COMMENT DUE DATE:
March 19, 2015
DATE:
February 9, 2015
Kevin Sharp, Program Administrator 405-521-6829
Nancy Kelly, OIRP Policy Specialist 405-522-6703
RE:
APA WF 14-18
The proposed policy is Permanent . This proposal is subject to the Administrative Procedures Act
SUBJECT:
CHAPTER 2. ADMINISTRATIVE COMPONENTS
Subchapter 1. Human Resources Resource Management Division (HRMD)
Part 3. Internal Human Resources
OAC 340:2-1-26 through 340:2-1-28 [AMENDED]
Part 7. Recruitment, Selection, And Placement Policy, And Procedures
OAC 340:2-1-81 [AMENDED]
(Reference WF 14-18)
SUMMARY:The proposed revisions to Chapter 2 Subchapter 1 amend the rules to:(1) establish changes in Oklahoma Department of Human Services (DHS) application processes due to the integration of new technology; (2) provide information to improve and clarify the rules for the general public during the application process; and (3) remove text that references Affirmative Action and the use of the Fair Employment Practices Act (FEPA) eliminated by State Question 759.
PERMANENT APPROVAL:
Permanent rulemaking is requested.
LEGAL AUTHORITY:
Director of Human Services; Section 162 of Title 56 of the Oklahoma Statues and the Oklahoma Merit rules of Employment 530:10-1-1(e)(f)(g).
Rule Impact Statement
To:Programs administrator
Office of Intergovernmental Relations and Policy
From:Diane Hazer-Bennett, Director
Human Resource Management
Date:January 16, 2015
Re:CHAPTER 2. ADMINISTRATIVE COMPONENTS
Subchapter 1. Human Resources Resource Management Division (HRMD)
Part 3. Internal Human Resources
OAC 340:2-1-26 through 340:2-1-28 [AMENDED]
Part 7. Recruitment, Selection, And Placement Policy, And Procedures
OAC 340:2-1-81 [AMENDED]
(Reference WF 14-18)
Contact:Kevin Sharp 405-521-6829
A.Brief description of the purpose of the proposed rule:
Purpose.The proposed revisions to Chapter 2 Subchapter 1 amend the rules to:(1) establish changes in Oklahoma Department of Human Services (DHS) application processes due to the integration of new technology; (2) provide information to improve and clarify the rules for the general public during the application process; and (3) remove text that references Affirmative Action and the use of the Fair Employment Practices Act (FEPA) eliminated by State Question 759.
Strategic Plan Impact.The proposed amendments achieve the DHS goal by continuously improving systems and processes to achieve DHS efficiency.The proposed changes provide greater clarity and improve the ability of the general public to use DHS systems and processes as they relate to employment and to comply with the Oklahoma Merit Rules of Employment.
Substantive changes.
Oklahoma Administrative Code (OAC) 340:2-1-26 is amended to revise the application process due to the integration of new technology.
OAC 340:2-1-27 is amended to remove obsolete form numbers and revise form numbers essential to the application process.
OAC 340:2-1-28 is amended to remove text related to permanent, classified, employees who promote or transfer to other positions.
OAC 340:2-1-81 is amended to remove portions of text referencing Affirmative Action and the Fair Employment Practices Act eliminated by State Question 759.
Reasons.Rules are amended to clarify language to achieve easier use by staff, to align policy with the use and benefits of new technology, and to ensure compliance with Oklahoma Merit Rules of Employment.
Repercussions.There is no negative impact to staff.Failure to make the amendments would result in inefficiencies.
Legal authority.Director of Human Services; Section 162 of Title 56 of the Oklahoma Statues and the Oklahoma Merit rules of Employment 530:10-1-1(e)(f)(g).
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 affected by the proposed rule revisions are DHS staff and applicants.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 may benefit from the proposed rule revisions are applicants for DHS positions and DHS 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 fee change:The proposed 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 DHS cost of printing and distributing the rules is estimated to be less than $20.
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 nonregulatory 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 achieving the purpose of the proposed rules.
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:Proposed rule revisions will not have a detrimental effect on public health, safety, or the environment.
