Agency Reorganization Request Program Manual

Transcription

1 State Personnel System Agency Reorganization Request Program Manual Division of Human Resource Management June 26, 2017 Department of Management Services HRM #

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3 TABLE OF CONTENTS INTRODUCTION... 3 SCOPE AND PURPOSE... 3 DEFINITIONS... 3 POLICY... 4 PROCEDURE... 4 Identifying a Reorganization... 4 Agency Responsibility... 5 Required and Supplemental Documents... 5 Submitting a Reorganization Request... 6 Understanding the Approval Process... 6 APPENDICES... 8 Appendix A - Staffing Organizational Charts... 8 Appendix B - Functional Organizational Charts... 9 Appendix C - Budget Amendment Processing System (BAPS) Entry Process Division of Human Resource Management 1

4 INTRODUCTION The State Personnel System (SPS) is committed to assisting agencies in organizing along functional or program lines while improving the management and coordination of state services by eliminating overlapping activities. The Department of Management Services Division of Human Resource Management (HRM) and the Governor s Office of Policy and Budget (OPB) have created specific criteria for assessing the appropriateness of all reorganization requests from agencies. This manual is designed to assist SPS agencies in: identifying a reorganization; recognizing agency responsibilities; preparing required and supplemental documents; submitting a reorganization request; and understanding the approval process. SCOPE AND PURPOSE This manual applies to the role of SPS Human Resource (HR) office staff in the reorganization request process. The purposes of this manual are to: establish a uniform course of action for agencies when a reorganization is necessary. This may occur as a result of budget changes that may or may not be contained in the General Appropriations Act (GAA) or may be a result of an agency s review of its internal operational structure; define roles and responsibilities for the agencies within the SPS in submitting reorganization requests for recommendation by HRM and approval by OPB; and set forth time frames, criteria and procedures for submission of agency reorganization requests. DEFINITIONS Career Service (CS) Executive branch positions within the SPS that are not specifically exempted by statute. Selected Exempt Service (SES) Executive branch positions within the SPS that are exempt from the CS in accordance with the provisions of section , F.S. Senior Management Service (SMS) Executive branch positions within the SPS at senior level or the highest executive management level of an agency which are exempt from the CS in accordance with the provisions of section , F.S. Staffing Organization Charts A detailed chart of each major unit illustrating each position within the hierarchy and their reporting relationships. This chart should illustrate the organization Division of Human Resource Management 2

5 of the entities being affected, including broadband codes, pay bands, class code, class titles and position numbers assigned to each entity (see Appendix A). Functional Organization Charts A summary chart showing the relationship of all major units of the agency. This chart should illustrate the organization of the entities being affected, including functions and/or programs assigned to each entity (see Appendix B). Position Description (PD) The form that provides basic information about the position. It serves as the official record of the duties and responsibilities, necessary knowledge, skills and abilities, and certain attributes assigned the position. The position description is used to officially classify the position. Reclassification The changing of an established position in one broadband level in an occupational group to a higher or lower level in the same occupational group or to a broadband level in a different occupational group. POLICY It is the objective of OPB and HRM that every request for reorganization be handled judiciously, expeditiously and professionally. Each person charged with the responsibility under these procedures must ensure that the actions recommended are consistent with applicable law, rule, requirements of the Governor s Office and DMS guidelines. Structural reorganization must be a continuing process through careful executive and legislative appraisal of the placement of proposed new programs and the coordination of existing programs in response to public needs in accordance with the provisions of section 20.02(4), F.S. Departments must be organized along functional or program lines per section 20.02(6), F.S. When a reorganization of state government abolishes positions, the individuals affected, when otherwise qualified, must be given priority consideration for any new positions created by reorganization or for other vacant positions in state government in accordance with the provisions of section 20.02(8), F.S. Unless specifically authorized by law, the agency must seek recommendation from HRM and request approval from OPB whenever an agency seeks to change its functional organization within the agency. All reorganization requests must be submitted into the Budget Amendment Processing System (BAPS) by the agency staff as appropriate. As a reminder HRM approval is required when an agency seeks to reclassify and/or re-title positions which are exempted from CS, if the basis for which the original exemption was granted is changing, even when the change does not necessitate a functional change (i.e. change of pay plan, change of job family or occupation). PROCEDURE The reorganization process is initiated by an agency s Human Resource (HR) office by preparing the appropriate documents and delivering them to the agency s budget office or appropriate staff which will enter all of the information into BAPS and submit the request electronically to HRM for initial review. HRM will review the request for compliance with the Division of Human Resource Management 3

