STATE OF YAP
OFFICE OF THE GOVERNOR
Federated States of Micronesia
Personnel Matters: Hiring, Promotion,
Reclassification and Class Reallocation.
Purpose. The Public Service System Act provides for hiring, promotion, reclassification and class allocation. The purpose of this executive order is to put a freeze on such hiring, promotion, reclassification and class allocation.
Background Information. The government, in preparation for the reduced funding level starting next fiscal year and for the post-compact period, is in the process of reducing its annual operation budget. The single highest cost in our operation budget is personnel cost and, thus, this has to be reduced through decreasing the size of our workforce and reducing average annual salary.
It is our plan to reduce the size of our workforce through a voluntary early retirement (VER) program wherein employees volunteering to retire will be paid a lump sum of money upon retirement. Such sum is to serve as the incentive provided to encourage early retirement.
The VER program implementation will cost money which has to be borrowed. To make sure that the loan we acquire is adequate to cover implementation cost, total payroll cost has to be maintained at it present level. Our calculations, otherwise, would be off.
Justifications. The only way to keep payroll cost constant is to freeze 1) annual step increases in annual salaries, 2) hiring new employees, 3) promotion, 4) reclassification and 5) class reallocation. Step increases have to be dealt with through legislation but items no. 2 through no. 5 could be and are, therefore, being dealt with administratively through tills executive order. In short, there is no other way in which payroll cost could at !east he maintained at its current level.
Enforcement. The OAS Division of Personnel is hereby charged with the responsibility to enforce this executive order to ensure full compliance herewith.
Effective Date. This executive order takes effect as of the date hereof.
Vincent A. Figir 2 /23/ 96
State of Yap
FEDERATED STATES MICRONESIA
OFFICE OF THE GOVERNOR
WESTERN CAROLINE ISLANDS
SUBJECT: PERSONNEL REGULATIONS
WHEREAS, the State Public Service System Act became effective on
January 1, 1980; and
WHEREAS, Section 26 of Yap State Law No. 1-35 provides that the
Chief of Personnel shall draft regulations for personnel administration; and
WHEREAS, Section 26 of Yap State Law No. 1-35 empowers the Governor
to promulgate said regulations, and then promulgated they shall have the
force and effect of law; and
WHEREAS, EXECUTIVE ORDER NO. 1-80 adopted the Code of Public Regulations for the Trust Territory Personnel System for use as the Yap State Personnel Regulations; and
WHEREAS, the Chief of Personnel has submitted to the Governor a set of proposed personnel regulations subsequent to EXECUTIVE ORDER No. 1-80;
NOW THEREFORE, pursuant to the authority vested in the Governor by Yap District Law NO. 6-12, Section 26, IT IS HEREBY ORDERED that EXECUTIVE ORDER No. 1-80 is hereby rescinded and voided, and pursuant to Yap State Law No. 1--35, Section,26.
IT IS FURTHER ORDERED THAT the set of proposed personnel regulations submitted by the Chief of Personnel is hereby adopted and promulgated as the State Personnel Regulations.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my
seal this 11TH day of January, 1984,
John A. Mangefel
TABLE OF CONTENTS
YAP STATE PUBLIC SERVICE SYSTEM
REGULATIONS (YSL NO. 1-35)
CHAPTER I PURPOSE AND SCOPE
1.1 Purpose. These regulations implement the provisions of the State Public Service System Act (Y.S.L No. 1-35), hereinafter referred to as the "System".
1.2 Coverage. These regulations apply to all employees and positions in the State Government that are covered by the system.
1.3 Application. All matters concerning the classification and compensation of positions and the employment, conduct, assignment, training, performance, and separation of employees in the System shall be governed by applicable regulations and shall be applied equitably to all.
1.4 Limitations. Preference in employment and training will be given to citizens of the Federated States of Micronesia (FSM). Citizens of other countries shall be employed only when qualified FSM citizens are not available.
CHAPTER II ORGANIZATION AND ADMINISTRATION
2.1 The administration of these regulations shall be the responsibility of the Chief unless otherwise specified in the regulations or the State Public Service System Act.
2.2 Subject to these regulations, and the Public Service System Act, the Chief shall:
a. Direct and supervise all of the administrative and technical activities of the Division of Personnel;
b. Administer the system of personnel administration for the Yap State Government of the Federated States of Micronesia;
c. Act for the governor in the exercise of his appointing and terminating authority, to include the determination of qualifications required for all positions, whether employees or potential employees meet minimum qualifications required, and the appropriate compensation for all positions in the Government;
d. Advise officials of the government on all matters concerning personnel management and administration and employee training;
e. Formulate and recommend to the Governor, and as appropriate to other officials, policies and regulations to carry out the provisions of Y.S.L. No. 1-35, as may be amended;
f. Cooperate fully with and attend, or arrange for a qualified representative to attend all meetings of the Ad Hoc Committee organized under Section 25 (3) of Y.S.L. No. 135, and give the Committee any technical advice it requires;
g. Develop and maintain adequate position classification and pay plans;
h. Administer recruitment and examination programs and determine when employees meet specific qualification requirements;
i. Provide advice and assistance to management officials on matters concerned with the administration of employee discipline, as well as in the process. of grievance and appeal actions;
j. Develop training programs for improvement of employee skills;
k. Establish and maintain records of personnel employed in the System;
l. Perform any other activities deemed necessary to assure promotion of a merit system.
CHAPTER III EXAMINATIONS
Based on the needs of the Government, the Chief of Personnel (hereinafter referred to as the "Chief") shall administer recruitment programs designed to attract fully qualified applicants for the System. Competitive selection procedures shall be used to the maximum extent practicable.
3.1 Authorized Positions. No person shall be appointed to any position not exempt from the System until and unless that position has been properly established, classified, and authorized for recruitment.
3.2 Accountability of Positions. A list of all authorized positions shall be maintained by the Chief showing the classification and current status of each such position. Changes in the authorized quota of positions for each department or office shall not be made without the approval of the Governor or his designated representative.
3.3 Examination Announcements. As vacancies occur or are anticipated, examinations for recruitment shall be announced and posted in the Personnel Office, and shall be given the widest publicity justified for the vacancy.
a. Radio, newspapers, and other forms of media shall be used whenever practicable.
b. Department and office heads shall make every effort to bring announcements to the attention of all personnel under their jurisdiction by providing copies to the various units of their offices.
c. The Chief shall determine the coverage of examination announcements based on the availability of skills within the area in which a vacancy is located.
d. With the exception of promotional examinations, all examinations shall be open to the public. Admission to all examinations shall be conditioned by appropriatestandards of health, physical condition, age, education, training, experience, and character as are deemed necessary by the Chief.
3.4 Content of Examination Announcements. Announcements shall contain at least the following information:
a. Class title of position.
b. Salary and pay level.
c. Brief description of duties and responsibilities.
d. Geographical and organizational location of the position.
e. Qualifications required for admission
f. Opening and closing dates, and place to file applications
g. Any other information considered by the Chief to be valuable to the attraction of candidates for the position.
3.5 Period of Announcement. Examination announcements on a competitive basis shall be open for at least fifteen (15) calendar days. However, the Chief may extend the period for receipt of applications, at his discretion, providing such extensions are announced in the same manner as the original announcement.
3.6 Continuous Examinations. When difficulty is experienced in attracting sufficient numbers of qualified applicants for vacancies in the System, the Chief may announce a continuous examination. Notice of closing of a continuous examination shall be posted at least fifteen (15) calendar days prior to the final closing date for such examination.
3.7 Promotional Examinations. Promotional examinations are restricted to permanent employees in the System. Announcements to fill vacancies by promotion shall be distributed in the same manner as other eligibility for participation in an examination to a particular department or office if the position to be filled is of a nature peculiar to that department or office.
3.8 Open-Competitive Examinations. Examinations shall be open-competitive whenever the Chief determines that they are in the best interests of the System. Announcement of open-competitive examinations shall be posted, and applications may be filed for a period of at least fifteen (15) calendar days prior to holding the examination.
3.9 Non-Competitive Examinations. Non-competitive examinations shall be administered for positions requiring special qualifications and training which do not admit of competition, or when there are less qualified applicants than vacancies.
3.10 Content of Examinations. Examinations shall be practical and reasonable and shall provide for ascertaining the qualifications of applicants and their relative capacity and fitness for the proper performance of duties in the class of position for which they are applying. Any accepted method of examining may be used, including verification and evaluation of education, training, aptitude, and character of applicants and any other accepted examining device deemed appropriate by the Chief.
3.11 Security of Examinations. Examinations shall be administered and maintained under conditions affording maximum security at all times. All precaution shall be taken to safeguard the confidential nature of examination questions and related documents. Information concerning the nature and content of tests shall not be divulged true any person prior to the examination. Unauthorized disclosure of examination material shall be cause for disqualification from employment in the System. The identity of examination candidates shall be kept confidential, through appropriate means, during the entire examination process until the completion of the scoring process. The substitution in an examination of a different person for an accepted applicant is considered, for both parties, unauthorized disclosure of examination material. Cheating by a candidate and assisting another candidate to cheat shall be considered unauthorized disclosure of examination material.
3.12 Admission to Examinations. Applications for examination shall be made on forms prescribed by the Chief. Proper completion of applications and submission of supplemental information shall be accomplished in accordance with the examination announcement and established procedures. Applications shall be signed and such signature shall certify to the truth of all statements contained therein. A false answer or statement shall be grounds for denying admission to the examination, removal from the System if employed prior to the discovery of a false answer or statement. The Chief shalldesignate persons authorized to accept applications. Applications for specific positions shall be accepted only during the period specified on the examination announcement. Applications submitted by mail shall be postmarked than the announcement closing date. Late applications not be accepted unless approved by the Chief because of unusual circumstances. Such determinations shall be made a matter of record and similar circumstances in other examinations shall be treated equally.
3.13 Disqualification of Applicants. The Chief may refuse to examine an applicant for any of the following reasons:
a. Failure to meet the minimum qualification requirements for admission to the examination.
b. Unsatisfactory physical or mental health conditions.
c. Habitual or excessive use of drugs, narcotics, or intoxicating beverages.
d. False statements, or attempting to practice deception or fraud in his application.
e. Failure to file for examination within the dates specified by the examination announcement.
f. Criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct detrimental to the performance of duties of the position for which he has applied.
Applicants who do not meet the minimum qualifications or who are disqualified for any of the reasons noted above shall be notified as soon as practicable. If an applicant isdisqualified following placement on an eligible list, his name shall be removed from the eligible list and if appointed from the eligible list, he shall be terminated.
3.14 Notification of Acceptance for Examination. Each applicant who have been accepted shall be given sufficient advance notice of the date, time, and place of examination; inclusion of the requisite information on the examination announcement meets this notification requirement. No applicant shall be entitled to take an examination at a date, time, or place other than that stated in the notification, unless specifically authorized by the Chief. The Chief shall not be responsible if a notice is lost in the mails or sent to an applicant's former address through failure of an applicant to report a change of address. Where mail service is not adequate to meet these notification requirements oral notification in person by telephone or by radio may be given if the foregoing time and content provisions are met, and if such or all notification is properly documented.
3.15 Conduct of Examinations. The Chief shall appoint a representative to administer the examinations at the time and place designated in the notification of acceptance for examination or the examination announcement.
3.16 Cancellation of Examination. Examinations may be cancelled at any time by the Chief if there is no longer need for eligibles covered by the examination or if the examination no longer meets the expressed requirements of the Government.
3.17 Rating of Examinations. Appropriate scientific and statistical techniques and procedures shall be used in scoring and rating examinations, and determining the relative ranking of candidates on competitive examinations. The final rating required to pass an examination shall be set by the Chief, who may also set minimum ratings for each part of the examination. The final earned ratings of each candidate shall be determined by combining the earned ratings of each part of the examination in accordance with the weights established for each part.
