state of oregon: hris project enterprise readiness ... process gap analysis hris.pdfa-1 state of...

A-1

State of Oregon: HRIS Project

Enterprise Readiness Assessment Consulting Services

Gap Analysis

Deliverable 1

January 2014

i

Gap Analysis State of Oregon – HRIS Project

January 2014 Enterprise Readiness Assessment Consulting Services

State of Oregon: HRIS Project

Enterprise Readiness Assessment Consulting Services

Gap Analysis

Table of Contents

Executive Summary ................................................................................................... 1

I. Analysis Results ...................................................................................................... 1

A. Employee Processing ................................................................................... 1

1. HR1.01 New Employee ................................................................................................. 1

B. Position Data and Budgeting ....................................................................... 8

1. HR2.01 Position Budgeting for New Biennium ............................................................ 8

2. HR2.02 Budget Management–Monthly ....................................................................... 13

3. HR2.03 Budget Management–Allotment .................................................................... 17

4. HR2.04 Budget Management–Re-projection/Rebalance ............................................. 21

C. Personnel Administration .......................................................................... 26

1. HR3.01 Job Changes (Within Agency) ........................................................................ 26

2. HR3.02 Job Rotation and/or Work Out of Class (WOC) ............................................ 32

3. HR3.03 Workforce Management ................................................................................. 37

4. HR3.04 Americans with Disabilities Act (ADA) ........................................................ 42

5. HR3.05 Pay Changes ................................................................................................... 47

6. HR3.06 Administer Separations................................................................................... 53

7. HR3.07 Temporary Extensions .................................................................................... 59

D. Classification and Compensation .............................................................. 64

1. HR4.01 Administer Compensation Plans .................................................................... 64

2. HR4.02 Administer Reallocations ............................................................................... 70

3. HR4.03 Salary Setting .................................................................................................. 75

4. HR4.04 Classification .................................................................................................. 80

E. Labor Relations .......................................................................................... 85

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1. HR5.01 Manage GrievancesManagement Services .................................................. 85

2. HR5.02 Labor Relations............................................................................................... 90

3. HR5.03 Progressive Discipline .................................................................................... 94

4. HR5.04 Management Services Discipline ................................................................... 99

5. HR5.05 Investigations ................................................................................................ 104

6. HR5.06 Manage Grievances–AFSCME, SEIU (Union Represented Employee/Group)

109

F. Performance Evaluations ......................................................................... 117

1. HR6.01 Performance Evaluations .............................................................................. 117

2. HR6.02 Performance Management ............................................................................ 123

G. Self Service .............................................................................................. 128

1. HR7.01Self Service .................................................................................................... 128

H. Health and Safety..................................................................................... 131

1. HR8.01 Drug Testing ................................................................................................. 131

2. HR8.02 Manage Workers’ Compensation Claims ..................................................... 136

3. HR8.03 Safety ............................................................................................................ 141

I. Leave Management.................................................................................. 145

1. HR9.01 Leave ManagementFMLA/OFLA ............................................................. 145

2. HR9.02 Administer Employee Status on Leave ........................................................ 153

3. HR9.03 Leave ManagementNon FMLA/OFLA Medical Leave ............................. 159

4. HR9.04 Leave ManagementHardship ..................................................................... 167

5. HR9.05 Leave ManagementMilitary ....................................................................... 170

6. HR9.06 Return From Leave ....................................................................................... 175

J. Reporting ................................................................................................. 177

1. HR10.01Enterprise Reporting .................................................................................... 177

K. Training and Development ...................................................................... 182

1. HR11.01Employee Training Tracking and Execution ............................................... 182

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Executive Summary

This document contains the results of the gap analysis activities performed for the Human

Resource Information System (HRIS) project. It contains a high-level set of as-is, marked-up,

and could-be diagrams for each of the business process areas. The as-is process describes the

current business process at a high-level. The marked-up version shows what steps in the process

could be eliminated or automated through the implementation of a new HRIS, as well as

indicates where standardization in the process is necessary. The could-be diagrams are the initial

recommendations for the future business processes. The business process areas are shown in

Exhibit 1 below.

Exhibit 1: Business Process Area and Flows

Business Area Description Process Flows

Employee processing (HR1) Employee processing includes the data entry and processing of an employee's personal information, including an employee's personal data and employment activity.

HR1.01-New employee

Position data and budgeting (HR2)

The position data and budgeting management includes the primary business processes of budgeting and staffing and the control tool for managing the state’s diverse workforce.

HR2.01-Position budgeting for the new biennium

HR2.02-Budget management-monthly

HR2.03-Budget management-allotment

HR2.04-Budget management-re-projection/rebalance

Personnel administration (HR3)

Personnel administration includes the primary business process of maintaining history by personnel actions, with the effective date of the change stored.

HR3.01-Job changes (within agency)

HR3.02-Job rotation and/or work out of class

HR3.03-Workforce management

HR3.04-Americans with Disabilities Act (ADA)

HR3.05-Pay changes

HR3.06-Administer separations

HR3.07-Temporary extensions

Classification and compensation (HR4)

The classification and compensation covers classification and compensation policies for the state, based on a diverse set of criteria,

HR4.01-Administer compensation plans

HR4.02-Administer reallocations

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and ensures that individual employees are adequately and properly compensated and correctly classified.

HR4.03-Salary setting processes

HR4.04 Classification

Labor relations (HR5) The labor relations business area covers the individual bargaining units at the state; the American Federation of State, County and Municipal Employees (AFSCME) and the Service Employees International Union (SEIU). The business processes include how to record and manage how each bargaining unit’s rules impact compensation, grievances, and disciplinary actions. It also describes the business process to record, manage, and act on employee or union-filed grievances and to record, manage, and act on supervisor or manager-filed disciplinary actions.

HR5.01-Manage grievances-management service

HR5.02-Labor relations

HR5.03-Progressive discipline

HR5.04-Management and service discipline

HR5.05-Investigations

HR5.06-Manage grievances-AFSCME, SEIU

Performance management (HR6)

The performance management business areas are meant to enhance the state’s ability to more clearly define performance goals and expectations and to more effectively manage the performance appraisal process for individual employees.

HR6.01-Performance evaluations

HR6.02-Performance management

Self-service (HR7) The self-service capabilities are expected to cross all functional areas and to support both employees and managers.

HR7.01-Employee self-service

HR7.02-Self-service performance management

HR7.03-Self-service training and development

Health and safety (HR8) The health and safety business area covers recording, managing, monitoring, and reporting on a wide variety of health issues, safety concerns, and incidents, including compliance with federal and state safety-related requirements.

HR8.01-Drug Testing

HR8.02-Manage workers’ compensation claims

HR8.03-Safety

Leave management (HR9) Leave management will encompass the Family Medical Leave Act (FMLA) or the Oregon Family Leave Act (OFLA), workers' compensation, military leave, modified duty, hardship, and other types of leave.

HR9.01-Leave management-FMLA/OFLA

HR9.02-Administer employee status on leave

HR9.03-Leave management-non FMLA/OFLA

HR9.04-Leave management–hardship

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HR9.05-Leave management-military

Reporting and data modeling (HR10)

Addresses reporting and data modeling tools to allow users to design comprehensive, analytical, and summary reports that can be exported to an Excel spreadsheet or other application for further manipulation and analysis.

HR10.1-Enterprise reporting

Training (HR11) The training and development features are meant to record, track, monitor, and report on employee training and development. A key function is to track, manage, and report certifications, licenses, and training needed for a position.

HR11.01-Employee training, tracking, and execution

In addition, the process summary documents the gap analysis that corresponds to each set of the

business process diagrams. Each set of process flows has a corresponding process summary to

identify key attributes for the gap analysis.

Purpose and objective: A brief overview of the purpose and key objectives of the process

Description of process: A brief description of the process

Process triggers: Identifies the events or documents needed to begin execution of the

process (e.g., a month comes to an end, an employee has an injury, et cetera)

Inputs: List of data, documents, or another process activity that is required to begin or

continue the process

Activities: Identifies each process step and who performs the steps

Method: Identifies if the process is automated or completed manually

Outputs/work products: A list of documents, completed activities, et cetera, that result from

the end of the process

Laws, regulations, and policies that govern process: Identifies the laws, regulations, and

policies that govern the process

Strengths: List of what works well with the process

Weaknesses: Issues and problems with the current process

Opportunities for improvement: Areas that could potentially improve the process

Systems: Systems, tools, or software used to prepare or complete the process

The remainder of this document contains the process summaries, as-is, marked-up, and could be

diagrams for each business process area.

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I. Analysis Results

A. Employee Processing

The following contains the process summary, as-is, marked-up, and the could-be diagrams

for employee processing.

1. HR1.01 New Employee

This business area covers new employee processing.

a. HR1.01 New Employee process summaries

Below are the process summaries for the new employeeemployee processing

area.

Process Step Description

Purpose, objective, and description of process

This process describes the steps for setting up a newly hired employee. This process creates the official personnel file with the employee's job duties and expectations, in addition to benefit and payroll information.

Process triggers This process can start after a new hire/employee successfully completes the criminal history background check. It can also start with an existing employee who transfers to a new state agency.

Inputs The inputs to this process include the following:

Personnel action (PA), I-9, and W4 forms

Background/criminal history check

Driving records

Employee questionnaire for self-identification (EEQ/AA)

Original, signed employment application

New employee orientation checklist

New employee orientation acknowledgement form

Conditions of employment form

Limited duration agreement

Under fill agreement

Records and privacy expectations

Public Employees’ Benefit Board (PEBB) benefits forms

Activities The following activities are being performed in this process:

Employee

Receive new hire information from the manager, supervisor or

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human resources

Review new employee packet, job duties, and expectations; introduce to staff; and tour the building

Read employee material and policies and sign acknowledgement (on intranet or at employee orientation)

Complete benefits and payroll-related forms and return to human resources

Attend mandatory new employee training (if enrolled)

Manager, supervisor, or appointing authority

Request network and application access five or more business days prior to employee start date

Approve network and application access

Determine if ADA accommodation is needed with agency human resources with agency HR

Find workspace; ADA-compliant workspace or make accommodation, if needed

Assign office key or request key card

Approve facilities access

Determine if a computer or other equipment is required

Locate, purchase, and/or assign computer/other equipment and request set-up

Notify information technology (IT)/others for computer and other equipment set-up

Call telephone service to set up new employee telephone

Obtain new employee packet from HR or from internal website and set up date for employee orientation

Review new employee packet, job duties, and expectations; introduce to staff

Tour the building with employee

Manager verifies labor cost allocation codes

Approve and sign the PA request form and send paperwork to human resources

Notify employee to complete benefit/payroll forms

Assign additional communication equipment (pager, cell phone, et cetera)

Discuss training plan

Enroll employee in mandatory new employee training, if applicable

Monitor trial service and maintain communications regarding job expectations

Determine if employee successfully completed trial service

Initiate the administer mass changes process to update trial service to regular status

3




Initiate the employee data changes process

Initiate the employee separations process

Agency human resources

Request network and application access five or more business days prior to employee start date, if not completed by the manager, supervisor, or appointing authority

Assign office key or request key card, if not completed by the manager, supervisor, or appointing authority

Approve facilities access, if not completed by the manager, supervisor, or appointing authority

Provide new employee packet from human resources and set up date for employee orientation (if not completed by the manager or supervisor of appointing authority)

Receive paperwork and verify that forms are complete

Create new employee file or request official personnel file from previous state agency

Determine if the agency processes the personnel file into the Position and Personnel Data Base (PPDB)

Initiate the appointments process

Notify employee to complete benefit/payroll forms (note: notification can come from payroll)

Forward information to payroll and if applicable, benefit packet is forwarded

Send paperwork to DAS Enterprise Human Resources Services (EHRS) for input

Payroll

Process forms for employee

Method The process is performed manually, with inputs from other systems and outputs that feed into other systems.

Outputs/work products The outputs of this process include the following:

Completed forms

Network identification (ID)

E-mail account

Employee personnel record created/updated

Employee information number (EIN) record created/updated

Payroll record created/updated

PEBB benefit elections

Computer security request form

Laws, regulations, and policies that govern process

Include, but not limited to: CBAs; state policy number 10.011.01 for employee personnel records; policy number 107.004.100 for transporting information assets; and policy number 50.020.10 for ADA

4




and reasonable accommodation in employment

Strengths Employment is contingent on criminal history check.

Weaknesses Getting employee access prior to start date can take up to fifteen business days; locating a workspace; inability to store date and status of background check (complete and pass/fail); each agency has different requirements for storing information; forms are manually routed to payroll; inability to verify status/progress of employee’s access; manually track forms/required documentation; inability to track and manage employee’s licenses and certifications; and inability to track and manage assigned equipment

Opportunities for improvement Identify and track timeline and delays in employee access; log available workspace and equipment; track date and status of background checks (complete and pass/fail); create standard requirements for storing information; process all employee forms in the system; automate the routing of employee information from completed forms, based on workflow; enable automated check list to manually track forms/required documentation; track and manage employee’s licenses and certifications with effective/expiration dates; and track and manage assigned equipment

Systems The following systems are used to prepare in this process:

Microsoft Outlook

Agency shadow systems like the Transportation Online Personnel Action System (ODOT) and Human Resource Management System (ODFW)

Active directory

Facilities

Agency Intranet

PEBB

PPDB

Public Employees Retirement System (PERS)

Payroll

SharePoint

NeoGov

iLearn or other learning management systems

5



b. HR1.01 New Employee as-is diagram

Below is the as-is diagram for the new employee–employee processing area.

HR1.01 New Employee DAS HRIS Project AS-IS Process Flow

Pa

yro

llA

ge

ncy H

R

Ma

na

ge

r, S

up

erv

iso

r,

or

Ap

po

intin

g A

uth

ority

Em

plo

ye

e

Prior to Start Date Once new employee reports to work

Start

Provide required

new hire

information

Request

network and

application

access five or

more business

days prior to

employee start

date

Approve

network and

application

access

Find

workspace

Notify IT / others

for computer and

other equipment

set-up

Obtain /

provide new

employee

packet from

HR, set up

date for

employee

orientation

Call telephone

service to set up

new employee

telephone

Review new

employee packet,

job duties, and

expectations;

introduce to staff

and tour the

building

Discuss training

plan

Complete benefits and

payroll-related forms

(on-line or hard-copy

forms) and return to HR

Assign additional

communication

equipment (pager,

cell phone, et

cetera)*Approve

facilities

access

Assign office

key or

request key

card

Monitor trial

service, maintain

communications

regarding job

expectations

Attend mandatory

new employee

training

(if enrolled)

Enroll employee in

mandatory new

employee training

(if applicable)

Employee

successfully

completed trial

service?

ADA

accommodation

needed?

Find ADA-

compliant

workspace /

make

accommodation

Yes No

Employee

computer or

other equipment

required?

Locate, purchase,

and / or assign

computer / other

equipment and

request set-up

Yes

No

Read employee

material and policies;

sign acknowledgement

(on intranet or at

employee orientation)

Receive

paperwork, verify

forms are

complete

Create new employee

file or request official

personnel file from

previous state agency

Manager verifies

labor cost

allocation codes

Approve and sign

PA request form;

send paperwork

to HR

Does the

agency

process into

PPDB?Send paperwork to

DAS EHRS for

input

Yes

Notify employee

to complete

benefit / payroll

forms

Process forms for

employee

Responsible / Process

Forward

information to

Payroll

No

End

If licenses / certifications are tracked in an Access

database or spreadsheet, update with new employee’s

licenses / certification information

*If equipment is tracked in an Access database or

spreadsheet, update the equipment assigned to the

employee

Employee

Separations

Employee

Data Changes

Yes

Administer

Mass Changes

(update trial

service to

regular status)

Appointments

Inputs

Personnel Action (PA), I-9, and W4 forms

Background / criminal history check

Driving records

Employee questionnaire for self

identification (EEQ / AA)



New employee orientation

acknowledgement form



Underfill agreement


PEBB benefits forms

Outputs

Completed forms

Network ID

E-mail account

Employee personnel record created /

updated

Employee information number (EIN)

record created / updated

Payroll record created / updated

PEBB benefits elections


Customers

Employees

Managers / Supervisors

Human Resources

Facilities

IT Purchasing and Asset Management

Personnel Action Processors

Payroll

Systems/Interfaces

Microsoft Outlook

Transportation Online Personnel Action

System (TOPAS-ODOT only)

Active Directory

Facilities

Intranet (DHS)

PEBB

PPDB

PERS

Payroll

SharePoint

NeoGov

iLearn or other LMS

No

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c. HR1.01 New Employee marked-up diagram

Below is the marked-up diagram for the new employee–employee processing area.

