[34 Pa.B. 1442]
[Continued from previous Web Page]
PUBLIC NOTICE OF EXAMINATIONS § 95.32. Special assistance in recruitment.
The Director will encourage interested appointing authorities and agencies, public and private, to aid in the recruitment of qualified applicants through appropriate means of communication concerning the examinations. When classes are unique to one appointing authority, the primary responsibility for recruitment may rest with that appointing authority.
§ 95.33. Content and publication of examination announcements.
(a) The Director or a designee will determine the content and method and scope of publication for each examination announcement. The publication may be electronic. Examination announcements will be published for a minimum of 2 weeks. The scope of publication will be based on the geographic availability of positions and potentially qualified and available applicants and may be regional, Statewide or include both in-State and out-of-State locations.
(b) The content of examination announcements may include the following:
(1) The general nature of work and pay for the classes for which the examination is being announced.
(2) Any experience, training or other requirements for the classes for which the examination is being announced.
(3) Information on whether the examination is being given for appointment or promotion, or both.
(4) The nature of the examination.
(5) How to apply.
RATINGS OF COMPETITORS § 95.41. Qualifying points on examinations.
(a) Basis for Director's determination. The Director, or a designee, will set the qualifying points for part or all of an examination, as the case may be. The determination will take into account both the number and quality of prospective eligibles needed to serve the best interests of the classified service, as well as the validity and reliability of the examination.
(b) Notice of qualifying points. When there is a multipart examination, the Director may require applicants to attain a qualifying score or rating on each test or part of test.
(c) Effect of failure on part of examination. An applicant who has failed to achieve a passing score on any part of the examination may be disqualified from participation in any other parts of the examination, whether or not the applicant has participated or has been rated therein, and if so disqualified, shall be deemed to have failed in the entire examination.
(d) Effect of failing a higher but passing a lower level test. Whenever an applicant is unsuccessful on a higher level examination but has obtained a qualifying score on a lower level examination for which an application had not previously been filed, the applicant may be given a reasonable opportunity to apply for eligibility in the lower level examination.
(e) Effect of passing a higher but failing a lower level test. Whenever an applicant is unsuccessful on a lower level test but has obtained a qualifying score on a higher level test the applicant may be given the minimum passing score on the lower level test.
§ 95.42. Preservation of examination records.
The Director will insure that the following documents are maintained as official Commission records:
(1) The original or a copy of any tests used.
(2) The description of any test used.
(3) The public notice of the test.
(4) The examination instructions.
(5) The scoring keys or other scoring standards used.
(6) The reports of the examiners.
§ 95.43. Inspection of examination records.
(a) By the applicant. The Director will, upon request of the applicant, authorize the inspection of the applicant's own examination records in the presence of an authorized employee of the Commission. The inspection will not include authorization to copy examination instructions, questions or answers and will be conducted to maintain security of the examination standards.
(b) By law enforcement or other public officials. The Director may authorize review of the application and examination records of an applicant or eligible, upon request and for legitimate official purposes, by law enforcement or other public officials when there are satisfactory reasons for the inspection. Copies of examination materials will not be provided except as provided for by other applicable statutes or regulations.
(c) By private individuals other than the candidate. The Director will authorize the exhibiting of applications and examination records to a private individual only when the individual seeking access to the records can demonstrate a clear necessity for the records in order to pursue a legal right. The Director will take necessary precautions to avoid disclosure of the identities of the persons whose applications and test records are being examined. When it is evident that the release of the information would operate to prejudice or impair a person's reputation or personal security, access to the information shall be denied under section 1(2) of the act of June 21, 1957 (P. L. 390, No. 212) (65 P. S. § 66.1(2)).
§ 95.44. Information regarding unsuccessful candidates.
Except as provided in § 95.43(b) and (c) (relating to inspection of examination records), the examination records of applicants who failed all or part of an examination, or who voluntarily withdrew from the examination, may not be exhibited; nor may information be divulged concerning their participation in the examination.
ESTABLISHMENT OF EMPLOYMENT AND PROMOTION LISTS § 95.51. Eligible lists.
The names of those persons who have been found qualified for and have successfully passed the examination shall be arranged in order of final earned ratings and including applicable veterans' credits.
§ 95.52. (Reserved).
DURATION OF EMPLOYMENT AND PROMOTION LISTS § 95.61. Extension and cancellation of eligible lists.