3.18 Reviews of Examination Results. Any applicant may request a review of his rating within ten (10) calendar days following the notification of examination results. Such request for review shall be addressed to the Chief, who shall comply with the request and make whatever changes, if any, the facts warrant.
3.19 Changes in Rating. Changes in rating may be made as a result of correction of errors in the scoring or rating process, or as a result of a request for review wherein the facts warrant a change. Correction of errors shall be applied equally to all participants. An amended notice of rating shall be reported to all applicant affected by such changes in rating. If a correction results in non-passing for an employee already appointed from that eligible list, that employee shall be terminated from the position to which appointed.
3.20 Certification from Eligible Lists. Appointments and promotions in the System shall be made from certified eligible lists resulting from examinations, except as otherwise provided by these regulations.
3.21 Physical and Medical Examinations. Physical examinations may be required of all applicants and employees of the System where physical condition requirements arenecessary for the proper performance of assigned duties. Medical examination may also be required of employees prior to entry on duty. Such examinations shall provide for a means of determining whether or not the individual concerned is free from any present or potential physical and medical conditions adverse to performance of his duties, other employees, and members of the System. The Chief shall notify such persons when examinations are required.
3.22 Administration of Physical and Medical Examinations. Physical and medical examinations shall be administered by medical personnel. All applicants or employees of the System shall pay the cost of those examinations.
Chapter IV ELIGIBLE LISTS
4.1 Establishment of Eligible Lists. Employees in the System shall be selected from employment lists, hereinafter referred to as "eligible lists" and maintained by the Chief. Except for reemployment lists, candidates shall be placed on eligible lists in the order of qualifying grades on the examination. The list shall be designated as an "eligible list" for that class of position and shall be considered "established" upon approval by the Chief.
4.2 Duration of Eligible Lists. The life of an eligible list, other than the reemployment list, shall be for a period of one (1) year. When an eligible list is reduced to an insufficient number of eligibles, a new list may be established through appropriate examination. Remaining eligibles shall be combined with those on the new list for the remainder of the term of the original list. An open examination list, and a promotional examination eligible list shall not be combined. A competitive examination eligible list and a non-competitive examination eligible list shall be combined only as a non-competitive eligible list. If an eligible candidate successfully participates in a subsequent competitive examination and the resulting eligible list is combined with that of a previous competitive examination eligible list bearing his name, that eligible candidate shall elect to have his name retained on a combined list, either at the position and for the remainder of the term of the original list, or of the subsequent list, but not at both positions.
4.3 Order of Use of Eligible Lists. The following order shall be followed in the use of eligible lists:
a. Reemployment List.
b. Promotional List.
c. Open-Competitive List.
4.4 Reemployment List. Any person who has held a permanent position in the System from which he has resigned in good standing, or has been demoted or terminated through Reduction In Force (RIF), shall have his name placed on a reemployment list. The name of such person shall be placed on the reemployment list for the same or relatedclass of position as he last held under permanent appointment.
Names shall be arranged on the reemployment list in the chronological order of their separation. Names shall be removed from the reemployment list at the expiation of three (3) years from the date of separation, or sooner if the individual is reemployed in a position at the same or as higher pay level as that he formerly held in the System.
4.5 Promotional List. Only persons in the System who have completed their probationary period and have passed the requisite promotional examination may be placed on a promotional list. The Chief may confine a promotional list to persons of one department or office if their work is of a nature peculiar to that department or office. A promotional list shall be certified by the Chief only after it has been determined that a qualified candidate is not available through the reemployment list.
4.6 Open-Competitive List. The Chief shall prepare an eligible list after each open-competitive examination. Such lists shall place all persons thereon, with passing grades, in the order of their final ratings. In the event two or more applicants have identical ratings, their names shall be placed according to their scores, on the most heavily weighted portion of the examination. If all portions are identical, the receipt time of their applications will determine priority. An open-competitive list shall be certified by the Chief only after it has been determined that a qualified candidate is not available through promotional examinations, or through the reemployment list.
a. Prepare the Examination announcement.
b. Administer the Examination.
c. Establish an eligible list, as determined by the examination.
4.8 Removal of Names from Eligible Lists. The Chief may remove the name of any person who has been disqualified under Sub-Part 3.13 of these regulations. The name of any person may also be removed if:
a. The person is appointed from that list to a permanent position in the System.
b. The eligible candidate fails to respond within fifteen (15) calendar days from the date of dispatch of an inquiry as to availability for employment; provided, that his name may be restored for reasons deemed sufficient by the Chief.
c. In the case of promotional lists, termination of services in the System occurs.
d. The eligible voluntarily withdraws.
e. There is evidence of physical or mental unfitness to perform the duties of the position, as indicated by appropriate medical examination.
f. The eligible fails to report for duty within the time prescribed by the selecting official.
g. The eligible is found to be no longer qualified to perform the duties required of the class of position.
4.9 Departmental Promotional Requests. A management official, wishing to fill, by promotion, vacant permanent position in his department or office, may request the Chief to provide the name of the employee who shall be promoted. The Chief shall identify and ascertain:
a. All employees of that department with permanent appointments at lower pay-level positions in the same or related position class series as the vacant position.
b. Which of those employees meet the minimum qualification standards of the vacant position.
c. Their length of service in the System.
The Chief shall then certify to the requesting management official the name of the qualified FSM citizen with the highest performance rating and the longest public service; if there is no qualified FSM citizen, then the name of the qualified non-FSM citizen with the highest performance rating and the longest public service shall be certified. If the management official so wishes, in the original instance, he may request the Chief to announce a promotional examination limited to that department. The Chief shall make his determination in accordance with Sub-Part 3.7.
CHAPTER V CERTIFICATION AND APPOINTMENT
5.1 Certification of Eligibles. For the purpose of filling vacancies in the System, department and office heads shall request a list of eligibles from the Chief, unless they elect to fill a position by transfer or demotion. Requests for eligibles shall be made on forms prescribed by the Chief and shall clearly identify the position to be filled, including its position number. The Chief shall respond to such request by certifying from the appropriate eligible list the five (5) highest available eligibles, or such lesser number as are available.
No person shall report to work nor receive a salary unless he has been previously certified on an appropriate eligible list by the Chief or his authorized representative, and selected by a department or office head.
5.2 Selective Certification. Where the Chief determines that a position has a special requirement which is not a general qualification requirement for that class of position, he may certify from the appropriate class eligible list those eligibles who meet that specific requirement.
5.3 Permanent Positions. A position which is established based on the continuing needs of the Government, and which is authorized to last longer than one (1) year, shall be identified as a permanent position.
5.4 Limited-Term Position. A position that is authorized to last up to one (1) year shall be identified as a limited-term position.
5.5 Other Positions. Positions which are exempt from the System shall be clearly identified for record purposes.
5.6 Permanent Appointments. An employee who has been appointed to a permanent position and who has satisfactorily completed his probationary period shall hold a permanent appointment in the System and is entitled to the full benefits of these regulations.
5.7 Provisional Appointments. When there is no appropriate eligible list, a management official such as a department or office head may request the filling of a position by provisional appointment. Such appointment shall be limited to a period of ninety (90) days, pending the establishment of an eligible list. However, the Chief may extend a provisional appointment for an additional ninety (90) days if an examination fails to make available a qualified eligible.
All persons receiving provisional appointment shall be required to meet the minimum qualification requirement of the class of position to which appointments are sought.
a. When a serious emergency exists.
b. To prevent stoppage of essential public business.
c. When it is not practicable to ascertain whether there is an eligible list.
Such an emergency appointment period shall not exceed 10 working days, and may be extended by the Chief if the department or office concerned so requests in writing, when the cause is determined to be good and sufficient, and the extension does not exceed twenty (20) additional working days. All persons receiving emergency appointments shall be required to meet the minimum qualification requirements of the class of position to which appointments are sought.
5.9 Probationary Appointments. An appointee, not a permanent employee of the System, appointed to a permanent position from an eligible list resulting from an open examination, shall serve a probationary period of one (1) year from the beginning of his initial employment in the System before his probationary appointment may be converted into a permanent appointment.
5.10 Promotion or Transfer. A regular employed who is promoted or transferred to another position in the System shall be required to serve a new probation period in his new position, but he shall be entitled to all the rights and privileges of a member of the System, except the right to appeal a case of removal from the new position, as distinguished from dismissal from the System. In case of such removal, the employee shall be reinstated in his former or in another position in the same class without prejudice.
Chapter VI POSITION CLASSIFICATION
6.1 General. All positions subject to the provisions of the State Public Service System Act shall be classified in accordance with the approved State Position Classification Plan.
a. Position Classification means the process by which positions in an organization are identified according to their duties and responsibilities, like positions segregated into groups called classes, and a systematic record made of the classes found, and of the particular positions found of each class.
b. Class means one position or a group of positions sufficiently similar in respect to their duties, responsibilities, and authority that the same title may be used with clarity to designate each position allocated to the class. The same standard qualifications may be required of all incumbents, the same test of fitness may be used to choose qualified employees, and the same schedule of compensation may be applied with equity under the same or substantially the same employment conditions; and sufficiently dissimilar from any position or any other group of positions to warrant exclusion from those groups of positions.
The class title assigned to a position in accordance with he Position Classification Plan, shall be the official title and will be used for all personnel, budgetary and financial purposes. In addition, the official title should be used for all position organization charts.
c. Position means a specific employment, whether occupied or vacant, consisting of a group of all the current duties and responsibilities assigned by competent authority and requiring the full or part-time employment of one person.
d. Position Classification Plan means classes of positions arranged in a logical and systematic order to reflect all of then kinds and levels of work utilized in this System.
e. Management Official means a person having power to make appointments or changes in status of an employee in the System, or a delegate of such person.
f. Allocation means the reassignment of a position to its appropriate class on the basis of analysis of the duties and responsibilities of the position.
g. Reallocation means the reassignment of a specific position or group of positions from one class to another on the basis of analysis and identification of new or different tasks.
h. Class Specification means an official position classification plan document describing the general characteristics of the class, including the official class title, a description of the scope of duties and responsibilities of the class, examples of work or typical duties, performed, and a statement of the qualifications required to perform the work of the class.
i. Occupational Group means a major subdivision of a position classification plan, generally embracing several series of classes of positions in associated or related work specialties, professions, or related, activities (e.g. Clerical and Machine Operation; Administrative, Management, and Allied; Agriculture and Allied; etc., make up an occupational group).
j. Series of Classes means classes closely related as to occupational specialty but differing in level of difficulty and responsibility and qualifications required (e.g., the three classes of Architect I, Architect II, and Architect III makeup a series)
k. Position Description means a formal, official written statement by management documenting the assignment or arrangement of the duties and responsibilities of a position.
a. The classification of all positions, per assigned duties and responsibilities.
b. The grouping of positions into classes on the basis of their similarities in duties, responsibilities, and other significant factors.
c. Assigning a title to each class which shall apply to all positions in the class and the characteristics of each class and the standards for the employment in any position in the class shall be prescribed by the Chief subsequent to consultation with the appropriate management officials concerned.
d. The changing of a position from one class to another where substantial changes have occurred in the duties and responsibilities.
e. The determination of the status of occupants of positions which have been changed from one class to another.
f. Delegation of responsibility, to the degree which he deems appropriate, to other qualified personnel in the Personnel Division to identify positions at certain levels with established classes of positions which have been approved and allocated within the Classification Plan.
g. Periodic inspection of actions taken by those persons delegated responsibility to assure the propriety of such actions and to direct corrective action, where appropriate.
h. Orientation to supervisors and management officials at all levels in their responsibility and role in the Position Classification Plan processes.
a. The planning, organizing, developing, and assigning of duties and responsibilities to positions, whether occupied or vacant.
b. When making assignments, giving consideration to the mission of the organization and structuring positions for accomplishment of requirements in the most effective and economical manner possible.
c. Assuring that assigned duties and responsibilities do not duplicate or overlap with those of other positions.
d. Assuring that the current duties and responsibilities assigned to positions are completely and accurately described in position descriptions in full and sufficient detail for position classification and all related purposes.
e. Assuring the development, preparation, maintenance, and submissions of factual up-to-date functions, statements, and organization position charts which clearly depict such information as assigned organizational and/or supervisory responsibility, organizational segment identification, employee names with official class titles and pay levels for the positions to which assigned, the title and pay levels of vacant positions which are funded and approved, and other similar essential details.
f. Assisting their employees, to whatever extent necessary, to accomplish their foregoing and to obtain information from authoritative sources, as necessary, to answer specific questions as may be raised by their employees.