HR1.01 New Employee DAS HRIS Project AS-IS Process Flow

Pa

yro

llA

ge

ncy H

R

Ma

na

ge

r, S

up

erv

iso

r,

or

Ap

po

intin

g A

uth

ority

Em

plo

ye

e

Prior to Start Date Once new employee reports to work

Start

Provide required

new hire

information

Request

network and

application

access five or

more business

days prior to

employee start

date

Approve

network and

application

access

Find

workspace

Notify IT / others

for computer and

other equipment

set-up

Obtain /

provide new

employee

packet from

HR, set up

date for

employee

orientation

Call telephone

service to set up

new employee

telephone

Review new

employee packet,

job duties, and

expectations;

introduce to staff

and tour the

building

Discuss training

plan





Assign additional

communication

equipment (pager,

cell phone, et

cetera)*Approve

facilities

access

Assign office

key or

request key

card

Monitor trial

service, maintain

communications

regarding job

expectations

Attend mandatory

new employee

training

(if enrolled)

Enroll employee in

mandatory new

employee training

(if applicable)

Employee

successfully

completed trial

service?

ADA

accommodation

needed?

Find ADA-

compliant

workspace /

make

accommodation

Yes No

Employee

computer or

other equipment

required?

Locate, purchase,

and / or assign

computer / other

equipment and

request set-up

Yes

No

Read employee

material and policies;

sign acknowledgement

(on intranet or at

employee orientation)

Receive

paperwork, verify

forms are

complete

Create new employee

file or request official

personnel file from

previous state agency

Manager verifies

labor cost

allocation codes

Approve and sign

PA request form;

send paperwork

to HR

Does the

agency

process into

PPDB?Send paperwork to

DAS EHRS for

input

Yes

Notify employee

to complete

benefit / payroll

forms

Process forms for

employee


Forward

information to

Payroll

No

End

If licenses / certifications are tracked in an Access

database or spreadsheet, update with new employee’s

licenses / certification information

*If equipment is tracked in an Access database or

spreadsheet, update the equipment assigned to the

employee

Employee

Separations

Employee

Data Changes

Yes

Administer

Mass Changes

(update trial

service to

regular status)

Appointments

Inputs

Personnel Action (PA), I-9, and W4 forms

Background / criminal history check

Driving records

Employee questionnaire for self

identification (EEQ / AA)



New employee orientation

acknowledgement form



Underfill agreement


PEBB benefits forms

Outputs

Completed forms

Network ID

E-mail account

Employee personnel record created /

updated

Employee information number (EIN)

record created / updated

Payroll record created / updated

PEBB benefits elections


Customers

Employees


Human Resources

Facilities

IT Purchasing and Asset Management

Personnel Action Processors

Payroll

Systems/Interfaces

Microsoft Outlook

Transportation Online Personnel Action

System (TOPAS-ODOT only)

Active Directory

Facilities

Intranet (DHS)

PEBB

PPDB

PERS

Payroll

SharePoint

NeoGov

iLearn or other LMS

No

Automated

Automated

AutomatedAutomated Automated

Automated Automated

Automated

Automated

Standardized

Standardized Standardized

Standardized

Standardized

Automated

Standardized

Automated

Automated

Automated

Standardized

Eliminated

Eliminated

Eliminated

Automated

Automated

Automated

Automated

7



d. HR1.01 New Employee could-be diagram

Below is the could-be diagram for the new employee–employee processing area.

HR1.01 New Employee DAS HRIS Project Could Be Process Flow

Hirin

g M

an

ag

er

Em

plo

ye

eS

yste

ms

Ag

en

cy

IT

Ag

en

cy

HR

Ag

en

cy

Pa

yro

llF

acili

tie

siL

ea

rn /

LM

S

Prior to start date, after job offer Once new employee reports to work

Receive notice, sign onto

portal, validate account,

enter / complete new

employee forms and other

requirements

Review forms, request

system access(es),

equipment

(communications,

vehicle, computer,

etc.)

Find

workspace

Review new employee

packet, job duties, and

expectations

Assign office key or request

key card, forward to hiring

manager

Enroll employee in

mandatory new

employee training (if

applicable)

ADA

accommodation

needed?

Find ADA

compliant

workspace or

make

accommodations

Yes No

Locate, purchase, and / or

assign computer, printer,

telephone and other

equipment, and request set-up

Create new employee file or

request official personnel file

from previous state agency

Process payroll and benefits

forms, copy hiring manager,

PEBB, insurance carrier


NeoGov

Forward new employee

data for employee self

service access

HRIS System Admin

Set up new employee self

service access, notify

employee

Start





Attend mandatory new

employee training

(if enrolled)

Route forms to agency

manager, HR, payroll,

IT, facilities

Receive and hold

for on-boarding

Conduct on-boarding

activities, including staff

introductions and

building tour

Self Service

Training and

Development

HR7.03

Performance

Management

HR3.03

Create employee profile and

request training records

8



B. Position Data and Budgeting


for position data and budgeting.

1. HR2.01 Position Budgeting for New Biennium

This business area covers position budgeting for the new biennium.

a. HR2.01 Position Budgeting for New Biennium process summaries

Below are the process summaries for the position budgeting for new biennium

position data and budgeting processing area.



This process describes the steps for drafting, reviewing, and submitting the biennial budget requests, based on existing positions. The budgets submitted include the budget start-up, essential budget, agency request budget, governor’s recommended budget, and the legislatively approved budget.

Process triggers This process starts with the completion of budget pre-work and legislative fiscal office forecasting. The cycle occurs every two years.


Revenue forecasts

Summary expenditure reports

Strategic/business plans

Policy option packages (POPs)


Legislative Fiscal Office

Performs budget pre-work and forecasting

Reviews governor’s recommended budget

Develops recommendations for the legislature (Ways and Means Committee)

Statewide Audit and Budget Reporting Section (SABRS)

Creates and distributes budget preparation worksheets, lists, and instructions for each iteration

Locks Position and Personnel Data Base (PPDB) and Position Information Control System (PICS) to create each budget version upon completion of agency and ODAS review

Audits each budget iteration and creates snapshots of each version

Budget and Management Division (BAM) analyst and agency budget services

Receive and compile budget requests from each agency unit

9




Create agency budget request spreadsheets for individual units and distribute

Review and distribute all other budget versions for individual unit review

Work cooperatively to resolve issues and questions

Request system lock when each budget version is ready for submittal

Method The process is performed manually, with data entry into and reporting from statewide personnel systems.


Agency request budget

Governor’s recommended budget

Legislative adopted budget


Include, but not limited to section 18, article IV of the Oregon constitution

Strengths The current systems track position data in detail and can create snapshots of the data at specified points in time.

Weaknesses The process is paper-based, with manual transfer of data, review, and approval information. Version capture is static and relies on system copies at designated points in time.

Opportunities for improvement Simultaneous development of multiple versions of budgets (i.e., what-if functionality); automated delivery of estimated/suggested budgets and automated workflow; and capture of change history


ODAS Position Information Control System (PICS)

ODAS Oregon budget and information tracking system (ORBITS)

Transportation environment and management system (TEAMS) (ODOT only)

Statewide financial management application (SFMA)

10



b. HR2.01 Position Budgeting for New Biennium as-is diagram

Below is the as-is diagram for the position budgeting for the new biennium–position data and budgeting processing area.

HR2.01 Position Budgeting for the New Biennium DAS HRIS Project As-Is Process Model

BA

M

An

aly

st / A

ge

ncy

Bu

dg

et S

erv

ice

s

SA

BR

S/

Exe

cu

tive

Le

gis

lative

Fis

ca

l O

ffic

e

(LF

O)

an

d

Le

gis

latu

re

Responsibility Process

Run position

audit report/

Start up

LFO reviews GRB

and makes

recommendation to

legislative

subcommittee

LFO/BAM Analyst create

Budget Report (BR) that

documents all changes made

to the GRB leading to LAB

final values

Sub Committees,

using BR, make

recommendations to

Ways and Means

(W&M) Committee

Create Budget Prep

File for PICS Freeze.

PBPA (PICS-

Legislative Approved)

prepared for next

biennium. PBPB

(PICS-Budget

preparation) is

updated.

Start

EBL - Essential Budget Level cycle ARB – Agency Request Budget cycle

LAB- Legislatively Approved Budget - cycle

SABRS locks

PBPD Start-

up version

Run and distribute

initial reports to

agencies

Start up Audit-If

issues arise, get

it resolved here

Create snapshot

of start-upEnd

Run position

audit report/EBL

EBL Audit: If

issues arise, get

resolved here

SABRS locks

PBPB EBL

version

Create

snapshot EBLEnd

Run position

audit

report.ARB

SABRS locks

PBPB ARB

version

Compare ARB

to EBL

ARB audit - if

issues arise,

get resolved

here

Create snapshot

ARBEnd

SABRS locks PBPB

BRB version and

runs audit reports

SABRS approves audit

after Analyst

Recommendation and

Appeal Meeting Results

documents have been

entered into PICS PBPB

SABRS unlocks PICKS for the

LAB reconciliation

SABR locks

PICS and runs

audit reports

Receive and

compile budget

requests from

agency personnel

Review Start-up/

Input/Request

Audit

Kickoff: Create

and distribute

Agency Request

Budget (ARB)

spreadsheets

and instructions

Receive PICS

Freeze Reports

Review

position budget

reports

Are freeze

reports

correct?

Work with

SABRS to

determine

problem

DAS or

Agency

updates

PBOP if

necessary

(depending

on update

capability)

Agency

requests lock

of Start-up

version

Yes

Receive and

compile budget

requests from

agency

personnel

Review Essential

Budget Level

(EBL) submitted

by divisions and

enter information

into PCIS

Review position

budget reports

DAS or

Agency

updates

PBPB if

necessary

(depending

on update

capability)

Work with

SABRS to

determine

problem

Are position

reports correct

Agency

request lock

of PBPB-EBL

version

Review

department and

divisional

strategic

business plan.

Prepare (EBL)

estimates in

coordination

with program

managers,

divisions

administrators,

and BAM

analyst,

including 10%

reduction

options

Yes

No

Review

Agency

Request

Budget (ARB),

(includes EBL

and policy

packages

[PP])

submitted by

divisions,

enter

information

into PICS

Review

position

budget

reports

Are

position reports

correct?

DAS or

Agency

updates

PBPB, if

necessary

(depending

on update

capability)

Work with

SABRS to

determine

problem

Agency

requests lock

of PBP-ARB

version

Review

department and

divisional

strategic

business plans,

prepare (ARB)

estimates in

coordination

with program

managers,

division

administrators,

and BAM

analyst,

including 10%

reduction

options

Yes

No

BAM analysts

review and

approve ARB

making

recommendations

to governor to

develop GRB.

Recommendation

may not be for all

submitted items

Agency receives

notification of

recommendation

Once SABRS

unlocks PICS,

agency updates

PBPB for changes

from ARB level to

balance to GRB

recommendations,

reviews changes,

and submits audit

request to SABRS

Agree? No

Yes

Agency updates

PICS PBPB for

changes from

GRB levels to

balance to the

Legislative

Adopted final

budget

recommendation

Agency submits

audit request to

SABRS

Agency reviews

changes they

made in PICS

PICS roll

updates

PPDB P5

records: new

positions,

abolishments,

and

budgetary

changes

BSU – Budget Start Up cycle

BSU EBL

Begin

appeals

process;

negotiate

appeal with

BAM

Results are

updated in

GRB

Create snapshot

of GRB PICS file

W&M Committee

approves budget

GRB - Governor’s Recommended Budget cycle

ARB GRB

Session

ends

SABRS

approves

audit when all

BR

documents

changes

keyed into

PICS

SABRS

initiates PICS

Roll (PICS

and ORBITS)

HRSD notifies

agencies that

Roll process is

complete

Legislature may issue continuing

resolutions if budget does not pass

before July 1 of odd numbered years

End

LRB

LFO Performs

Budget Pre-Work and

Forecasting

Inputs

Revenue Forecasts

Summary Expenditure Reports

Strategic/Business Plans

Policy Option Packages (POPS)

Outputs

Agency Request Budget

Governor’s Recommended Budget

Legislative Adopted Budget

Customers

Organization Units, Divisions, and

Division Administrators

Legislature / Budget Coordinators /

Managers /Supervisors

DAS BAM / DAS SCD

Systems/Interfaces

PICS

ORBITS

TEAMS (ODOT only)

SFMA

11



c. HR2.01 Position Budgeting for the New Biennium marked-up diagram

Below is the marked-up diagram for the position budgeting for the new biennium–position data and budgeting processing area.

HR2.01 Position Budgeting for the New Biennium DAS HRIS Project As-Is Process Model

BA

M

An

aly

st / A

ge

ncy

Bu

dg

et S

erv

ice

s

SA

BR

S/

Exe

cu

tive

Le

gis

lative

Fis

ca

l O

ffic

e

(LF

O)

an

d

Le

gis

latu

re

Responsibility Process

Run position

audit report/

Start up

LFO reviews GRB

and makes

recommendation to

legislative

subcommittee

LFO/BAM Analyst create

Budget Report (BR) that

documents all changes made

to the GRB leading to LAB

final values

Sub Committees,

using BR, make

recommendations to

Ways and Means

(W&M) Committee

Create Budget Prep

File for PICS Freeze.

PBPA (PICS-

Legislative Approved)

prepared for next

biennium. PBPB

(PICS-Budget

preparation) is

updated.

Start

EBL - Essential Budget Level cycle ARB – Agency Request Budget cycle

LAB- Legislatively Approved Budget - cycle

SABRS locks

PBPD Start-

up version

Run and distribute

initial reports to

agencies

Start up Audit-If

issues arise, get

it resolved here

Create snapshot

of start-upEnd

Run position

audit report/EBL

EBL Audit: If

issues arise, get

resolved here

SABRS locks

PBPB EBL

version

Create

snapshot EBLEnd

Run position

audit

report.ARB

SABRS locks

PBPB ARB

version

Compare ARB

to EBL

ARB audit - if

issues arise,

get resolved

here

Create snapshot

ARBEnd

SABRS locks PBPB

BRB version and

runs audit reports

SABRS approves audit

after Analyst

Recommendation and

Appeal Meeting Results

documents have been

entered into PICS PBPB

SABRS unlocks PICKS for the

LAB reconciliation

SABR locks

PICS and runs

audit reports

Receive and

compile budget

requests from

agency personnel

Review Start-up/

Input/Request

Audit

Kickoff: Create

and distribute

Agency Request

Budget (ARB)

spreadsheets

and instructions

Receive PICS

Freeze Reports

Review

position budget

reports

Are freeze

reports

correct?

Work with

SABRS to

determine

problem

DAS or

Agency

updates

PBOP if

necessary

(depending

on update

capability)

Agency

requests lock

of Start-up

version

Yes

Receive and

compile budget

requests from

agency

personnel

Review Essential

Budget Level

(EBL) submitted

by divisions and

enter information

into PCIS

Review position

budget reports

DAS or

Agency

updates

PBPB if

necessary

(depending

on update

capability)

Work with

SABRS to

determine

problem

Are position

reports correct

Agency

request lock

of PBPB-EBL

version

Review

department and

divisional

strategic

business plan.

Prepare (EBL)

estimates in

coordination

with program

managers,

divisions

administrators,

and BAM

analyst,

including 10%

reduction

options

Yes

No

Review

Agency

Request

Budget (ARB),

(includes EBL

and policy

packages

[PP])

submitted by

divisions,

enter

information

into PICS

Review

position

budget

reports

Are

position reports

correct?

DAS or

Agency

updates

PBPB, if

necessary

(depending

on update

capability)

Work with

SABRS to

determine

problem

Agency

requests lock

of PBP-ARB

version

Review

department and

divisional

strategic

business plans,

prepare (ARB)

estimates in

coordination

with program

managers,

division

administrators,

and BAM

analyst,

including 10%

reduction

options

Yes

No

BAM analysts

review and

approve ARB

making

recommendations

to governor to

develop GRB.

