File No. 33601
This rule was published in the May 15, 2010, issue (Vol. 2010, No. 10) of the Utah State Bulletin.
Human Resource Management, Administration
Notice of Proposed Rule
DAR File No.: 33601
Filed: 04/29/2010 11:47:11 PM
Purpose of the rule or reason for the change:
Unnecessary or obsolete definitions are removed, new definitions are added, references are updated, and language is changed to reflect the provisions and terms of H.B. 140 (2010 General Session). Other changes remove incorrect terms or unnecessary words from definitions. (DAR NOTE: H.B. 140 (2010) is found at Chapter 249, Laws of Utah 2010, and will be effective 07/01/2010.)
Summary of the rule or change:
Obsolete or unnecessary definitions in Subsections R477-1-1(29), (43), (54), (61), (79), (80), (85), and (97) are removed. New definitions at: Subsection R477-1-1(13) "Alternative State Application Program", Subsection R477-1-1(32) "Detailed Position Record Management Report", and Subsection R477-1-1(67) "Misconduct", Subsection R477-1-1(71) "Performance Improvement Plan", and Subsection R477-1-1(97) "Settling Period" are added. Subsection R477-1-1(50) is changed to differentiate safety sensitive from data sensitive. Subsection R477-1-1(79) "Post Accident Drug or Alcohol Test" is made more concise. Clarifying language is added to several definitions and superfluous language is removed from others. Unnecessary terms are removed and references are updated in various places.
State statutory or constitutional authorization for this rule:
- Section 67-19-6
Anticipated cost or savings to:
the state budget:
These changes are administrative and do not directly impact state budgets.
This rule only affects the executive branch of state government and will have no impact on local governments.
This rule only affects the executive branch of state government and will have no impact on small businesses.
persons other than small businesses, businesses, or local governmental entities:
This rule only affects the executive branch of state government and will have no impact on other persons.
Compliance costs for affected persons:
This rule only affects agencies of the executive branch of state government.
Comments by the department head on the fiscal impact the rule may have on businesses:
Rules published by the Department of Human Resource Management (DHRM) have no direct effect on businesses or any entity outside state government. DHRM has authority to write rules only to the extent allowed by the Utah Personnel Management Act, Title 67, Chapter 19. This act limits the provisions of career service and these rules to employees of the executive branch of state government. The only possible impact may be a very slight, indirect effect if an agency passes costs or savings on to business through fees. However, it is anticipated that the minimal costs associated with these changes will be absorbed by agency budgets and will have no effect on business.
Jeff Herring, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:Human Resource Management
450 N MAIN ST
SALT LAKE CITY, UT 84114-1201
Direct questions regarding this rule to:
- J.J. Acker at the above address, by phone at 801-537-9096, by FAX at 801-538-3081, or by Internet E-mail at email@example.com
- Gary Schow at the above address, by phone at 801-537-9051, by FAX at 801-538-3081, or by Internet E-mail at firstname.lastname@example.org
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
This rule may become effective on:
Jeff Herring, Executive Director
R477. Human Resource Management, Administration.
The following definitions apply throughout these rules unless otherwise indicated within the text of each rule.
(1) Abandonment of Position: An act of resignation resulting when an employee is absent from work for three consecutive working days without approval.
(2) Actual FTE: The total number of full time equivalents based on actual hours paid in the state payroll system.
(3) Actual Hours Worked: Time spent performing duties and responsibilities associated with the employee's job assignments.
(4) Actual Wage: The employee's assigned salary rate in the central personnel record maintained by the Department of Human Resource Management.
(5) Administrative Leave: Leave with pay granted to an employee at management discretion that is not charged against the employee's leave accounts.
(6) Administrative Adjustment: A DHRM approved change of a position from one job to another job or a salary range change for administrative purposes that is not based on a change of duties and responsibilities.
(7) Administrative Salary Decrease: A
decrease in the current actual wage [
of one or more salary steps ]based on non-disciplinary
administrative reasons determined by an agency head or
(8) Administrative Salary Increase: An
increase in the current actual wage [
of one or more salary steps ]based on special
circumstances determined by an agency head or commissioner.
(9) Agency: An entity of state government that is:
(a) directed by an executive director, elected official or commissioner defined in Title 67, Chapter 22 or in other sections of the code;
(b) authorized to employ personnel; and
(c) subject to
(10) Agency Head: The executive director or commissioner of each agency or a designated appointee.