6.5 Effective Date. The effective date for an initial allocation or reallocation of a position shall be the first pay period following approval of such action by the Chief. Exceptions to this rule may be made by the Chief only for such reasons as will expedite public business and not result in an inequitable situation.
Chapter VII COMPENSATION
7.1 General. All positions subject too the provisions of the State Public Service System Act, shall be compensated in accordance with such laws and provisions of this Part.
7.2 Compensation plan. The classes in the Position Classification Plan, when assigned to appropriate pay levels of the Base Salary Schedule as established in the State Public Service System Act of 1979, shall constitute the basic Compensation Plan.
The Chief shall assign all classes in the Position Classification Plan to appropriate pay levels in the Base Salary Schedule in accordance with the following:
a. Kind and level of work.
b. Degree of difficulty and responsibility.
c. Kind, quality, and level of qualification requirements.
d. Relationship to other classes in its occupational group, and of its occupational group to other occupational groups.
e. Long-range recruitment market experience.
7.3 Definitions. In addition to those definitions covered in the State Public Service System Act, and the State Public Service Salary Act of 1979 the following definitions shall apply in matters covered by this Part:
a. Salary range. Means the group of salary rates which span from minimum to maximum in each pay level of the Base Salary Schedule.
b. Step. A single increment or rate in a salary range.
c. Service Anniversary Date. The date an employee may lawfully be granted a within-grade increase. Such date may be the anniversary date of initial appointment, or such other day as may be established by the Chief.
d. Service Year. Satisfactory service rendered by an employee during a prescribed work year of twelve (12) months; provided that unauthorized periods of absence and leaves without pay of the authorized limit of ten (10) days are made up so that a full year of actual service is rendered.
7.4 Initial Appointments. All initial appointments shall be made at the first step of the appropriate pay level; unless a higher rate shall be necessary to recruit and is appropriate to the qualifications of the applicant, in which case, appointment may be allowed at succeeding steps but not beyond the fourth step. Anyone appointed at a step other than the minimum step is also eligible under these regulations for step increases in the same manner as other employees.
7.5 Promotions. An employee who is promoted form a position in one class to an existing position in a higher class shall be compensated at te lowest step in the new pay level which at least equals the amount of a two (2) step increase in the old pay level. The effective date of the promotion shall be the new service anniversary date for the promoted employee.
7.6 Detail. A detail is the temporary assignment of an employee to a different position for a specified period, with the employee returning to his regular position and duties at the end of the detail. Technically, a position is not filled by a detail, as the employee continues to be the incumbent of the position from which detailed. Normally, whenever it is anticipated that the need for a detail will exceed ninety (90) days, it is more appropriate to effect a temporary promotion if the employee is qualified at the higher grade. Individuals who do not meet the qualification standards of the position to the higher grade cannot be temporarily promoted and, therefore, must voluntarily agree to any period for which the detail exceeds ninety (90) days. An employee may specifically also be detailed to a set of duties, which must be described in a task list, when the Government. s need for necessary or emergency services cannot be obtained by other desirable or practical means.
7.7 Acting Assignment. An "Acting Assignment" is the designation in writing, that an employee will act for a period of up to thirty (30) days in place of a supervisor. When the supervisor's absence exceeds the initial thirty (30) day period, a new designation shall be made for an additional thirty (30) days.
a. Procedures. To request a merit increase, the supervisor will prepare a memorandum which must include the following:
1. Statements descriptive of areas in, which the employee has performed excellently, e.g., initiatives, judgement, quality, productivity, job knowledge, and communications. For supervisory positions, such additional factors as development of others, leadership, and job planning must be described.
2. Statements must clearly relate the foregoing with most important and key duties and responsibilities within the employee's position. For example, productivity in terms of volume could be critical in some positions such as clerical work, but of little importance in teaching positions. Also, it must be recognized that positions often contain a variety of duties with some being less difficult or less responsible than others. For obvious reason, a recommendation and request for a merit increase cannot be based on these lower aspects of a position.
An employee who has attained the top salary step of his pay level cannot be accorded a merit increase, and other means should be sought to recognize superior performance. The Incentive Awards Program is one means of accomplishing this.
An employee receiving a merit increase will also receive his next within-grade increase based on satisfactory performance and completion of the prescribed waiting period since his last within-grade increase. This thirty (30) day renewal of the "acting" assignment is repeated until the supervisor returns (90) days, the employee shall be temporarily promoted if he meets the qualification standards of the position. If the acting assignment exceeds ninety (90) days and the employee does not meet the qualifications standard of the position, the employee may temporarily promote to an intermediated grade if one exists and he meets the qualifications requirements, or if the employee does not meet the qualifications standards of either the target grade or the intermediate grade, he shall be compensated with two (2) steps in his current pay level, but may not exceed the maximum step. In either case, the return to his former salary (grade and step) at the end of the temporary assignment will be done in the same manner as provided under Sub-Part 7.8.
7.8 Temporary Promotion. A temporary promotion is utilized when it is anticipated that an employee will temporarily occupy a position for a period in excess of three (3) months. An employee can be temporarily promoted only if he meets the qualification standards of the new position. The employee temporarily promoted, shall be compensated at the step in the new pay level which is at least equal to an increase of two steps at his current pay level. The employee must be informed in advance and agree, in writing, that at the expiration of the temporary promotion, he will he returned to the former salary (grade and step) that he would be receiving had he remained in the former position. No temporary promotion shall exceed a period of one (1) year.
7.9 Demotion. An employee demoted, through no fault of his own, to a position in a lower pay level, shall be compensated at the rate which does not exceed his pay rate. Where his existing rate exceeds the rate of the maximum step of the lower pay level, the employee shall be compensated at such maximum step. An employee demoted as a disciplinary measure shall have his compensation reduced to the corresponding step of the lower pay level, and may, with the approval of the Chief, be compensated at a lower step. An employee demoted for non-disciplinary reasons, during a new probationary period, to the class of position from which he was promoted, shall be compensated at the pay level and step received immediately prior to his promotion, with credit for the period of promotion.
7.10 Transfer. An employee who is transferred to a different position at the same pay level shall receive no change in compensation. A two (2) week notice period must be given the losing supervisor or department prior to effecting a transfer.
7.11 Effect on Service Anniversary Date. An employee's service anniversary date will not be affected by a detail, "acting" assignment, temporary promotion, demotion (other than for disciplinary reasons), or transfer action. A service anniversary date will be changed, however, with the approval of the Chief or his designee, to the effective date of a demotion for disciplinary reasons.
All actions taken to the provisions of Sub-Parts 7.4, 7.5, 7.6, 7.8, 7.9, and 7.10 should be reported on a Personnel Action Form, or a Request for Personal Action Form, as appropriate, and maintained as permanent records in the Official Personnel Folder.
CHAPTER VIII COMPENSATION ADJUSTMENT AFTER PERSONNEL ACTIONS
a. An employee whose position is reallocated to a class assigned a higher pay level shall be compensated at the lowest step in the higher pay level which at least equals the amount of a one (1) step increase in the lower pay level.
b. An employee whose position is reallocated to a class assigned a lower pay level shall be compensated at that rate in such lower pay level shall be compensated at that rate in such lower pay level which does not exceed his existing rate. where the employee. s existing rate is beyond the maximum step of the lower pay level, he shall be compensated at such maximum step of the lower pay level. He shall receive any benefits due to any future changes in salary rates.
c. An employee who is retained in a reallocated position shall not have his Service Anniversary Date changed following reallocation.
8. 2 Effective Date of Reallocation. A reallocation action shall be effective on the first day of the pay period immediately following approval by the chief.
8.3 Reassignment of a Class to a Different Pay level. Employees occupying positions in a class which is reassigned to a different pay level shall be compensated in the same manner as provided in Sub- Parts 8.1 (b.). There shall be no change in their service anniversary dates.
8.4 Performance Increases. When an employee. s performance, as measured through an objective evaluation has met accepted standards of productivity during a specified period, he may be granted a one-step increase in his base salary. For an increase to step 2, 3, or 4, the required period is one service year; for an increase to step 5, 6, or 7, the required period is two service years. No employee may have a base salary above step 7 of his pay level. An employee assigned to part-time or intermittent work who works not less than 40 hours a month will be eligible for a performance increase only when the cumulative total of hours worked since his initial appointment or since his last performance been evaluated as meeting required standards.
a. Performance Procedures. An employee granted a performance increase following completion of not less than the required period of satisfactory service as defined above will be advanced to the next higher step in the salary range for his pay level.
b. Responsibilities. The Chief is responsible for administering and interpreting this Regulation, reminding management officials of the service anniversary dated of their subordinated, and processing performance increase personnel actions. Management officials are responsible for verifying the information received from the Personnel Division about the service anniversary dates of their employees and for initiating performance increase Personnel Action Forms as appropriate. The effective date of such Personnel Action shall be granted with consideration for the quality of each employee. s service, as shown by performance ratings and other evidence, and for the availability of budgetary funds.
All supervisors and all Personnel Division staff have the continuing responsibility of ensuring that every employee understands the standards and procedures which affect his eligibility for a performance increase.
The payroll Supervisor in the Division of Finance, or its successor, is responsible for recording leave and attendance dates and on the basis of such date, for providing the Personnel Division with information by which it can ascertain the service anniversary date of each employee.
8.5 Merit Increase. Employees may be granted merit increases for sustained superior performance over a period of one (1) year or more. No employee may receive more than one merit increase in a twelve (12) month period. A merit increase does not interrupt the minimum twelve (12) month waiting period required to qualify for a within-grade increase.
a. Procedures. To request a merit increase, the supervisor will prepare a memorandum which must include the following:
1. Statements descriptive of areas in which the employee has performed excellently, e.g., initiative, judgement, quality, productivity, job knowledge, and communications. For supervisory positions, such additional factors as development of others, leadership and job planning must be described.
2. Statements must clearly relate the foregoing with most important and key duties and responsibilities within the employee. s position. For example, productivity in terms of volume could be critical in some positions such as clerical work, but of little importance in teaching positions. Also, it must be recognized that positions often contain a variety of duties with some being less difficult or less responsible than others. For obvious reasons, a recommendation and request for a merit increase cannot be based on these lower aspects of a position.
An employee who has attained the top salary step of his pay level cannot be accorded a merit increase, and other means should be sought to recognize superior performance. The Incentive Awards Program is one means of accomplishing this.
An employee receiving a merit increase will also receive his next within-grade increase based on satisfactory performance and completion of the prescribed waiting period since his last within-grade increase.
b. Responsibilities. The employee's supervisor is responsible for initiating and preparing. the request for a merit increase. Required documentation consists of the memorandum of justification (cited above) and a Personnel Action Form or a Request for Personal Action, as appropriate, signed by the employee's supervisor and his department head. The effective date of a merit increase shall be the beginning of the pay period following its approval by the Chief or his designee.