Recommendation

may not be for all

submitted items

Agency receives

notification of

recommendation

Once SABRS

unlocks PICS,

agency updates

PBPB for changes

from ARB level to

balance to GRB

recommendations,

reviews changes,

and submits audit

request to SABRS

Agree? No

Yes

Agency updates

PICS PBPB for

changes from

GRB levels to

balance to the

Legislative

Adopted final

budget

recommendation

Agency submits

audit request to

SABRS

Agency reviews

changes they

made in PICS

PICS roll

updates

PPDB P5

records: new

positions,

abolishments,

and

budgetary

changes

BSU – Budget Start Up cycle

BSU EBL

Begin

appeals

process;

negotiate

appeal with

BAM

Results are

updated in

GRB

Create snapshot

of GRB PICS file

W&M Committee

approves budget

GRB - Governor’s Recommended Budget cycle

ARB GRB

Session

ends

SABRS

approves

audit when all

BR

documents

changes

keyed into

PICS

SABRS

initiates PICS

Roll (PICS

and ORBITS)

HRSD notifies

agencies that

Roll process is

complete

Legislature may issue continuing

resolutions if budget does not pass

before July 1 of odd numbered years

End

LRB

LFO Performs

Budget Pre-Work and

Forecasting

Inputs

Revenue Forecasts

Summary Expenditure Reports

Strategic/Business Plans

Policy Option Packages (POPS)

Outputs

Agency Request Budget

Governor’s Recommended Budget

Legislative Adopted Budget

Customers

Organization Units, Divisions, and

Division Administrators

Legislature / Budget Coordinators /

Managers /Supervisors

DAS BAM / DAS SCD

Systems/Interfaces

PICS

ORBITS

TEAMS (ODOT only)

SFMA

Eliminated

Automated AutomatedAutomated

Automated

Automated

Automated

Automated

Automated

Eliminated

Eliminated

Eliminated

Eliminated

Eliminated

Eliminated

Eliminated Eliminated

Eliminated

Eliminated

Eliminated Eliminated

Eliminated

EliminatedEliminated

Eliminated

Eliminated

Eliminated

AutomatedAutomated

Automated

Automated

Automated

Automated

Automated

Automated

Eliminated

Eliminated

12



d. HR2.01 Position Budgeting for the New Biennium could-be diagram

Below is the could-be diagram for the position budgeting for the new biennium–position data and budgeting processing area.

HR2.01 Position Budgeting for New Biennium DAS HRIS Project Could Be Process Model

Sta

tew

ide

Au

dit a

nd

Bu

dg

et R

ep

ort

ing

(SA

BR

)

BA

M A

na

lyst /

Ag

en

cy B

ud

ge

t S

erv

ice

sS

yste

m

Le

gis

latu

re /

Le

gis

lative

Fis

ca

l

Offic

e


Generate copy of

current position/

budget data for use

in developing next

biennium budget

(“PICS freeze”)

Start

Run program for

statewide

updates

Generate and

distribute reports

Review reports; prepare

and distribute instructions

(may be in HRIS or

separate documents)

Review reports, work with

program managers/executives,

update HRIS per instructions to

reflect next biennium budget

request, attaching business plans

HRIS updated

throughout

biennium with

authorized

position changes

Lock BSU

version, complete

audit

BSU version

stored in HRIS

and ORBITS

Review agency

requests and

business plans;

adjust as needed;

lock EBL

EBL version

stored in HRIS

and ORBITS

Prepare What-If

scenarios

(i.e., 10%

reduction,

adoption of

POPs)

Various

scenarios stored

ARB version

stored in HRIS

and ORBITS

Generate and

distribute

notification of

ARB to agencies

Review ARB,

appeal or accept

Negotiate

appeals

Update HRIS to

GRB version and

lock

Generate and

distribute

notification of

GRB to LFO

GRB version

stored in HRIS

and ORBITS

Present GRB to

legislature

Update HRIS with legislative

changes; prepare final

recommendations to Ways

and Means Committee

LAB version

stored in HRIS

and ORBITS

Generate and distribute

notification of LAB to

agencies and Office of

Finance and Fiscal Services

Budget

Management

HR2.02

13



2. HR2.02 Budget Management–Monthly

This business area covers budget management process that occurs on a monthly basis.

a. HR2.02 Budget Management–Monthly process summaries

Below are the process summaries for the budget management –

monthlyposition data and budgeting processing area.



This process describes the steps for monthly reporting and review of the legislatively adopted budget.

Process triggers This process starts with the close of the month in the statewide financial management system.


Month end closure reports


Agency budget analyst

Brings SFMA data into agency budget systems

Compares, analyzes, and reconciles to SFMA and confers with agency program managers, as needed

Prepares documentation of variances and initiates adjustments

Prepares reports for management

Office of Finance and Fiscal Services

Helps agency budget analyst document variances

Program managers

Confer with agency budget analyst to document variances

Method The process is performed manually, outside of a system, with month end reporting and data received from other systems.


Monthly budget reports


Include, but not limited to section 18, article IV of the Oregon constitution

Strengths The current process recognizes the need to maintain budget data in synchronicity between systems.

Weaknesses The process is paper-based, with manual transfer of data, review,

14




and approval information.

Opportunities for improvement Automation of data transfer between SFMA and agency budget systems; simultaneous development of multiple versions of budgets (i.e., what-if functionality); automated delivery of estimated/suggested budgets and automated workflow; and change history capture


Budget versus actual (BVA)

PPDB

Hyperion

State Financial Management Application (SFMA)

Oregon Statewide Payroll System (OSPS)

RBase

Cost allocation module for shared services

15



b. HR2.02 Budget Management–Monthly as-is diagram

Below is the as-is diagram for the budget management – monthly position data and budgeting processing area.

HR2.02 Budget Management – Monthly DAS HRIS Project As-Is Process Model

Pro

gra

ms

(with

in th

e A

ge

ncy)

Ag

en

cy B

ud

ge

t

OF

S (

Acco

un

tin

g/

Fin

an

ce

an

d F

isca

l

Se

rvic

es


Start

End

OFS

Liaison to work through questions/adjustments

Cost allocation

Coding

Misapplication or omitting of revenues and expenditures

Timing

Confer with

Program

Programs

Collaborate on variance analysis and

expenditure drivers

Program

Confer and

recommend

Ite

rative

pro

ce

ss

Ite

rative

pro

ce

ss

Itera

tive p

roce

ss

Itera

tive p

rocess

Reconcile

actuals from

various systems

to SFMA/Bill

Morris Report

After month is

closed in

SFMA, actuals

are available for

processing;

some agencies

will do this

more often

Develop explanation of

variances

Actuals to Budget

Narrative and dollars

May identify cause of

variance

Collaborate

with Programs

on variance

Confer with

OFS and

Dedicated

Services

Bring data into

various

systems and

compared to

Budget (dollars

and caseload)

Report Out To

Leadership

Allotment

Adjustment or

Rebalance?

Yes

No

End

Inputs

Month end closes

Outputs

Monthly reports

Customers

Employee

Employee’s Peers

Manager

Systems/Interfaces Budget vs. Actual (BVA)

PPDB / CPMS / DSSURS

Hyperion

SFMA / OSPS

RBase

Cost Allocation Module for Shared Services

16



c. HR2.02 Budget Management – Monthly marked-up diagram

Below is the marked-up diagram for the budget management–monthlyposition data and budgeting processing area.

HR2.02 Budget Management – Monthly DAS HRIS Project As-Is Process Model

Pro

gra

ms

(with

in th

e A

ge

ncy)

Ag

en

cy B

ud

ge

t

OF

S (

Acco

un

tin

g/

Fin

an

ce

an

d F

isca

l

Se

rvic

es


Start

End

OFS

Liaison to work through questions/adjustments

Cost allocation

Coding

Misapplication or omitting of revenues and expenditures

Timing

Confer with

Program

Programs

Collaborate on variance analysis and

expenditure drivers

Program

Confer and

recommend

Ite

rative

pro

ce

ss

Ite

rative

pro

ce

ss

Itera

tive p

roce

ss

Itera

tive p

rocess

Reconcile

actuals from

various systems

to SFMA/Bill

Morris Report

After month is

closed in

SFMA, actuals

are available for

processing;

some agencies

will do this

more often

Develop explanation of

variances

Actuals to Budget

Narrative and dollars

May identify cause of

variance

Collaborate

with Programs

on variance

Confer with

OFS and

Dedicated

Services

Bring data into

various

systems and

compared to

Budget (dollars

and caseload)

Report Out To

Leadership

Allotment

Adjustment or

Rebalance?

Yes

No

End

Inputs

Month end closes

Outputs

Monthly reports

Customers

Employee

Employee’s Peers

Manager

Systems/Interfaces Budget vs. Actual (BVA)

PPDB / CPMS / DSSURS

Hyperion

SFMA / OSPS

RBase

Cost Allocation Module for Shared Services

Automated Eliminated Eliminated

17



3. HR2.03 Budget Management–Allotment

This business area covers budget management process for allotments. The could-be

process is combined in the process for HR2.02 Budget Management.

a. HR2.03 Budget Management–Allotment process summaries

Below are the process summaries for the budget management – allotment

position data and budgeting processing area.



This process describes the steps to allocate quarterly appropriation allotments, based on the legislatively approved budget.

Process triggers This process starts after the legislature adopts the biennial budget and cycles through quarterly adjustments.


Appropriation allotment forms

Actual expenditures



Update allotment forms and establish new appropriations, when needed

Enter forecasted budget estimates

Update allotment forms with actual expenditures and analyze variances

Prepare authorization letter, complete allotment plans, and submit to DAS and legislative fiscal office (LFO)

Agency budget director

Review and approve allotment forms

Method The process is performed manually, with inputs from forms and calculations from other systems.


Budget for approval


Include, but not limited to, section 18, article IV of the Oregon constitution

Strengths The process allows for the periodic adjustment of budgets to incorporate position changes

Weaknesses Multiple systems used, which increases the likelihood of duplicative data entry; forms are filled manually; and reviews and approvals occur manually

18




Opportunities for improvement Automation of data transfer between SFMA and agency budget systems; simultaneous development of multiple versions of budgets (i.e., what-if functionality); automated delivery of estimated/suggested budgets; and automated workflow and capture of change history


SFMA

Microsoft Office/Excel

Hyperion/Brio

Agency-specific budget and personnel systems

19



b. HR2.03 Budget Management–Allotment as-is diagram

Below is the as-is diagram for the budget management – allotmentposition data and budgeting processing area.

HR2.03 – Budget Management – Allotment DAS HRIS Project As-Is Process Model

De

dic

ate

d

Se

rvic

es

Bu

dg

et

Div

isio

ns

Ag

en

cy B

ud

ge

t


Receive Leg

Adopted Budget

Process

Start

1st Quarter Allotments (1)

Update existing appropriation

allotment forms for new biennium

Establish new appropriations

(Appropriation Profile) in

coordination with OFS/DAS

Revise Appropriation Query form

and send to DAS

2nd Quarter Allotments

Complete allotment form with

estimates, including 1st Quarter

allotment

Use current authority as checksum

obtained from 62 Screen on SFMA

and/or Chapter Law (appn bill)

3rd Through 7th Quarter Allotments (2)

Receive BvA report from OFS for last quarter actual

expenditures

Input actual expenditures and compute deviation from

estimate (deviation added back in total available funds for

distribution)

Send allotment templates to dedicated staff to update

current and future quarter estimates – Interim State*

NOTE: for 11-13 Biennium, GF appropriations cannot

estimate/expend more than 54% in 1st year.

Receive Formal

Financial Update and

Rebalance Process

Ite

rative

pro

ce

ss

Could be interaction

with dedicated staff for

telecasting

Dedicated staff completes the

allotments, working with

program to analyze need and

estimate expenditures

DHS/OHA Budget

Administrators

review and approve

Compare to

checksums

8th Quarter Allotments

Remaining unallocated

funds placed in each

appropriation (does not go

to dedicated analysts)

Prepare authorization

letter and completed

allotment plans for

DHS/OHA Budget

Administrators’ approval

and submit to DAS and

LFO

(1) 1st Quarter Allotments Selections:

Budget bill signed/approved by end of June odd numbered year – 15%

of budgeted amount placed in each appropriation or

8th Quarter Allotment (previous biennium) or Continuing Resolutions

(detailed justification)

(2) Start 3rd

– 7th quarter process within 1 week after quarter closes (input

actuals).

Letter out no later than the beginning of last week of month before new

quarter.

Data Entry

Allotment

ProcessStart

Start

Inputs

Appropriation Allotment Forms

Actual Expenditures

Outputs

Budget for Approval

Customers

Agency Budget

Budget Divisions

Dedicated Services

Systems/Interfaces

SFMA


Hyperion/Brio

20



c. HR2.03 Budget Management–Allotment marked-up diagram

Below are the marked-up diagram for the budget management–allotmentposition data and budgeting processing area.

HR2.03 – Budget Management – Allotment DAS HRIS Project As-Is Process Model

De

dic

ate

d

Se

rvic

es

Bu

dg

et

Div

isio

ns

Ag

en

cy B

ud

ge

t


Receive Leg

Adopted Budget

Process

Start

1st Quarter Allotments (1)

Update existing appropriation

allotment forms for new biennium

Establish new appropriations

(Appropriation Profile) in

coordination with OFS/DAS

Revise Appropriation Query form

and send to DAS

2nd Quarter Allotments

Complete allotment form with

estimates, including 1st Quarter

allotment

Use current authority as checksum

obtained from 62 Screen on SFMA

and/or Chapter Law (appn bill)

3rd Through 7th Quarter Allotments (2)

Receive BvA report from OFS for last quarter actual

expenditures

Input actual expenditures and compute deviation from

estimate (deviation added back in total available funds for

distribution)

Send allotment templates to dedicated staff to update

current and future quarter estimates – Interim State*

NOTE: for 11-13 Biennium, GF appropriations cannot

estimate/expend more than 54% in 1st year.

Receive Formal

Financial Update and

Rebalance Process

Ite

rative

pro

ce

ss

Could be interaction

with dedicated staff for

telecasting

Dedicated staff completes the

allotments, working with

program to analyze need and

estimate expenditures

DHS/OHA Budget

Administrators

review and approve

Compare to

checksums

8th Quarter Allotments

Remaining unallocated

funds placed in each

appropriation (does not go

to dedicated analysts)

Prepare authorization

letter and completed

allotment plans for

DHS/OHA Budget

Administrators’ approval

and submit to DAS and

LFO

(1) 1st Quarter Allotments Selections:

Budget bill signed/approved by end of June odd numbered year – 15%

of budgeted amount placed in each appropriation or

8th Quarter Allotment (previous biennium) or Continuing Resolutions

(detailed justification)

(2) Start 3rd

– 7th quarter process within 1 week after quarter closes (input

actuals).

Letter out no later than the beginning of last week of month before new

quarter.

Data Entry

Allotment

ProcessStart

Start

Inputs

Appropriation Allotment Forms

Actual Expenditures

Outputs

Budget for Approval

Customers

Agency Budget

Budget Divisions

Dedicated Services

Systems/Interfaces

SFMA


Hyperion/Brio

Automated

Automated

Eliminated

21



4. HR2.04 Budget Management–Re-projection/Rebalance

This business area covers budget management process to perform re-projections or to

rebalance the budget.

a. HR2.04 Budget Management–Re-Projection/Rebalance process summaries

Below are the process summaries for the budget management – re-

projection/rebalance position data and budgeting processing area.



This process describes the steps to develop re-balancing requests and update budgets to reflect current trends.

Process triggers This process starts with the review of monthly or quarterly actual expenditures against projected expenditures.


Budget versus actual analysis

Passage of time/caseload update

Prepare for rebalance

Program input/new grants

Two financial updates/one rebalance per year



Create baseline expenditure projects

Confer with agency management to update projections

Present to executive management and update with changes, as directed

Prepare documentation for financial updates and rebalances

Agency executives and program managers

Review projections, update, and approve

Determine if rebalance is needed

DAS

Review findings

Method The process is performed manually, with inputs obtained from various systems.


Updated working budget


Include, but not limited to, section 18, article IV of the Oregon constitution

Strengths The process allows for periodic adjustment of budgets in order to incorporate position changes.

22




Weaknesses Multiple systems used, which increases the likelihood of duplicative data entry; forms are filled manually; and reviews and approvals occur manually

Opportunities for improvement Automation of data transfer between SFMA and agency budget systems; simultaneous development of multiple versions of budgets (i.e., what-if functionality); automated delivery of estimated/suggested budgets and automated workflow; and capture of change history


Budget versus actual (BVA)

PPDB

Client Process Monitoring System (CPMS)

SFMA

OSPS

Hyperion

Office of Private Health Partnerships (OPHP) database

RBase

DSSURS

23



b. HR2.04 Budget Management–Re-projection/Rebalance as-is diagram

Below is the as-is diagram for the budget management–re-projection/rebalance position data and budgeting processing area.