(11) Agency Human Resource Field Office: An office of the Department of Human Resource Management located at another agency's facility.
(12) Agency Management: The agency head and all other officers or employees who have responsibility and authority to establish, implement, and manage agency policies and programs.
Appeal: A formal request to a higher level for reconsideration of a grievance decision.
14]) Appointing Authority: The officer, board,
commission, person or group of persons authorized to make
appointments in their agencies.
15]) Budgeted FTE: The total number of full time
equivalents budgeted by the Legislature and approved by the
16]) Bumping: A procedure that may be applied prior to a
reduction in force action (RIF). It allows employees with higher
retention points to bump other employees with lower retention
points as identified in the work force adjustment plan, as long as
employees meet the eligibility criteria outlined in
interchangeability of skills.
17]) Career Mobility: A time limited assignment of an
employee to a different position for purposes of professional
growth or fulfillment of specific organizational needs.
18]) Career Service Employee: An employee who has
successfully completed a probationary period in a career service
19]) Career Service Exempt Employee: An employee
appointed to work for a[ n unspecified] period of time [ or who serves] at the pleasure of the appointing authority [ and] may be separated from state employment at any time
without just cause.
20]) Career Service Exempt Position: A position in state
service exempted by law from provisions of career service under
Section[ s] 67-19-15[ and R477-2-1].
21]) Career Service Status: Status granted to employees
who successfully complete a probationary period for[ competitive] career service positions.
22]) Category of Work: A job series within an agency [ that is ]designated by the agency head as having
positions to be eliminated agency wide through a reduction in
force. Category of work may be further reduced as follows:
(a) a unit smaller than the agency upon providing justification and rationale for approval, for example:
(i) unit number;
(ii) cost centers;
(iii) geographic locations;
(iv) agency programs.
(b) positions identified by a set of essential functions, for example:
(i) position analysis data;
(iv) special qualifications;
(v) degrees that are required or directly related to the position.
23]) Change of Workload: A change in position
responsibilities and duties or a need to eliminate or create
particular positions in an agency caused by legislative action,
financial circumstances, or administrative reorganization.
24]) Classification Grievance: The approved procedure by
which an agency or a career service employee may grieve a formal
classification decision regarding the classification of a
25]) Classified Service: Positions that are subject to
the classification and compensation provisions stipulated in
26]) Classification Study: A Classification review
conducted by DHRM under Section R477-3-4. A study may include
single or multiple job or position reviews.
27]) Compensatory Time: Time off that is provided to an
employee in lieu of monetary overtime compensation.
28]) Contractor: An individual who is contracted for
service, is not supervised by a state supervisor, but is
responsible for providing a specified service for a designated fee
within a specified time. The contractor shall be responsible for
paying all taxes and FICA payments, and may not accrue
benefits.[ (29) Corrective Action: A documented administrative action to
address substandard performance of an employee under Section
(30) Critical Incident Drug or Alcohol Test: A drug or alcohol test conducted on an employee as a result of the behavior, action, or inaction of an employee that is of such seriousness it requires an immediate intervention on the part of management.
(31) Demotion: A disciplinary action resulting in a reduction of an employee's current actual wage.
32]) DHRM: The Department of Human Resource
33]) DHRM Approved Recruitment and Selection System: The
state's recruitment and selection system, which is a
centralized and automated computer system administered by the
Department of Human Resource Management.
34]) Disability: Disability shall have the same
definition found in the Americans With Disabilities Act (ADA) of
1990, 42 USC 12101 (2008); Equal Employment Opportunity Commission
regulation, 29 CFR 1630 (2008); including exclusions and
35]) Disciplinary Action: Action taken by management
under Rule R477-11.
36]) Dismissal: A separation from state employment for
cause under Section R477-11-2.
37]) Drug-Free Workplace Act: A 1988 congressional act,
34 CFR 8[ 5 (1993)], requiring a drug-free workplace certification
by state agencies that receive federal grants or contracts.
38]) Employee Personnel Files: For purposes of Title 67,
Chapters 18 and 19, the files
maintained by DHRM and agencies as required
by Section R477-2-5. This does not include employee information
maintained by supervisors.