All employee's supervisors should remain aware that the primary purpose of a merit increase is to recognize sustained supervisor performance only. It is not to be used as a means or device to compensate an employee where a supervisor has not been able to obtain a promotion for the employee, or where the supervisor is of the opinion that the pay level of the position is too low, or for any other reasons unrelated to excellence in the performance of duties.
The Personnel Division is responsible for review of all requests for increases for completeness, accuracy, and compliance with established requirements. Inappropriate or improperly substantiated requests will be returned to the initiating organization, without action, for such corrective measures as may be deemed necessary. Properly documented requests for merit increases will be forwarded to the Chief for final review and approval.
For approved merit increase requests, the Personnel Division will assume retention of all required documentation in official personnel files and effect timely distribution of documentation to appropriate organizations.
8.6 Overtime Compensation and Control. Overtime compensation is granted when overtime work is performed by eligible employees, in accordance with the overtime provisions of the State Public Service System Act. Any eligible employee who is directed to work in excess of forty (40) hours a week shall be paid overtime at the rate of one and one-half (1.5) times his basic pay.
a. Purpose. To establish criteria for overtime compensation payments for all eligible employees directed to work in excess of the forty (40) hours of the regular scheduled workweek.
b. Scope. This regulation applies to all employees who are in positions not exempted from the System.
(1) Overtime. All work performed in excess of the regular forty (40) hour workweek.
(2) Regular Workweek. Consists within the period of time commencing after 12:00 P.M. on Saturday, and ending at 12:00 P.M. on the following Sunday, of any scheduled five (5) consecutive workdays consisting of eight (8) work hours each. For most employees, the regular workweek is scheduled to commence on Monday, at 7:30 A. M., and end on the following Friday, at 4:30 P. M., of each week.
(4) Basic or Base Pay. The hourly rate of compensation paid to an employee for the performance of assigned work excluding all other types of payments such as differentials for Night Work, Hazardous Work, Travel , Per diem, Transfer Allowance, and the like.
(1) The Chief is responsible for the administration and interpretation of this regulation.
(2) Management officials and supervisors are responsible for all required approvals for overtime, control of overtime consistent with sound management practices, and keeping their employees fully informed of all details concerning overtime.
e. General. Overtime work will be authorized and controlled in accordance with the following:
(1) It will be scheduled and approved in advance, except in unanticipated emergencies.
(2) Overtime must be requested by the immediate supervisor and approved by his supervisor or the Department or Office Head.
(3) Such overtime work is directed to a specific objective or goal which cannot be accomplished during the regular workday, or postponed to the following day or days. An employee who is required to work overtime for less than two (2) hours is credited with a minimum of two (2) hours overtime work.
(4) Time lost due to absence without leave (AWOL) or leave without pay (LWOP) will not be included in the total hours worked when calculating overtime compensation.
8.7 Holiday Pay. An employee who is required to work on a legal holiday shall be compensated at double his adjusted base salary for all such hours worked. An employee who is required to work for less than two hours on a holiday shall be credited with a minimum of two hours holiday work.
When a legal holiday falls within the regularly scheduled workweek of an employee who is on LWOP/AWOL status, such employee will not be compensated with holiday pay.
(1) The Payroll Supervisor is responsible for ensuring that the employees are properly paid in accordance with the time and attendance reported.
(2) Employees' supervisors are responsible for assuring complete and accurate reporting of employees required to work on a legal holiday.
8.8 Hazardous Work. All employees whose occupation involves unusual and extreme hazards to health and safety shall be paid a differential of twenty five (25) percent of their base salary rates but no employee may receive pay differentials for both hazardous work and night work to compensate the same hours worked.
a. Qualification Criteria. To qualify for payment of a Hazardous Work Differential, the following conditions of work must be met:
(1) The conditions of unusual an extreme hazards to the employee's health and safety must be clearly evident and fully defined;
(2) The hazard, on which a request for payment of such differential might be based, has not previously been recognized in the established level for the class which covers the positions and work involved;
(3) Exposure to the particular, unusual, and extreme hazard must constitute a reasonable amount of time so as to be clearly recognizable. For example, several repeated exposures to such a hazard may occur for a brief period of time, but collectively measured over a period of time (e.g. one day), may possibly provide a valid basis for recognition of the hazard. Conversely, clear and sustained exposure to an unusual and extreme hazard is more readily recognizable and measurable.
The chief is responsible for the review and approval of all requests for payment of Hazardous Work Differential.
Department and Office Heads must submit a written request to the Chief, with a full and detailed explanation of the circumstances, in support of all requests for Hazardous Work Differential. Each request must include a complete definition of the hazard, a list of the name, correct official position title, pay level, step, salary, organization, and the amount of time each employee will be (or was) exposed to the particular hazard for which payment is sought. For each request approved, concerned departments will prepare a Request for Personal Action Form with all required date for each employee involved and cite or attach the authority for payment of the Hazardous Work Differential. The Chief will review and approve each such request for the propriety of the action and the completeness and accuracy of all pertinent information. The Payroll Supervisor will be responsible for effecting the required payment after verifying appropriate authorization.
Occasional special projects which involved unusual and extreme hazards, such as the loading, unloading, and transporting of significant quantities of dangerous explosives, may require the services of a number of employees normally engaged in other work.
8.9 Night Work. Additional compensation in the form of a Night Work Differential of fifteen (15) percent of base salary rate is paid for all hours worked between 7:00 p.m. and 6:00 a.m., when such hours are included within regularly scheduled hours of duty; but no employee may receive pay differentials for both night work and hazardous work to compensate the same hours worked.
a. Control Criteria. To be eligible to receive payment for Night Work Differential, the following criteria must be met:
(1) Payment will be made only for actual hours worked between 7:00 p.m. and 6:00 a.m.;
(2) An employee is required to perform work during the hours of 7:00 p.m. and 6:00 a.m. which is not a part of his regularly scheduled hours of duty.
To place employees on scheduled hours of Night Work duty, a Request for Personnel Action shall be initiated and approved by the immediate or next higher-level supervisor and approved by the head of the Department or Office.
The supervisor is responsible for preparing and submitting complete work schedules covering each employee regularly scheduled for work hours falling between 7:00 p.m. and 6:00 a.m.
The Personnel Division will review the propriety of, and act on each request for, placing the position involved on a regularly scheduled night work duty status.
The Payroll Section will be responsible for monitoring Time and Attendance Reports submitted by departments or agencies to ensure the propriety of payment of Night Work Differential. Supervisors shall prepare and submit replacement night work duty schedules for employees, as the need arises, and shall initiate a Request for Personnel Action to remove employees from night work status when such is no longer justified.
8.10 Standby Differential. All employees whose conditions of work or employment involve all of the following criteria shall be entitled to receive a Standby Differential of twenty (20) percent of base salary rate.
a. Qualification Criteria. To qualify for entitlement to receive a Standby Differential of twenty (20) percent of base salary rate, all of the following conditions of work or employment must be met:
(1) The nature of the position or occupation is such that employees are required to remain on call in a standby duty status which must be performed at their designated work station or location.
(2) Hours of standby duty must be for a regularly scheduled period of time in excess of a normal forty (40) hour workweek. The minimum scheduled standby duty tour shall consist of not less than eight (8) hours per week.
(3) Employees assigned to work regularly scheduled hours of standby duty must be regularly and frequently called upon to perform the assigned duties or services while on standby.
(4) Employees being paid Standby Differential are not eligible to receive payment for Night Work Differential, Holiday Pay, or Overtime Pay for any work performance while serving a scheduled standby. Overtime compensation will be paid, however, for all hours worked in addition to the normal forty (40) hour workweek and any hours beyond regularly scheduled standby hours.
b. Responsibilities. To place employees on scheduled standby duty, a Personal Action Form or Request for Personnel Action, are applicable, shall be initiated and approved by the immediate or next-higher level supervisor and approved by the Department or Office Head. In situations where the establishment of standby duty tour are considered which fail to meet all the qualification criteria above, supervisors should consider the possible rate of occasional overtime to cover situations of sporadic or infrequent need.
Supervisors of employees placed on scheduled tours of standby duty are responsible for preparing and submitting complete standby duty schedules which identify each employee involved and the standby duty hours scheduled. Copies of these schedules shall be forwarded, through appropriate channels, for review by the Chief.
The Personnel Division reviews all forms for the propriety of placing the position involved on a standby duty status.
The Payroll Section is responsible for monitoring all Time and Attendance Reports submitted by responsible officials to ensure the propriety of payment of standby differential to each eligible employee.
Functional divisions are responsible for preparing and submitting replacement standby schedules for employees, as the need arises, and for initiating a Personal Action Form or a Request for Personnel Action Form to remove employees from standby status when such requirement is no longer justified.
(NOTE: In no case may an employees receive payment for combined Standby, Night Work, or Hazardous Duty in excess of thirty (30) percent of the current basic salary rate.)
8.11 Transfer Allowance. Per Diem. When employees are recruited or transferred beyond normal commuting distances from their place of permanent residence for work elsewhere in the State, they shall be entitled to (1) per diem at established rates at the new location for a period not to exceed thirty (30) calendar days from the date of entrance in the new position; (2) necessary expenses connected with travel of themselves and their immediate families; and transportation of household effects to the new work location.
a. Purpose. Payment of Transfer Allowance per diem occurs above and beyond travel per diem in effect during actual travel status up to the day of arrival at the new duty station. Commencing from the day of arrival at the new duty station, these funds are provided to effect the transfer without undue economic impact on personal funds or savings.
b. Application of Transfer Allowance. The following schedule provides for uniform application and interpretation of that reference within the State Public Service System Act, which reads: ". . . per diem . . . not exceeding thirty (30) calendar days . . ." for all eligible employees as prescribed within this regulation:
Schedule of Transfer Allowance--Per Diem
Employee Family/Dependent Number of Calendar Days
Per Diems to be Paid at
Category Status Established Rates
I. Employee Without Dependents 3 days
II. Employee and one Dependent 6 days
III. Employee and two to three Dependents 12 days
IV. Employee and four to five Dependents 18 days
V. Employee and six or more Dependents 21 days
c. Controls and Procedures. Payment of the per diem, as appropriate, will be calculated from the date of the employees arrival at the new location of assignment. All per diem will be calculated at established rates for the new location.
If an employee in Category I, II, III, IV, or V elects to travel without all of his dependents accompanying him at the time of his transfer, he shall be paid in the appropriate Employee Category based on the actual number of dependents who did accompany him. If additional dependents perform subsequent travel and join the employee within one (1) year of the date of arrival at the new location of assignment (and this increases the total number of his dependents so as to justify placement in a higher Employee Category and payment of an additional amount of Transfer Allowance Per Diem, adjustment and additional payment will be made. To qualify for additional payment based on the increased number of dependents joining the employee at a later date than his reporting date, such additional dependents must have been dependents of the employee at the time of recruitment or transfer.
Adjustment for an increased amount of Transfer Allowance occasioned by additional dependents joining the employee after one (1) year from the date of his arrival at his new location of assignment, will be made only in unusual cases where it can be substantiated that such additional dependents could not have joined the employee earlier because of reasons of extreme hardship, health, completion of a school term, or similar reasons which provide clear evidence that earlier travel was prevented.
(1) For purposes of this regulation, "dependents" are restricted to include only the following:
(i) Dependent father of employee or spouse.
(ii) Dependent mother of employee or spouse.
(iii) All dependent unmarried children under age 21, including stepchildren, as well as legally adopted children.
(iv) All dependent unmarried children (no age restriction) who, because of physical or mental incapacity, are incapable of supporting themselves.
