C.A description of the classes of persons who will benefit from the proposed rule: The classes of persons who will benefit are OKDHS applicants and employees.
D.A description of the probable economic impact of the proposed rule upon the affected classes of persons or political subdivisions, including a listing of all fee changes and, whenever possible, a separate justification for each: The revised rules do not have an economic impact on the affected entities. There are no fee changes associated with the revised rules.
E.The probable costs and benefits to the Agency and to any other agency of the implementation and enforcement of the proposed rule, the source of revenue to be used for implementation and enforcement of the proposed rule and any anticipated effect on state revenues, including a projected net loss or gain in such revenues if it can be projected by the Agency: The probable cost to OKDHS includes the cost of printing and distributing the rules, which is estimated to be the cost of distribution of the revised rule, approximately $20. The revised rules will result in enhanced employment practices. The hiring procedures can positively impact benefits to clients and timeliness rates of service given to clients.
F.A determination whether implementation of the proposed rule will have an impact on any political subdivisions or require their cooperation in implementing or enforcing the rule: The proposed rules do not have an economic impact on any political subdivision, nor will the cooperation of any political subdivisions be required in implementation or enforcement of the rules.
G.A determination whether implementation of the proposed rule will have an adverse economic effect on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act: There are no anticipated adverse effects on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act.
H.An explanation of the measures the Agency has taken to minimize compliance costs and a determination whether there are less costly or non-regulatory methods or less intrusive methods for achieving the purpose of the proposed rule: There are no less costly or non-regulatory methods or less intrusive methods for complying with the Office of Personnel Managements (OPM) procedural changes; or the numbering changes to OKDHS forms.
I.A determination of the effect of the proposed rule on the public health, safety, and environment and, if the proposed rule is designed to reduce significant risks to the public health, safety, and environment, an explanation of the nature of the risk and to what extent the proposed rule will reduce the risk: None known.
J.A determination of any detrimental effect on the public health, safety, and environment if the proposed rule is not implemented: If the proposed rules are not implemented, OKDHS will not be in compliance with OPM. No detrimental effect known.
K.The date the rule impact statement was prepared and, if modified, the date modified: Prepared 10 January, 2008.Modified 1-17-08.
SUBCHAPTER 1. HUMAN RESOURCES MANAGEMENT DIVISION (HRMD)
PART 3. INTERNAL HUMAN RESOURCES
340:2-1-34. Employment verifications and references
(a) Responses to employment verification inquiries.Oklahoma Department of Human Services (OKDHS) responses to employment verification inquiries, such as credit references, work status inquiries, and employment references on employees or former employees are made either by the OKDHS Finance Division or the Human Resources Management Division (HRMD) except as noted in (b) of this Section.¢ 1
(1) Finance Division or HRMD provides only the employee's or former employee's correct name, dates of employment, and the current or last job family descriptor (JFD) and level held.
(2) An employee's or former employee's address, Social Security number, or other information is not provided.
(3) Only salary confirmation information is provided.
(4) Additional information may be released only upon receipt of a written authorization from the employee or former employee.
(b) References.Professional references must be void of opinion, defamation, retaliation, and information that is discriminatory in nature and must not violate confidentiality.¢ 2
(1) Internal requests.Supervisors and managers must respond to reference requests initiated within OKDHS. The response is in writing either by memo or e‑mail.
(2) External requests.Managers and supervisors do not respond to verbal requests for references.Form
P-15 11PE015E, Professional Reference Release, is used to provide references.¢ 3 & 4
(c) Individual or personal references.Employees or former employees frequently ask administrators, managers, supervisors, or co-workers for personal references.Such references do not express OKDHS official position.Individuals providing references are cautioned that they may be liable and subject to discipline for providing incorrect, inappropriate, or exaggerated references or information that could place OKDHS at risk.¢ 5
INSTRUCTIONS TO STAFF 340:2-1-34
1.Sample telephone response to an inquiry is limited to:"Thank you for calling the Oklahoma Department of Human Services (OKDHS).I am pleased to confirm that Mr. or Mrs. (employee name) was an employee of OKDHS from (date) to (date) as a (position title) at (position location).We are unable to release additional information without a signed release from the person."
2.Examples of prohibited information in a reference include:
(1) knowingly false information or information that attacks a person's reputation;
(2) personal information such as sexual orientation or medical history;
(3) age, ethnic background, Americans with Disabilities Act (ADA), or other information that is statutorily protected;
(4) negative information intended to retaliate;
(5) misleading and positive information about a person who poses a risk of harm; and
(6) misrepresentation by failing to disclose that the employee received corrective discipline for violence in the workplace.
3.Do not provide professional reference by telephone.Requests are responded with:"We are unable to release information without a signed authorization document from the person."
(1) The request for reference must be in writing and identify the source of the request.A copy of Form
P-15 11PE015E, Professional Reference Release, may be provided to the requester's organization to obtain proper authorization from the applicant or employee in question. Mailed or faxed copies of requests are accepted.
