Ohio Investigative Unit Policy Number : INV PROMOTIONAL PROCESS FOR SWORN PERSONNEL

Transcription

1 Ohio Investigative Unit Policy Number : INV PROMOTIONAL PROCESS FOR SWORN PERSONNEL Date of Revision : 4/5/2006 Priority Review : INV Distribution : INV Summary of Revisions Complete Revision Purpose To establish the promotional process for the positions of Assistant Agent-In-Charge (AAIC) and Agent-In-Charge (AIC). All procedures involved in the promotional process shall be in accordance with all applicable laws, regulations and departmental regulations. Policy Agency Role CALEA The process for promotions of classified sworn employees is guided by applicable laws under, but not limited or restricted to, Ohio Revised Code Chapter 124 and Ohio Administrative Code Chapter 123. Although ultimate authority and responsibility for the promotional process rests with the Executive Director, the oversight of the procedures is given to the Deputy Director of Administration. A. Assistant Agents (AAIC) and Agents (AIC) in Charge The Investigative Unit utilizes the Department of Public Safety s Human Resources Management Division (HRM) for guidance and development of all promotional testing for the rank of Assistant Agent in Charge and Agent in Charge. The Executive Director and/or designee, works directly with HRM personnel to provide input on the testing process and the material to be covered in order to determine the skills, knowledge and abilities of each promotional candidate. Current supervisory staff of the Unit, members of another law enforcement agency and/or professional law enforcement organizations/associations may be used to assist in any portion of the promotional process as approved by the Executive Director. B. Deputy Directors The Deputy Directors of Administration and Operations are selected by the Executive Director and appointed by the Director of Public Safety. The process for this selection is established and controlled by the Executive Director. C. Executive Director The Executive Director of the Investigative Unit is a politically appointed position by the Director of Public Safety with consultation and approval by the Office of the Governor of Ohio. The Executive Director serves at the will and pleasure of the Director of Public Safety and/or the Governor of Ohio. Authority and Responsibility The Investigative Unit s Deputy Director of Administration and/or designee is responsible for insuring that the promotional process complies with applicable polices of the Investigative Unit, the Department of Public Safety as well as state law and/or administrative rules that oversee promotional opportunities that may govern the Unit. Page 1 of 10

2 The Deputy Director of Administration, his/her designee and/or promotional committees provides input during each phase of the written testing process, assessment centers and/or any other promotional procedures. Upon completion of the promotional and selection process, the Executive Director provides to the Director of Public Safety for final approval, a recommendation of the individual(s) to be promoted. The Executive Director may alter, change, and/or modify this policy, the testing process, the selection process or any part therein as needed to insure that the best interest of the Unit is obtained when conducting promotions. Any modifications will be announced via an to the members of the Unit before it is implemented. Promotional Process Described A. Evaluating Potential Candidates Each candidate will be evaluated as a potential promotional applicant based on the following: 1. Assistant Agent in Charge (AAIC) The candidate must meet the minimum qualifications to include: Current employment with the Investigative Unit as an Enforcement Agent at time of promotion. Minimum class qualifications as set forth in the DAS Job Description for Assistant Agent-in-Charge. Desired advanced education would include any training, educations and/or seminars to enhance the agent s current position and ability to perform their assigned duties. 2. Agent in Charge (AIC) The candidate must meet the minimum qualifications to include: Current employment with the Investigative Unit as an AAIC at the time of promotion. Minimum class qualifications as set forth in the DAS Job Description for Agent-in- Charge. Desired in-state advanced education obtained while an AAIC would included:, a. The 3 month Police Executive Leadership College (PELC), b. The Supervisor Training and Education Program (STEP), c. Any other courses approved by the Executive Director that meets comparable standards and/or are related to first line supervision duties. 3. Deputy Director Current employment with the Investigative Unit in a supervisory position at the time of promotion, Minimum class qualifications as set forth in the DAS Job Description for Deputy Director. Desired advanced education obtained while an AIC would include but not be limited to: a. The Federal Bureau of Investigation s National Academy held in Quantico Virginia b. The Southern Police Institute, c. The Northwestern Staff & Command School, or d. Any other courses approved by the Executive Director that meets comparable standards and/or are related to upper management / administrative duties. 4. Executive Director Any qualifications to evaluate the potential of candidates for the position of Executive Director are set by the Director of Public Safety. B. Written Examinations Written examinations for the rank of Assistant Agent in Charge and Agent in Charge may be an open book style. The exam will be created and administered by the HRM with input from the Deputy Director and/or designees. The professional staff of HRM in Page 2 of 10