J.A determination of any detrimental effect on the public health, safety, and environment if the proposed rule is not implemented:No detrimental effect on the public health, safety, and environment is anticipated from the proposed rule revisions.
K.The date the rule impact statement was prepared and, if modified, the date modified:Prepared January 16, 2015.
CHAPTER 2. ADMINISTRATIVE COMPONENTS
SUBCHAPTER 1. HUMAN RESOURCES RESOURCE MANAGEMENT DIVISION (HRMD)
PART 3. INTERNAL HUMAN RESOURCES
340:2-1-26. Employment and assignment
Revised 7-1-109-15-15
(a) Selection from Office of Personnel Management (OPM) and Enterprise Services Human Capital Management (HCM) E-List.The process to fill a position is initiated by use of using Form 11PE031E, Announcement Requisition, which is forwarded to the Human Resources Management Division (HRMD), Oklahoma Department of Human Services (OKDHS) (DHS) Human Resource Management (HRM).When HRMD HRM is notified of vacancies that are not filled by promotion, demotion, transfer, or reinstatement in accordance with OKDHS per DHS recruitment, selection, and placement policy and procedures, HRMD HRM may request an OPM HCM E-List which that may be used in accordance with per Oklahoma Administrative Code (OAC) 340:2-1-84(b).OPM HCM supplies names of eligible persons applicants.The hiring rule is the top ten 10 available eligibles, eligible applicants or anyone whose any name is tied with the lowest ranked ranking, eligible applicant within the hiring rule.[per OAC 530:10-9-92, and Section 840-4.13 of Title 74 of the Oklahoma Statutes (74 O. S. § 840-4.13]).OKDHS DHS may make its selection from the OPM HCM E-List within the hiring rule.In selecting new personnel from the OPM HCM E-List, OKDHS DHS may consider any information legally available information concerning each applicant, including data recorded information on the application, reports of interviews with applicants and references, performance evaluations, letters of reference, and background checks.OKDHS DHS does not discriminate in any of its employment policies and is an equal opportunity employer.¢ 1
(b) Utilization of multiple continuous announcement (MCA).OKDHS may announce that applications will be accepted for a specified period of time in anticipation that numerous vacancies will occur during the period of the announcement.Criteria for the establishment of an MCA is determined by HRMD.When MCA is utilized:
(1) individual announcements are not utilized for the same job family descriptor at the same unit location;
(2) applicant lists may be issued to selecting official beginning ten calendar days after announcement opens and up to ten calendar days after the announcement closes; and
(3) an applicant will have his or her name removed from further consideration for MCA when the applicant:
(A) fails to respond to an invitation for an interview;
(B) fails to respond to a request for additional information;
(C) declines an interview; or
(D) declines a job offer.
(c) Determination of availability.Upon receipt of the OPM HCM E-List, HRMD HRM forwards the HCM E-List to the requesting official.This official who contacts applicants on the list E-List by mail or e-mail email to determine if the applicants are available for an interview interviews.
(1) If When an applicant declines an offer of appointment, fails to report for an interview, or fails to report for duty, the circumstances are documented for the record.An eligible applicant may be is considered to have declined and may be removed from consideration when he or she:
(A) fails to reply to a written invitation to interview within seven calendar days, exclusive of the date of mailing;
(B) is contacted by e-mail email with an invitation to interview and fails to respond to the electronic email inquiry within 72 hours; or
(C) verbally declines an opportunity to interview with a DHS representative of OKDHS DHS.
(2) Information regarding a selected applicant's availability for appointment is transmitted to HRMD HRM with any other pertinent information obtained regarding the applicant at the time.Form 11PE076E, Applicant List, is returned to HRMD HRM and as relevant, the OPM HCM E-List.
(3) A conditional offer of employment, Form 11PE009E, Conditions of Employment, is made to an applicant pending the passing of the required, pre-employment drug screening.[per OAC 340:2-1-43(b)(1)].¢ 21
(4) Appointment to certain DHS positions within OKDHS requires the completion of a favorable background check [per OAC 340:2-1-56].