(2) The completed form is provided only upon request from the business or company seeking a professional reference and is not to be given directly to the employee.
(3) If the unit receiving the request has a pre-signed release from the employee on file, no further authorization is needed.
(4) Former or current employees may revoke a previously executed a Form
P‑15 11PE015E in writing, to the location where the signed release was furnished.
(5) A copy of any information released relating to the professional references request is retained in the local personnel file for a minimum of two years.
4.The in-house or local human resources (HR) liaison assists the manager by checking HRIS prior to responding to the reference to confirm that the reason for leaving OKDHS was discharge or resignation.
5. OKDHS or state letterhead is not used for personal reference request.
PART 7. RECRUITMENT, SELECTION, AND PLACEMENT
340:2-1-89.Office of Personnel Management (OPM)
Certificate of Eligibles (certificate) E-List - classified service
(a) General provisions.This Section provides basic information regarding Office of Personnel Management (OPM)
certificates E-Lists. For assistance, consult Merit System of Personnel Administration Rules (Merit Rules) OAC 530:10‑9 or contact the Human Resources Management Division (HRMD). ¢ 1
(b) Required procedures and forms to be completed by OPM
certificate E-List applicants.
(1) Applicants for competitive and non-competitive positions apply using the Internet On-line Application for Employment through the Office of Personnel Management (OPM), http://www.state.ok.us/opm/.
12) All applicants interviewed from an OPM certificate E-List for a competitive classification or non-competitive classification, complete Form P-1 11PE001E, Application for Employment , for a competitive or noncompetitive classification.
23) The individual selected for appointment completes Form P-1-D 11PE201E, Application Supplement. (3) For placement of their names on the OPM certificate, individuals complete Form OPM-4, State of Oklahoma Employment Application, and submit the completed forms to OPM. (4) Selecting officials return Form OPM-4, State of Oklahoma Employment Application, for direct hire individuals selected for appointment to HRMD with the OPM certificate.
(c) Submission of OPM
certificate E-List and support documentation to personnel.
(1) The selecting official returns Form
P-1-D 11PE201E, Form OPM-4 for noncompetitive appointment only Application Supplement, and one copy of the properly coded OPM certificate must be returned E-List to HRMD for finalization of the personnel transaction.
(2) Interview notification letters sent to candidates on the OPM
certificate E-List must be postmarked no later than seven calendar days before the void date of the OPM certificate E-List; or, if sent by e-mail, the notification is sent to candidates at least three calendar days prior to the void date.
(3) If an applicant is not selected from the OPM
certificate E-List, the OPM certificate E-List must be returned to HRMD before another OPM certificate is issued.
(d) Review of returned OPM
(1) HRMD retains the OKDHS file copy of the OPM
(2) OPM audits
certificates E-Lists for compliance with Merit Rules after the selected candidate enters on duty.OPM has the authority to void any appointment that does not comply with Merit Rules. INSTRUCTIONS TO STAFF 340:2-1-89 1.(a) The requesting official receives one copy of the Office of Personnel Management (OPM) certificate of eligibles (certificate).After working or coding the OPM certificate, it is returned to Human Resources Management Division (HRMD).A copy is retained in the local office. (b) Requests for extensions of an OPM certificate(s) must be received by HRMD prior to the void date on the OPM certificate. (c) OPM certificate action codes. (1) The OPM certificate action codes listed in (A) through (L) of this Instruction are utilized in coding OPM certificates from OPM. (A) A = Appointment. A is used when an appointment is made from a full-time or part-time OPM certificate.Whenever A is used, the eligible is removed from the register. (i) A date must be listed in the action date column of the OPM certificate. This is the date an eligible enters on duty (EOD).The EOD date can be between the issue date of the OPM certificate and within 30 days after the void date of the OPM certificate.The commitment to EOD is made before the void date of the OPM certificate. (ii) If the EOD date is over 30 days after the void date of the OPM certificate, a letter must be attached to the OPMcertificate explaining why the eligible cannot EOD until this date. (iii) When proof pending is printed beside the name of an eligible in the comments column, the eligible has not submitted the required college transcript or diploma for that classification.The eligible must submit the required college transcript or diploma to HRMD before entering on duty in probationary status. (B) C = Considered. C indicates applicant is considered, but not selected.C further indicates the selecting official or his or her designee has made a judgment based on job-related criteria and on fitness for duty for the posted position, and the applicant was not best qualified for the position.If a considered applicant was interviewed, list the date of the interview in the Action Date/Comments field on the certificate.For the purpose of certification, however, applicants interviewed from a certificate who are not within the hiring rule are not coded as Considered. Eligibles who have been awarded Absolute Veteran's Preference cannot be coded as C in order to appoint a non-veteran or another veteran that has not been awarded Absolute Veteran's Preference.An eligible who is considered is included in calculating the hiring rule of ten. (C) CE = Currently Employed. CE is used when an eligible already has probationary or permanent status with OKDHS in the