HR2.04 Budget Management – Re-Projection/Rebalance DAS HRIS Project As-Is Process Model

DA

SP

rog

ram

Ma

na

ge

me

nt

an

d B

oa

rds

Ag

en

cy/B

ud

ge

t


Start

Ite

rative

pro

ce

ss

Create baseline

projection of

revenues and non-

caseload

expenditures

Review BVA.

Present and discuss

with Executive

Teams; question if

action is needed

Provide information

and feedback to

baseline projection

Confer with Program to

develop understanding

of trends and input to

projections

Modify projections into

BVA, based upon

management actions

determined by Division

Executive teams

Financial

Update and

Rebalance

FROM:

Projections

FROM: Monthly

Budget

Management

Process

Need to

Rebalance?

Review findings

No End

Yes

Inputs

Budget vs. Actual analysis

Passage of time / Caseload update


Program input / New grants

Two financial updates/one rebalance per

year

Outputs


Customers

Employee

Employee’s Peers

Manager

Systems/Interfaces

Budget vs. Actual (BVA)

PPDB / CPMS /SFMA / OSPS

Hyperion

OPHP Database

RBase

DSSURS

24



c. HR2.04 Budget Management–Re-projection/Rebalance marked-up diagram

Below is the marked-up diagram for the budget management – re-projection/rebalance position data and budgeting processing area.

HR2.04 Budget Management – Re-Projection/Rebalance DAS HRIS Project As-Is Process Model

DA

SP

rog

ram

Ma

na

ge

me

nt

an

d B

oa

rds

Ag

en

cy/B

ud

ge

t


Start

Ite

rative

pro

ce

ss

Create baseline

projection of

revenues and non-

caseload

expenditures

Review BVA.

Present and discuss

with Executive

Teams; question if

action is needed

Provide information

and feedback to

baseline projection

Confer with Program to

develop understanding

of trends and input to

projections

Modify projections into

BVA, based upon

management actions

determined by Division

Executive teams

Financial

Update and

Rebalance

FROM:

Projections

FROM: Monthly

Budget

Management

Process

Need to

Rebalance?

Review findings

No End

Yes

Inputs

Budget vs. Actual analysis

Passage of time / Caseload update


Program input / New grants

Two financial updates/one rebalance per

year

Outputs


Customers

Employee

Employee’s Peers

Manager

Systems/Interfaces

Budget vs. Actual (BVA)

PPDB / CPMS /SFMA / OSPS

Hyperion

OPHP Database

RBase

DSSURS

25



d. HR2.02, HR2.03 and HR2.04 Budget Management could-be diagram

Below is the could-be diagram for the budget management position data and budgeting processing area. Note that this could-be diagram replaces the as-is diagrams for the monthly, allotment, and re-

projection/rebalance areas.

HR2.02 Budget Management DAS HRIS Project Could Be Process Model

Offic

e o

f F

ina

nce

an

d F

isca

l S

erv

ice

s

BA

M A

na

lyst /

Ag

en

cy B

ud

ge

t S

erv

ice

sS

yste

m


Update budget management

application with position-

based budget changes

monthly

Start

HRIS updated throughout

biennium with authorized

position changes

Potential

interface

Update agency

application(s) quarterly

with allotments

Conduct operations

Personnel

Administration

Processes

HR3.0x

Classification &

Compensation

Processes

HR2.0x

26



C. Personnel Administration


for personnel administration.

1. HR3.01 Job Changes (Within Agency)

This business area covers job changes within an agency.

a. PHR3.01 Job Changes (Within Agency) process summaries

Below are the process summaries for the job changes (within agency)

personnel administration processing area.



This process describes the steps to take to manage job or position changes within the agency. The process includes changes from an employee who completed trial service or received a promotion or demotion. It also includes employee transfers within the agency.

Process triggers This process can start with an employee ending trial service; a promotion; demotion; or a lateral, interagency transfer to another job/ position.


Employee performance

Collective bargaining agreements (CBAs)

DAS policies

Agency policies

PA form


Outgoing supervisor/manager

Request trail service removal from appointing authority

Work with HR to determine if the employee has restoration rights to a previous job

Initiate the recruiting process

Initiate the track assigned equipment process

Initiate the separations process

Gain supervisor/manager or appointing authority

Notify human resources of employee’s promotion, lateral transfer, or demotion

Approve network and application access

Determine if ADA accommodations are required and implement any accommodations with agency HR

Assign office key or request key card

27




Approve facilities access

Determine if employee needs computer or other equipment

Locate/purchase computer and other equipment and request set-up for employee

Notify IT/others for computer and other equipment set-up

Notify telephone services to set up employee telephone, if needed

Manager verifies labor cost allocation codes

Appointing authority reviews and signs PA

Assign any other communication equipment (pager, cell phone, et cetera)

Initiate the manage employee assigned equipment process


Request network and application access

Approve facilities access if appropriate (note: could be some other unit in the agency assigned to perform facilities management)

Complete PA request and submit for appointing authority signature

Process action into PPDB or forward for DAS entry and file PA in employee file

Appointing authority authorizes trail service removal and determines if restoration is appropriate

DAS Human Resources Services Division (HRSD)

Input paperwork received from agency human resources

Method The process is performed manually, with data entry into PPDB, PERS, and other systems to complete the process.


PA form updated

PPDB update

ADA accommodation

Equipment assignments


Include, but not limited to: Transfers policy number 40.045.01; trial service period policy number 40.065.01; management service trial service period policy number 105-040-0065; ADA and reasonable accommodation in employment policy number 50.020.10; and CBAs

Strengths Communication between outgoing and gaining supervisor/manager

Weaknesses Manual process; timeframe to obtain network and application access; secure workspace and equipment; manual tracking of equipment; manual notifications/requests for equipment and/or access to systems/buildings; and manually enter employee information on forms

28




Opportunities for improvement Track timeframe to set up employee with access and equipment; automate notifications for system access and security; automate employee information on forms; automate transfer of document/forms; and track and assign equipment in the system


PPDB

OSPA

PEBB

PERS

Vantage (legislature)

Shadow systems like Transportation Online Personnel Action System (TOPAS)

29



b. HR3.01 Job Changes (within agency) as-is diagram

Below is the as-is diagram for the job changes (within agency)personnel administration processing area.

HR3.01 Job Changes (within Agency) DAS HRIS Project As-Is Process Flow

DA

S H

RS

DA

ge

ncy H

RG

ain

ing

Su

pe

rvis

or

/ M

an

ag

er

or

Ap

po

intin

g A

uth

ority

Ou

tgo

ing

Su

pe

rvis

or

/ M

an

ag

er

Prior to Start Date

Employee job

change due to a

trial service

removal?

Employee have

restoration rights

to previous

job?

Start

Notify HR of

employee’s

promotion, lateral

transfer, or

demotion

Request network

and application

access

ADA

accommodations

required?

Find ADA compliant

workspace and / or

make other ADA

accommodations

Assign office key

or request key

card

Locate / purchase

computer and

other equipment;

request set-up for

employee

Employee

computer or other

equipment

needed?

Notify IT / others

for computer and

other equipment

set-up

Manager verifies

labor cost

allocation codes

Approve network

and application

access

Yes

Approve

facilities access

Yes

Notify Telephone

Services to set up

employee

telephone, if

needed

Completes PA

request, submits

for Appointing

Authority signature

Appointing

Authority reviews

and signs PA

Does agency

input into PPDB?

Process action into

PPDB; file PA in

employee file

Yes

Assign any other

communication

equipment (pager,

cell phone, et

cetera)

No

Once Employee Starts New Job

No

No

Recruiting

Track

Assigned

Equipment

Manage

Employee

Assigned

Equipment

Inputs


Collective Bargaining Agreements

DAS Policies

Agency Policies

Personnel Action (PA) form

Outputs

PA form updated

PPDB update

ADA accommodation


Customers

Employee

Manager, Supervisor, Appointing

Authority

Agency HR

DAS / OSPA

IT and Telephone Services

Systems/Interfaces

PPDB

OSPA

PEBB

PERS

Vantage (Legislature)

TOPAS (ODOT)

NoYes

Separations

No

Yes

End

Input paperwork

received from

Agency HR

30



c. HR3.01 Job Changes (within agency) marked-up diagram

Below is the marked-up diagram for the job changes (within agency)personnel administration processing area.

HR3.01 Job Changes (within Agency) DAS HRIS Project As-Is Process Flow

DA

S H

RS

DA

ge

ncy H

RG

ain

ing

Su

pe

rvis

or

/ M

an

ag

er

or

Ap

po

intin

g A

uth

ority

Ou

tgo

ing

Su

pe

rvis

or

/ M

an

ag

er

Prior to Start Date

Employee

job change due

to a trial service

removal?

Employee

has restoration

rights

to previous

job?

Start

Notify HR of

employee’s

promotion, lateral

transfer or

demotion

Request network

and application

access

ADA

accommodations

required?

Find ADA compliant

workspace and / or

make other ADA

accommodations

Assign office key

or request key

card

Locate / purchase

computer and

other equipment;

request set-up for

employee

Employee

computer or other

equipment

needed?

Notify IT / others

for computer and

other equipment

set-up

Manager verifies

labor cost

allocation codes

Approve network

and application

access

Yes

Approve

facilities access

Yes

Notify Telephone

Services to set up

employee

telephone, if

needed

Complete PA

request, submit for

Appointing

Authority signature

Appointing

Authority reviews

and signs PA

Does agency

input into PPDB?

Process action into

PPDB; file PA in

employee file

Yes

Assign any other

communication

equipment (pager,

cell phone, et

cetera)

No

Once Employee Starts New Job

No

No

Recruiting

Track

Assigned

Equipment

Manage

Employee

Assigned

Equipment

Inputs


Collective Bargaining Agreements

DAS Policies

Agency Policies


Outputs

PA form updated

PPDB update

ADA accommodation


Customers

Employee


Authority

Agency HR

DAS / OSPA

IT and Telephone Services

Systems/Interfaces

PPDB

OSPA

PEBB

PERS


TOPAS (ODOT)

NoYes

Separations

No

Yes

End

Input paperwork

received from

Agency HR

Eliminated

Automated

AutomatedAutomated

Automated

Automated Automated

Automated

Automated

Automated

Automated

Automated

Eliminated

31



d. HR3.01 Job Changes (within agency) could-be diagram

Below is the could-be diagram for the job changes (within agency)personnel administration processing area.

HR3.01 Job Changes (within Agency) DAS HRIS Project Could Be Process Model

Ag

en

cy H

RS

yste

ms

Ou

tgo

ing

Ma

na

ge

r / S

up

erv

iso

r

Ga

inin

g

Ma

na

ge

r /

Su

pe

rvis

or


Start

Job change

due to trial

service

removal?

Recruiting

Track

Assigned

Equipment

No

HRIS Admin

Restore employee’s

rights to previous job

Yes

Employee have

restoration rights

to previous job?

Administer

Separations

HR3.06

HRIS Admin

Notify managers / supervisors and

HR of employee’s promotion,

lateral transfer, or demotion

New

Employee

HR1.01

Transfer

Yes

Onboarding

Voluntary?

Yes

No

No

32



2. HR3.02 Job Rotation and/or Work Out of Class (WOC)

This business area covers job rotation and/or work out of class.

a. HR3.02 Job Rotation and/or Work Out of Class process summaries

Below are the process summaries for the job rotation and/or work out of class

personnel administration processing area.



This process describes the steps to take to manage job rotation or work out of class (WOC) when a workload need is identified for a limited period of time.

Process triggers This process can start with the identification of a workload need or a position vacancy.


Position vacancy

Position description

Fill request form

PA form


Manager/supervisor

Identify workload need

Complete request to fill form

Update position description

Initiate the job rotation recruitment process or select the appropriate person without recruitment

Complete job rotation and WOC agreement form with WOC compensation

Track duration of job rotation

Extend agreement, if needed

Terminate assignment and WOC compensation, when applicable

Agency human resources/budget

Assistant director, human resources, and/or budget review options and determine best option

Determine if the chosen employee is eligible for WOC or developmental assignment

Method The process is performed manually, with documents created in Microsoft Word and data entry into PPDB and payroll.


PA form

33




Job rotation recruitment

Job rotation agreement

WOC agreement

WOC differential form


Include, but not limited to: CBAs; position management policy number 30.000.01; pay practices, including pay differentials policy number 20.005.10; and alternate methods of filling positions policy number 105-040-0070

Strengths Presents developmental opportunities for employees

Weaknesses Manual process; manual tracking of job duration; inability to notify personnel about expiration of agreement; manually enter employee information on forms/agreements; and manual transfer of forms

Opportunities for improvement Automate tracking of job duration; automate notification to employee and manager/supervisor at expiration of job rotation/WOC agreement; automate notification for WOC differential; and enable automation of form/agreement input, review, and approval


PPDB

Payroll

Microsoft Word

34



b. HR3.02 Job Rotation and/or Work Out of Class as-is diagram

Below is the as-is diagram for the job rotations and/or work out of class personnel administration processing area.

HR3.02 Job Rotation and / or Work Out of Class DAS HRIS Project As-Is Process Model

Ag

en

cy H

R / B

ud

ge

tM

an

ag

er

/ S

up

erv

iso

r

an

d / o

r A

ge

ncy H

R


StartEnd

Yes

No

Complete job

rotation and WOC

agreement form with

WOC compensation

Work out of class

(WOC)

Developmental

Extend agreement,

if needed

Terminate

assignment and

WOC

compensation

when applicable

Track duration of

job rotationIdentify workload

need

Update position

description

Complete request

to fill form

Assistant Director, HR

and / or Budget review

options, and determine

best option

Current employee

with higher

classification

job duties?

Inputs

Position vacancy


Fill request form


Job rotation / WOC request form

Outputs

PA form



WOC agreement


Customers

Employee

Manager / Supervisor

Agency HR

Budget

Systems/Interfaces

PPDB

Payroll

Microsoft Word

Job Rotation

RecruitmentWOC / Developmental determination is based on

length of assignment and employee eligibility.

Developmental assignments may not receive WOC.

35



c. HR3.02 Job Rotation and/or Work Out of Class marked-up diagram

Below is the marked-up diagram for the job rotations and/or work out of class personnel administration processing area.

HR3.02 Job Rotation and / or Work Out of Class DAS HRIS Project As-Is Process Model

Ag

en

cy H

R / B

ud

ge

tM

an

ag

er

/ S

up

erv

iso

r a

nd

/ o

r A

ge

ncy H

R


StartEnd

Yes

No

Complete job

rotation and WOC

agreement form with

WOC compensation

Work out of class

(WOC)

Developmental

Extend agreement,

if needed

Terminate

assignment and

WOC

compensation

when applicable

Track duration of

job rotationIdentify workload

need

Update position

description

Complete request

to fill form

Assistant Director, HR

and / or Budget review

options and determine

best option

Current

employee

with higher

classification

job

duties?

Inputs

Position vacancy


Fill request form


Job rotation / WOC request form

Outputs

PA form



WOC agreement


Customers

Employee


Agency HR

Budget

Systems/Interfaces

PPDB

Payroll

Microsoft Word

Job Rotation

RecruitmentAutomated

Automated

Automated

Automated

Automated

Automated

WOC / Developmental determination is based on

length of assignment and employee eligibility.

Developmental assignments may not receive

WOC.

36



d. HR3.02 Job Rotation and/or Work Out of Class could-be diagram

Below is the could-be diagram for the job rotations and/or work out of classpersonnel administration processing area.

HR3.02 Job Rotation and / or Work Out of Class DAS HRIS Project Could Be Process Model

Ag

en

cy H

R /

Bu

dg

et

Syste

ms

Ma

na

ge

r / S

up

erv

iso

r


Start

Recruitment

Identify workload

need

Complete request

to fill form in HRIS

HRIS

Route notification

to Assistant

Director, HR, and

Budget for review

Review option and

determine best

option

Update position

description in

HRIS

HRIS

Identify current employees

with appropriate

classification job duties,

send notification to

manager / supervisor

Select employee from list

and complete or update

job rotation and WOC

agreement form online

HRIS

Track duration of job

rotation, notify

manager / supervisor at

expiration of agreement

Extend

agreement?