(a) Length of eligibility. The duration of employment and promotion lists will be fixed by the Director with the approval of the Commission for up to 4 years.
(b) Replacing and integrating lists. A newly established eligible list may replace an earlier list, appropriate for the same class or classes. The Director may integrate an eligible list with an equivalent list established later, based on final earned ratings, and veterans' preference when applicable.
(c) Notice to eligibles. When a list is cancelled or an examination is announced which may result in an eligible list which replaces an existing list, the persons whose names remain on the list being cancelled or replaced shall be notified of the cancellation or of their opportunity to participate in a new examination, unless the notice has been included in their original notification of eligibility.
§ 95.63. Amendment of an eligible list.
(a) Basis for amendment. The Director, with the approval of the Commission, may amend an eligible list to: correct a clerical error; indicate a change in veterans' status; add or remove a name; or suspend or alter eligibility for certification or for appointment. The reasons for the amendment shall be entered in, or be evident from records on file.
(b) Effect of amendment. An amendment to an eligible list may not disadvantage a fully qualified eligible already appointed or notified of appointment in good faith, based on a valid certification previously issued.
CHAPTER 97. APPOINTMENT AND PROMOTION OF EMPLOYEES IN THE CLASSIFIED SERVICE
CERTIFICATION § 97.3. Certification of eligible lists.
(a) General content of certification. The Director will certify from the appropriate lists as many names of eligibles available, or subject to availability canvass, as necessary to satisfy the employment requirements of the appropriate appointing authority. Each certification, in addition to indicating relative ranks, shall include the last known addresses and veterans' status of the eligibles. Upon request of the appointing authority, the Director will selectively certify the names of veterans eligible for preferential appointment.
(b) Duration of certification. A certification of names for appointment or for canvass and appointment shall be valid for 60 work days after the date of certification, unless extended by the Director, and appointive action may be initiated at any time within that period.
§ 97.4. Effect of appointment from list.
The name of an eligible who has been appointed may not be certified from the list for a similar or lower level class, unless otherwise provided by law or this part, or by specific request of the eligible. The acceptance of other than permanent, full-time employment will not result in loss of eligibility for permanent appointment. Conversion of a temporary appointment to a permanent appointment shall require regular certification and appointment procedures.
SELECTION AND APPOINTMENT OF ELIGIBLES § 97.12. Rejection of eligibles--passovers.
(a) General. An eligible whose name is disregarded in the making of an appointment within the rule of three shall be considered as having been passed over. Three passovers from the same appointing authority shall result in that eligible's name being deactivated on the eligible list. Eligibles so deactivated may not be certified back to the same appointing authority unless requested by that appointing authority or by retaking the appropriate examination.
(b) Exceptions. Exceptions include the following:
(1) An eligible whose name is disregarded in the making of a preferential appointment of a veteran whose name appears on the same certification, may not be considered as having been passed over.
(2) An eligible whose name is disregarded in the making of an appointment of another eligible when there are four or more appointable eligibles on the same certification, may not be considered as having been passed over.
§ 97.13. Removal of eligible.
An objection to the eligibility for certification or appointment of an eligible whose name appears on a certification shall be promptly raised by the appointing authority using the process established by the Director as set forth in Management Directive 580.34 (as amended) (relating to removal of eligibles for certification or appointment in the classified service). If the objection is sustained by the Director or Commission, the appointing authority need not consider the eligible for appointment.
PROBATIONARY PERIOD § 97.31. Duration and extension of probationary periods.
(a) The length of the probationary period in appointments and promotions for full-time positions, except for trainee classes, shall be 6 months (defined as 180 calendar days--6 months at 30 days per month). See § 97.37 (relating to trainee classes). Probationary periods for part-time positions shall be prorated according to the number of hours in the work week.
(b) The probationary period, except for trainee classes, may be extended to a maximum of 18 months (defined as 545 calendar days--365 calendar days plus 6 months at 30 days per month), at the discretion of the appointing authority. If the appointing authority decides to extend an employee's probationary period, it shall notify the employee in writing at least 1 work day prior to the effective date of the extension. A copy of the notice shall be submitted, upon request, to the Director.
(c) An employee who exceeds the maximum 18-month probationary period, shall have regular status on the day after the probationary period ends.
(d) An employee who exceeds the maximum 24-month probationary period in a trainee class, shall have regular status in the approved end of training class, the day after the probationary period ends.
§ 97.33. Service in higher level position.