(d)(c) Notice of appointment.Since OKDHS DHS administers statewide programs, and staff are assigned in accordance with the DHS particular needs of OKDHS.Form OPM-14, Request for Personnel Action, showing The HCM PeopleSoft Human Resource Management System generates a Personnel Action report providing the OPM HCM position identification number, job family with level and job code, place of assignment, pay band and salary, and is provided to the new employee as notice of his or her appointment.¢ 21
INSTRUCTIONS TO STAFF 340:2-1-26
Revised 7-1-109-15-15
1.Division directors are responsible for making the necessary efforts to attain division goals developed pursuant to the Oklahoma Department of Human Services (OKDHS) Affirmative Action Plan.Fair Employment Practices Act (FEPA) List may be utilized.
2.(a) InfoNet Form 11PE009E, Conditions of Employment, will be is used to convey salary, appointment status, and the requirements which the applicant must meet.
3.(a)(b) The Human Resources Management Division (HRMD) The Human Resource Management (HRM) copy of Form OPM-14, Request for the Personnel Action report, is filed in the employee's personnel folder.
(b)(c) Form OPM-14 The Personnel Action report is transmitted electronically to the Office of Personnel Management (OPM) Office of Management and Enterprise Services Human Capital Management (HCM) Division and to the employing office.
(c)(d) A copy of Form OPM-14 the Personnel Action report is sent to the:
(1) the Payroll Unit of OKDHS DHS Finance Division Financial Services Payroll Unit;
(2) the HRMD HRM Benefits Section;
(3) the employee; and
(4) as required, the Oklahoma Public Employees Retirement System, (OPERS) as required.
340:2-1-27. Report of entrance on duty
Revised 7-1-109-15-15
(a) Required documents.On the day a new employee enters employee enter on duty day (EOD), the unit supervisor of the unit of assignment completes Form 11AD068E, Report of Accession, and forwards it to the Human Resources Management Division (HRMD) Human Resource Management (HRM).Documents attached to Form 11AD068E include:
(1) a copy of the employee's Social Security card.The employee's name on all personnel and payroll records is shown exactly as it appears on the Social Security card.If When the employee is unable to provide the his or her required, original Social Security card, the employee he or she must present a receipt of application for the replacement card within three business days of entering on duty EOD;
(2) Secretary of State (SOS) Form 100, Loyalty Oath.A signed, written loyalty oath is required for each new employee.A new SOS Form 100 is submitted with each appointment following a consecutive, 30-calendar day break in service;
(3) Form W-4, Employees Withholding Allowance Certificate, or Form W-5, Earned Income Advance Payment Certificate;
(4) Form 515-01-97R, Enrollment Application in State Retirement, except for temporary appointments;
(5) Notice of Employee's Right to Continue Group Health Coverage, Consolidated Omnibus Budget Reconciliation Act (COBRA), except for temporary appointments;
(6) Form 11PE021E, Additional Application Information Form 11PE201E, Payroll and EEOC Reporting Information;
(7) Form 10PL023E, Employee Longevity Service Worksheet, except for temporary appointments;
(8) Department of Homeland Security, United States Citizenship and Immigration Services, Form I-9, Employment Eligibility Verification.Pursuant to the Immigration Reform and Control Act of 1986, Form I-9 is completed by the employing unit on the first day of employment.If When the employee is unable to provide the acceptable original document(s) as listed on the Form I-9, the employee must present a receipt for the application for the document(s) within three business days of entering on duty EOD or the employee will be is immediately separated from duty.However, an employee working three or less days or less must produce the required original documents for the completion of Form I-9 on the first day of duty EOD.An employee who presented a receipt for the application of a document must present the required original document within 90-calendar days of entering on duty EOD or he or she will be is immediately separated from duty;¢ 1
(9) verification of tribal affiliation, if when the employee wishes requests designation as Native American;
(10) insurance benefits enrollment forms, except for temporary appointments;
(11) Form 11AD133E 05AD133E, Employee and Non-employee Acknowledgment of Confidentiality; and
(12) the employee's acceptance of the conditional job offer, Form 11PE009E, Conditions of Employment, agreeing to classification, status, salary, and agreement to serving a probationary period upon entrance to the classified service as a direct hire, as a reinstatement, or any other hire that does not utilize the Office of Personnel Management (OPM) and Enterprise Services Human Capital Management Division E-List.¢ 2
(b) Missing documents.If all documents are not available on the date of entry on duty, all available documents are submitted.Missing documents are submitted as soon as possible, but no later than required by law to ensure accurate compensation.All of the documents listed in (a)(1) through (12) of this Section are required in accordance with state and federal laws.