A Travel authorization, prepared by the Personnel Division to effect the transfer of personnel, will indicate in the appropriate section: "Transfer Allowance Authorized". Upon arrival at the duty station, the employee is required to submit a Travel Voucher. This voucher shall include a claim for Transfer Allowance with a statement as follows:
Employee arrived at duty station on (1) ____________ with the following dependents: (2) ____________ . Verified correct: (3) _____________.
(1) Date of Arrival.
(2) List dependents by name and birth date as indicated on the Travel Authorization (TA) who actually arrived at the duty station with the employee.
(3) Signature of the Department or Office Head for employees, as applicable, to indicate verification of information on the Travel Voucher (TV).
The TV is submitted to the Personnel Division for approval. The Finance and Revenue Division computes the voucher for payment. All calculations for the TA will be based on the established per dies rate in effect for the new location as of the date the employee arrived at his location of assignment.
When an employee is not accompanied at the time of gravel to his work assignment by his dependents, he may later file for an increased amount under the conditions of the preceding second paragraph of this Sub-Part (c.), Controls and Procedures. Travel Vouchers submitted for an increased amount will be identified as a "Supplemental Claim" at the top center of the TV and be submitted in accordance with the procedures outlined above. If necessary, requests for amended TAs should be directed to the Personnel Division.
d. The full amount of Transfer-Allowance according to the schedule of Transfer allowance, is payable:
(1) On the occasion of initial transfer which, in accordance with the Transportation Employment Agreement is for a period of two (2) years. This occurs when an employee is recruited from his permanent place of residence or from another area or location geographically removed and beyond the normal commuting distance from the location of work assignment.
(2) Each time an employee fulfills at least one (1) full year of the two (2) year Transportation Agreement following which the employee is again transferred to a new location of assignment beyond the normal commuting distance from the employee's place of permanent residence.
(3) Note: Payment of Transfer Allowance under (1) or (2) above, is made only when the recruitment or transfer action is initiated by the State Government.
e. Transfer Allowance is not payable when a person who, for personal and voluntary reasons, has left his permanent place of residence, and who subsequently seeks employment at the location where he happens to be, and who then becomes employed at that same location. This situation is considered to be the same as local hire.
f. Exemption. In addition to exceptions under the State Public Service System Act authority is vested in the Chief for determining the applicability of this Sub-Part to specific position not expressly covered by the Act. The following positions and types of appointments have been determined not covered by the Transfer Allowance provisions:
(1) Special employment of "rotating doctors" employed for short periods of time ranging from two (2) to four (4) months.
(2) Positions of Construction Project Superintendent for which prime contract expatriate personnel are employed for period of not less than six (6) months aced
where such appointments are covered by a Special Employment Agreement and Special Conditions of Employment. The nature of work and potential frequency of transfer are recognized in the basic compensation accorded these positions.
(3) All personnel employed on a "Local Hire" basis, whether covered by an employment agreement or not. Includes: Micronesian citizens; United States (U.S.) citizens; U.S. Nationals: and non-citizen permanent residents of the U.S.; and citizens of another country.
(4) All positions and appointments of a temporary nature such as:
(i) Temporary ninety (90) day appointments, which may be extended for an additional one hundred eighty, (19th) days--- not to exceed a total of two hundred seventy (2.70) days--to positions created for relief, repair and rehabilitation as a result of a disaster.
(ii) Provisional ninety (90) day appointments, which may be extended for an additional ninety (90 days, to positions pending establishment of an eligible list of
persons from which selection may be made. In the event provisional appointee obtains a probationary appointment and is otherwise qualified, such an individual shall be eligible for Transfer Allowance on the date when probationary status is secured.
(iii) Emergency appointments to positions not to exceed ten (10) working days, which may be extended for an additional period not to exceed twenty (20) working days, for any temporary, serious emergency, in order to prevent the stoppage of essential public services.
CHAPTER IX PERFORMANCE EVALUATION
9.1 Purpose. The performance evaluation system is designated primarily for the purpose of appraising each employee how well he is discharging his duties and responsibilities, and of indicating where in his performance knowledge, skill, and abilities. It provides a means for letting the employee know where he stands with the organization.
9.2 Coverage. Every employee shall participate, with his supervisor, in periodic evaluation of the employee's achievement of established standards of performance. Every permanent and probationary employee covered by these regulations shall receive an annual written rating of performance.
9.3 Responsibilities. Each head of a department or office shall ensure preparation, on forms prescribed by the Chief, for each employee under his jurisdiction, standards of performance which relate specifically to that employee's assignment. Arrangements shall be made for the employee's immediate supervisor and the employee to work together to develop realistic original standards of performance, in terms of what the employee's job demands are and the level of results to be achieved; and for the employee's immediate supervisor, together with other concerned supervisors if this appears desirable, and the employee, in conference, in terms of the standards established, and to mutually revise his performance standards upon review of his development in the job. Where improvement in the employee's performance is desired, the supervisor must explain to the employee how such improvement is to be achieved.
Annually, based on the preceding twelve months' performance standards, reviews, and other pertinent factors, an annual written rating of performance shall be submitted by the supervisor, and concurred with by the activity head on forms prescribed by the Chief, for each permanent and probationary employee. The Chief shall, through his authorized representative, administer the performance evaluation system and shall be alert to changes needed for improvement of such system.
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9.4 Due Dates. Original Standards of performance shall be developed as a major factor in an employee's orientation to a new job. Performance standards review and revision conferences shall be held, as the work relationship requires, but with a minimum frequency of at least quarterly.
Permanent employees shall be given written performance ratings annually on their service anniversary dates. Annual written performance ratings shall be submitted to the Chief no later than the end of the pay period proceeding the service anniversary date. Employees serving probationary periods shall be given a written performance rating at the end of each three-month increment of their probationary periods, except that the final rating shall be submitted no later than one (1) month prior to completion of their period of probation for probationary employees, and two (2) weeks before completion of their period of probation for permanent employees. When ratings are not received within the time limits required by this Chapter, the employee involved shall be presumed to have been rated "Satisfactory" by his supervisor, with the concurrences activity head, until a different rating is received.
9.5 Categories of Ratings. Performance ratings shall be "Less than Satisfactory," "Satisfactory," and "Exceptional." Such ratings shall be based on rating standards established and defined by the Chief and explained to the employee by his immediate supervisor. Ratings of "Exceptional" or "Less than Satisfactory" shall be accompanied by a written. statement giving a full explanation of such rating and shall. be concurred with by the activity head. Employees rated "Less than Satisfactory" shall be counselled and warned that lack of improvement may result in an adverse action.
9.6 Impact of Ratings. Annual written performance ratings are the basis for granting or withholding annual step increases. Employees rated "Satisfactory" or "Exceptional shall be eligible for a step increase within their pay level. Those rated "Less than Satisfactory" shall not be eligible for a step increase, provided that if the employee concerned brings his performance up to standards, he then shall be eligible for a step increase within his pay level, but such increase shall not be changed accordingly.
Annual written performance ratings serve also as one factor in selection for promotion, in determining retention status in cases of RIF, for reviewing justification for authorizing a merit increase, and in adverse actions; and may be a consideration when evaluating a Superior Performance Award request.
9.7 Review. Employees who believe their ratings are un just shall be entitled to a review under the Grievance Procedure.
Chapter X LEAVES OF ABSENCE
10.1 Purpose. Leaves of absence from the public service are for the mutual benefit of the employee and his employer. When leaves of absence are granted, they are considered to be for legitimate reasons not detrimental to the public service.
a. Annual. Annual leave for vacation, shall be granted for the purpose of rest and relaxation. FSM citizen employees who have less than three (3) years of creditable service shall earn annual leave at the rate of four (4) hours per pay period; except that newly-appointed employees shall undergo a waiting period of ninety (90) calendar days before being credited with annual leave. Employees with more than three (3) but less than ten (10) years of creditable service shall earn annual leave at the rate of six (b) hours per pay period. Employees who have ten (10 or more years of creditable service shall earn annul leave at the rate of eight (8) hours per pay period. Annual leave requests of more than three (3) working days must be made in advance on a leave request form. All annual leave requests must be approved by the employee's division head upon recommendation of such employee's immediate supervisor. In smaller organization where divisions may not exist, the head of such organization shall approve annual leave.
b. Maximum Accumulation. The maximum accumulation of annual leave for FSM citizen employees shall be three hundred and sixty (360) hours. Thereafter, any excess over such maximum shall be forfeited unless taken before the end of the calendar year in which such excess was accumulated.
c. Sick Leave. All employees shall earn sick leave at the rate of four (4) hours per pay period. There shall be no limit to the amount of sick leave which may be accumulated. Illnesses of more than three (3) days duration shall require a certificate from qualified medical personnel certifying to the fact of such illness and the treatment being administered 'The supervisor may require a certificate for shorter periods When use of such leave is chronic and excessive. The employees immediate supervisor is responsible for approving such leave requests. Former employees of the public service-who are rehired within three (3) years after their termination shall be credited with the unused sick leave accumulated during their previous employment.
d. Leave Advance. Where, for good reason, an employee requires additional annual or sick leave, the Chief may grant advance leave up to a maximum of one-half of the total earnable leave credits for one (1) year from the date the application is made. Subsequent earnings shall serve to replace the amount of advance leave granted and taken.
e. Training and Education Leave. Leaves for the purpose of job-related training and education may be granted permanent employees for a period not to exceed one (1) year by the Chief. The Governor may extend this period. Additional such leaves may not be granted the same employee until and unless he performs in his position for at least one (1) year following expiration of the first leave. The period of leave shall not affect the employee's service anniversary date.
f. Compassionate Leave. Permanent employees may be granted compassionate leave with pay of no more than five (5) working days in cases of death, or imminent death, in the immediate family of the employee. For the purpose of this Sub-part, the term "immediate family" shall include the following members: employee's mother, father, spouse, immediate offspring (natural or legally adopted), brother or sister, and grandfather or grandmother and the spouse's immediate family. The department or office head is responsible for approving compassionate leave requests.
g. Excused Absence (Administrative Leave). An absence from duty, administratively authorized, without loss of pay and without charge to leave, is an excused absence. Such absences are authorized under emergency conditions beyond the control of management (e.g. typhoons), for participation in civic activities in the interests of the Government, or for employment-connected examinations. The Department or Office Head is responsible for approving excused absence requests.
a. Maternity and Paternity Leave. Employees who are permanent employees may be granted leaves of absence without pay for reasons of maternity for a period of not more than six (6) months. Upon completion of such leaves, such employees are entitled to return to their positions with full rights and privileges, except that the period of leave shall serve to change the employee's service anniversary date by the length of time between the effective date of the leave and the date the employee returned to duty. The employee's immediate supervisor is responsible for approving such leave requests.
b. Training and Education Leave. Permanent FSM citizen employees who are ineligible to further training or education leaves with pay, are provided for under Sub-Part 10.3 (e.), or who wish to pursue their education on a fulltime basis without financial assistance by the Government may be granted leaves of absence without pay for a period not to exceed one year. Such employees shall have the right to return to their positions at the conclusion of their education or training, and their service anniversary dates shall be adjusted by the amount of leave without pay taken. The Chief is responsible for approving requests for Training and Education Leave.
c. Annual (Vacation) or Sick Leave. With the concurrence of his department head, a permanent employee may be granted leave without pay for the purpose of extending his vacation; provided, however, that such extension shall not exceed a period of ten (10) working days. Extensions may be granted for sick leave purposes; provided, however, that the attending physician certifies to the necessity for the extension.
d. Other. Leaves of absence without pay may be granted for such other reasons as management officials my deem proper and consistent with the best interests of the system.
10.5 Unauthorized Leave. Unauthorized leave (AWOL) is absence from duty without appropriate authorization. Employees who are absent from duty without prior approval, except in bona fide emergencies, shall be charged AWOL. Employees on AWOL are subject to disciplinary action and loss of pay.