A probationary employee who has served any portion of the probationary period and is given a temporary appointment to a higher level position in the same or closely related series of classes under the same appointing authority may have the period of the higher level service credited toward the lower level probationary period. Written notice to that effect shall be given to the employee on or before the date the probationary period expires.
§ 97.37. Trainee classes.
The Director, in cooperation with the appointing authorities and the Executive Board, may designate specific classes for training purposes. These classes shall be extensions of working level classifications. The probationary periods for the training and working levels will be combined and may be set by the Director at a minimum of 6 months (defined as 180 calendar days--6 months at 30 days per month) and a maximum of 24 months (defined as 730 calendar days--2 years at 365 days per year), to coincide with the length of the designated training period. Employees appointed into trainee positions may not attain regular status as trainees, but shall be promoted to the working level, with regular status, if the designated training period is successfully completed. Trainees who are unsuccessful in the training shall be removed promptly. The appointing authority may extend probationary periods of trainees up to the maximum of 24 months, if written notice is provided to the employee at least 1 work day prior to the effective date of the extension. A copy of the notice shall be submitted, upon request, to the Director.
§ 97.39. Notice about performance.
The appointing authority shall notify the employee in writing whether the services of the employee have or have not been satisfactory prior to the expiration of the employee's probationary period. If the employee's performance has been satisfactory, the appointing authority shall confer regular status upon the employee.
TEMPORARY AND EMERGENCY APPOINTMENTS § 97.51. Temporary appointment.
In connection with the request for a certification to fill a position by a temporary appointment, the certification and the appointment documents shall each show that the appointment is for 12 months or less (defined as 365 calendar days).
CLASSIFICATION STANDARDS § 97.63. Working out-of-class.
An appointing authority may temporarily assign an employee to perform duties and responsibilities of another class. Except in the case of emergency, which shall be limited to 30 work days, the employee so assigned shall meet all of the established requirements for the class to which assigned. Employees assigned to work out-of-class shall either have probationary or regular status in their current class. An out-of-class assignment does not entitle the incumbent to preferences for the position on a permanent basis.
CHAPTER 99. EMPLOYEES IN THE CLASSIFIED SERVICE
Subchapter A. TRAINING PROGRAMS § 99.1. (Reserved).
Subchapter B. SERVICE STANDARDS AND RATINGS § 99.11. Establishment of system.
(a) The Director, in cooperation with the appointing authorities, will establish a job-related system of performance evaluations for each class in the classified service.
(b) Performance evaluations will be based upon job-related factors appropriate for determining the manner in which the employee performs the duties and carries out the responsibilities of the position occupied. To provide a uniform and equitable basis for rating employees, the Director, in cooperation with appointing authorities, may establish work performance guides.
(c) Performance evaluation forms and procedures will be reviewed and approved by the Director prior to utilization.
§ 99.13. Reporting of performance evaluations.
Performance evaluations for probationary status employees shall be completed and provided to the employees prior to the scheduled expiration of the probationary period by the appointing authority. Other performance evaluation reports shall be completed at least once each year, unless a different schedule is approved by the Director, and copies retained in the employee's official personnel file. Upon request by the Director, performance evaluation reports shall promptly be made available for audit.
Subchapter C. REASSIGNMENTS AND TRANSFERS § 99.22. Initiation of transfer.
A transfer shall be initiated by the appointing authority having jurisdiction over the position to which the transfer is sought, and shall be made upon a form the Director authorizes. Transfer requires the written consent of the employee and the present employer.
§ 99.26. (Reserved).
CHAPTER 101. SEPARATION OF EMPLOYEES FROM CLASSIFIED SERVICE
SUSPENSION § 101.21. Generally.
(a) Good cause for suspension is one of the following:
(1) Insubordination.
(2) Habitual lateness in reporting for work.
(3) Misconduct amounting to violation of law, rule or lawful and reasonable Departmental orders.
(4) Intoxication while on duty.
(5) Conduct either on or off duty which may bring the service of the Commonwealth into disrepute.
(6) Similar substantial reasons.
(b) Suspension pending investigation may be instituted for the purpose of ascertaining an employee's fitness for continued employment.
(1) When the investigation has not revealed cause for disciplinary action, the suspension shall be retracted and expunged from all records, with the employee receiving back pay for the full period of suspension.
(2) When the investigation has revealed cause for disciplinary action, the suspension shall be converted, either in whole or in part, to a disciplinary action.