3 developing the test questions will work with Unit staff to insure the accuracy and reliability of the examination as it relates to the operations of the Investigative Unit. Test questions may be developed based on, but not limited to, the following topics: Investigative Unit & DPS policies and procedures Ohio Revised Code & Ohio Liquor laws FOP Unit # 2 Bargaining Unit Agreement (agreement in affect at the time of the test) AFSME Bargaining Unit Agreement for civilian employees (agreement in affect at the time of the test) Other sources of testing material, if different from those listed above, will be revealed at the time of the promotional announcement. Results of the written test will be privately ed to the applicants and not published in general. Applicants must obtain a minimum passing score to be determined and announced prior to the test in order to be eligible to continue on to the Assessment Center process. There is no requirement to have a written exam for the position of Deputy Director and/or Executive Director. The process for each of these positions is unique and determined at the time of vacancy. C. Assessment Center Process 1. Assessment Centers will be administered in cooperation with the Deputy Director of Administration and/or designee and the HRM. 2. Applicants who have met minimum qualifications, to include obtaining a passing grade on the written test, will receive notification of the Assessment Center testing date (s) a minimum of 15 days in advance. 3. The Deputy Director and/or designee shall notify the qualified applicants of a date and time of a pre-assessment center educational program offered to provide the applicants with basic knowledge on the process. Applicants will be given training on the form and content of the Assessment Center. Participation in the program is voluntary and at the applicant s discretion. 4. Assessment Center Development / Process / Results a. Committee Members The committee shall determine the content, conditions, criteria, number of days and/or other factors concerning the Assessment Center process. The Assessment Center committee will be established as follows: 1) Assistant Agent in Charge Assessment Center Committee Chairperson - Deputy Director of Administration An odd number of supervisors (not to exceed five) as recommended by the Deputy Director and approved by the Executive Director. A representative of the HRM who is knowledgeable, skilled with professional credentials. 2) Agent-in-Charge Assessment Center Committee Chairperson - Deputy Director of Administration An odd number of supervisors (not to exceed five) the rank of Agent-In-Charge or above as recommended by the Deputy Director of Administration and approved by the Executive Director. A representative of the HRM who is knowledgeable, skilled and has professional credentials. Page 3 of 10

4 b. Subject matter of Assessment Center The Committee will develop an Assessment Center to judge the applicant s knowledge, skills and abilities on such topics as, but not limited to, the following areas: Department of Public Safety policies, Investigative Unit policies, procedures and rules Applicable bargaining unit agreements Ohio Revised Code Ohio Liquor Laws Federal laws and regulations dealing with food stamp issues, and The applicant s ability to interact with others, solve problems, make decisions and present findings while handling a variety of forms, reports, correspondence and questions. c. Process 1) The committee members may serve as the Assessors. However, the Executive Director may elect to recruit volunteers and/or hire for compensation, persons from other law enforcement agencies and/or organizations external to the Investigative Unit in order to have Assessors with no personal knowledge of the candidates. 2) Assessors will receive training prior to the beginning of the Assessment Center. The Assessor will follow all evaluation guidelines as established in the training. 3) Assessors shall score each applicant separately based upon criteria established prior to the testing process. 4) Assessor s scores for each applicant shall be tabulated and a consensus reached to determine the final rating for the applicant. d. Assessment Center Results Within 21 working days after the conclusion of the Assessment Center, the Deputy Director shall submit a report to the Executive Director. This report will consist of a list of test results for all participants by descending score. B. Oral Interviews The Executive Director may conduct (if deemed necessary) interviews with candidates who are on the promotional list for AAIC and AIC. The Executive Director may also conduct interviews for the position of Deputy Director. If interviews are to be conducted, the Executive Director will set forth notice to each candidate to include the date, time, location and expected duration of the interview process. The Director of Public Safety and/or designee will determine if an interview process is needed during the selection of an Executive Director. C. Review and Appeal of test results. Following the written test and Assessment Center process, any participant can request a meeting with the Deputy Director of Administration and/or designee to review his/her performance in each phase of the Assessment Center. This request must be submitted in writing to the Deputy Director of Administration within seven (7) state business days after the results of each test is provided to the candidates. Any challenge to a question, material content, grade or other aspect of the testing process may be appealed to HRM. Human Resources will review the material, take into consideration the facts, consult with members of the Investigative Unit and/or Executive Director as needed, and then issue a decision on the challenge within twenty-one (21) Page 4 of 10