10.6 Responsibilities. The employee shall be responsible for initiating his request for leave using such forms, documentation, and explanatory material as may be required. He shall initiate such request sufficiently in advance, wherever possible, so as to enable management to make the necessary staff adjustments for coverage of the employee's assignment during his absence.
Management shall be responsible for reviewing all requests in light of program needs, replacement services, and legal and policy requirements. In consideration of the foregoing and any other pertinent considerations, management may approve, disapprove, or arrange modifications of leave requests.
The Chief shall provide advice and assistance and make final decisions in cases requiring interpretation of policy.
Chapter XI TRAINING AND EMPLOYEE DEVELOPMENT
11.1 Policy. The Chief shall be responsible for defining policy requirements of developing the System's work force; to determine long range goals to be met within all job categories in existence with the System; to set standards to be met by employees within the System for all types of promotions and career development; to evaluate all training programs and recommend alternatives to aid in the over all direction of state-wide manpower development programs in the System to accomplish their objectives; to insure that proper coordination is maintained with the Departments of Education, and Resources and Development, so that manpower development in the System is in concert with development in the private sector and to insure that education services available within the State are fully utilized.
11.2 Definitions. For the purpose of this Chapter, three categories of training may be distinguished: job skill training, promotional training, and employee development.
a. Job Skill Training. The type of training in which the primary purpose may be: (1) to improve an employee's performance in the position in which he is currently employed; (2) to prepare an employee to move laterally in the same or related classes of positions.
b. Promotional Training. The type of training which an employee undergoes in order that he may be able to perform with average efficiency the minimum tasks required fn the new position for which he is being trained.
c. Employee Development. This type of training is offered to an employee to broaden his background or broaden his perspectives in his own, or related occupational areas.
a. It is the responsibility of each department and office head to implement all training programs, at all levels, in their organizations to insure that training objectives are met. In keeping with this function, each department and office must submit plans to implement their training objectives within their functions, to the Chief, to include what they have determine to be their immediate priorities within the overall state objectives and the needs of their areas. Each department and office head is responsible for budgeting adequate funds for training of employees. The department and office heads are responsible for maintaining training units within the framework of training approved by the Chief, and the report the nature, content, and results of such training activities as in-service training to the Chief; to facilitate overall coordination of manpower development throughout the State; and to insure that active and effective in-service training programs are carried out with the cooperation of all departments and offices.
b. The Chief is responsible for the overall guidance and supervision of training programs, to insure career mobility and development within the System. This function shall include the authority to certify the pertinency of training program; to certify the minimum training requirements for mobility in the work force and to insure the balanced development of all training programs.
c. The Personnel Division is responsible for advising and providing staff assistance to all supervisors and management officials in the conduct of their employee development responsibility including the following:
(1) Identifying training needs and development of training programs.
(2) Locating and determining costs of training resources within and outside the State and to evaluate such training.
(3) Maintaining current employee training records of all departments.
(4) Formulating standards for selection of trainees and instructors.
(5) Coordinating plans and programs for necessary training of employees, such as in-service training programs to provide managerial, supervisory, secretarial, clerical skills, and trades skills, and others.
(6) Coordinating all training with the department and office heads to avoid duplication of effort, and to insure a balance development of manpower.
(7) Improving the quality of training through evaluation of course content, securing evaluations of supervisors, and employees, and by testing.
d. First-Line Supervisors. In carrying out the training objectives of their program areas, first-line supervisors are to perform supportive functions such as, but not limited to the following: planning for employee release time when such is needed for formal classroom instruction; informing trainees of the content of their training program, their objectives and benefits, and their responsibility to absorb and use the instructions provided for them; motivating the employees to engage in self-improvement activities leading to improved performance and possible promotions and for providing their immediate supervisors with information regarding all aspects of training program in which their subordinates are participating.
a. Employees released to attend authorized job-related training and developmental programs will receive any combination of basic salary, travel expenses when required, and per diem or stipend as applicable to the training itself. Training provided as a part of a planned upgrading program, such as management internship, is job-related within the meaning of this paragraph.
b. It shall be the policy of the Government to pay all costs for training defined as job-skill training under Sub-Part 11.2; to pay one-half of all costs of training defined as promotional training; and one-fourth of all costs of training defined as employee development.
c. Employees attending education or training programs designed to generally improve their potential for advancement, but not specifically related to their present duties or duties they are specifically being trained to assume, may be released on training and education leave and shall enter into cost-sharing agreements with their departments with the approval of the Chief.
11.5 Evaluation of Training. The Personnel Division will develop and maintain a system which will provide information and analysis of the effectiveness of training provided. Such analysis will be used to alter training courses where needed and in training needs surveys. All personnel who attend and return from training courses outside the State will be required to submit a written report including a summary of the course, along with a judgement of the added value gained from the course . Copies of such reports will be addressed to the department or office head and the Chief.
Chapter XII INCENTIVE AWARDS
12.1 Purpose of Program. The State Public Service Incentive Awards Program is established for the purpose of improving Government operations and recognizing employees through the medium of incentive awards. The awards under this program are designed:
a. To encourage employees to participate in improving the efficiency and economy of Government operations.
b. To recognize and reward employees who perform special acts or services in the public interest in connection with or related to their employment.
12.2 Stimulating Participation. To obtain maximum value from the program, it is necessary that department and office heads emphasize to supervisors and employees, the importance of employee participation in improving Government operations.
Motivating employees toward improved job performance and concern for effective government is a basic responsibility of all managers and supervisors.
12.3 Contribution and Award Categories. An employee's contribution, to be considered for an Incentive Award, must be identified with one of the following categories:
a. Suggestion Award
b. Superior Performance Award
c. Special Act or Service Award
d. Honorary Awards.
12.4 Suggestion Award. This is for an idea submitted by an employee and adopted for use by the Government. Awards of this kind are made only when the employee's suggestion directly contributes to economy or efficiency or directly increases effectiveness in carrying nut Government programs or missions. Awards are made in the form of a cash lump sum payment.
12.5 Superior Performance Award. This is for performance exceeding job requirements, and involving a contribution so superior or meritorious as to warrant special recognition. To be eligible for superior performance awards, the employee must meet the following three criteria:
a. Performance of one or more important job functions in a manner that substantially exceeds normal requirements so that, when viewed as a whole, the work performance is of a high degree of effectiveness.
b. Performance that exceeds the normal or typical.
c. Performance that does not meet all the requirements of a quality increase, but does significantly exceed job requirements in one or more important job functions, may be considered for a lump sum award for superior performance.
12.6 Special Act or Service Award. This is an award granted for performance which has involved overcoming unusual difficulties, or exemplary or courageous handling, of an emergency situation related to official employment. Awards in this category are made in the form of a lump sum payment.
12.7 Honorary Awards. When appropriate, an Honorary Award may be granted in recognition of an employee's contribution. The Honorary Award may be in addition to a cash award. For example, an Honorary Award is particularly appropriate in recognition of continued distinguished service, a singular achievement, or an act of personal heroism. It may be granted independently of, or as a supplement to a cash award; it is designed to select and bestow singular honor as an official recognition of achievement and as an incentive to further accomplishments.
12.8 Documentation. Employee suggestions must be submitted in writing on a State Suggestion Form and requests for performance awards and special acts or service awards must be submitted in writing by supervisors on a State Incentive Awards Form to the State Incentive Awards Committee for State employees. Statements of justification should be brief and factual, emphasize results achieved which are beyond normal job requirements and identify measurable benefits to the Government. Final determination of awards under this section will be made by the State Incentive Awards Committee.
12.9 Incentive Awards Committee. The Governor shall appoint six (6) members to the State Incentive Awards Committee. Employee suggestions, Superior Performance Awards, and Special Act or Service Award nominations will be reviewed and evaluated at monthly meetings of not less than
four (4) members of the Committee.
12.10 Award Scale. Cash awards, under this section, will be determined by the State Incentive Awards Committee. No single award shall exceed $500.00. The amount of the award shall be based on the significance of the justification for the award.
CHAPTER XIII GRIEVANCES
13.1 Employee Coverage. The Public Service Grievance System covers all State Public Service System employees.
13.2 Grievance Coverage. The Grievance System will cover any matter of concern or dissatisfaction to an eligible employee except the following:
a. An adverse action appealable under Chapter 10.
b. A fitness-for-duty examination.
c. The content of published Government policy.
d. Non-selection for appointment, promotion, or reassignment from a group of properly ranked and certified candidates.
e. Disapproval of a merit increase, performance award, or other kind of discretionary award.
13.3 By Whom Presented. A grievance may be presented by an individual employee or a group of employees acting jointly. For the purpose of this Part, the word "employee" shall be understood to refer also to a group of employees acting jointly. An employee has the right to be assisted by representative of his choice in submitting grievance.
a. A grievance may be presented either orally or in writing. An employee may present a grievance concerning a continuing practice or condition at any time. If this grievance is related to a particular act or occurrence, he must present it within fifteen (15) calendar days of the date of that act or occurrence on the date when he became aware of it.
b. An employee shall ordinarily present a grievance first to-his immediate supervisor. If the employee believes that he has a valid reason for not taking the grievance to his immediate supervisor, or if his immediate supervisor so, authorizes, he may submit his grievance to a supervisory or management official of higher rank than the employee's immediate supervisor.
If the employee believes that he has a valid reason for not taking the grievance to any official in his agency, or if his grievance is not settled to his satisfaction by officials in his agency, he shall submit his grievance to the Chief, or his designee. The action of the Chief shall be final, unless the Chief himself authorizes referral of the grievance to another official.
13.5 Obligations of Supervisors and Management Officials. Supervisors and other management officials have an obligation to accept an employees grievance and to act promptly, fairly, and in good faith in the issue or issues presented in the grievance. They also have the obligation to abstain from any restraint, interference, or reprisal against employees and their representatives who are exercising the right to present grievances. It is not enough for an official to abstain from overt threats or interference. He must also refrain from making any statement or taking any action that has the appearance of a threat, interference, or intimidation.
CHAPTER XIV MINOR DISCIPLINARY ACTIONS
14.1 Definition. For the purposes of this chapter, "minor disciplinary actions. means oral admonitions, written reprimand, and suspensions for no more than three (3) working days.
14.2 Oral Admonition. An oral admonition may be directed to an employee by his immediate supervisor or by a supervisor of higher rank, except as the responsible management official may restrict this authority. Oral admonitions need not be reported to the Personnel Division.
14.3 Written Reprimand. A written reprimand may be addressed to an employee by his immediate supervisor, or by a supervisor of higher rank, except as the responsible management official may restrict his authority. Written reprimand shall be subject to the following procedure:
a. The language of the written reprimand must make clear the nature of the offense for which the employee is being reprimanded.
b. A copy of the written reprimand will be sent through the responsible management official and to the Personnel Division.
c. The Personnel Division will retain the reprimand in the employee's Personnel Folder for a period of not to exceed one (1) year from its date. If during the one year period, the employee becomes subject to another minor disciplinary action (except an oral admonition) or to an adverse action, the reprimand shall be retained in the employee's Personnel Folder for a period of one year from the date of such subsequent action. While the reprimand is included in the Personnel Folder, it shall be taken into consideration in connection with performance evaluation, performance (within-grade) increases, promotions, and action purposes.
d. Upon expiration of the one-year period described in (c) above, the reprimand shall have no further force or effect for any purpose and shall be discarded from the Personnel Folder.
e. At any time before the expiration of the one year period described in (c), the responsible management official may request the Personnel Division to discard the reprimand from the employee's Personnel Folder. The Chief shall carry out this request if he thinks that the best interests of the System will benefit thereby.