Yes

Terminate

assignment and

WOC

compensation

No End

Pending

reclassification?

No

Classification

Review –

Individual

Position

HR4.02

Yes

Determine type

of recruiting

Internal

External

WOC / Developmental determination is based on length of assignment and

employee eligibility. Developmental assignments may not receive WOC.

Determine WOC

compensation

37



3. HR3.03 Workforce Management

This business area covers general workforce management.

a. HR3.03 Workforce Management process summaries

Below are the process summaries for the workforce managementpersonnel

administration processing area.



This process describes the steps to take to manage employee

performance after the selection and job offer. This circular process

includes the steps taken to initiate other processes, including, but not

limited to, leave management, pay changes, and progressive discipline.

Process triggers This process can start with the selection and hiring of an employee. It can also start with the administration of policies and CBAs.


Job offer

Job description

CBAs


Employee

Receive employee recognition

Participate in appraisal and coaching activities

Agree or disagree with appraisal and coaching actions

Initiate the grievance process

Manager/supervisor with agency human resources

Selection and hiring of employees

Performance management and training with potential resultant processes, which may include:

Progressive discipline

Leave management

Job rotation

Work out of class

Special assignment

Salary administration (pay changes) process

Leave management process

ADA process

Separations process

Layoff and recall process

Unions/labor relations/legal/health and safety

38




Policy administration and CBA provisions

Method The process is performed manually in Microsoft Word and Excel in most agencies, unless an online learning management system is utilized.


Employee recognition

Performance evaluation/appraisal


Grievance

Job rotation, work out of class, and special assignment

Salary administration

Leave management

Policy administration/CBA provisions


Include, but not limited to: CBAs, performance management process policy number 50.035.01; statute chapter 240 state personnel relations; ADA and reasonable accommodation in employment policy number 50.020.10; and job rotation policy number 50.015.01

Strengths Some agencies use Halogen for training management/development and the ability to use subsequent processes to resolve performance issues

Weaknesses Evaluations/appraisals to manage the workforce are often behind or overdue; manual or no tracking of employee’s performance in a system; inconsistent processes across agencies; and process implementation is influenced by manager’s desire, workload, and number of employees supervised/managed

Opportunities for improvement Automate notifications for performance reviews/appraisals; enable tracking of employee’s performance in the system; implement a consistent process across each agency; and establish consistent triggers for subsequent processes


Halogen, iLearn, or other learning management system(s)

Employee assistance program (EAP)

PERS

Microsoft Word

Microsoft Excel

39



b. HR3.03 Workforce Management as-is diagram

Below is the as-is diagram for the workforce managementpersonnel administration processing area.

40



c. HR3.03 Workforce Management marked-up diagram

Below is the marked-up diagram for the workforce managementpersonnel administration processing area.

41



d. HR3.03 Workforce Management could-be diagram

Below is the could-be diagram for the workforce managementpersonnel administration processing area.

HR3.03 Workforce Management DAS HRIS Project Could Be Process Model

Un

ion

s / L

ab

or

Re

latio

ns / L

eg

al /

He

alth

an

d S

afe

ty

Em

plo

ye

eM

an

ag

er

/ S

up

erv

iso

r w

ith

Ag

en

cy H

R


Start

Performance

management and

training

Selection and

hiring job offer

Career

advancement,

special

assignment,

et cetera

Administer

Separations

HR3.06

Leave

Management

Processes

HR9.0x

Employee

improvement? No

Yes

Progressive

Discipline

HR5.03

Salary

Administration

(Pay Changes)

HR3.05

Positive

results?

Policy

administration;

CBA provisions

Appraisal and

coaching actions

Manage

Grievances

Processes

HR5.0x

Agree or

Disagree?Disagree

Agree

Receive feedback

and/or recognitionEnd

No

Yes

Pre-disciplinary options include: coaching, training, counseling,

oral warning, letter of expectations, memo of concern, letter of

warning, and performance work plan.

42



4. HR3.04 Americans with Disabilities Act (ADA)

This business area covers the processes used to address employees’ needs under the

ADA.

a. HR3.04 American with Disabilities Act (ADA) process summaries

Below are the process summaries for the Americans with Disabilities Act

(ADA)personnel administration processing area.



This process describes the steps to take to administer the ADA, which prohibits discrimination against qualified individuals with disabilities.

Process triggers This process can start with the submission of an accommodation request, which can be the result of an internal cause (worker compensation claim or ergonomic assessment) or an external cause (pre-existing visible and known disability or non-work accident).


Accommodation request

Medical information forms

Release of information form

Ergonomic assessment


Employee

Provide notice or request for accommodation

Complete qualifying documentation (form packet) with doctor and return to human resources

Discuss options with human resources/manager

Determine mutual agreement for accommodation

Return to work

Agency HR with Manager/supervisor

Receive notice of need for accommodation

Provide employee with form packet, including request and medical release forms

Determine mutual agreement for accommodation

Implement accommodations as agreed

Initiate job change/transfer process


Review doctor’s recommendations and request more information from doctor, if required

Review and/or interview employee about the request for accommodation

Discuss accommodation options with necessary personnel

43




(managers, facilities, and budget)

Implement accommodation and/or order equipment

Record resolution and outcome

Method The process is performed manually with Microsoft Word, with data entry into PERS and the workers’ compensation systems.


Accommodation in current job

Another job/transfer

Leave of absence

Mutual separation agreement


Include, but not limited to: Title I of the ADA of 1990 and ADA and reasonable accommodation in employment policy number 50.020.10

Strengths Consistent documentation of request for accommodation; mutual development of accommodation action(s); and employee can complete a job transfer as an accommodation

Weaknesses Manual process; workspace accommodation(s) may be limited by facility availability; inability to track ADA in system; and inability to track costs to provide accommodations

Opportunities for improvement Enable automation to submit an accommodation request and track and manage equipment/accommodations made, including costs


Workers compensation

PERS

Microsoft Word

44



b. HR3.04 Americans with Disabilities Act (ADA) as-is diagram

Below is the as-is diagram for the Americans with Disabilities Act (ADA)personnel administration processing area.

HR3.04 Americans With Disabilities Act (ADA) DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

e


Start

End

Accommodation

required?

Discuss

accommodation options

with necessary

personnel (Managers,

Facilities, Budget)

Discuss options

with HR / manager

Provide notice for

accommodation or

witness / receive

notice of need for

accommodation

Send employee

packet with request

form and medical

release forms

Receive packet and

medical release

form

Complete packet

with doctor and

return to HR

Separations

Inputs





Outputs


Another job / transfer

Leave of absence


Customers

Employee

Employee’s Peers


Agency HR

Facilities

Systems/Interfaces

Workers’ compensation

PERS

Microsoft Word

Review and /or

interview employee

regarding request

for accommodation

Return to work

Review doctor’s

recommendations;

request more

information from

doctor, if required

Job Change /

Transfer

Implement and / or

make

accommodation /

order equipment

Record resolution

and outcome

NoYes

45



c. HR3.04 Americans with Disabilities Act (ADA) marked-up diagram

Below is the marked-up diagram for the Americans with Disabilities Act (ADA)personnel administration processing area.

HR3.04 Americans With Disabilities Act (ADA) DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

e


Start

End

Accommodation

required?

Discuss

accommodation options

with necessary

personnel (Managers,

Facilities, Budget)

Discuss options

with HR / manager

Provide notice for

accommodation or

witness / receive

notice of need for

accommodation

Send employee

packet with request

form and medical

release forms

Receive packet and

medical release

form

Complete packet

with doctor and

return to HR

Separations

Inputs





Outputs


Another job / transfer

Leave of absence


Customers

Employee

Employee’s Peers


Agency HR

Facilities

Systems/Interfaces

Workers’ compensation

PERS

Microsoft Word

Review and /or

interview employee

regarding request

for accommodation

Return to work

Review doctor’s

recommendations;

request more

information from

doctor if required

Job Change /

Transfer

Implement and / or

make

accommodation /

order equipment

Record resolution

and outcome

NoYes

Automated

Automated

46



d. HR3.04 Americans with Disabilities Act (ADA) could-be diagram

Below is the could-be diagram for the Americans with Disabilities Act (ADA)personnel administration processing area.

HR3.04 Americans With Disabilities Act (ADA) DAS HRIS Project Could Be Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

eS

yste

ms


Start

End

Accommodation

provided?

Interactive discussion of

accommodation and options

with necessary personnel

(Employee, Managers,

Facilities, Budget)

Provide notice for

accommodation

online or witness /

receive notification of

need for

accommodation

HRIS

Send employee packet

or provide hyperlinks to

request form and medical

release forms to print

and complete

Receive packet and

medical release

form

Complete packet

with doctor and

return to HR

Administer

Separations

HR3.06

Review request and

doctor’s

recommendations;

request more information

from doctor, if required

Job Change

HR3.01

Implement

accommodation

and / or order

equipment

HRIS

Record resolution

and outcome

online

No

Determine

accommodation

not necessary or

possible Accommodation

needed?

No

Yes

Yes

Employee may qualify for leave (e.g., FMLA /

OFLA) while accommodation is provided.

47



5. HR3.05 Pay Changes

This business area covers pay changes to employees.

a. HR3.04 Pay Changes process summaries

Below are the process summaries for the pay changespersonnel administration

processing area.



This process describes the steps for salary administration that includes a pay change as a result of a performance evaluation or merit increase. The process includes explanation of how to deny a merit increase.

Process triggers This process can start with the monthly merit increase report or cost of living adjustment (COLA).


Merit increase report

CBAs

Agency policies

PA form

PPDB input forms

COLA


Manager/supervisor or appointing authority

Review merit increase report and approve/deny merit increase for eligible employees

Initiate the performance evaluations process to:

Determine if an employee change is required

Determine if the differential amount requires adjustment, due to a merit increase

Determine the need to add differential to employee record

Verify licenses, certifications, and program codes

Initiate the disciplinary action tracking process

Determine if a special performance-based increase should be authorized

Determine if the employee’s base rate decreased as a result of disciplinary action

Complete required PA form and obtain appointing authority signature


Distribute monthly merit increase report to managers

Determine if the change is completed through an automated

48




process by DAS

Review and complete implementation process for DAS automated changes

Process pay freeze code on employee’s PPDB record

Help manager/appointing authority complete the performance evaluation process

Process authorized action in PPDB or forward to DAS for entry and file document in employee file

DAS

Create and distribute monthly merit increase report, including employees with WOC differentials

For salary adjustments (COLA) and/or selective agencies, notify via e-mail

Verify automated action processed

Initiate the mass change process

Method The process is performed manually, with reporting from and data entry into multiple systems.


PA form

PPDB update

Pay change

Pay freeze


Include, but not limited to: employee personnel records policy number 10.011.01; including pay practices, which includes pay differentials policy number 20.005.10; Fair Labor Standards Act policy number 20.005.20; federal minimum wage; Oregon minimum wage determination; and Oregon revised statute (ORS) chapter 652 hours, wages, wage claims, and records

Strengths Monthly merit increase report provides list of employees eligible for a merit increase, and the process is aligned with the performance evaluation cycle

Weaknesses Manual distribution of the merit increase report; manual verification of licenses, certifications, and PCA codes; and manual tracking of last performance evaluation and merit increase

Opportunities for improvement Automate the distribution of merit increase report or notify managers/supervisors, based on selected criteria; automate approval of changes through workflow; track licenses/certifications expiration date; and provide an automated notification, prior to expiration of licenses/certifications


PPDB

49




OSPA

PEBB

PERS

Vantage (legislature)

TOPAS (ODOT)

50



b. HR3.05 Pay Changes as-is diagram

Below is the as-is diagram for the pay changespersonnel administration processing area.

HR3.05 Pay Changes DAS HRIS Project As-Is Process Flow

DA

SA

ge

ncy H

RM

an

ag

er

/ S

up

erv

iso

r o

r

Ap

po

intin

g A

uth

ority

Responsibility / Process

For salary

adjustments

(COLA) and / or

selective agencies,

notified via e-mail

Is change

through an

automated

process by

DAS?

Does

agency input

into PPDB?

Process

authorized action

in PPDB; file

document in

employee file

Start

Create and

distribute monthly

merit increase

report, including

employees with

WOC differentials

Review merit

increase report;

approve / deny

merit increase for

eligible employees

Merit

increase

denied?

Process pay

freeze code on

employee’s PPDB

record

Differential

amount require

adjustment due

to merit

increase?

No

Need to add

differential to

employee

record?

Yes

Determine if an

employee change

is requiredComplete required

PA form, submit

for appointing

authority signature

No

No

No Yes

Performance

Evaluations

Disciplinary

Action

Tracking

Employee

Data Change

Mass

Changes

Inputs


Collective bargaining agreements

Agency policies


PPDB input forms

Cost of living adjustment (COLA)

Outputs

PA form

PPDB update

Pay change

Pay freeze

Customers

Employee


Authority

Agency HR

DAS

OSPA

Systems/Interfaces

PPDB

OSPA

PEBB

PERS


TOPAS (ODOT)

Distribute monthly

merit increase

report to managers

No

Yes

Action processed

(automated)

Start

Review

implementation

process outlined in

email to determine

actions needed

Complete PA

request; submit for

appointing

authority signature

Send signed

paperwork to DAS

to input

Process changes

End

End

Review and sign

PA (appointing

authority)

Change differential

amount on

employee’s PPDB

record

Yes

Start

(non-merit

increase)

Review and sign

PA (appointing

authority)

Yes

Verify licenses,

certifications, PCA

codes

End

Employee’s

base rate

decreased due

to disciplinary

action?

Special

performance-

based increase

authorized?

Yes No

Yes

No

51



c. HR3.05 Pay Changes marked-up diagram

Below is the marked-up diagram for the pay changespersonnel administration processing area.

HR3.05 Pay Changes DAS HRIS Project As-Is Process Flow

DA

SA

ge

ncy H

RM

an

ag

er

/ S

up

erv

iso

r o

r

Ap

po

intin

g A

uth

ority

Responsibility / Process

For salary

adjustments

(COLA) and / or

selective agencies,

notify via email

Is change

through an

automated

process by

DAS?

Does

agency input

into PPDB?

Process

authorized action

in PPDB; file

document in

employee file

Start

Create and

distribute monthly

merit increase

report including

employees with

WOC differentials

Review merit

increase report;

approve / deny

merit increase for

eligible employees

Merit

increase

denied?

Process pay

freeze code on

employee’s PPDB

record

Does

differential

amount require

adjustment due

to merit

increase?

No

Need

to add

differential to

employee

record?

Yes

Determine if an

employee change

is requiredComplete required

PA form, submit

for appointing

authority signature

No

No

No Yes

Performance

Evaluations

Disciplinary

Action

Tracking

Employee

Data Change

Mass

Changes

Inputs



Agency policies


PPDB input forms

Cost of living adjustment (COLA)

Outputs

PA form

PPDB update

Pay change

Pay freeze

Customers

Employee


Authority

Agency HR

DAS

OSPA

Systems/Interfaces

PPDB

OSPA

PEBB

PERS


TOPAS (ODOT)

Distribute monthly

merit increase

report to managers

No

Yes

Action processed

(automated)

Start

Review

implementation

process outlined in e-

mail to determine

actions needed

Complete PA

request; submit for

appointing

authority signature

Send signed

paperwork to DAS

to input

Process changes

End

Review and sign

PA (appointing

authority)

Change differential

amount on

employee’s PPDB

record

Yes

Start

(non-merit

increase)

Review and sign

PA (appointing

authority)

Yes

Verify licenses,

certifications, PCA

codes

End

Employee’s

base rate

decreased due to

disciplinary

action?

Special

performance-

based increase

authorized?

Yes No

Yes

No

End

Standardized

Automated

Eliminated

Automated

Eliminated

Automated

Automated

Eliminated

AutomatedAutomated

Eliminated

AutomatedAutomated

Automated

Automated

Standardized

Eliminated

Automated

52



d. HR3.05 Pay Changes could-be diagram

Below is the could-be diagram for the pay changespersonnel administration processing area.

HR3.05 Pay Changes DAS HRIS Project Could Be Process Model

DA

SM

an

ag

er

/ S

up

erv

iso

r o

r

Ap

po

intin

g A

uth

ority

Ag

en

cy H

RS

yste

ms


HRIS

Determine employees

eligible for merit increase,


manager / supervisor, DAS,

and HR

Review list of eligible

employees

Start

merit increase

Performance

Evaluations

HR6.01

Merit

increase

denied?