(c) Suspensions, to include suspensions pending internal investigation, may not exceed an aggregate of more than 60 work days in a calendar year.
(d) An employee suspended, pending investigation by an external agency, may be suspended for the duration of the external investigation and up to 30 consecutive work days after the conclusion of the external investigation.
(e) The Commission may impose a suspension of not more than 120 work days under section 905.2 of the act (71 P. S. § 741.905b).
REMOVAL DURING PROBATIONARY PERIOD § 101.31. Generally.
An appointing authority shall specify, by written notice, the reasons for removal of an employee before the expiration of the probationary period.
§ 101.32. Rights of promoted employee during probationary period.
The position vacated by an employee serving a probationary period after promotion may not be filled during the period except on a substitute basis, subject to the return of the employee promoted or the successful completion of the probationary term. An employee serving a probationary period which has resulted from a promotion may be removed from the classified service only for just cause.
RETIREMENT § 101.41. (Reserved).
CHAPTER 105. NOTICE AND HEARINGS
NOTICE § 105.1. Written notice required.
(a) Each appointing authority shall give employees written notice of personnel actions affecting them. At the time that the appointing authority notifies an employee of a furlough or a suspension, it shall simultaneously submit a copy of the notice to the Director.
(b) The notice requirements in this subsection are mandatory. Failure to adhere to the requirements set forth in this section and §§ 105.2--105.5 may nullify the personnel action.
§ 105.3. Statement of reasons.
Notices of removal, involuntary demotion or suspension issued to regular employees shall include a clear statement of the reasons therefore, sufficient to apprise the employee of the grounds upon which the charges are based. Notices determined to be defective may result in the reversal of the personnel action.
HEARINGS § 105.11. General.
Hearings granted to employees demoted under section 706 of the act (71 P. S. § 741.706), furloughed under section 802 of the act (71 P. S. § 741.802), resigned under section 806 of the act (71 P. S. § 741.806), removed under section 807 of the act (71 P. S. § 741.807), suspended under section 803 or persons alleging discrimination under section 905.1 of the act (71 P. S. § 741.905a) shall be public hearings. At least 10 working days notice in advance of the date of the hearing shall be tendered in writing to the employee affected and to the appointing authority and others interested in the case, informing them of the date, time and place of hearing. Notice of the hearings shall be posted on the bulletin board located in or near the principal office of the Commission. The Civil Service Commissioners may grant requests for continuances. The Commission, on its own motion, may grant a continuance if the scheduled hearing lasts longer than 2 hours.
§ 105.13. Form of hearing.
(a) The hearing shall be formal, but not all of the strict rules of evidence need be enforced. Evidence offered should be the best evidence available. Documents which constitute reliable evidence or whose contents or meaning are in dispute should be brought to hearing and entered into evidence. Whenever possible, the original document should be available to be offered into evidence.
(b) A complete stenographic, electronic or other exact record of the proceedings shall be made.
(c) A Civil Service Commissioner or a hearing officer designated by the Commission may conduct hearings.
§ 105.14a. Subpoenas.
(a) Procedure for requesting subpoenas.
(1) Subpoenas for the attendance of witnesses or for the production of documents will be issued only upon written application to the Chairperson of the Commission or the Commissioner presiding at hearing, with a copy to the opposing party.
(2) Written application shall specify as clearly as possible the relevance of the testimony or documentary evidence sought. As to documentary evidence, the request must specify to the extent possible the documents desired and the facts to be proved thereby.
(3) Failure to adhere to the requirements of this subsection may result in the refusal by the Commission to issue the requested subpoenas.
(4) Subpoenas for new or additional witnesses will not be issued after a hearing has been commenced and continued unless orally requested on the record at the hearing and approved by the Commission, except that subpoenas issued prior to the commencement and continuance of the hearing may be reissued upon written request.
(b) Service.
(1) A subpoena shall be served personally upon the witness.
(2) Subpoenas for the production of documents shall be served personally or by first-class mail upon the individual in possession of the documents, if known, or the agency head, who may designate a knowledgeable alternate as custodian of the documents, or the legal counsel for the appointing authority.
(3) Service of subpoenas for the attendance of witnesses shall be made at least 48 hours prior to hearing, unless the witness agrees to waive the 48-hour requirement. Subpoenas for the production of documents shall be served no later than 5 work days prior to hearing.