6 technical aspects of classification management, and forward their recommendations to OPB. OPB s review of the request will conclude with an approval or disapproval notification sent to the agency and to HRM via BAPS. Every effort should be made to complete processing reorganization requests within 10 business days after the receipt of all required information. If additional information is required by the HRM Consultant (or by OPB via the HRM Consultant) in order to complete the review, the agency will have 15 business days from the HRM Consultant s request to submit additional documentation. The agency can add additional documents or updated documents by uploading them as attachments into BAPS. The reorganization request may be returned to the agency without further action if the requested documents are not submitted timely. Identifying a Reorganization Reorganization changes include changes to official units such as division, bureau, section, and subsection (or comparable). For division and/or bureau level (or comparable) reorganizations, the agency should provide a detailed explanation of the purpose and structure of the reorganization in the Reorg Detail screen in BAPS (see Appendix C). Reorganizations include, but are not limited to the following examples: Unit title change(s); Establishing/deleting/transferring of unit(s); Change of functions assigned to a unit(s); or Establishing/deleting/transferring of function(s). Agency Responsibility Identify the need to request staffing and/or organizational changes and ensure compliance with all applicable laws. Provide justification of the reorganization request, which should include an explanation of how the proposed changes comport with the agency s mission, promotes both efficiency and accountability, and explains the expected results (see Appendix C). Provide information in a clear and concise manner, including identification of deletions and additions to the functional unit(s) within the agency. Identify reorganization requests that are not contained in the GAA and that require adjustments to appropriations and positions which may be subject to approval by the Legislative Budget Commission (LBC) in accordance with the provisions of section (4)(d), F.S. (contact OPB for additional information or requirements). Organize all documentation in a logical and easy-to-follow manner. Grouping of like documents and arranging them in the order in which they are referenced will expedite the review process. Contact OPB and/or HRM for technical support prior to submitting requests, if necessary. This includes requests for any additional agency BAPS security that may be needed. Division of Human Resource Management 4

7 Required and Supplemental Documents Required documents: 1) Current and proposed staffing organization charts, with changes highlighted (see Appendix A); 2) Current and proposed functional organization charts, with changes highlighted (see Appendix B); and 3) Proposed position descriptions (PDs) for positions directly affected by the reorganization changes and/or positions requested to be reclassified. Supplemental documents may be actions required/approved by the Legislature, etc. OPB and HRM may request additional documents if the submitted documents do not adequately display or describe the requested change to the functional structure. These may include, but are not limited to: 1) Justification from the requesting program office, if received. 2) Other agency documents that provide additional supporting information. 3) Copies of statutory requirements. Submitting a Reorganization Request Review internal agency information to ensure that proposed functional/organizational changes are appropriately described and supported, and can be documented; Coordinate between and communicate with OPB, HRM and agency staff as necessary; Review Chapter 20, F.S., and any additional statutory authority for specific agency organization structure requirements; Prepare current and proposed organization charts (staffing and functional) for each division, bureau, or section affected by the reorganization; Prepare PDs for each key position affected by the proposed reorganization. Include updated PDs for division, bureau, or section heads; the positions that each of these report to directly; and any reclassification actions that are a part of the reorganization request. It is not necessary to submit PDs for every position in the division, bureau, or section affected by the reorganization. Agency HR offices should: o o o o o Prepare PDs as appropriate for key SES or SMS positions impacted by the reorganization. Complete information in proposed fields of the PD if a position is newly established. Ensure that all positions are properly classified based on broadband criteria. Verify that any requested CS exemptions meet statutory criteria. Confirm the total percentage is 100 percent for any PD that includes a percentage breakdown of duties. Division of Human Resource Management 5