39]) Employment Eligibility Verification: A requirement
of the Immigration Reform and Control Act of 1986, 8 USC 1324
(1988) that employers verify the identity and eligibility of
individuals for employment in the United States.
40]) "Escalator" Principle: Under the Uniformed
Services Employment and Reemployment Rights Act (USERRA), returning
veterans are entitled to return back onto their seniority escalator
at the point they would have occupied had they not left state
41]) Excess Hours: A category of compensable hours
separate and apart from compensatory or overtime hours that accrue
at straight time only when an employee's actual hours worked,
plus additional hours paid, exceed an employee's normal work
42]) Fitness For Duty Evaluation: Evaluation, assessment
or study by a licensed professional to determine if an individual
is able to meet the performance or conduct standards required by
the position held, or is a direct threat to the safety of self or
others.[ (43) FLSA: Fair Labor Standards Act. The federal statute that
governs overtime. See 29 USC 201 (1996).]
(44) FLSA Exempt: Employees who are exempt from the Fair Labor Standards Act.
(45) FLSA Nonexempt: Employees who are not exempt from the Fair Labor Standards Act.
(46) Follow Up Drug or Alcohol Test: Unannounced drug or alcohol tests conducted for up to five years on an employee who has previously tested positive or who has successfully completed a voluntary or required substance abuse treatment program.
(47) Furlough: A temporary leave of absence from duty without pay for budgetary reasons or lack of work.
(48) Grievance: A career service employee's claim or charge of the existence of injustice or oppression, including dismissal from employment resulting from an act, occurrence, omission, condition, discriminatory practice or unfair employment practice not including position classification or schedule assignment.
(49) Grievance Procedures: The statutory
process of grievances and appeals as set forth in Sections
67-19a-101 through 67-19a-408 and the rules promulgated by the
Career Service Review [
(50) Highly Sensitive Position: A position approved by DHRM that includes the performance of
a]) requiring an employee to operate [ motorized machinery];
b]) directly related to law enforcement;
c]) involving direct access or having control over
direct access to controlled substances;
d]) directly impacting the safety or welfare of the
e]) requiring an employee to carry or have access to
permitting or requiring an
employee to access an individual's highly sensitive, personally
identifiable, private information, including:
(i) financial assets, liabilities, and account information;
(ii) social security numbers;
(iii) wage information;
(iv) medical history;
(v) public assistance benefits;[
(vi) driver license
(51) Gross Compensation: Employee's total earnings, taxable and nontaxable, as shown on the employee's pay statement.
(52) Hiring List: A list of qualified and interested applicants who are eligible to be considered for appointment or conditional appointment to a specific position.
(53) HRE: Human Resource Enterprise; the state human resource management information system.[
(54) Immediate Supervisor: The employee or officer who
exercises direct authority over an employee and who appraises the
55]) Incompetence: Inadequacy or unsuitability in
performance of assigned duties and responsibilities.
56]) Inefficiency: Wastefulness of government resources
including time, energy, money, or staff resources or failure to
maintain the required level of performance.
57]) Interchangeability of Skills: Employees are
considered to have interchangeable skills only for those positions
they have previously held successfully in Utah state government
executive branch employment or for those positions which they have
successfully supervised and for which they satisfy job
58]) Intern: An individual in a college degree
program assigned to work in an activity
where on-the-job training
59]) Job: A group of positions similar in duties
performed, in degree of supervision exercised or required, in
requirements of training, experience, or skill and other
characteristics. The same salary range [ and test standards are] applied to each position in the group.
60]) Job Description: A document containing the duties,
distinguishing characteristics, knowledge, skills, and other
requirements for a job.[ (61) Job Identification Number: A unique number assigned to a
job by DHRM.]
62]) Job Requirements: Skill requirements defined at the
63]) Job Series: Two or more jobs in the same functional
area having the same job [ class ]title, but distinguished and defined by
increasingly difficult levels of [ duties and] responsibilities and requirements.
64]) Legislative Salary Adjustment: A legislatively
approved salary increase for a specific category of employees based
on criteria determined by the Legislature.
65]) Malfeasance: Intentional wrongdoing, deliberate
violation of law or standard, or mismanagement of
66]) Market Based Bonus: One time lump sum monies given
to a new hire or a current employee to encourage employment with
67]) Market Comparability Adjustment: Legislatively
approved change to a salary range for a job based on a compensation
survey conducted by DHRM.