14.4 Suspension for No More than Three Working Days. All suspensions, regardless of their duration, will be initiated by the submission of a Request for Personnel Action, which will state the reason why the suspension is being effected. A copy of the respective Personnel Action Form, like ail other personnel action forms relating to a particular employee, shall be permanently included in the employee's Personnel Folder as a part of his official record.
14.5 Recourse. An employee who has been made subject to a minor disciplinary action and who is not in conformity therewith, may have recourse to the grievance procedure described in Chapter 13.
CHAPTER XV ADVERSE ACTIONS
15.1 Actions Covered. This part applies to disciplinary actions of dismissal, demotion for disciplinary reasons, and suspension for disciplinary reasons. Also included in this chapter is non-disciplinary suspension action pending an investigation or hearing of a charge against an employee.
15.2 Authority to Take Adverse Action. The authority to effect adverse actions has been granted to management officials by Sections has been granted to management officials by sections 25 (1) and 25(2) of the State Public Service System Act. For this purpose, management officials shall include the Governor, the Lieutenant Governor, the Chief Justice, all heads of departments, offices, and agencies. These persons may delegate, in writing, authority to effect adverse actions to Division Head. The authority to effect adverse actions may not be further delegated or redelegated. Throughout this Chapter the term . management official. will refer only to an individual who is specifically granted authority by this part to effect adverse actions.
15.3 Employee Coverage. This part applies to all permanent employees of the State Government not exempt under the State Public Service System Act.
15.4 Merit of Adverse Actions. An adverse action way be taken against an employee covered by this part except for such cause as will promote the efficiency of the System. No adverse action shall be taken until all available facts, including whenever practicable the employee's explanation, have been considered.
15.5 Procedures for Taking Adverse Actions. The management officials must observe certain procedural requirements when processing an adverse action covered by this part. These procedural requirements are as follow:
a. The management official must give the employee at least thirty (30) days advance written notice of the proposed action by means of a written proposal.
b. The letter of proposal to take adverse action must state any and all reasons for the proposed action specifically, and in detail including names and dates.
c. The management official must assemble, and make available to the employee for his review, all the material relied on to support the reasons for the adverse action.
d. The management official must allow the employee a reasonable amount of official time in which to secure evidence in his behalf and to prepare his defense to the proposed adverse action.
e. The management official must allow the employee a reasonable amount of official time in which to answer orally and/or in writing and to present documents and the testimony of witnesses in his behalf at a time and place, and before the management official or his authorized designee as is set out in the letter of proposal. The date for the answer or presentation by the employee must be within fifteen (15) calendar days after the delivery of the letter of proposal. The employee may be represented by an attorney or other advisor or representative at this presentation of evidence in opposition to the proposed action. The employee's right to reply to the letter of proposed adverse action is separate and distinct from his right to appeal and his right to a hearing before the Ad Hoc Committee.
f. If at all practicable, the employee must be kept on active duty in his regular position during the notice period. However, in an emergency, the employee may be reassigned during the advance notice period, or, with the employee's consent, he may be carried on appropriate leave.
g. The management official who receives the employee's answer or presentation of evidence must give the employee a written decision within five (5) calendar days after the receipt of the employee's answer or presentation of evidence if no such answer or presentation is made, within five (5) days after the date such answer or presentation was due. The decision must state which of the reasons in the letter of proposal, if any, have been found substantiated. The decision may be the imposition of the proposed action, may be a less severe action, or may find no action warranted.
h. If the decision is for suspension for more than three (3) working days or is dismissal or demotion,the employee must be informed in the decision letter of his rights, within fifteen (15) calendar days after the date of decision, to appeal pursuant to Chapter 15 of these regulations.
(1) The management official may suspend any employee for disciplinary purposes for less than three (3) working days, whether consecutively or not, without written notice. In such an instance, in addition to a copy of the pertinent personnel action, a full, written statement of the events and the reasons for this suspension must be placed subsequently in the employee. s official personnel file, a copy provided the Director or his delegate. An employee may grieve such a suspension, as provided by Chapter XIII GRIEVANCES of these Regulations; but such action is not appealable under CHAPTER XV of these Regulations.
(2) The management official may suspend any employee for disciplinary purposes for three (3) working days, whether consecutively or not, to take effect upon delivery to the employee of a written notice setting forth the specific reason (s) upon which the suspension is based, provided that at the time of its delivery to the employee, a copy of that statement is on file with the Chief of his delegate. An employee may grieve such a suspension as provided by Chapter XIII GRIEVANCES of these Regulations, but such an action is not appealable under Chapter XV.
(3) The management official may suspend any employee for disciplinary purposes for more than three (3) working days, whether consecutively or not, but neither exceeding thirty (30) working days at any one time nor sixty (60) working days in any calendar year to take effect upon delivery to the employee of a written notice setting forth the specific reason(s) upon which the suspension is based and the employee's right of appeal, provided that at the time of its delivery to the employee a copy of that statement is on file with the Chief or his delegate. An employee may appeal such a suspension as provided in Chapter XV of these regulations.
The management official may, for disciplinary reasons, dismiss or demote an employee provided that at least fifteen (15) calendar days before the effective date of the dismissal or demotion, the employee is delivered a written notice as provided in Chapter XV of these Regulations An employee may appeal such a dismissal or demotion as provided by Chapter XV of these Regulations.
k. Suspension and Demotion.
The management official may, for disciplinary reasons, suspend and demote an employee provided the employee is notified of the suspension and demotion as required by Chapter XV of these Regulations.
a. The adverse action notice letter must be a dated and written notice of a specific action. It shall include the name and address of the employee, as recorded in the employee's official personnel folder; the name of the employing department and the official classification of the employee's position; and the pay level and step within the pay level the employee is currently receiving.
b. The notice must identify one or more reasons for the disciplinary action taken, specifically and in sufficient detail so that a person unacquainted with the facts and circumstances involved can.obtain from the notice a clear.understanding of the reason(s). The notice must also include a detailed statement of any part of the employee's past record which the management official considered in determining severity of the disciplinary action.
c. The letter must inform the employee that he is entitled to review all the materials relied on by the management official to support the reasons) specified in the letter, including material relevant to the employee's past record if that record forms part of the basis for the action proposed. This requirement means that the management official cannot use any material to support the reason(s) which, because of security or other considerations, cannot be disclosed to the employee or his designated representative. The notice must inform the employee of his right to review the material relied upon and must tell him where he may review it.
d. The letter of proposed action must tell the employee that he has a right to answer, both orally or in support of his position at a specified time and place before a named management official or designee. The letter of proposed action must further tell him that his evidence will be considered by the management official before the latter makes a decision. The letter must inform him of his right to be represented by an attorney or other advisor or representative.
e. The letter must inform the employee that he will be allowed a reasonable amount of official times, if he is in an active duty status for reviewing the material relied on to support the reason(s) in the letter, for preparing a written answer, for securing witnesses and other evidence. The letter must inform the employee how much official time he will be allowed for these purposes, and must identify the person with whom he should arrange for the use of official time. The time to be allowed will depend on the facts and circumstances of each individual case. If the employee requests additional official time, the request should be honored if it is reasonable.
f. The notice of disciplinary action must inform the employee as to his right of grievance or right to appeal to the Ad Hoc Committee. The notice must inform the employee of where a copy of these Public Service System Regulations is available for his information.
15.7 Review of Adverse Action Notice. The notice of adverse action must be reviewed before issuance by the Chief, and the State Attorney General, or by their representatives.
a. A notice of adverse action to the employee shall preferably be delivered to him personally. His written acknowledgement of its receipt shall be obtained by his signature, dating, and an indication of the time received entered of the end of the last page of the notice; provided, however, that written acknowledgement is not necessary if the employee refuses to acknowledge it in writing.
b. Delivery may also be effected by certified or registered mail, return receipt requested; properly addressed to the employee at his last known address; and in such case the notice shall be deemed to be given when received, or five (5) days from the date of mailing, whichever occurs first.
c. Delivery may also be effected by delivery to any person over the age of eighteen (18) years found at the residence of the employee.
d. In each case, the person effecting delivery shall certify to the time, date, and manner thereof, and shall affix his signature to such certification.
e. In computing the advanced notice period, where required by sub-part 15.5 (j) of these Regulations, the day on which the notice is delivered is not counted. A Saturday, a Sunday, or a legal holiday may not be designated as a last day of a notice period.
f. The date of transmittal of the notification to the employee shall be:
(1) When personal delivery is made, the date of such delivery.
(2) When delivery is made to the employee's residence, the date of such delivery.
(3) When notification is sent by mail, the date of mailing.
g. The effective date of the adverse action shall not be earlier than the close of business on the date of delivery.
h. As soon as practicable following delivery of the notice of adverse action, it is the responsibility of the management official to initiate a personnel action (YP-PER002, or SF 52) appropriate to the disciplinary action.
(1) An employee against whom a suspension disciplinary action of less than three (3) working days or more is taken shall be suspended immediately.
(2) An employee against whom a suspension disciplinary action of three (3) working days or more is taken shall be suspended immediately upon delivery of the adverse action notice, provided the requirement of sub-part 15.5 (i ) (2) or 15.5 (i ) (3) of these Regulations has been wet.
b. An employee against whom a disciplinary action of demotion is taken must be retained in an active duty status during the fifteen (15) calendar days notice period.
c. An employee against whom a disciplinary action of suspension and demotion is taken for duty status purposes shall be treated as provided in sub-part 15.9(a) and 15.9(b) of these Regulations, provided that the employee may be suspended for part of all of the demotion notice period.
d. An employee against whom a disciplinary action of dismissal is taken may be retained in an active duty status during the notice period, if the management official believes retention is warranted. When circumstances are such that the retention of the employee in an active duty status in his own position may result in damage to government property, or maybe detrimental to the interests of the Government or the employee's co-workers, or the general public, the employee may be temporarily assigned to duties in which these conditions will not exist. In an emergency case where the employee can not be kept in an active duty status during the notice period, either in his regular position or through temporary assignment to another position, the employee may be placed in a non-duty status with pay for the fifteen (15) calendar days notice period. Where the employee has been suspended pending an investigation or hearing of a charge against him. as provided in sub-part 15.10 Suspension for Investigation or Hearing, and the ultimate outcome is disciplinary action of dismissal, the employer shall be continued on suspension pending the completion of the fifteen (15) calendar days notice period.
a. An employee may be suspended immediately by a management official pending an investigation or hearing of any charge against him, to take effect upon delivery to the employee of a written notice of suspension for investigation or hearing provided that at the time of its delivery to the employee a copy of that statement is on file with the Chief, or his delegate.
b. An employee may be suspended for a period longer than thirty (30) calendar days by a management official pending an investigation or hearing of any charge against him, provided the Chief has given his prior approval to the suspension and the employee is so notified, as provided in sub-part 15.1U(a).
c. Where such suspension is made and the charge subsequently dropped or not substantiated, the employee shall be reinstated in his position without loss of pay and other benefits.
d. Where the charge against the employee is substantiated and the disciplinary action is one of suspension and:
(1) Where the disciplinary suspension is less than the time on suspension for investigation or hearing, the employee shall be so notified in accordance with sub-part 15.5(i) of these Regulations and shall be reinstated in his position without loss of pay and other benefits for all time on suspension for investigation or hearing in excess of the duration of disciplinary action suspension.
(2) Where the disciplinary suspension is equal to the time on suspension for investigation or hearing, the employee shall be reinstated in his position, provided he had been notified of the disciplinary suspension in accordance with sub-part 15.5 (i) of these Regulations.