same or higher job family descriptor (JFD) having the same conditions of employment as that for which the OPM certificate was issued, such as location, type of work, travel, or shift.If the conditions do not match, the CE code cannot be used. (i) The date listed in the action date column for the CE code must be between the issue and void dates of the current OPM certificate. (ii) The name of an eligible who is currently employed is not removed from the register if the JFD is uniform.The name of an eligible who is currently employed is removed from the register if the class is proprietary. (D) DA = Declined Agency. DA is used when an eligible has declined a position with OKDHS. (i) The date the eligible declines OKDHS must be between the issue and void dates of the current OPM certificate.This date is listed in the action date column of the OPM certificate. (ii) The eligible remains on the register but won't be certified to OKDHS for that classification. (E) DO = Declined Offer.DO is used when an eligible has declined or cannot accept an offer of employment under conditions of availability, such as work location, shift or start date, which they previously agreed to accept.If an eligible informs OKDHS that he or she is obligated to give over 14 calendar days notice to a present employer, additional time may be granted, but periods in excess of 30 calendar days after the void date of the OPM certificate must be authorized by HRMD and approved by OPM.[OAC 530:10-9-94] (i) The date the eligible declined an offer must be between the issue and void dates of the current OPM certificate.This date is listed in the action date column of the OPM certificate. (ii) Whenever DO is used, the eligible is removed from the register. (F) EA = Employee Action.EA is used to indicate a permanent employee or former employee who is not currently working in the job classification but who will soon be employed in this position through a promotion, demotion, transfer, lateral change, or reinstatement. (i) The effective date of the employee action is listed in the action date column of the OPM certificate by the selecting official.This date cannot be before the issue date of the OPM certificate, but it can be within 30 days after the void date of the OPM certificate. (ii) Whenever EA is used, the eligible is removed from the register. (G) FA = Failed to Appear.FA is used when an eligible fails to appear for a scheduled interview. (i) The date that has been set up for an interview and for which the eligible does not appear is the date that is listed in the action date column of the OPM certificate.This scheduled interview must be between the issue and void dates of the current OPM certificate. (ii) Whenever FA is used, the eligible is removed from the register. (H) FR = Failed to Reply.FR is used when an attempt has been made to contact an eligible by letter or email concerning an interview for employment but the eligible failed to reply to that inquiry within the allotted time. (i) A date must be listed in the action date column of the OPM certificate.The letter is sent at least seven days prior to the void date. (ii) If FR is used as an OPM certificate action code for an eligible who cannot be contacted, a letter or email must have been sent.FR cannot be used when a phone call was the only method of contact used. (iii) Whenever FR is used, the eligible is removed from the register. (I) OS = Out-of-state.OS is used when an eligible has not been a resident of Oklahoma for at least one year prior to his or her date of examination and OKDHS elects to give preference to Oklahoma residents. (i) The OS code cannot be used for one out-of-state eligible when someone else is hired or others are considered who also live out-of-state or who have not been a resident of Oklahoma for at least one year.OKDHS must be consistent in the use of the OS code on OPM certificates. (ii) A date must be listed in the action date column and must be between the issue and void date of the current OPM certificate. (iii) Whenever OS is used, the eligible is not removed from the register. (J) PC = Passed for Cause.PC is used when OKDHS feels that an eligible is incapable of performing a duty that is required for the position. (i) A date must be listed in the action date column and must be between the issue and void dates of the current OPM certificate. (ii) Each time PC is used, a letter must be attached to the OPM certificate explaining why that action was taken, and the letter must state the specific Merit Rule. (iii) An eligible who has been passed for cause will not be removed from the register if the class is uniform.They will not be certified to OKDHS.If the JFD is proprietary, an eligible who has been passed for cause is removed from the register. (iv) PC may be used in accordance with OAC 530:10-9-9.The operating unit must submit written documentation to HRMD with the OPM certificate to support use of this action code. (K) SQ = Selective Qualification.SQ is used to disqualify eligibles on the certificate who do not possess the approved selective qualifications. (i) Before SQ is used as an OPM certificate action code, OKDHS must have received prior approval from OPM to use selective qualification for the particular position.This approval is obtained by HRMD.For each SQ that is used, a letter must be attached to each OPM certificate explaining why that action was taken. (ii) A date must be listed in the action date column and must be between the issue and void dates of the current OPM certificate. (iii) Whenever SQ is used, the eligible is not removed from the register. (2) OPM certificate action codes must be entered in the action code column on the OPM certificate, which must be returned to HRMD. (3) Dates for action codes FR, FA, DA, and DO must fall between the issue date and void date of the OPM certificate. (4) R, I, and NA are not acceptable action codes for OPM certificates.