5 state business days after the results of each test is provided to the candidates. D. Reapplication Procedures Candidates for Assistant Agent in Charge and Agent in Charge who do not make a passing grade, are not offered an opportunity for promotion during the life of the existing promotional list, or they are passed over for promotion can reapply for the next promotional testing opportunity if they meet the minimum qualifications established in A above. Qualified candidates for the position of Deputy Director and Executive Director may apply when such an opening occurs. E. Lateral Entry Lateral entry to supervisory ranks is not permitted for any position with the exception of the Executive Director. All other supervisor positions are promoted from within the agency. F. Security of test material and results All books, papers, materials, notes, references and actual results of any written test, Assessment Center or other promotional processes related to testing are maintained by the Human Resources Management section. Personnel in HRM will insure that all materials are maintained in a secure manner to avoid any potential ability of early release of content or the unauthorized access to results Job Relatedness The Department of Public Safety s Human Resources Management shall use promotional processes that are job related and non-discriminatory. These include but are not limited to written examinations and assessment centers developed by professional personnel within the Human Resources. Human Resources will insure that the individual(s) so assigned to develop the promotional test(s) are trained, certified, educated and/or have all appropriate professional credentials to establish a reliable testing process. With each promotional testing process, HRM staff will supply the Executive Director with a memorandum or other documentation to verify that the process was deemed job related and non-discriminatory. Promotional Announcement / Process A. Assistant Agents (AAIC) and Agents in Charge (AIC) 1. Announcements for promotional opportunities are distributed to all Investigative Unit staff by coming from the Deputy Director of Administration or designee. The announcements will be provided no less than 21 days prior to the first (written) examination. The Agent-in-Charge of each district office may post a printed copy of the announcement in a conspicuous general location for candidates to review. 2. The announcement will provide: position description to include, but not be limited to, salary, duties, responsibilities, skills and knowledge minimum eligibility requirements closing date for submitting applications types of examination(s) dates of the examination(s) format and general content of the examination(s) expected duration of the examination(s) If the Executive Director will consolidate or replace any existing eligibility list as set forth in D The overall weight given to the written test and Assessment Center that determines the final score. Page 5 of 10

