State of Ohio

ePAR/Personnel Action Decentralization Procedures Manual

HCM/HR Support State Services Section

March 1, 2018

PA DECENTRALIZATION PROCEDURES MANUAL (Revised 3/18) 2

TABLE OF CONTENTS MISSION AND OVERVIEW 3 INTRODUCTION 3 THE DECENTRALIZATION PROCESS _____ 5 DAS REVIEW ____________________________________________________ 8 LEGAL RESPONSIBILITIES 8 AGENCY RESPONSIBILITIES ______________________________________ 9 ACTION/PENALTY __________________________________________ 9 DAS RESPONSIBILITIES __ 10 COMPLAINCE REVIEW ___________________________________________ 11 APPENDIX

A. PERSONNEL ACTION DECENTRALIZATION CERTIFICATION CHECKLIST B. REQUEST FOR CERTIFICATION C. PERSONNEL ACTION DECENTRALIZATION CERTIFICATION DOCUMENT D. SIGNATURE AUTHORIZTION FORM

PA DECENTRALIZATION PROCEDURES MANUAL (Revised 3/18) 3

STATE OF OHIO Department of Administrative Services

Human Resources Division AGENCY HR SUPPORT – State Services

PERSONNEL ACTION DECENTRALIZATION PROCEDURES MANUAL

Mission and Overview

It is the mission of the DAS, Human Resources Division Office of Agency HR Support/ State Services to provide quality customer service, foster partnerships, and continuously improve the State of Ohio's Human Resource systems for the efficient and effective operation of government. Epar/Personnel Action (PA) decentralization is one of many initiatives to streamline human resource functions.

The intent of decentralization is to make the Epar/PA process more responsive to the needs of state agencies. Decentralization places the authority and responsibility for individual personnel decisions with the decentralized agency. Section 124.04 (M) of the Ohio Revised Code (ORC) supports this initiative as follows:

“The Director of Administrative Services may delegate any of the powers, functions, or duties granted or assigned to the director under this chapter to any other state agency of this State as the director considers necessary.”

Introduction

Under Epar/PA Decentralization, agencies will be taking on new and important responsibilities including the ability to determine how quickly ePAR/PA’s are processed.

It will be necessary for the agency HR and Fiscal Offices to work closely together to ensure that the fiscal aspects of entering an ePAR/PA are appropriate and will be accepted in OAKS. These offices will also work closely with OBM.

It is also important to ensure that written, internal procedures for processing ePAR/PAs are in place and reviewed by all appropriate parties. Without a third-party review of ePAR/PAs, the potential for errors increase and therefore appropriate internal controls must be in place.

Agencies assume responsibility for dealing with Bargaining Unit situations during the ePAR/PA process. Agency Labor Relations Officers should be involved in ePAR/PA processing issues such as: Grievance Settlements, Memorandums of Understanding, Reinstatements, and clarification of contract issues. Various provisions of Collective Bargaining Agreements must be taken into consideration as well.

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Your Human Resource staff must work closely with the agency’s Fiscal and Legal offices throughout the ePAR/PA process.

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The Decentralization Process

Prior to Submitting a Request for Decentralization

A Certification Checklist (Appendix A) was developed to assist agencies in preparing for PA Decentralization. The checklist should be utilized by the agency to determine the agency’s readiness to decentralize. DAS will utilize the information on the checklist to prepare the Agency HR Support/State Services report in determining an agency’s readiness to decentralize. The Checklist is not to be submitted with the request for decentralization as it is only to assist the agency in including all that is required for decentralization. In addition, the HR-30 Personnel Action Policy is available.

Submitting a Request for Decentralization

Agencies must submit the “Request for Certification” form (Appendix B) along with the information requested on the initial certification checklist to the Agency HR Support/State Services at dashrd.stateservices@das.ohio.gov.

Ensure that the information submitted is complete. Incomplete information submitted will be returned to the agency for completion. After the agency completes the incomplete material, the request should be re-submitted. In such a case, the approval of decentralization may be delayed, as the re-submission date will be used for determining the order in which the agency request is processed. Once the documentation has been reviewed and it is determined that the policy is complete DAS will send an approval letter to the Agency Director.