(3) Where the disciplinary suspension exceeds the time on suspension for investigation or hearing, the employee shall be notified of the disciplinary action in accordance with sub-part 15. 5 (i) of these Regulations and shall be credited for the disciplinary action suspension period with all time he has served on suspension for
investigation or hearing, and shall be continued on disciplinary suspension until the total disciplinary action suspension is realized.
e. Where the charge against the employee is substantiated and the disciplinary action is one of suspension and demotion, the employee shall be treated as provided for in sub-part 15.5 of these Regulation is complied with.
f. Where the disciplinary action of demotion is taken following a suspension for investigation or hearing, the employee shall be reinstated in his position without loss of pay and other benefits resulting from the suspension for investigation or hearing, pending compliance with sub-part 15.5 of these Regulations.
g. If the disciplinary action taken following a suspension for investigation or hearing is dismissal, the employee shall be continued on suspension pending the completion of the fifteen (15) calendar days notice period.
15.11 Procedure for Filing appeals. An employee may appeal from an adverse action at any time during the period of fifteen (15) calendar days, counted from the date when the notification of the adverse action was transmitted to him. All appeals shall be in writing and shall be filed with the Chief, by the employee personally, or by his authorized representative. The appeal shall include or be accompanied by the following materials:
a. A statement of the employee's reasons for contesting the adverse action.
b. An offer of proof or documentary evidence which the appellant then wishes to submit.
c. The names of witnesses and the description of documentary and other evidence that the appellant wishes to have at the hearing, with such explanation of their relevancy as may be appropriate.
d. Any request the appellant may wish to make for a delay in the date of his hearing, beyond the period of fifteen days from the date when the appeal is filed.
e. The designation of the employee's representative, if any.
a. Appeals from adverse actions will be heard by an ad hoc hearing committee consisting of three members, selected from a panel of not less than seven officers or employees of the State Government, nominated by the Governor with the advice an consent of the Legislature. Each committee shall be comprised of one member chosen by,the appellant, one chosen by the Chief, and a third chosen jointly by the other two members. If the first two members are unable to agree on the choice of a third member within two working days after they have been notified of their selection, the Chief shall select the third member by lot from among the remaining members of the panel.
b. No member of an ad hoc committee shall be an officer or employe of an agency of government to which the appellant is or was assigned, or a close relative of either the appellant or the responsible management official. For the purpose of this Sub-Part, the word "agency" shall mean either:
(1) The Legislative Branch;
(2) The Judicial Branch;
(3) Executive Department or Office; or
(4) Any board, commission, authority, or similar body.
c. At the time of filing his appeal with the Chief, the appellant or his authorized representative shall select from the panel a member of the ad hoc hearing committee. The Chief shall immediately determine whether or not the member named is prevented from serving in conformance with Paragraph b. of this Sub-Part; if so, he shall inform the appellant or the appellant's representative, who shall then choose the second member of the committee and shall promptly notify the two persons of their selection, urging them to meet at the first opportunity to jointly select the third member.
d. When he third member of the ad hoc hearing committee has been chosen, the Chief will inform him.
15.13 Responsibilities of the Chief of Personnel. In the period after the ad hoc hearing committee has been constituted, the Chief will have, among other responsibilities, the following:
a. To inform the management official who authorized the adverse action that an appeal has been filed, and to obtain from him the names of witnesses and the description of tangible evidence for which he wishes subpoenas to be issued, if any.
b. To turnover to the ad hoc committee the original appeal supporting documentation, and lists of subpoenas requested by the appellant and the management official concerned.
c. To ascertain from the committee the date and time of the hearing and inform all interested parties. The hearing shall be held within fifteen (15) days after,
appeal is filed.
d. To serve as a channel of communication between the committee and the interested parties and to explain all legal technical, and procedural requirements.
e. To arrange for a hearing room and other logistical needs.
a. The ad hoc hearing committee on its own motion or that of the Chief, management, or the appellant may subpoena witnesses and evidence relevant and material to the hearing. The committee shall be the judge of relevancy and materiality.
b. The appellant shall be entitled to review all material relied on by the management official to support the reasons s specified in the notification of adverse action, including material relevant to the appellant's past record if that record forms part of the basis for the action. This requirement means that management cannot use any material to support its reasons which, because of security or other considerations, cannot be disclosed to the appellant or his authorized representative. The appellant must be informed of his right to review the material relied upon.
a. An appellant has the right to present an appeal without representative, or to be accompanied, represented, and advised by a representative of his choice at any stage of the proceeding. The representative may be either an officer or employee of the State Government (provided that no conflict of interest would be produced) or a person from outside the government. A representative who is a government officer or employe shall be allowed reasonable periods of Administrative Leave from his regular duties to attend to his functions as such representative. To change his authorized representative, the appellant must give written notice to the ad hoc hearing committee through the Chief.
b. The representative of management in connection with the hearing shall be the Attorney General or his designee.
15.16 Freedom from Reprisal or Interference. An appellant and his representative must be free to use the appeal system without restraint, interference, coercion, discrimination, or reprisal. An employee, whether acting in an official capacity for the government or on any other basis, must not interfere with or attempt to interfere with another employee's exercise of his rights under this Part. He must also refrain from making any statement or taking any action that has the appearance of a threat, interference, or intimidation.
15.17 Conduct of Hearings. All hearings shall be public unless the appellant requests a closed hearing. At the hearing, technical rules of evidence shall not apply, and evidence shall be taken stenographically or by recording machine. The appellant ant and the management official who authorized the adverse action shall each have the right to be heard, to present evidence, and to be confronted by all adverse witnesses. The appellant may be represented by counsel of his own choosing. The Chief or his qualified designee shall attend the hearing and all meetings of any ad hoc hearing committee and provide technical advise on request.
15.18 Report of Ad Hoc Committee. Within seven (7) calendar days after the close of the hearing, the ad hoc committee shall prepare a full written statement of its findings of fact and its recommendations concerning the adverse action that was appealed. It may recommend that the action be affirmed, modified, or reversed. The committee shall immediately deliver this statement, with such supporting documentation as it deems appropriate to the highest management official responsible for the agency in which the appellant is or was employed, with a signed copy to the Chief. That management official, after considering the finding and recommendations, will personally give the final decision the appeal. This management-official shall be:
a. For the Legislative Branch, the Speaker of the Legislature.
b. For the Executive Branch, the Governor.
c. For the Judicial Branch, the Chief Justice.
d. For each commission, board, authority, or similar body, the chairman thereof.
15.19 Appeal File. For every appeal which is submitted in connection with an adverse action, the Chief shall establish an appeal file, which shall be separate and distinct from the regular employee files. The contents of the appeal file shall include, but not necessarily be limited to the following:
a. Copy of the notification of adverse action.
b. The appeal submitted by the employee, with all supporting documents.
c. All written statements, authorizations, requests, and other documents presented in connection with the appeal and the hearing.
d. The lists of subpoenas requested by the appellant and by management.
e. Copies of all documentary evidence introduced at the hearing.
f. Transcripts of the hearing, including original tapes or other recordings, if any.
g. Signed copy of the report of the ad hoc committee.
Each appeal file shall be kept by the Personnel Office for not less than six years from the date of the final decision of the respective a peal, and thereafter for such additional period as the Attorney General may find appropriate.
Chapter XVI ABANDONMENT AND TERMINATIONS OTHER THAN FOR CAUSE
16.1 Abandonment. If an employee ceases to work without explanation for not less consecutive working days he shall be deemed to have abandoned his position, and the management official shall file with the Chief a statement showing termination of employment because of abandonment of position. The management official shall promptly transmit a copy of the statement to the employee by the most practical means.
16.2 Resignation. Resignations shall be in writing and shall be submitted at -least fourteen (14) calendar days in advance of the effective date. The Chief may designate management and highly skill classes for which this period may be extended to thirty (30) calendar days.
a. Where less than the required advance notice is given placement on the reemployment list is forfeited unless the department or office head certifies at the time of resignation that failure to provide required notice did not seriously hamper the work of`the department or office,or unless the delay was due to circumstances beyond the control of the employee.
b. The department or office head shall submit a copy of the written resignation together with the necessary terminating documents, to the Chief or his authorized representative.
16.3 Termination for Medical Reasons. When an employee contracts an infectious or contagious disease which endangers the health of others, or becomes mentally incapacitated, or is otherwise permanently physically disabled for the satisfactory performance of duties of the position to which assigned, the Chief may terminate his employment, provided:
a. No suitable reassignment can be made within the department or office to which he is assigned, and
b. Medical examination procedures, as outlined in Sub-Part 3.22, have been complied with.
16.4 Reduction-In-Force (RIF). Department and office heads may terminate the services of an employee because of the abolishment of his position, for lack of work or funds, or for other reasons outside the employee's control which reflect no discredit on the services of such employee. When there is an impending RIF, the department or office Read, or Governor concerned shall inform the Chief of this fact at least sixty (60) days in advance of the proposed action.
a. When the determination to abolish a position is made, the department or office head shall exhaust all possibilities in placing the employee in another equivalent position.
b. When it is evident that there are no positions for which the employee meets the qualification requirements, the department or office head shall request that RIF procedures be effected by the Chief.
c. Order of Terminations. The order of termination in RIF shall be determined in accordance with the following:
(1) Permanent employees and probationary employees shall not be terminated when positions in the same class are continued with the services of temporary employees.
(2) The individual merit of each employee, is shown by performance evaluations, shall be the primary basis for establishing the order of layoffs. As between two employees with equal performance evaluation ratings, preference shall be given to the one with higher qualifications of education, training, and experience, as evaluated by Chief. As between two employees with equal performance evaluation ratings and equal qualifications, preference shall be given to the one with greater seniority as measured by total creditable service.
(3) Persons reached by RIF may not be reassigned to positions other than those for which they are fully qualified.
(4) A permanent employee who is to be terminated from a position In one class may ask for a review of the status of employees serving in the lower classes of the same related field. Upon receipt, the Chief shall conduct such a review. If he finds an employee serving in a lower class requiring the the same or closely related qualifications who is not a permanent employee, the Chief shall offer the position occupied by such temporary employee to the employee being terminated. If he accepts, the services of the temporary employee in the same or lower class shall be terminated.
d. Reduction-In-Force Notice. When the determination to abolish position is made and all efforts to replace the affected employee in another position have failed, the Chief shall inform the employee, in writing, that he has been reached by RIF and that his services shall be terminated. The Chief's letter shall be dispatched at least thirty (30) days prior to the effective dated of termination and it shall inform the employee if he is eligible for placement on the reemployment list. The employee shall sign a copy of the letter to acknowledge receipt and return it to the Chief.
e. Reemployment List. Permanent employees terminated because of a RIF shall be entitled to be placed on a appropriate reemployment list. Temporary employees shall not entitled to these reemployment rights.
16.5 Exit Interview. A personal interview shall be provided each employee terminating service with the System, prior to the effective date of the termination action. The interview shall be conducted for the purpose of obtaining from the employee the true reason(s) for his termination. Interviews shall be recorded in report form and be made a part of the employee's personal folder. The interview shall be conducted by the Chief or his designee.
CHAPTER XVII POLITICAL ACTIVITIES
The political activities of employees in the System shall be subject to the restrictions of this section.
a. To vote for the candidates of their choice and to express their opinions on political matters.
b. To be an active member of the political party or organization of their choosing.
c. To make voluntary contributions to a political party for its general expenditures.
d. To become a candidate for political office while working in the System, providing their campaigning does not take place while on Government time.
a. Use their office or official influence to interfere with an election or to affect the results of an election.
b. Use their party authority to coerce any person or political party in reference to any politically-related activity.
c. He obligated to contribute to any political fund or render service to any political activity.
d. Solicit or receive political contributions from anyone while on government time or on government property.
e. Campaign for any candidates for public office during official working hours.
17.3 Penalty. Any employee found guilty of a prohibited activity shall be subject to disciplinary action by management officials.
CHAPTER XVIII HOUSING