68]) Merit Increase: A legislatively approved and funded
salary increase for employees to recognize and reward successful
69]) Misfeasance: The improper or unlawful performance of
an act that is lawful or proper.
70]) Nonfeasance: Failure to perform either an official
duty or legal requirement.
71]) Performance Evaluation: A formal, periodic
evaluation of an employee's work performance.
(72) Performance Management: The ongoing process of communication between the supervisor and the employee which defines work standards and expectations, and assesses performance leading to a formal annual performance evaluation.
(73) Performance Plan: A written summary of the standards and expectations required for the successful performance of each job duty or task. These standards normally include completion dates and qualitative and quantitative levels of performance expectations.
(74) Performance Standard: Specific, measurable, observable and attainable objectives that represent the level of performance to which an employee and supervisor are committed during an evaluation period.
(75) Personnel Adjudicatory Proceedings:
The informal appeals procedure contained in Section 63G-4-2 for all
human resource policies and practices not covered by the state
employees grievance procedure promulgated by the Career Service
Board], or the classification appeals procedure.
(76) Position: A unique set of duties and responsibilities identified by DHRM authorized job and position management numbers.
(77) Position Description: A document that describes the detailed tasks performed, as well as the knowledge, skills, abilities, and other requirements of a specific position.
(78) Position Identification Number: A unique number assigned to a position for FTE management.[
(79) Position Management Report: A document that lists an
agency's authorized positions including job identification
numbers, salaries, and schedules. The list includes occupied or
vacant positions and full or part-time positions.
(80) Position Sharing: A situation where two employees share
the duties and responsibilities of one full-time career service
position. Leave benefits for position sharing employees are
pro-rated according to the number of hours worked. To be eligible
for benefits, position sharing employees must work at least 50% of
a full-time equivalent.]
81]) Post Accident Drug or Alcohol Test: A Drug or
alcohol test conducted on an employee who is involved in a vehicle
accident while on duty:
(a) where a fatality occurs;
(b) where [
the employee receives a citation under state or local law for
a moving traffic violation arising from the accident and the
accident involves bodily injury to any person who, as a result of
the injury, immediately receives medical treatment away from the
scene of the accident];
where the employee receives a citation under state or local
law for a moving traffic violation arising from the accident and
the accident involves one or more motor vehicles that incur
disabling damage as a result of the accident that must be
transported away from the scene by a tow truck or other
vehicle; (d)] where there is reasonable suspicion that the
employee had been driving while under the influence of
a controlled substance.
82]) Preemployment Drug Test: A drug test conducted on
final candidates for a highly sensitive position or on a current
employee prior to assuming highly sensitive duties.
83]) Probationary Employee: An employee hired into a
career service position who has not completed the required
probationary period for that position.
84]) Probationary Period: A period of time considered
part of the selection process, identified at the job level, the
purpose of which is to allow management to evaluate an
employee's ability to perform assigned duties and
responsibilities and to determine if career service status should
be granted.[ (85) Productivity Step Adjustment: A management authorized
salary increase of one to four steps. Management and employees
agree to the adjustment for employees who accept an increased
workload resulting from actual and budgeted FTE
86]) Proficiency: An employee's overall quality of
work, productivity, skills demonstrated through work performance
and other factors that relate to employee performance or
87]) Promotion: An action moving an employee from a
position in one job to a position in another job having a higher [ maximum ]salary [ step].
88]) Protected Activity: Opposition to discrimination or
participation in proceedings covered by the antidiscrimination
statutes or the Utah State Grievance and Appeal Procedure.
Harassment based on protected activity can constitute unlawful
89]) Random Drug or Alcohol Test: Unannounced drug or
alcohol testing of a sample of highly sensitive employees done in
accordance with federal regulations or state rules, policies, and
procedures, and conducted in a manner such that each highly
sensitive employee has an equal chance of being selected for
90]) Reappointment: Return to work of an individual from
the reappointment register[ , whose accrued annual leave, converted sick leave,
compensatory time and excess hours in the employee's former
position were cashed out upon separation].
91]) Reappointment Register: A register of individuals
who have prior to March 2, 2009:
(a) held career service status and been separated in a reduction in force;
(b) held career service status and accepted career service exempt positions without a break in service and were not retained, unless discharged for cause;
(c) by Career Service Review Board decision been placed on the reappointment register.