AGENCY POLICY AND PROCEDURES: After reviewing the checklist, agency HR personnel should draft a written policy of internal procedures for the processing and approving of personnel actions. DAS suggests that the policy cover the entire spectrum of ePAR/PA processing within the agency, so that it will be readily accessible to the Director, Deputy Directors, Labor Relations Administrators, Human Resource Administrators and employees. Policies should include the following information:

The following processes must be addressed in your decentralized policy and how your agency will adhere to these policies:

• A general agency summary of the process, in narrative format or a flow chart, from initiation point to final approval. We recommend you do not include names of employees, but rather the classification title of those referenced in the process flow;

• Agency process for document tracking if a paper PA is required;

• Procedure for error correction;

• Identification of who is accountable for the policy to ensure that the policy is properly followed;

• A statement of intent, indicating that the agency will continue to be incompliance with all elements of the Ohio Revised Code, Ohio Administrative Code, Directives set by the Governor’s Office, and all DAS Directives including the processing of ePAR/PA’s;

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• Background Checks: Ensure that background check forms for unclassified new appointments, transfers between agencies, and changes from the classified service to unclassified service have been completed, submitted to the Department of Public Safety, and approved. Any questions regarding background checks should be directed to the HR office at the Department of Public Safety. In addition, Agencies must follow the Disclosure of Criminal Convictions Policy during the application process. See Human Resources Policy HR-29.

• Drug Tests: Ensure that drug tests are completed for new unclassified appointments and positions designated as safety sensitive. Any questions regarding this matter should be directed to DAS HRD, Office of Drug-Free Workplace Program at dashrd.drugfreework@das.ohio.gov.;

• Layoff Lists: Certain ePAR/PA’s such as New Hires, Promotions, Demotions, Laterals, Transfers within and between agencies, Civil Service Status Changes, Appointment Type Changes, Position Changes that include a headquarters county change, Stand-alone Headquarter County Changes, are subject to recall and reemployment lists. Documentation of the absence of a layoff list must be documented and attached to all ePAR/PA’s subject to the layoff lists;

• Advance Step Hires: DAS Directive HR-D-03 outlines the procedures for advance step appointments;

• Verification of Licenses: Agencies must ensure that any required licenses for a position are active. Proof of verification must accompany the PA. For example, agencies must ensure that Nurses licenses are active which can be accomplished by going to the Nursing Board website www.nursing.ohio.gov;

• Verification of Prior Service Credit: Attach information (Signed documentation from the previous employer) to the ePAR/PA. Agency HR Support/State Services will verify the service credit, assign the effective date, and process the ePAR/PA;

• ePAR/PA processing: Agencies are responsible for the training of new HR staff in the processing of ePAR/PA’s. Training on data entering of ePARS will be provided by Agency HR Support /State Services upon request;

• Payroll: An ePAR/PA must be entered in the OAKS system and allowed to run overnight before the payroll entry can be approved. The accuracy of the ePAR/PA posting to the OAKS System becomes the agency’s responsibility;

• Other Documentation: Agencies must keep the initial ePAR/PA decentralization certification information (table of organization, appointing authority signature, and code authority information) and the agency’s internal policy and procedures updated and accessible. When Agency HR Support /State Services initiates a compliance review, they will request a current copy of your Decentralized Policy. If the policy on file with DAS has not changed a written notice to this affect must be submitted to your Agency HR Support /State Services analyst;

• Signature Authorization: A current signature authorization form is required for all Agency HR employees who have authorization to sign ePAR/PA’s for the Director. (Appendix D) and must be kept on file with DAS. This form will be kept in your agency file at Agency HR Support/State Services. In addition, this form must be included with the agency documentation when submitting the request to DAS to decentralize;

• ePAR Security Roles: ePAR security roles for approvers must be kept current and on file with DAS. Any changes to these roles should be submitted to your agency

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HR Support/State Services analyst along with an updated signature authorization if required. When an employee is moved to a new classicization the ePAR security roles will be inactivated upon entry of the ePAR in Job Data. If the employee is to maintain their current roles, send an email to your Agency HR support/State Services analyst and they will be reactivated. This will be an overnight process.

This list of agency responsibilities is not all-inclusive but is intended to provide some of the major issues of importance associated with decentralized ePAR/PA processing. For questions regarding these new responsibilities, please contact your State Services analyst.

DAS, working in collaboration with Agency Representatives, will ensure that the Agency’s Policy provides for the proper processing and approval of ePAR/PAs and all attachments.

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DAS Review and Processing of an Application for Decentralization

Legal Responsibility

Once the Certification Document for Decentralization is issued, agencies assume a greater portion of legal responsibilities associated with the approval of agency ePAR/PAs. Those responsible to acknowledge this responsibility can be found on the Personnel Action Certification Document (Appendix C) This responsibility cannot be over emphasized.