INSTRUCTIONS TO STAFF 340:2-1-27
Revised 6-1-089-15-15
1.(a) Authorized unit staff are is required to submit Form I-9, Employment Eligibility Verification, and documentation information to the Department of Homeland Security (DHS) through the E-Verify system for all the following new hires hire positions:
(1) temporary;
(2) unclassified;
(3) probationary; and
(4) inter-agency transfer of an active state employee.
(b) An exception is a previous Oklahoma Department of Human Services (OKDHS) (DHS) employee, with less than a 30-calendar day break in service, who does not need not to be verified through the E-Verify system.
(c) When a receipt for application is used for the initial submission of required document(s) for the Form I-9, the unit staff completing Form I-9, records "receipt" on the document information.
(1) The original Form I-9 is held in the unit until verification of the original document has been is made.
(2) A copy of Form I-9, and "receipt" documentation used for the E-Verify process, along with the response e-mail email from OKDHS DHS E-Verify is forwarded to Human Resources Management Division (HRMD) Human Resource Management (HRM).
(d) If When a receipt for application for a document is used for the initial submission of Form I-9, the unit staff enters "Pending" into the Human Resources Information System (HRIS).HRMD HRM staff verifies the entry.
(e) Upon verification of the original document the unit staff:
(1) updates HRIS to "yes";
(2) crosses out "receipt," on any document number, records the information for the original document, initials and dates the change on the Form I-9; and
(3) forwards the original Form I-9 and the documentation copies of documentation to HRMD HRM.
(f) The unit maintains a copy of the DHS E-verify response from OKDHS E-verify, and Form I-9 with the verifying documentation in the employee's local file.
2.The employee's acceptance of the conditional job offer, including the notification of a probationary period to be served, is completed prior to the employee's enter-on-duty date.
340:2-1-28. Probationary or trial period, classified service
Revised 7-1-109-15-15
(a) Probationary period upon initial appointment.The probationary period for any an appointed employee is one-year or until the probationary period is waived after the employee has served six months.The probationary period may not be extended beyond one year but may be adjusted, per Merit Rule Oklahoma Administrative Code (OAC) Merit Rule 530:10-11-36.An employee in a leave without pay status in excess of 40 working hours will have the probationary period adjusted equal to his or her leave without pay time in excess of 40 hours.¢ 1
(1) The probationary period is a working, test period during which a classified employee is required to demonstrate fitness for the job family and level to which appointed.The decision to grant a probationary employee permanent status is based upon on a closed Office of Management and Enterprise Services Human Capital Management (HCM) Division, Form HCM-111, Supervisory Documentation, written evaluations, recommendations, or other pertinent information.Early award of permanent status is reviewed and approved at division level or designee. When permanent status is granted, the employee and OPM receive confirmation from the Human Resources Management Division (HRMD).¢ 1
(2) Services of an employee on probationary status may be terminated at any time.¢ 2Early award of permanent status wavier for the remainder of the probationary period must be reviewed and approved by the division director or by his or her designee.When permanent status is granted, HCM and the employee receive confirmation from Human Resource Management.An employee may be discharged at any time during the probationary period.¢ 2
(3) Employee benefits are available to probationary employees in accordance with specific benefit policies.
(4) A change in shift assignment or a significant change of duties of a probationary employee, in excess of 30-calendar days, requires prior HCM approval of OPM.
(5) A probationary employee is not:
(A) eligible for promotion or demotion;
(B) eligible to apply for OKDHS DHS job announcements until successful completion of the probationary period;
(C) transferred from the original locality where appointed;
(D) changed from part-time to full-time; and or
(E) transferred to a position in another job family.
(6) A probationary or permanent OKDHS DHS employee may apply for a job through the OPM HCM application system.If a job offer is subsequently made, the offer is to a new appointment and the employee is required to:
(A) resign from the old position held at the time of acceptance; ¢ 3 and
(B) serve a new one-year probationary period in the new position.