6 The passing grade(s) or percentage(s) needed for: a. The written test in order to continue on to the Assessment Center, b. The final eligibility list to be considered for promotion. 3. Personnel who wish to participate shall submit a memorandum to the Deputy Director of Administration indicating he/she wants to participate in the promotional process. Included in this memorandum shall be: An explanation and documentation of how he/she meets the minimum qualifications stated above, and A statement indicating he/she understands that if he/she is promoted they may be required to move his/her residence to comply with INV100.05, Residency Requirements- Travel Time policy. 4. After a review of the submitted memorandums, all qualified applicants shall receive from the Deputy Director of Administration or designee, written notification of their eligibility to participate in the promotional process. B. Deputy Directors The Executive Director will announce vacancies for the position of Deputy Director. The announcement will provide: Position description to include, but not be limited to, salary, duties, responsibilities, skills and knowledge Minimum eligibility requirements Closing date for submitting applications Other necessary information related to the selection process such as testing and/or oral interviews. C. Executive Director The Director of Public Safety and/or designee may, if deemed necessary, announce the vacancy and process for the selection of the Executive Director of the Investigative Unit. Eligibility Lists A. The final promotional score will be based on a weighted amount given to the written test and Assessment Center. The individual weighs will be announced prior to testing in the original announcement. The combined score must be greater than 60.00% to be placed on the promotional list. Rounding of scores will not be done. In the event that the final combined score of two or more candidates results in an equal score, then the following will occur as a tie breaker to bring the candidates to different final positions: For the AAIC promotional process, tie breaking will be determined by: o Seniority of the agent as established by length of time in state service, not limited to OIU service. If a tie remains, then o The agent with the lower of the last four numbers of his/her social security number. o Should these two methods still not result in a break of the tie, then a coin toss will be completed with all participants present. For the AIC promotional process, tie breaking will be determined by: o The AAIC with the most seniority in rank shall be placed highest, if a tie remains, then o The AAIC with the lower last four numbers of his/her social security number. o Should these two methods still not result in a break of the tie, then a coin toss will be completed with all participants present. B. Once the tests results (and any ties are determined and broken) are established, those candidates who have successfully passed all phases will be ranked from the highest score at the top of the list to the lowest score at the bottom of the list. Page 6 of 10

7 C. Time in Grade 1. Agents who meet the minimum class qualifications in the DAS Job Description for the Assistant Agent-in-Charge position, who currently occupy an Agent position and who meet all minimum requirements as set forth in policy and/or the announcement, are eligible to apply for an Assistant Agent-in-Charge position. Time in Temporary Work Level (TWL) status does not apply. 2. Assistant Agents-in-Charge who meet the minimum class qualifications in the DAS Job Description for the Agent-in-Charge position, who currently occupy an Assistant Agent in Charge position and who meet all minimum requirements as set forth in policy and/or the announcement, are eligible to apply for an Agent-in-Charge position. Time in Temporary Work Level (TWL) status does not apply. 3. Agents-in-Charge who meet the minimum class qualifications in the DAS Job Description for the Deputy Director position, who currently occupy an Agent-in-Charge position and who meet all minimum requirements as set forth in policy and/or the announcement, are eligible to apply for a Deputy Director position. Time in Temporary Work Level (TWL) status does not apply. 4. Requirements related to experience, knowledge, skills and abilities for the Executive Director s position will be established by the Director of Public Safety and/or designee. D. Eligibility List Duration The eligibility lists for Assistant Agent in Charge and Agent in Charge will be for a period of one (1) year from the date the list is established. The Executive Director may: Consolidate two or more established eligibility lists of the same classification by rearranging of eligibles name therein, according to grades, or Replace an existing eligibility list when a new promotional test is conducted and the results eligibility list is established. E. Selection Process 1. When a vacancy opens for a supervisor level position of Assistant Agent in Charge or Agent in Charge, after any lateral transfers, the Executive Director and/or a designee will announce the office location(s) where a promotional opportunity is available. Those candidates who are interested in such promotion to the specific office assignment will submit by to the Executive Director, his/her name for consideration. 2. Once the interested candidates are identified, they will be ranked from the highest to the lowest score based on the eligibility list. For each position in an office location, the Executive Director will use the commonly known Rule of 3 as used by many Civil Service Commissions. Example: o One vacancy for an AIC or an AAIC in a specific office will equal three candidates for review. o Two vacancies for the position of AAIC in a specific office will equal four candidates for review. o Three vacancies for the position of AAIC in a specific office will equal five candidates for review. Each office / position / vacancy will be handled as a separate selection process. 3. Once the Rule of Three has established the potential candidates, the Executive Director will consider the candidates as equals and the final score/position on the list will not be considered. When looking for the best supervisor, the Executive Director will take Page 7 of 10