(4) Failure to adhere to the requirements of this subsection may result in a ruling by the Commission denying the enforceability of the subpoena.
(c) Compensation of witnesses.
(1) Witnesses subpoenaed to appear before the Commission shall be paid a witness fee at the rate specified for the courts of common pleas by the party requesting the subpoena.
(2) Witnesses subpoenaed to appear before the Commission shall be paid, by the party serving the subpoena, mileage at the rate specified for the courts of common pleas for each mile actually and necessarily traveled between the place named in the subpoena and either the place of residence of the witness or the work site, whichever distance is less.
(3) At the time a witness is served with a subpoena, the witness shall, upon demand, be paid the witness fee and travel expenses provided in this subsection by the party serving the subpoena. If no demand is made by the witness at the time of service, the fee shall be tendered to the witness prior to the start of the hearing.
(4) Paragraphs (1)--(3) supersede 1 Pa. Code § 35.139 (relating to fees of witnesses).
(d) Supplementation. Subsections (a)--(c) supplement 1 Pa. Code § 35.142 (relating to subpoenas).
§ 105.14d. Prehearing conferences.
(a) Prehearing conference. To facilitate the submission and consideration of issues and facts, the Commission may schedule a prehearing conference and request the parties to participate in the proceeding. The conference may be conducted by telephone or in person, either by a Commissioner or by an attorney employed by the Commission to consider the following:
(1) Simplification of the issues.
(2) Stipulations of fact and authenticity of documents.
(3) Admissibility and relevance of witness testimony.
(4) Admissibility and relevance of exhibits, which will be identified and exchanged at the conference.
(5) Subpoenas and all issues related to subpoenas.
(6) Offers of settlement or proposals for adjustment, if appropriate.
(7) Other matters that would facilitate the efficiency of the proceeding.
(b) Prehearing conference memorandum. No later than 3 work days in advance of the prehearing conference, the parties will submit to the Commission an original memorandum, plus three copies, that contains the following:
(1) Caption identifying the parties and the appeal by its assigned appeal number.
(2) Statement of issues to be decided by the Commission. If a party intends to move the Commission to dismiss the appeal, that issue should be noted, but a Motion to Dismiss must be filed separately.
(3) Statement of stipulations, or facts not in dispute, that includes requested stipulations of fact and any agreements already reached by the parties regarding undisputed facts.
(4) Witness list with brief description of testimony of each witness listed.
(5) Exhibit list with brief description of exhibits and a brief explanation of the relevance of each exhibit listed.
(6) Estimate of time anticipated to complete presentation of evidence to the Commission.
(7) Requests for subpoenas may be included with the memorandum.
(8) At the hearing, the parties may be limited to those witnesses and exhibits set forth in the memorandum unless one or more of the following apply:
(i) A supplemental memorandum is submitted to the Commission at least 1 business day prior to the hearing.
(ii) There has been proper notice to other parties and there is no showing of undue inconvenience or prejudice.
(iii) The parties have conferred and agree to the additional witnesses or exhibits, or both.
(c) Supplementation. Subsections (a) and (b) supplement 1 Pa. Code § 35.113 (relating to initiation of conferences).
Subpart B. EXECUTIVE DIRECTOR OF CIVIL SERVICE
CHAPTER 110. DOCUMENTARY FILINGS AND REPRODUCTION OF RECORDS
Subchapter B. REPRODUCTION OF RECORDS § 110.24. Documents which may be furnished without charge.
(a) Reproductions of applications and attendant papers and records of employees or candidates, excluding test material, may be furnished to appointing authorities to which the names of the employees or eligibles are furnished for classified service personnel actions.
(b) Reproductions of required papers and records may be furnished to court or law enforcement personnel in the conduct of official business. Test materials will be furnished only by Commission or court order.
§ 110.25. Documents which may not be furnished without charge.
Reproductions of records not included in § 110.24 (relating to documents which may be furnished without charge) may be furnished to a requestor upon payment to the Commission of an amount equal to the prevailing cost of reproduction, as determined by the Director. Test material will not be furnished.
§ 110.28. Records retention.
The Director will prepare and maintain a comprehensive records retention schedule. This schedule will identify those records required for retention by the act and satisfy the act regarding open access under reasonable conditions.
(1) Minutes of Commission meetings shall be permanent.
(2) Records may be kept either electronically or mechanically.
[Pa.B. Doc. No. 04-421. Filed for public inspection March 12, 2004, 9:00 a.m.]
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