(b) Trial period upon promotion or transfer.A classified employee who is promoted or transferred to a different job family and level serves a six-month trial period in the job family and level to which the employee is promoted or transferred.The trial period may be waived in writing at any time.
(c) Trial period upon voluntary demotion.Voluntary demotion of a classified OKDHS employee requires a six-month trial period.The voluntarily demoting employee is notified in writing of a trial period prior to the effective date of the voluntary demotion. ¢ 5 The trial period may be cancelled at any time.
(d) Failure to complete trial period.If an employee's performance does not prove satisfactory in the new job, the employee is reinstated to the former position or another in the same job family and level, at the salary the employee would have received if the promotion, demotion, or transfer had not taken place.The employee is provided written notice of the reason for failure to acquire permanent status in the job. ¢ 4
(e) Interagency transfer or reinstatement.Permanent, classified employees of other Oklahoma state agencies may transfer in permanent status unless the selecting authority elects to require appointment as a reinstatement to include a probationary period as a condition of employment.
INSTRUCTIONS TO STAFF 340:2-1-28
Revised 7-1-109-15-15
1.It is critical that the immediate supervisor and the reviewing supervisor develop Office of Management and Enterprise Services Human Capital Management (HCM) Division Form OPM-111 HCM-111, Performance Management Process (PMP), the accountabilities, to include tasks, and performance standards, and behaviors expected for successful performance in the assigned job family and level.Form OPM-111 HCM-111 is opened within the employee's first 30-duty days.The immediate supervisor must close out Form OPM-111 HCM-111 not no later than 30-calendar days prior to completion of the probationary period.
2.When services are terminated an employee is discharged during a probationary period, the appropriate senior administrator, division director, area director, or designee is responsible for notifying the employee and other relevant offices of the termination.This The discharge notice is delivered by personal service or sent by certified mail to the employee's last known address of the employee or delivered by personal service.A and a copy of the notice of termination is filed in the employee's personnel record.
3.When a determination is made that an employee's trial period is terminated and the employee returns to the previous job family descriptor (JFD), the current division director or designee advises the employee's previous division official of the decision and reaches an agreement on the employee's effective date of transfer, which must not be later than seven duty days from the notification date.
4.The demoting employee signs and dates the completed form to acknowledge the demotion, the change of salary, and the required trial period before assuming his or her new job family and level.
5.Before extending a job offer to an applicant from another state agency, the selecting official checks with the Human Resources Resource Management Division for verification of the applicant's current job family and level, pay band, salary, and status.
PART 7. RECRUITMENT, SELECTION, AND PLACEMENT POLICY AND PROCEDURES
340:2-1-81. Issuing Applicant List and E-List
Revised 6-1-089-15-15
(a) The Human Resources Management Division (HRMD) Human Resource Management (HRM) prepares Form 11PE076E, Applicant List, for the announced position.Applicants are screened to determine eligibility.¢ 1.
(b) If When the position is in the classified service and announced as such a classified position, applicants may be considered from all sources.The local administrator may request that HRMD HRM issue an Office of Personnel Management (OPM) and Enterprise Services Human Capital Management (HCM) Division E-List for the announced job family descriptor and level, and authorized announced alternate hiring level, as applicable.For positions that have been identified as underutilized in the current fiscal year in the Oklahoma Department of Human Services (OKDHS) Affirmative Action Plan, a special OPM E-List is requested by the local administrator under the provisions of the Fair Employment Practices Act (FEPA) for which a goal has been established.The selecting official:
(1) must work use Form 11PE076E; and
(2) may work use the regular OPM E-list(s) which HCM E-List that includes the:
(A) FEPA List; and
(B)Priority Reemployment E-List.; and
(B) Free List, Optional Program for Hiring Applicants with Disabilities.
INSTRUCTIONS TO STAFF 340:2-1-81
Revised 6-1-089-15-15
1.Selecting officials are required to utilize the amended Form 11PE076E, Applicant List, issued by Human Resources Resource Management; Division (HRMD) provided the selecting official has not made an offer of employment to a selected applicant.