Process pay

freeze code on

employee’s record

in HRIS

Employee Data

Change or Mass

Change

Processes

Mass

Change

Complete PA form

online in HRIS

HRIS

Route PA form for

approval to

Appointing

Authority

Appointing

Authority reviews

and signs PA

electronically

HRIS

Process pay change,

provide notifications

Start

Salary

adjustment

Review and update

licenses, certifications,

and / or pay cost

adjustment codes in

HRIS

HRIS

Track licenses / certifications

and provide notification to

manager / supervisor, HR,

and employee prior to

expiration

Yes

Workforce

Management

HR3.03

Determine type of

salary adjustment

(e.g., increase /

decrease, COLA,

differential, special

performance)

No

53



6. HR3.06 Administer Separations

This business area covers the management and administration of employee

separations.

a. HR3.06 Administer Separations process summaries

Below are the process summaries for the administer separationspersonnel




This process describes the steps to administer employee separations as a result of termination, including retirement, resignation, or death.

Process triggers This process can start if an employee is retiring from an agency, retiring from state service, or has submitted a resignation to leave an agency. It can also start as a result of an employee’s death or if an employee is terminated for a reason other than a resignation or retirement.


Employee resignation/retirement

Employee termination not due to resignation or retirement

PA form

CBAs


Employee

Determine if it is state service retirement

Submit resignation notice, retirement notice, or enter final timesheet

Complete online exit interview survey

Negotiate leave balance transfer with receiving agency, if applicable

Manager/supervisor/appointing authority

Receive and acknowledge/accept resignation or termination date

Forward notification of resignation/retirement, termination, or employee death to human resources

Send condolence letter or contact family if termination is from an employee death (if applicable)

Initiate the recruiting process

Approve or enter final timesheet and standard labor, if applicable, lock timesheet, and notify payroll

Review, approve, and sign PA (appointing authority)

If applicable, notify employee to complete exit interview survey


54




Send condolence letter or contact family if termination is from an employee death (if necessary, and not sent by the manager/supervisor)

Receive and acknowledge/accept resignation or termination date

Complete PA request and submit for appointing authority signature

For transfers, document leave balance and balance transfer agreement

Initiate the job change process

Notify IT, security, and facilities to have access turned off and to complete separation checklist

Process termination into PPDB or forward to DAS for entry

File resignation in employee file

Payroll

Transfer remaining leave balance to OSPA clearing account

Compute and issue final paycheck to employee if employee is not transferring to another state agency

Update PEBB benefits

Send file to PERS

Generate Consolidated Omnibus Budget Reconciliation Act (COBRA) notice(s)

Method The process is performed with inputs to and outputs from multiple systems.


Paycheck

IT and building security inactivated

Leave balance transfer

Position vacancy

Assigned equipment returned

Exit interview results

COBRA notification

PA form


Include, but not limited to: CBAs; layoff/removal policy number 50.025.01; drug-free workplace policy number 50.000.01; employment at will; and Oregon law 652.140 for payment of wages on termination of employment

Strengths COBRA notices are always generated and a retirement checklist and separation checks are both available

55




Weaknesses Retirement process can be lengthy and frustrating (the recommendation is to complete notice of retirement forty-five days prior to retirement); calculation of retirement estimates are inconsistent or inaccurate but would remain as an output from PERS (estimate for retirement is not always accurate and employees have had to “un-retire” because they did not qualify for retirement); inability to track reasons for voluntary separations; manual transfer of paperwork for processing; manual notifications cancel/stop employee access; manual completion/tracking of retirement and separation checklist; manually tracking of assigned equipment; and manual notification to complete exit interview survey

Opportunities for improvement Interface systems to verify retirement eligibility; flag employees eligible for retirement; track reasons for voluntary separations; automate paper processing; automate notifications to deactivate employee access, based on effective date; automate the retirement and separation checklists; track assigned equipment in the system; and automate notification to employee to complete exit interview survey


PPDB

OSPA (interface)

APPL/CERT (interface)

PICS (vacancy)

PEBB benefits (file)/PERS Jclarety (file)

E-GOV LDAP (file)/RACF (file)

56



b. HR3.06 Administer Separations as-is diagram

Below is the as-is diagram for the administer separationspersonnel administration processing area.

HR3.06 Administer Separations DAS HRIS Project As-Is Process Flow

Pa

yro

llA

ge

ncy H

RM

an

ag

er

/ S

up

erv

iso

r /

Ap

po

intin

g A

uth

ority

Em

plo

ye

e

Start

Submit resignation

notice or enter

final timesheet

State service

retirement?

Send retirement

memo to supervisor,

HR; may forward to

Payroll (2)

Termination of

employee, other

than resignation or

retirement (1)

Receive and

acknowledge /

accept resignation

or termination date

Notify HR to process

termination; forward

notification of

resignation /

retirement to HR

Send paperwork

to DAS HRSD

for input

Approve or enter

final timesheet and

standard labor, if

applicable; lock

timesheet and

notify Payroll

Employee

leaving

agency?

Notify IT, Security,

and Facilities to have

access turned off;

complete separation

checklist

File resignation

in employee file

Complete PA

request, submit for

appointing authority

signature

Does

agency

input into

PPDB?

Review, approve,

sign PA

(appointing

authority)

No

Yes

No

Employee

leaving state

service?

Compute final

paycheck

Transfer

remaining leave

balance to

OSPA clearing

account

Update PEBB

benefits

Process

termination

into PPDB

Less than

80 hours of

transferrable

leave?

Negotiate leave

balance transfer

with receiving

agency

No

Yes

Issue final paycheck

to employee, if

employee not

transferring to

another state agency

Send condolence

letter or contact

family

No


Generate

COBRA

notice(s)

Send file to

PERS

Employee

death?

Yes

(1) If termination due to layoff refer to state policy or collective bargaining agreement for additional information on layoff list / restoration rights.

(2) Recommendation is to complete 45 days prior to retirement.

(3) Includes changes to employee’s facility and network access. Change may be required if changing positions within agency.

(4) HR may advise employee to leave forwarding address for W-2, cancel electronic deposits, contact parking coordinator to change or end parking arrangements.

Recruiting

Inputs

Employee resignation / retirement

Employee termination not due to

resignation / retirement



Outputs

Paycheck



Position vacancy



COBRA notification

PA form

Customers

Employees

Manager / Supervisor / Appointing

Authority

Agency HR

Payroll

IT

Security

Facilities

Systems/Interfaces

PPDB

OSPA (interface)


PICS (vacancy)

PEBB benefits (file) / PERS Jclarety (file)

E-GOV LDAP (file) / RACF (file)

No

Yes

Start

End

Job Change

(3)Yes

Complete

on-line exit

interview survey

Yes

If voluntary resignation

or transfer, notify

employee to complete

exit interview survey (4)

No

Document

balance transfer

agreement

57



c. HR3.06 Administer Separations marked-up diagram

Below is the marked-up diagram for the administer separationspersonnel administration processing area.

HR3.06 Administer Separations DAS HRIS Project As-Is Process Flow

Pa

yro

llA

ge

ncy H

RM

an

ag

er

/ S

up

erv

iso

r /

Ap

po

intin

g A

uth

ority

Em

plo

ye

e

Start

Submit resignation

notice or enter

final timesheet

State

service

retirement?

Send retirement

memo to

supervisor, HR;

may forward to

Payroll (2)

Termination of

employee other

than resignation or

retirement (1)

Receive and

acknowledge /

accept resignation

or termination date

Notify HR to process

termination; forward

notification of

resignation /

retirement to HR

Send paperwork

to DAS HRSD

for input

Approve or enter

final timesheet and

standard labor, if

applicable; lock

timesheet and

notify Payroll

Employee

leaving

agency?

Notify IT, Security

and Facilities to have

access turned off;

complete separation

checklist

File resignation

in employee file

Complete PA

request, submit for

appointing authority

signature

Does

agency input

into

PPDB?

Review, approve,

sign PA

(appointing

authority)

No

Yes

No

Employee

leaving state

service?

Compute final

paycheck

Transfer

remaining leave

balance to

OSPA clearing

account

Update PEBB

benefits

Process

termination

into PPDB

Less than

80 hours of

transferrable

leave?

Negotiate leave

balance transfer

with receiving

agency

No

Yes

Issue final paycheck

to employee, if

employee not

transferring to

another state agency

Send condolence

letter or contact

family

No


Generate

COBRA

notice(s)

Send file to

PERS

Employee

death?

Yes

(1) If termination due to layoff refer to state policy or collective bargaining agreement for additional information on layoff list / restoration rights.



(4) HR may advise employee to leave forwarding address for W-2, cancel electronic deposits, contact parking coordinator to change or end parking arrangements.

Recruiting

Inputs

Employee resignation / retirement

Employee termination not due to

resignation / retirement



Outputs

Paycheck



Position vacancy



COBRA notification

PA form

Customers

Employees

Manager / Supervisor / Appointing

Authority

Agency HR

Payroll

IT

Security

Facilities

Systems/Interfaces

PPDB

OSPA (interface)


PICS (vacancy)

PEBB benefits (file) / PERS Jclarety (file)

E-GOV LDAP (file) / RACF (file)

No

YesStart

End

Job Change

(3)Yes

Complete

on-line exit

interview survey

Yes

If voluntary resignation

or transfer, notify


exit interview survey (4)

No

Document

balance transfer

agreement

End

Automated

Automated

Automated

Automated Automated

Standardized

Automated

Automated Automated

EliminatedEliminated

AutomatedAutomated

Eliminated

Automated

Automated

Eliminated

Automated

AutomatedAutomated

Automated

Automated

Automated

58



d. HR3.06 Administer Separations could-be diagram

Below is the could-be diagram for the administer separationspersonnel administration processing area.

HR3.06 Administer Separations DAS HRIS Project Could Be Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

r /

Ap

po

intin

g A

uth

ority

Em

plo

ye

eS

yste

ms

Start

HRIS

Route notification

to employee

manager /

supervisor, HR,

and Payroll (2)

Submit retirement

memo or resignation

online, and / or

complete final

timesheet

Termination of

employee, other

than resignation or

retirement (1)

Update PA form

in HRIS

HRIS

Route PA and

notification to

Appointing

authority

No

Payroll

Calculate final

paycheck, transfer

remaining leave

balance to OSPA

clearing account

Negotiate leave

balance transfer

with receiving

agency

Contact family


Generate

COBRA notice(s)

Employee

death?

(1) If termination due to layoff, refer to state policy or collective bargaining agreement for additional information on layoff list / restoration rights.



(4) HR may advise employee to leave forwarding address for W-2, cancel electronic deposits, and contact parking coordinator to change or end parking arrangements.

No

Start State service retirement

or resignation

End

Job Change

HR3.01

(3)

Complete

on-line exit

interview survey

in HRIS

---

Notify employee of

leave balances and

request to complete

exit interview survey

(4)

Document balance

transfer agreement in

HRIS

Appointing

Authority reviews

and signs PA

electronically

Process

TimesheetRecruiting

HRIS

Notify IT, Security, and

Facilities to turn off

access; complete

separation checklist

Employee

leaving

agency?

Yes

----

Process termination and

calculate leave balances;

notify HR, manager /

supervisor, and Payroll

PEBB / PERS

Update benefits

Payroll

Issue final check

to employee

Yes

HRIS

Generate letter

regarding benefits,

insurance, et cetera

59



7. HR3.07 Temporary Extensions

This business area covers the management and administration of employee temporary

extensions.

a. HR3.07 Temporary Extensions process summaries

Below are the process summaries for the temporary extensionspersonnel




This process describes the steps to take to administer extensions of temporary position assignments. The process includes verifying if the temporary employee has not worked more than 1,040 hours so that he or she can remain a temporary employee.

Process triggers This process can start with a review of the monthly report called “Temporary Employees Due to Terminate.”


Temporary employee assignment

“Temporary Employees Due to Terminate” report


DAS human resources systems

Send monthly report on “Temporary Employees Due to Terminate” (six month separation date approaching)

Process extension into PPDB


Review report and notify supervisors of temporary employees due to terminate

Process review results/decision, including:


Initiate the temporary position process

Complete the request to extend a temporary appointment form (PD412A) and supporting documentation (conditions of temporary employment form (PD412)

Obtain appointing authority approval

Fax copy of forms (PD412A and PD412) to HRSD human resources management and consultation (HRMC), when appropriate

Supervisor

Determine if temporary appointment will continue

Determine if the temporary employee is eligible to continue appointment by verifying employee has/will not work in excess

60




of 1,040 hours in temporary year

Notify human resources of desired action, which can include:

Terminate employee

Extend employee

Initiate new temporary appointment

Establish a new budgeted position to replace the temporary position

Initiate the legislative approved position process

Appointing authority

Sign request to extend a temporary appointment form (PD412A) and/or conditions of temporary employment form (PD412) and return it to agency human resources

DAS HRMC

Review and approve/deny request to extend temporary appointment

Track request into access database that HRMC maintains

Fax approval or denial to agency that requests extension

Hand deliver copy of signed approval form for data entry, if approved

Method The process is performed with data entry in Microsoft Access and PPDB.


Conditions of temporary employment form (PD412)

Request to extend a temporary appointment form (PD412A)


Include, but not limited to: temporary appointments policy number 40.025.01 and recruitment and selection record retention policy number 40.010.01

Strengths Ability to fill temporary need, renew current employee, and monthly report of temporary employees due to terminate

Weaknesses Hand delivery of signed approval form for data entry; inability to track calendar year by temporary employee; manual tracking of hours by employee (not to exceed 1,040 hours); and agency-specific processes and tracking

Opportunities for improvement Automate notifications to supervisor for employees due to terminate; automate notification for temporary employees who reach 1,040 hours across all agencies; establish a uniform process across all agencies; and automate/store documents to eliminate hand delivery and duplicate data entry


PPDB

Access database

61



b. HR3.07 Temporary Extensions as-is diagram

Below is the as-is diagram for the temporary extensionspersonnel administration processing area.

HR3.07 Temporary Extensions DAS HRIS Project As-Is Process Flow

DA

S M

an

ag

em

en

t

an

d C

on

su

lta

tio

n

(HR

MC

)

Ap

po

intin

g

Au

tho

rity

Su

pe

rvis

or

Ag

en

cy H

RD

AS

HR

Syste

ms


Send monthly report on

“Temporary employees

due to terminate”

(Six month separation

date approaching)

Review report;

notify supervisors

of temporaries

due to terminate

Notify HR to

terminate

employee

Verify employee

has not worked

1,040 hours in

temporary year

Complete

“Request to extend

a temporary

appointment” form

(PD412A)

Attach copy of the original

“Conditions of temporary

employment” form (PD412);

send package to appointing

authority for approval

Review and

approve / deny

request (if

necessary)

Enter request into

Access database

maintained by

HRMC

Receive copy of

signed form(s)

Process extension

into PPDBEnd

Fax copy of forms

(PD412A and

PD412) to

HRSD HRMC

Temporary

appointment

need an

extension?

Sign form and

return to Agency

HR

Will temporary

appointment

continue?

Yes

Yes

Yes

No

Establish new

budgeted

position?

No

Legislative

Approved

Position

No

SeparationsTemporary

Position

Inputs

Temporary employee

“Employees due to terminate” report

Outputs

“Conditions of temporary employment”

form (PD412)

“Request to extend a temporary

appointment” form (PD412A)

Customers

DAS HR Systems

Agency HR Office

Supervisor

Appointing Authority

DAS Management and Construction

(HRMC)

Employee

Systems/Interfaces

PPDB

Access database

End

Start

End

Can employee

be extended?

Notify HR to

terminate current

employee, initiate

new temporary

appointment

NoYes

Receive

notification to

extend temporary

appointment

Fax approval or

denial to agency

requesting

extension

Hand deliver copy

of signed approval

form for data entry,

if approved

62



c. HR3.07 Temporary Extensions marked-up diagram

Below is the marked-up diagram for the temporary extensionspersonnel administration processing area.