Agencies will continue to be responsible for compliance with Bargaining Unit Contracts, the Ohio Revised Code and the Ohio Civil Service Laws and Rules. The liability of the Appointing Authority of an agency for knowingly miss-appointing an employee is stated in Section 124.62 of the Ohio Revised Code.

“After a rule has been duly established and published by the director of administrative services or by any municipal or civil service township civil service commission according to this chapter, no person shall make an appointment to office or select a person for employment contrary to such rule, or willfully refuse or neglect to comply with or to conform to the sections of this chapter, or willfully violate any of the sections. If any person who is convicted of violating this section holds any public office or place of public employment, such office or position shall by virtue of such conviction be rendered vacant.”

Section 124.56 of the Ohio Revised Code states:

“When the state personnel board of review or a municipal or civil service township civil service commission has any reason to believe that any officer, board, commission, head of a department, or person having the power of appointment, layoff, suspension, or removal, has abused such power by making an appointment, layoff, reduction, suspension, or removal of an employee under his or their jurisdiction in violation of this chapter of the Revised Code, the board or commission shall make an investigation, and if it finds that a violation of this chapter, or the intent and spirit of this chapter has occurred, it shall make a report to the governor…who may remove forthwith any such guilty officer, board, commission, head of department, or person. The officer or employee shall first be given an opportunity to be publicly heard in person or by counsel in his own defense. The action of removal by the governor…is final, except as otherwise provided in this chapter of the Revised Code.”

These sections of the code make it very clear that approving ePAR/PA’s is a task not to be taken lightly. It is imperative that your agency Director’s Office, Legal Office, Fiscal Office and Human Resources office work closely to follow the stated laws and rules and maintain open lines of communication in this process.

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Under civil service law, DAS has always been a strong policy authority regarding State of Ohio personnel practices. With Decentralization, DAS delegates significant authority and responsibility to the agencies, but will retain overall authority ensuring that the Civil Service Laws are maintained consistently throughout all state agencies.

Agency Responsibilities

• Updated Documentation: When changes in Agency Administration occurs Agency HR Support/State Services should be contacted by the agency. The Agency must provide the new administration with a review of the process and DAS with the updated information for the new certification document (Appendix C) along with applicable ePAR security forms and Signature Authorizations;

• ePAR/PA Preparation: ePAR/PAs must be prepared in accordance with the PA manual distributed by the Agency HR Support/State Services. Agencies will also need to ensure that the proper signatures (specified in your agency’s internal procedures) are captured on the printable ePAR/PA;

• Setting Effective Dates: The same guidelines currently used for setting effective dates should continue to be followed. Agencies are encouraged to have a specific section in their policy that states how effective dates will be set and who will be responsible for ensuring it is done correctly. Effective dates should be current unless otherwise required by Law or BU Contract. For example; Reassignment by 3rd party or grievance adjustment;

• Minimum Qualifications: In accordance with Section124.30 (A) of the Ohio Revised Code a person must be certified by the director as qualified. Proper verification of an applicant’s minimum qualifications should be done by comparing the applicant’s training and experience to the minimum qualifications outlined on the classification specification for the position to which they are being appointed;

• Full compliance with ORC, OAC, DAS Directive and BU Contracts: The final approval of the Decentralized Approver is indicating the ePAR/PA is in full compliance with the above.

This list of agency responsibilities is not all-inclusive but is intended to provide some of the major issues of importance associated with decentralized ePAR/PA processing. For questions regarding these new responsibilities, please contact your State Services analyst.

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DAS /HUMAN RESOURCES DIVISION RESPONSIBILITIES

DAS HR Agency Support/State Services staff will adjust their roles to those of consultants and advisors to assist your agency in processing ePAR/PAs that are correct and consistent. In addition, the staff in Agency HR Support/State Services will continue to be responsible for the following functions:

Calculating, approving and processing prior service time: To maintain consistency throughout state agencies in granting prior service time, this process will be handled by Agency HR Support/State Services for both centralized and decentralized agencies. The agency is responsible for entering the PA into EPAR and attaching the supporting documentation from the previous employer;

• Assistance with Layoffs: Agency HR Support/State Services staff will continue with the current procedure in assisting agencies with processing layoffs.