92]) Reasonable Suspicion Drug or Alcohol Test: A drug or
alcohol test conducted on an employee based on specific,
contemporaneous, articulated observations concerning the
appearance, behavior, speech or body odors of the employee.
93]) Reassignment: An action mandated by management
moving an employee from one job or position to a different job or
position with an equal or lesser salary range maximum for
administrative reasons. A reassignment may not include a decrease
in actual wage except as provided in federal or state law.
94]) Reclassification: A DHRM reallocation of a single
position or multiple positions from one job to another job to
reflect management initiated changes in duties and
95]) Reduction in Force: (RIF) Abolishment of positions
resulting in the termination of career service staff. RIFs can
occur due to inadequate funds, a change of workload, or a lack of
96]) Reemployment: Return to work of an employee who
resigned or took military leave of absence from state employment to
serve in the uniformed services covered under USERRA.[
Accrued annual leave, converted sick leave, compensatory time
and excess hours may have been cashed out at separation. (97) Rehire: Return to work of a former career service
employee who resigned from state employment. Accrued annual leave,
converted sick leave, compensatory time and excess hours in their
former position were cashed out at separation.]
98]) Requisition: An electronic document used for [ Utah Job Match] recruitment, selection and tracking purposes
that includes specific information for a particular position, job
seekers' applications, and a hiring list.
99]) Salary Range: [ The segment of an approved pay plan assigned to a job.]
100]) Schedule: The determination of whether a position
meets criteria stipulated in the Utah Code Annotated to be career
service (schedule B) or career service exempt (schedule A).
101]) Tangible Employment Action: Any significant change
in employment status e.g. hiring, firing, promotion, failure to
promote, demotion, undesirable assignment, a decision causing a
significant change in benefits, compensation decisions, and work
assignment. Tangible employment action does not include
insignificant changes in employment status such as a change in job
title without a change in salary, benefits or duties.
102]) Transfer: An action not mandated by management
moving an employee from one job or position to another job or
position with an equal or lesser salary range maximum for which the
employee qualifies. A transfer may include a decrease in actual
103]) Uniformed Services: The United States Army, Navy,
Marine Corps, Air Force, Coast Guard; Reserve units of the Army,
Navy, Marine Corps, Air Force, or Coast Guard; Army National Guard
or Air National Guard; Commissioned Corps of Public Health Service,
National Oceanic and Atmospheric Administration (NOAA), National
Disaster Medical Systems (NDMS) and any other category of persons
designated by the President in time of war or emergency. Service in
Uniformed Services includes: voluntary or involuntary duty,
including active duty; active duty for training; initial active
duty for training; inactive duty training; full-time National Guard
duty; or absence from work for an examination to determine fitness
for any of the above types of duty.
104]) Unlawful Discrimination: An action against an
employee or applicant based on race, religion, national origin,
color, sex, age, disability, protected activity under the
anti-discrimination statutes, political affiliation, military
status or affiliation, or any other factor, as prohibited by
105]) USERRA: Uniformed Services Employment and
Reemployment Rights Act of 1994 (P.L. 103-353), requires state
governments to re-employ eligible veterans who resigned or took a
military leave of absence from state employment to serve in the
uniformed services and who return to work within a specified time
period after military discharge.
106]) Veteran: An individual who has served on active
duty in the armed forces for more than 180 consecutive days, or was
a member of a reserve component who served in a campaign or
expedition for which a campaign medal has been authorized.
Individuals must have been separated or retired under honorable
107]) Volunteer: Any person who donates services to the
state or its subdivisions without pay or other compensation except
actual and reasonable expenses incurred, as approved by the
KEY: personnel management, rules and procedures, definitions
Date of Enactment or Last Substantive Amendment: [
October 1, 2009]
Notice of Continuation: June 9, 2007
Authorizing, and Implemented or Interpreted Law: 67-19-6
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For questions regarding the content or application of this rule, please contact J.J. Acker at the above address, by phone at 801-537-9096, by FAX at 801-538-3081, or by Internet E-mail at email@example.com; Gary Schow at the above address, by phone at 801-537-9051, by FAX at 801-538-3081, or by Internet E-mail at firstname.lastname@example.org.