HR3.07 Temporary Extensions DAS HRIS Project As-Is Process Flow

DA

S

Ma

na

ge

me

nt

an

d C

on

su

lta

tio

n

(HR

MC

)

Ap

po

intin

g

Au

tho

rity

Su

pe

rvis

or

Ag

en

cy H

RD

AS

HR

Syste

ms


Send monthly report on

“Temporary employees

due to terminate”

(Six month separation

date approaching)

Review report;

notify supervisors

of temporaries

due to terminate

Complete

“Request to extend

a temporary

appointment” form

(PD412A)

Attach copy of the original

“Conditions of temporary

employment” form (PD412);

send package to appointing

authority for approval

Review and

approve / deny

request (if

necessary)

Enter request into

Access database

maintained by

HRMC

Receive copy of

signed form(s)

Process extension

into PPDBEnd

Fax copy of forms

(PD412A and

PD412) to

HRSD HRMC

Sign form and

return to Agency

HR

Continue

temporary

appointment?

Yes

Yes

Establish

new

budgeted

position?

No

Legislative

Approved

Position

No

Separations

Inputs

Temporary employee

“Employees due to terminate” report

Outputs

“Conditions of temporary employment”

form (PD412)

“Request to extend a temporary

appointment” form (PD412A)

Customers

DAS HR Systems

Agency HR Office

Supervisor


DAS Management and Construction

Employee

Systems/Interfaces

PPDB

Access database

End

Start

End

Current

employee temporary

hours less than

1,040 in

the year?

Notify HR to

terminate current

employee, initiate

new temporary

appointment

No

Yes

Fax approval or

denial to agency

requesting

extension

If approved, hand

deliver copy of

signed approval

form for data entry

Automated

Automated

Automated Automated

Eliminated

Automated

AutomatedAutomated

Eliminated

Automated

Automated Eliminated

Standardized

63



d. HR3.07 Temporary Extensions could-be diagram

Below is the could-be diagram for the temporary extensionspersonnel administration processing area.

HR3.07 Temporary Extensions DAS HRIS Project Could Be Process Model

Ap

po

intin

g

Au

tho

rity

Su

pe

rvis

or

Ag

en

cy H

RS

yste

ms


HRIS

Run monthly report on

“Temporary employees due

to terminate”

(Six month separation date

approaching), notify HR and

supervisor

Complete “Request to

extend a temporary

appointment” form in

HRIS

Attach copy of the

original “Conditions of

temporary employment”

form in HRIS

End

Continue

temporary

appointment?

Yes

Establish

new

budgeted

position?

No

Legislative

Approved

Position

No

Administer

Separations

HR3.06

Start

Notify HR to terminate

current employee,

initiate new temporary

appointment, if

necessary

HRIS

Run report of

temporary

employee hours,

notify supervisor

Yes

HRIS

Notify Appointing

Authority to review

request form and

provide approval

HRIS

Process extension; send

notification of extension

to requesting agency and

Supervisor

Approve or

deny request in

HRIS

HRIS

Notify Supervisor

Deny

Approve

64



D. Classification and Compensation


for classification and compensation.

1. HR4.01 Administer Compensation Plans

This business area covers the administration of compensation plans.

a. HR4.01 Administer Compensation Plans process summaries

Below are the process summaries for the administer compensation

plansclassification and compensation area.



This process describes the steps to take to analyze, approve, and implement changes to compensation plans.

Process triggers This process begins with the completion of a market survey that assesses the particular job classification.


Market (salary) survey

Collective bargaining contract

Letter of agreement (LOA)

Management directive

Classification study


Classification and compensation section

Conduct market survey (salary.com)

Research plan attributes (minimum/maximum, SR, pay/range options, et cetera)

Determine if a change is needed

Determine if there is a union compensation plan change

Prepare classification study

Send recommendation to DAS director (or governor) for approval

Prepare legislative report

Determine if a mass change is needed

Send notification to human resources system

Complete a manual update to compensation tables

Send notification that compensation rates have been updated

Update online web compensation plan

65




Labor relations section

Negotiate compensation plan change

Create LOA

Send notification to classification and compensation

Send notification that compensation rates have been updated

Legislative office

Receive and record the legislative report(s)

DAS/administrative director

Provide approval for the classification study

Send notification to classification/compensation



Classification study

Recommendations

Legislative report(s)

Compensation plan reports

Web compensation plan updates


Include, but not limited to: CBAs; state policy numbers10.011.01 for employee personnel records for classification plan development and maintenance; 105-020-0001 comparability of work; 20.005.01 general compensation policy; 20.005.05 merit pay system; 20.005.10 pay practices; 20.005.15 exceptions to Hay evaluated salary; 20.005.20 Fair Labor Standards Act; and 30.005.01 effect of position classification change on incumbents

Strengths The process incorporates internal controls and multiple levels of review and approval.

Weaknesses Analysis of complex data is manual; data is not delivered electronically; notifications occur manually; outputs are created manually, outside the system; implementation of approved changes occurs manually and in multiple systems

Opportunities for improvement Automation of analysis functionality, such as what-if modeling; ability to develop simultaneous multiple versions; workflow automation; integration with personnel records; automate and standardize employee and agency notification; and role-based security could support cooperative inter-unit development and analysis and shorten review and approval cycles


PPDB

PICS

Web

66




OSPS

67



b. HR4.01Administer Compensation Plans as-is diagram

Below is the as-is diagram for the administer compensation plansclassification and compensation processing area.

HR4.01 Administer Compensation Plans DAS HRIS Project As-Is Process Model

HR

Syste

ms

DA

S

Ad

min

istr

ato

r /

Dire

cto

r

Le

gis

lative

Offic

e

La

bo

r

Re

latio

ns

Cla

ssific

atio

n a

nd

Co

mp

en

sa

tio

n

Conduct market

survey

(salary.com)

Research plan attributes

(minimum / maximum,

SR, pay /range options,

et cetera)

Is a change

needed?

No

Union

compensation

plan change?

Yes

Negotiate

compensation plan

change

Create Letter of

Agreement (LOA)

Yes

Send notification

to Classification

and Compensation

Prepare

Legislative

Report

Send

recommendation

to DAS director (or

governor) for

approval

No

Receive and

record report

Approved? Yes

Send notification

to Classification /

Compensation

No

Is a Mass

Change

needed?

Send notification

to HR System

Yes

Administer the pay

change process

Complete manual

update to

compensation

tables

no

End

Update on-line

web comp plan

Send notification

that compensation

rates have been

updated

Prepare

classification study

Update employee

record(s) on

PPDB, if

applicable

Inputs

Collective Bargaining Contract

Letter of Agreement (LOA)

Management Directive

Salary Survey

Classification Study

Outputs

Compensation Plan Reports

Web Compensation Plan

Customers

Legislature

Labor Relations

DAS Administrator/Director

DAS HR Systems

State Agencies

Employees

Systems/Interfaces

PPDB

PICS

Web

OSPS


End

Start

End

End

68



c. HR4.01Administer Compensation Plans marked-up diagram

Below is the marked-up diagram for the administer compensation plansclassification and compensation processing area.

HR4.01 Administer Compensation Plans DAS HRIS Project As-Is Process Model

HR

Syste

ms

DA

S

Ad

min

istr

ato

r /

Dire

cto

r

Le

gis

lative

Offic

e

La

bo

r

Re

latio

ns

Cla

ssific

atio

n a

nd

Co

mp

en

sa

tio

n

Conduct market

survey

(salary.com)

Research plan attributes

(minimum / maximum,

SR, pay /range options,

et cetera)

Is a change

needed?

No

Union

compensation

plan change?

Yes

Negotiate

compensation plan

change

Create Letter of

Agreement (LOA)

Yes

Send notification

to Classification

and Compensation

Prepare

Legislative

Report

Send

recommendation

to DAS director (or

governor) for

approval

No

Receive and

record report

Approved? Yes

Send notification

to Classification /

Compensation

No

Is a Mass

Change

needed?

Send notification

to HR System

Yes

Administer the pay

change process

Complete manual

update to

compensation

tables

no

End

Update on-line

web comp plan

Send notification

that compensation

rates have been

updated

Prepare

classification study

Update employee

record(s) on PPDB

if applicable

Inputs

Collective Bargaining Contract

Letter of Agreement (LOA)

Management Directive

Salary Survey

Classification Study

Outputs

Compensation Plan Reports

Web Compensation Plan

Customers

Legislature

Labor Relations

DAS Administrator/Director

DAS HR Systems

State Agencies

Employees

Systems/Interfaces

PPDB

PICS

Web

OSPS


End

Start

End

End

Automated Automated

Automated

Automated

Eliminated

Eliminated

AutomatedAutomated

69



d. HR4.01Administer Compensation Plans could-be diagram

Below is the could-be diagram for the administer compensation plansclassification and compensation processing area.

HR4.01 Classification Review – Multiple Positions DAS HRIS Project Could Be Process Model

Ag

en

cy

HR

HR

ISC

lassific

atio

n a

nd

Co

mp

en

sa

tio

n U

nit

La

bo

r R

ela

tio

ns

an

d U

nio

nD

AS

HR

Au

dits


Receive market survey

results, or classification

study request from a

manager / employee or

group

Start

End

Further

Action?

Enter new request

record in HRIS;

conduct preliminary

assessment

Update HRIS

with decisionNo

Generate and

distribute completion

notification to

requester(s) and

management

Yes

Union

compensation

plan

change?

Negotiate changes,

prepare and sign

Letter of Agreement

Yes

Prepare

classification

study

What-if scenarios

using subsets of

position records

No

Prepare and submit

recommendation to

DAS Director or

Governor

Approved?

Generate and distribute request

for finance plans and updated

position descriptions from

affected agencies

(include list of affected positions

and draft classification specs)

Yes

Update HRIS with

decision

(update selected

scenario)

Re-

classification

of existing

positions?

Prepare and

submit report to

Legislative Fiscal

Office

Implement changes

based on effective date

(update position records

and plans on web)

No

Prepare updated

draft classification

specifications

Coordinate update of

position descriptions,

finance plans, and

approvals (signatures)

(occurs in HRIS)

Union review

needed?

Review draft class

specs, return

feedback

Yes

No

Does

feedback

impact draft

specs?

No

Yes

Audit agency finance

plansPass?

Work with agency to

complete finance

plan

Update HRIS

Implement changes

based on effective date

(update position

records and plans on

web)

End

No

Yes

Yes

No

70



2. HR4.02 Administer Reallocations

This business area covers the administration of reallocations in the classification and

compensation plans.

a. HR4.02 Administer Reallocation process summaries

Below are the process summaries for the administer reallocationclassification

and compensation area.



This process describes the steps to take to analyze, approve, and implement changes that result from classification studies that a union or state agency requests.

Process triggers This process begins with a union or an agency human resources unit’s request for a review of specific job classification(s).


Position descriptions

Personnel action forms

Classification specifications

Union review and comments

Agency allocation lists

Reallocation letter template

Request for classification study


Union

Request classification study

Review and provide comments


Review and update position descriptions

E-mail, send, or hand deliver all requested position descriptions to DAS

Send classification drafts to manager for review

Recommend changes or new classifications and send to classification/compensation

Update position description and provide written analysis

Create a tracker for all affected positions in an Excel spreadsheet (if applicable)

Begin analysis, preliminary allocation, and copy to employee and DAS

Complete template letter and send to employee and manager

Manager/supervisor

Review and update position descriptions

Review drafts and sign the recommendations

71




Receive copy of letter

Classification and compensation section

Analyze and determine need of classification study

Decide to commence with the study

Release announcement for class study and request position descriptions

Submit classification drafts for review

Review position descriptions and create draft of class specifications

Request review and notify union and labor relations division LRD if class is moving out of the union (if applicable)

Decide if the union comments change classification

Request allocation from agencies, pull list of positions impacted, and provide central evaluation team evaluation to agency

Send selected data to human resources audits

Key results in allocation database

Send e-mail to agency to notify employees and include template letter

Update PPBD and develop document for legislative reporting

DAS human resources audits section

Audit agency allocation

Coordinate with agency and provide opportunity for comments

Send notification of results

Employee

Receive letter

Determine if in agreement with results

Initiate a grievance process if not in agreement



Position description updates

Classification specifications updates

PA forms

Position control forms

Organization hierarchy chart


Include, but not limited to: CBAs; state policy numbers 10.011.01 for employee personnel records; 20.000.01 for classification plan development and maintenance; 105-020-0001 comparability of work; 20.005.01 general compensation policy; 20.005.05 merit pay system;

72




20.005.10 pay practices; 20.005.15 exceptions to hay evaluated salary; 20.005.20 Fair Labor Standards Act; and 30.005.01 effect of position classification change on incumbents

Strengths The process incorporates internal controls and multiple levels of review and approval. The process is standardized between DAS and the agencies.

Weaknesses Analysis of complex data is not automated; data is not delivered electronically; notifications occur manually; outputs are created manually, outside the system; implementation of approved changes occurs manually and in multiple systems; and wet signatures are required

Opportunities for improvement Automation of analysis functionality, such as what-if modeling; ability to develop simultaneous multiple versions; workflow automation could eliminate manual notifications and wet signatures; integration with personnel records could automate implementation of changes; employee and agency notifications could be standardized and automated; and role-based security could support cooperative inter-unit development and analysis and shorten review and approval cycles


PPDB

PICS

OSPA

List Serve

73



b. HR4.02Administer Reallocation as-is diagram

Below is the as-is diagram for the administer reallocationclassification and compensation processing area.

HR4.02 Administer Reallocations DAS HRIS Project As-Is Process Model

Em

plo

ye

eD

AS

HR

Au

dits

DA

S

Cla

ssific

atio

n a

nd

Co

mp

en

sa

tio

n

Ma

na

ge

r /

Su

pe

rvis

or

Ag

en

cy H

RU

nio

n

Start

Request

classification

study

Analyze and

determine need

Release

announcement for

class study, request

position descriptions

Commence

with study?

Send

notification

End

Review position

descriptions, create

draft of class

specifications

No

Yes

Submit

classification drafts

for review

Send drafts to

manager for

review

Review drafts and

sign the

recommendations

Review and

update position

descriptions

Request review, notify

union and LRD if class

is moving out of the

union (if applicable)

Recommend

changes or new

classifications, send

to Classification /

Compensation

Review and

provide comments

Union comments

change

classification?

Request allocation from

agencies, pull list of

positions impacted, and

provide CET evaluation

to agency

No

Update position

description and

provide written

analysis

Create tracker for

all effected

positions in an

excel spreadsheet

(if applicable)

Begin analysis,

preliminary

allocation, and

copy to employee

and DAS

Send selected

data to HR

audits

Receive letter

Coordinate with

agency and

provide

opportunity for

comments

Audit agency

allocation

Key results in

allocation data

base

Send

notification of

Results

Send e-mail to

agency to notify

employees, include

template letter

Complete

template letter,

send to

employee and

manager

Update PPBD

and develop

document for

legislative

reporting

End

Agree?

Yes


Inputs

Position Descriptions

Personnel Action

Reallocation Letter Template

Request for Classification Study

Outputs

Position Description

Classification Specifications

Personnel Action Form

Position Control Form

Organization Hierarchy Chart

Customers

Employees

Manager/Supervisors

Union

DAS Class/Comp, Audits

Budget and Management

Systems/Interfaces

PPDB

PICS

OSPA

List Serve

E-mail, send, or hand

deliver all requested


to DAS

Yes

Manage

GrievancesNo

Receive copy of

letter

74



c. HR4.02Administer Reallocation marked-up diagram

Below is the marked-up diagram for the administer reallocationclassification and compensation processing area.

HR4.02 Administer Reallocations DAS HRIS Project As-Is Process Model

Em

plo

ye

eD

AS

HR

Au

dits

DA

S

Cla

ssific

atio

n a

nd

Co

mp

en

sa

tio

n

Ma

na

ge

r /

Su

pe

rvis

or

Ag

en

cy H

RU

nio

n

Start

Request

classification

study

Analyze and

determine need

Release

announcement for

class study, request


Commence

with study?

Send

notification

End

Review position

descriptions, create

draft of class

specifications

No

Yes

Submit

classification drafts

for review

Send drafts to

manager for

review

Review drafts and

sign the

recommendations

Review and

update position

descriptions

Request review, notify

union and LRD if class

is moving out of the

union (if applicable)

Recommend

changes or new

classifications, send

to Classification /

Compensation

Review and

provide comments

Union comments

change

classification?

Request allocation from

agencies, pull list of

positions impacted,

provide to agency

CET Evaluation

No

Update position

description and

provide written

analysis

Create tracker for

all effected

positions in an

Excel spreadsheet

(if applicable)

Begin analysis,

preliminary

allocation, copy to

employee and

DAS

Send selected

data to HR

audits

Receive letter

Coordinate with

agency and

provide

opportunity for

comments

Audit agency

allocation

Key results in

allocation data

base

Send

notification of

Results

Send e-mail to

agency to notify

employees, include

template letter

Complete

template letter,

send to

employee and

manager

Update PPBD

and develop

document for

legislative

reporting

End

Agree?