8 into account individual attributes of the candidates to include, but not be limited to: a. The conduct of the candidate while a member of the Investigative Unit to include active Administrative Investigations whereby the active deportment record may be used to justify future progressive disciplinary actions, b. The capacity of the candidate while in their current rank to perform duties in accordance with policy and procedures, c. The ability of the candidate to interact, lead and manage employees in their individual leadership, experience and management style, d. Past three years of annual evaluations of the candidate and the remarks provided by their supervisor, and e. The Executive Director may elect to conduct interviews with the candidates. 4. Following consideration of all pertinent information and/or consultation with the Deputy Directors or others as deemed by the Executive Director, the Executive Director will select the candidate he/she feels is best for the Unit. The Executive Director will offer to his/her choice of the candidates, a promotional opportunity to the vacant position. a. The initial candidate will have 48 hours to either accept or refuse the promotion. If the candidate refuses the promotion, the Executive Director will offer the promotion to his/her next choice. That candidate will then have 48 hours to either accept or refuse the promotion. This process will continue until a person accepts the promotion. b. Once a candidate has accepted the promotion, the Executive Director will recommend to the appointing authority (the Director of the Department of Public Safety) that the candidate be promoted and assigned as accepted. The Director of Public Safety has the final authority. c. If all candidates refuse the promotion, the Executive Director will go back to step E-2 above and will use the next candidates whose names were submitted for consideration but did not make the Rule of 3. d. Candidates, who refused a promotion to an office they indicated they would accept, will be excluded from further consideration to any office until all available candidates have had an opportunity to be offered a promotion. e. If the entire list is exhausted and no candidates accept the promotion, the Executive Director may order the list to become void. Once the list has been voided, the Executive Director will request that a new test be given as soon a possible. f. If after functioning in the promoted supervisory position an individual discovers that he/she can no longer serve in the supervisory capacity for personal reasons, he/she must: 1) Notify his/her supervisor of this decision, 2) After the proper notifications and approval from both the Executive Director and HRM, the person shall be demoted to his/her previous rank, 3) If a position is available, the person can choose to either stay at his/her currently assigned District Office or transfer back to his/her previous assignment. If no positions are available at the current or previous assignment, he/she will be assigned to another Page 8 of 10

9 open district office of their choice. 4) No per diem would apply, 5) The individual will not be placed back on the current promotional list. 6) The individual must participate in the next promotional process to be considered for any future supervisory opportunities. g. If during the probationary period a person is removed from a supervisory position due to his/her inability to perform the duties of the position, the person will be: 1) Returned to his/her previous rank, 2) Will not be placed back on the current promotion list. 3) and no longer considered for another promotional opportunity, 4) The individual must participate in the next promotional process to be considered for any future supervisory opportunities. 5) The person can either stay at the current assigned District Office or transfer back to his/her previous assignment if a position is available. h. Unless deemed necessary by the Executive Director for the efficient operation of the Unit, no lateral transfers will be granted for promoted personnel during their probationary status once they have accepted the assignment. Promotional Probation Individuals promoted to the rank of Assistant Agent in Charge, Agent in Charge and Deputy Director shall serve a one (1) year probationary period from the day of appointment. Probationary supervisors shall be evaluated on a monthly basis by his/her immediate supervisor. Upon satisfactory completion of the probationary period, the individual shall be recommended to the Director of Public Safety for permanent status. Furthermore, the Executive Director, by and through the Deputy Directors and subordinate supervisory staff, oversees the probationary period of the successful candidate. Probationary supervisors who demonstrate unsatisfactory performance shall be counseled and/or provided with additional assistance from their supervisor as needed. Continued poor evaluations and/or performance will result in a failure to obtain permanent status and a reduction in rank. The Executive Director serves at the pleasure of the Director of Public Safety and/or the Governor of the State of Ohio. As such, the Executive Director is a permanent probationary employee and may be released at anytime. Current Form and Supplemental References Applicable labor agreement DAS rules Ohio Administrative Code Standard References None Page 9 of 10

10 Policy References INV RESIDENCY REQUIREMENTS/TRAVEL TIME Attachment(s) INV Residency Requirements/Travel Time Page 10 of 10