8 Understanding the Approval Process HRM Responsibility: Contact the requesting agency after initial review if documentation is insufficient or inconsistent with requirements. Suggest alternative approaches if appropriate. Review the reorganization request for the following: 1) Organization structure 2) Organization complexity 3) Responsibility and or accountability 4) Consistency with Chapter 20 and Chapter 110, and other applicable requirements in Florida Statutes 5) Applicability of collective bargaining agreements 6) Compliance with classification and compensation criteria (identify and recommend alternative approaches if not compliant) 7) Program objectives (provided by agency or available in statute) Prepare the recommendation to OPB and submit within 10 working days via BAPS (after receipt of all required information). Receive and file the OPB response along with all approved documents. Advise the agency via BAPS of any classification actions necessary to implement the reorganization. The effective date of the action is normally the date of OPB approval unless a reasonable alternative date has been requested by the agency and included in the recommendation from HRM and agreed to by OPB in their approval notice. OPB Policy Unit Responsibility (for informational purposes): Review HRM s recommendation. Review the reorganization request for the following: 1) Organization structure (functional charts) 2) Organization complexity 3) Goals and objectives 4) Responsibility and or accountability 5) External and internal coordination 6) Environment 7) Efficiency and effectiveness enhancements 8) Consistency with Florida Statutes (Chapter 20 and Chapter 216) 9) Legislative intent 10) Workload and or staffing measures and program objectives Division of Human Resource Management 6

9 11) Draft approval/disapproval response and submit to the Budget Management Unit for Director s signature 12) Send approval/disapproval response to HRM and agency via BAPS 13) File request within policy unit Contact HRM expeditiously if there is not sufficient documentation to substantiate requested action. Division of Human Resource Management 7

10 APPENDIX A STAFFING ORGANIZATIONAL CHARTS (EXAMPLE) Below are examples of a staffing organizational chart of a unit illustrating each position within the hierarchy and the reporting relationships. Current: Proposed: Division of Human Resource Management 8

11 APPENDIX B FUNCTIONAL ORGANIZATIONAL CHARTS (EXAMPLE) Below are examples of a current and proposed functional organizational chart showing the relationship of all major units of the department. Current: Proposed: Division of Human Resource Management 9

12 APPENDIX C BAPS ENTRY PROCESS (SCREEN SHOTS) Reorg Detail (first tab): This is the detailed information which will replace the current agency letter. Be sure to describe the details of the request, including, but not limited to: Organizational reporting changes; Retitling of unit(s); Establishing or deleting unit(s); and Changes of function(s) (including deletions) within established unit(s. All of this information must be supported by the documents submitted. Expected Results (second tab): This is a summary section as to why the requested change(s) supports your agency mission and/or streamlines processes to be more efficient. Division of Human Resource Management 10

13 APPENDIX C BAPS ENTRY PROCESS (SCREEN SHOTS) - continued Position Impact (third tab): Enter all the changes per position that will be affected by the requested reorganization. This includes change(s) to pay plans and/or CS exemptions: CS to SES SES to CS SES to SES CS to SMS SES to SMS SMS to SMS SMS to SES SMS to CS Example: Position XXXX0776 from Chief Information Officer (cc XXXX), Computer and Information Systems Managers, Broadband Code to Director of Information Technology (cc XXXX), Computer and Information Systems Managers, Broadband Code Other Considerations (fourth tab) Enter any additional information that needs to be considered for this reorganization request. This should not be a repeat of information entered in previous sections. Division of Human Resource Management 11