Compliance Review: Agency HR Support/State Services will continue to conduct periodic compliance reviews of decentralized agency PAs pursuant to the Decentralization Procedures Manual. Under the decentralized ePAR/PA process, the DAS HRD Agency HR Support analyst’s role will expand to include the following areas:

Training: Training will be available from Agency HR Support/State Services in every aspect of PA processing. All new personnel who will be involved in the PA process should participate in PA training within 30 days following their hire date. Training will be available in the following areas:

• Technical training for entering data into the EPAR system; • How to properly prepare a PA, including information such as what attachments are

necessary, notes that should be included, etc.; • Familiarizing agency HR staff with the decentralized process and how roles change

within the agency and at DAS.

Consultation: Agency specific training can be developed to address an agency's specific needs. This training can be provided, upon request of the agency, on-site by the Agency HR Support/State Services analysts. In addition, the analysts have in-depth technical knowledge regarding the processing of PAs and will continue to be available to provide consultation.

With decentralization of the ePAR/PA process, Agency HR Support/State Services analysts will not be required to manually approve every PA. More time will be available for them to act as your technical advisor to assist you with your agency’s process’.

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Audit Process and Compliance Reviews Section 124.04 ORC allows the Director of Administrative Services to delegate the powers, functions or duties granted to The Director under this chapter to any other state agency of this state. It is this section of the Ohio Administrative Code that allows agencies to become decentralized. With this decentralization, DAS is delegating significant authority and responsibility to the agencies, but still retains overall authority ensuring that the Civil Service Laws are maintained consistently throughout all state agencies, thus the purpose of the Audit Process and Compliance Review processes. Audit Process

Your analyst is performing biweekly Audits on randomly selected EPAR’s. When the audit result in the need for a correction, these corrections will be tracked. This data will also be compiled into your annual compliance review (see below) to identify any trends or issues.

The Audits will include but are not limited to the following:

• The ePAR is prepared in accordance with the PA Manual, ORC and OAC

and within the applicable time frames required by current policies and

procedures;

• The employee meets the minimum qualifications as required on the

classification specification;

• All required attachments are attached to the ePAR including the anonymous

list verifying no recall or reemployment list exists, active licensure, OBM

and/or Talent Management approval if applicable;

• Advance step hires comply with DAS Policy HR-03;

• All ePAR’s that require Governor’s Office approval were routed to their office;

• The ePAR updated Job Data correctly.

When issues are identified in the biweekly audits, you will receive an email from your Agency HR Support (State Services) analyst and will include what issues were found and what is needed to correct these issues. The email will be sent to the State Services contacts as well as the Agency HR Administrator. Compliance Reviews

To provide quality service to our customer agencies, the Agency HR Support/State Services will be conducting audits along with an Annual Compliance Review of ePAR’s (PA). To maintain the integrity of the program and to address any areas of concern, staff of the Human Resource Support Services will conduct periodic reviews of agency ePAR/PA programs. The purpose of the Audits and the Compliance Review is to verify that a decentralized agency is in compliance with all laws, rules, policies, and procedures, governing employment practices documented by ePAR/PA’s. If agency-established policies and procedures for PA processing are found to be consistently ignored and/or if problems found by the DAS review are not resolved, DAS maintains the right to revoke agency certification and return the agency to a centralized ePAR/PA process. We will

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work with each agency as technical consultants to identify problems and alert the agency to the problems and to assist in the agency in correcting these issues

The Department of Administrative Services looks forward to working with you, our customer agencies, to successfully implement the ePAR/PA decentralization program. DAS is committed to meeting the needs of our customers. We will continue to be available to assistance in any way possible. Please contact us whenever necessary and provide us with any comments you may have that may improve our services to you.

Appendix A PA DECENTRALIZATION PROCEDURES MANUAL (Revised 3/18) 13

PERSONNEL ACTION DECENTRALIZATION CERTIFICATION CHECK LIST

Information in numbers 1, 2, and 3 must be submitted along with the request for PA Decentralization Certification to the DAS, HRD HCM/HR Support. This must be done before the initial review is conducted. The items on this checklist must be completed before an agency receives certification to decentralize their PA process.

______1. AGENCY POLICY AND PROCEDURES

Submit a written policy of internal procedures for the processing and approval of ePARS/personnel actions. Our suggestion is that the policy covers the entire spectrum of ePAR/PA processing within the agency so that it will be easily accessible to human resource administrators and employees. We suggest that policies include the following information:

• General agency summary of the process in narrative format or a flow chart from initiation point to final approval.

• Document tracking.

• Procedure for error correction.

• Information regarding maintenance of records.

• Identification of who is accountable to ensure that the policy is properly followed.

• Statement of intent indicating that the agency will continue to be in compliance with all elements of the Ohio Revised Code as well as directives set by the Governor’s Office and the Department of Administrative Services regarding ePAR/PA processing and approval.

_____2. SIGNATURE AUTHORIZATION

A separate document (signature authorization form) should be submitted with the Agencies Policies and Procedures. If it will be changed upon becoming a decentralized agency, a new form must be submitted, otherwise a copy of the current signature authorization should be attached.

_____3. EPAR SECURITY FORM

An updated ePAR security form must be submitted giving the Decentralized Approval role to the appropriate employee(s).

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______4 CERTIFICATION DOCUMENT

The PA decentralization certification document will need to be signed by all those involved in the PA decentralization process.

Appendix B PA DECENTRALIZATION PROCEDURES MANUAL (Revised 3/18) 15

TO: Jennie Wright HR Manager

DAS

HR Support

FROM: _____________________________________________________

(Name) (Title)

_____________________________________________________

(Agency)

DATE: ______________________________________________________

SUBJECT: Request for Certification of Agency Personnel Action Decentralization

This memorandum serves as an official request for the Department of Administrative Services to

grant certification to our agency for the process of approving and processing our own

ePAR/personnel actions. We have received the preliminary information for decentralization and at

this time are submitting the following requested documents for the initial DAS review:

• AGENCY POLICY AND PROCEDURES

Written policy for the processing and approval of personnel actions.

• SIGNATURE AUTHORIZATION

A document with the names of the agency appointing authority and all employees who

have signature authority on ePAR/personnel actions. Signature documents are included

as well.

• EPAR SECURITY FORM

Information stating what staff will be responsible for approving and entering ePAR/PA’s

in OAKS.

• PERSONEL ACTION DECENTRALIZATION CERTIFICATION DOCUMENT

Signatures acknowledging responsibilities and liabilities of the Agency.

Along with these documents, we are also confirming that the information on the Certification Check

List for agency PA decentralization is complete and our agency is ready for DAS’ initial review.

Appendix C PA DECENTRALIZATION PROCEDURES MANUAL (Revised 3/18) 16

CERTIFICATION DOCUMENT I have read this document and understand the responsibilities and liabilities that our agency will be undertaking with the decentralized personnel action (PA) process. It is my understanding that we will now be responsible for the processing of ePAR/PAs, which must be in compliance with the Ohio Administrative Code, Ohio Revised Code and all BU Contracts for the State of Ohio. I understand that DAS will continue to be available for technical advice and training, but with this document, substantial responsibility and liabilities associated with the PA process will be delegated to the agency. As the decentralization of ePAR/PA processing is delegated authority, the Director of DAS will retain the right to final approval of ePAR/PA’s if necessary. DAS HR Support will conduct reviews as necessary. In the case that this agency is found to not be processing ePAR/PA’s in accordance with the OAC, ORC, BU contracts and all Directives and after appropriate notification and attempts to resolve the problems, I understand that DAS reserves the right to revoke this certification and the agency will no longer retain the right to the approval and processing of ePAR/PA’s until the problems are remedied. This document will be kept on file at both the DAS and agency level. It will be this agency’s responsibility to notify DAS of any changes in our internal policy as well as signature changes by providing an updated certification document. AGENCY AGENCY APPOINTING AUTHORITY AGENCY HUMAN RESOURCES ADMINISTRATOR AGENCY FISCAL ADMINISTRATOR AGENCY LEGAL COUNSEL DAS REVIEWER DATE

Appendix D PA DECENTRALIZATION PROCEDURES MANUAL (Revised 3/18) 17

TO: Ohio DAS-HRD-Office of State Services

Date: __________________

Subject: Signature Authorization

EFFECTIVE IMMEDIATELY

The following employee(s) are authorized to sign all personnel actions for the Director of

the

The following employee(s) may also accept and process resignations and retirements.

Signature of Appointing Authority

The following are samples of signatures as will be executed by:

Employees Authorized to Sign for the Appointing Authority:

Authorized Signature of the Appointing Authority’s

name (each employee authorized to sign should affix

his/her rendition of the Appointing Authority’s signature)

Employee’s

Initials

Date

Please check the applicable box below:

This form replaces any previous signature authorization on file for my agency.

This form is in addition to what is already on file with DAS.