Yes


Inputs


Personnel Action

Reallocation Letter Template


Outputs






Customers

Employees

Manager/Supervisors

Union



Systems/Interfaces

PPDB

PICS

OSPA

List Serve

E-mail, send, or hand

deliver all requested


to DAS

Yes

Manage

GrievancesNo

Receive copy

of letter

Automated

Automated

Automated

Automated

Automated

Automated

Automated

Automated

Automated

Automated Automated

Eliminated

Eliminated

Eliminated

75



3. HR4.03 Salary Setting

This business area covers the salary setting process.

a. HR4.03 Salary Setting process summaries

Below are the process summaries for the salary settingclassification and

compensation area.



This process describes the steps to take to analyze, approve, and implement a position-specific salary change, including permanent resolution of a work out of class.

Process triggers This process begins with the request for an employee and/or position manager’s review of specific position salary level b.


Representative renewal or termination form 440-2118

Organization chart

Job audit


Employee

Send request to agency human resources for classification review

Receive and respond to request for additional documentation

Participate in job audit in person or through e-mail, phone, or voice conference

Review questions and job audit notes and respond

Receive formal classification findings

Appeal within allotted time frame

Work with management on next steps

Agency manager/supervisor

Prepare forms, position description, and organization chart and submit to classifications

Receive and respond to request for additional documentation

Receive and review questions and job audit notes and respond

Staff with upper management and review organizational structure

Receive formal classification findings

Have discussion with incumbent

Add higher duties; if position is occupied, process WOC

Request and receive a hiring exception approval to pay WOC

Process the WOC pending reclassification form and submit to classifications with review write-up, including position description and organization chart

76




Choose to remove duties to the level that the position is budgeted at or contact position management for permanent options

If duties are removed, contact personnel records management unit to end WOC

Leave as status quo or move forward with reallocation

Leave as status quo or move forward with downward reclassification

Contact position management to move forward with changes to the budgeted position

Discuss effects of decision with incumbent (if applicable)

Agency HR or DAS classification and compensation for client agencies

Receive classification request

Assign to an analyst, add to the database, and create folder on ‘I’ drive

Contact the person who submitted the review for required documents

Receive required documentation

Read material submitted to start the review process

Send validity statement to management and employee (if an employee request)

Contact requestor and seek job audit preference

Use established framework to minimize potential job family/class specification

Prepare for job audit and schedule

Conduct job audit with employee and/or manager

Gather notes and any additional questions for employee or manager

Send notes to employee/manager to verify accuracy and understanding

Receive responses regarding job audit feedback

Review all documentation received

Use framework to select a specific job family

Use classification specifications to select a best-fit classification level within the job family

Analyze position for proper leave or overtime status

Staff with classification analysts for input, if necessary

Prepare formal review write-up, position description, and organization chart

Send notification to management, position manager, and classification manager

Update the classification database, mark as complete, pending

77




ram, and attach final review documents

Move review in ‘I’ drive file from work in progress to completed

Method The process is performed manually, with data entry into a section-specific tracking database.


Formal review write-up


Include, but not limited to: CBAs; state policy numbers 10.011.01 for employee personnel records; 20.000.01 for classification plan development and maintenance; 105-020-0001 comparability of work; 20.005.01 general compensation policy; 20.005.05 merit pay system; 20.005.10 pay practices; 20.005.15 exceptions to Hay evaluated salary; 20.005.20 Fair Labor Standards Act; and 30.005.01 effect of position classification change on incumbents

Strengths The process is standardized between DAS and the agencies.

Weaknesses Analysis of data is not automated; data is not delivered electronically; notifications occur manually; outputs are created manually, outside the system; implementation of approved changes occurs manually and in multiple systems; and wet signatures are required

Opportunities for improvement Automation of analysis functionality, such as what-if modeling and ability to develop simultaneous multiple versions; workflow automation could eliminate manual notifications and wet signatures; integration with personnel records could automate implementation of changes; employee and agency notifications could be standardized and automated; and role-based security could support cooperative inter-unit development and analysis and shorten review and approval cycles


Classification database

78



b. HR4.03Salary Setting as-is diagram

Below is the as-is diagram for the salary settingclassification and compensation processing area.

79



c. HR4.03Salary Setting marked-up diagram

Below is the marked-up diagram for the salary settingclassification and compensation processing area.

80



4. HR4.04 Classification

This business area covers the general classification process.

a. HR4.04 Classification process summaries

Below are the process summaries for the classificationclassification and

compensation area.



This process describes the steps to take to analyze, approve, and implement a position-specific classification change.

Process triggers This process begins with the request for a position manager’s review of a specific position classification.



Request for classification review


Agency

Receive a request to change a classification

Complete the pay change process, if applicable

Employee

Decide to file grievance or appeal

Collective bargaining process

Manager

Determine if employee is involved

Agency HR DAS classification and compensation section for client agencies

Review and write request for change of classification

Determine if a formal review is required

Complete an internal agency review

Review first review of classification change

Review findings

Determine resolution

Determine and prepare impact of findings/request package for either work out of class, remove duties, change class/secure funding, or reclassify down

Agency and budget statute

Determine to approve the classification

DAS/CFO review

Notify agency and manager/employee

Remove duties

Method The process is performed manually, outside the system.

81





Formal review write-up


Include, but not limited to: CBAs; state policy numbers 10.011.01 for employee personnel records; 20.000.01 for classification plan development and maintenance; 105-020-0001 comparability of work; 20.005.01 general compensation policy; 20.005.05 merit pay system; 20.005.10 pay practices; 20.005.15 exceptions to Hay evaluated salary; 20.005.20 Fair Labor Standards Act; and 30.005.01 effect of position classification change on incumbents

Strengths The process is standardized between DAS and the agencies.

Weaknesses Analysis of data is not automated; data is not delivered electronically; notifications occur manually; outputs are created manually, outside the system; implementation of approved changes occurs manually and in multiple systems; and wet signatures are required

Opportunities for improvement Automation of analysis functionality, such as what-if modeling, and ability to develop simultaneous multiple versions; workflow automation could eliminate manual notifications and wet signatures; integration with personnel records could automate implementation of changes; employee and agency notifications could be standardized and automated; and role-based security could support cooperative inter-unit development and analysis and shorten review and approval cycles

Systems No systems are used to prepare in this process.

82



b. HR4.04 Classification as-is diagram

Below is the as-is diagram for the classificationclassification and compensation processing area.

HR4.04 Classification DAS HRIS Project As-Is Process Model

DA

S

Cla

ssific

atio

n a

nd

Co

mp

en

sa

tio

n

Ag

en

cy

Ma

na

ge

rE

mp

loye

e


Inputs


Personnel Action

Reallocation Template Letter


Outputs






Customers

Employees

Manager/Supervisors

Union



Systems/Interfaces

PPDB

PICS

OSPA

List Serve

Receive request to

change a

classification

Review and write

up request for

change of

classification

Formal review?Internal agency

review

Review first review

of classification

change

Determine

Resolution

Review findings

Notify Employee

Is employee

involved?No

Grievance or

Appeal

Collective

Bargaining

process

Notify agency Notify manager /

employee

1

Pay change

Determine and prepare

impact of findings / request

package; either

1. Work out of class

2. Remove duties

3. Change class / secure

funding

4. Reclassify down

2

Remove duties

3 and 4

Agency budget

statute

Approve the

class?DAS / CFO review Yes

Yes

No

Yes

No

End

End

Start

End

83



c. HR4.04 Classification marked-up diagram

Below is the marked-up diagram for the classificationclassification and compensation processing area.

HR4.04 Classification DAS HRIS Project As-Is Process Model

DA

S

Cla

ssific

atio

n a

nd

Co

mp

en

sa

tio

n

Ag

en

cy

Ma

na

ge

rE

mp

loye

e


Inputs


Personnel Action

Reallocation Template Letter


Outputs






Customers

Employees

Manager/Supervisors

Union



Systems/Interfaces

PPDB

PICS

OSPA

List Serve

Receive request to

change a

classification

Review and write

up request for

change of

classification

Formal review?Internal agency

review

Review first review

of classification

change

Determine

Resolution

Review findings

Notify Employee

Is employee

involved?No

Grievance or

Appeal

Collective

Bargaining

process

Notify agency Notify manager /

employee

1

Pay change

Determine and prepare

impact of findings / request

package; either

1. Work out of class

2. Remove duties

3. Change class / secure

funding

4. Reclassify down

2

Remove duties

3 and 4

Agency budget

statute

Approve the

class?DAS / CFO review Yes

Yes

No

Yes

No

End

End

Start

End

Automated

Automated Automated Automated

84



d. HR4.02, HR4.03, and HR4.04 Classification Review could-be diagram

Below is the could-be diagram for the classification reviewclassification and compensation processing area.

85



E. Labor Relations

The following contains the process summaries, as-is, marked-up, and the could-be

diagrams for labor relations.

1. HR5.01 Manage GrievancesManagement Services

This business area covers the management of grievances for management services

employees.

a. HR5.01 Manage GrievancesManagement Services process summaries

Below are the process summaries for the manage grievancesmanagement

serviceslabor relations area.



This process describes the steps to take to address a grievance from a management service employee. The process also describes an appeal to pending personnel action against a management service employee.

Process triggers This process can start with deficient conduct or performance by a management service employee that warrants discipline. In addition, the process can start as a result of an appeal of pending personnel action.


Grievance


Suspension, demotion, or dismissal

Appeals

Supporting documentation

Letter of expectation


Employee

Appeal pending PA

File grievance with agency human resources

Resolve grievance

File grievance with agency head

File appeal with Employment Relations Board (ERB)

Receive notice of resolution/decision

Agency HR

Mutually agree in writing to extend time limit

Affirm or deny grievance


Agency Head

86




Affirm or deny grievance


Employment Relations Board (ERB)

Agree to mediation

Conduct mediation with Conciliation Service Division

Reach resolution

Hold hearing and issue decision

Close grievance/appeal

Notify parties of resolution/decision

Method The process is performed manually, outside of a system. Most agencies use Microsoft Word to develop the necessary documents.


Written grievance response

Settlement agreement

Appeal letter(s)

Mediation/mediation hearing(s)

Arbitration


Include, but not limited to: Public Employee Bargaining Act (PEBA); statute chapter 240 state personnel relations; and management service grievance review policy number 70.000.10

Strengths Ability to address specific problems; no retaliation against employees who use the grievance or appeal process

Weaknesses Manual process with no ability to track schedule or timeline; slow/lengthy process; lots of paper documentation to manage (no electronic file transfer); inability to track status of grievance; no history of grievances; and no numbering system for grievances

Opportunities for improvement Complete process with notes in the system to reduce paper documentation and enable information/file sharing; establish consistency in disciplinary action by personnel action; create standardized letters; track progress/discipline; track timeline/schedule; track status of grievance by employee(s); enable access to prior grievances and results; track trends, based on grievance type; and enable automated numbering of grievances


Microsoft Word

87



b. HR5.01 Manage Grievances – Management Services as-is diagram

Below is the as-is diagram for the manage grievancesmanagement serviceslabor relations area.

HR5.01 Manage Grievances – Management Service DAS HRIS Project As-Is Process Model

Em

plo

ym

en

t R

ela

tio

ns

Bo

ard

(E

RB

)A

ge

ncy H

ea

dA

ge

ncy H

RE

mp

loye

e StartPending

personnel

action?

Is this an

appeal?

No


No

Yes

File grievance

with Agency HR

Within 30

days from

effective

date of

action

Mutually agree

(Agency HR and

employee) in

writing to extend

time limit

Affirm or

deny

grievance?

Resolved?

Affirm

File grievance

with Agency

head

EndYes

No Within 7

days from

due date

of action

Within 15 days

of receipt

Deny

Affirm or

deny

grievance?

Resolved?

Affirm

EndYes

File appeal with

ERBNo

Within 30

days from

effective

date of

action

Deny

Yes

Agreement

for

mediation?

Conduct

mediation with

Conciliation

Service Division Yes

Resolved /

resolution

reached?

Close

grievance /

appeal

Yes

No

Notify parties of

resolution /

decision

Receive notice

of resolution /

decision

Receive notice

of resolution /

decision

Receive notice

of resolution /

decision

Arbitration

Process

Hold hearing,

issue decision No

Resolved /

resolution

reached?

Yes

No

End

Inputs

Grievance



Appeals



Outputs



Appeal letter(s)

Mediation / mediation hearing(s)

Customers

Employee

Employee’s Peers

Human Resources

Agency Head


Systems/Interfaces

Microsoft Word

Note: Policy dictates employees may file grievances directly with the ERB.

Timelines apply based on policy and / or other rules.

88



c. HR5.01 Manage Grievances – Management Services marked-up diagram

Below is the marked-up diagram for the manage grievancesmanagement serviceslabor relations area.

HR5.01 Manage Grievances – Management Service DAS HRIS Project As-Is Process Model

Em

plo

ym

en

t R

ela

tio

ns

Bo

ard

(E

RB

)A

ge

ncy H

ea

dA

ge

ncy H

RE

mp

loye

e StartPending

personnel

action?

Is this an

appeal?

No


No

Yes

File grievance

with Agency HR Within 30

days from

effective

date of

action

Mutually agree

(Agency HR and

employee) in

writing to extend

time limit

Affirm or

deny

grievance?

Resolved?

Affirm

File grievance

with Agency

head

EndYes

No Within 7

days from

due date

of action

Within 15 days of

receipt

Deny

Affirm or

deny

grievance?

Resolved?

Affirm

EndYes

File appeal with

ERBNo

Within 30

days from

effective

date of

action

Deny

Yes

Agreement

for

mediation?

Conduct

mediation with

Conciliation


Resolved /

resolution

reached?

Close

grievance /

appeal

Yes

No

Notify parties of

resolution /

decision

Receive notice

of resolution /

decision

Receive notice

of resolution /

decision

Receive notice

of resolution /

decision

Arbitration

Process

Hold hearing,

issue decision No

Resolved /

resolution

reached?

Yes

No

End

Inputs

Grievance



Appeals



Outputs



Appeal letter(s)

Mediation / mediation hearing(s)

Customers

Employee

Employee’s Peers

Human Resources

Agency Head


Systems/Interfaces

Microsoft Word

Automated

notification

Automated

Automated

notification

AutomatedAutomated

Automated

Automated

Automated

Note: Policy dictates employees may file grievances directly with the ERB.

Timelines apply, based on policy and / or other rules.

89



d. HR5.01 Manage Grievances – Management Services could-be diagram

Below is the could-be diagram for the manage grievancesmanagement serviceslabor relations area.

HR5.01 Manage Grievances-Management Services DAS HRIS Project Could Be Process Model

Ag

en

cy H

R w

ith

Ma

na

ge

r / S

up

erv

iso

rE

mp

loye

eS

yste

ms

Discipline

warranted?

Yes

Deficient employee

performance or conduct

substantiated from an

investigation

Pre-disciplinary /

pre-dismissal

notice and meeting

HRIS

Notify employee of

new timeline

Yes

Can the

timeline be

met?

No

HRIS

Generate and send

employee notice to

participate in pre-

disciplinary meeting

Dismissal

warranted?

Yes

Agency must impose discipline within 21 days of the pre-disciplinary meeting.

Non-dismissal disciplinary actions include:

Reprimand in lieu of salary reduction

Salary reduction

Suspension without pay

Demotion

Removal from management service with restoration to classified

represented position

Accept?


Appointing

authority imposes

appropriate level

of discipline

HRIS

Generate letter to

employee

No

Establish new

timeline in HRIS

Manage

Grievances -

Management

Services

HR5.04

No

Administer

Separations

HR3.06

Pay reduction or

Suspension

without pay

Demotion or

reprimand

Workforce

Management

HR3.03Identify type of

discipline and document

(e.g.; letter of reprimand

or last change

agreement)

Pay Changes

HR3.05

No

EndYes

End

Start

90



2. HR5.02 Labor Relations

This business area covers the management of labor relations. The could-be diagrams

for this process are covered in the other HR5 process diagrams.

a. HR5.02 Labor Relations process summaries

Below are the process summaries for the labor relationslabor relations area.



This process describes the steps for the overall activities that occur in labor relations and involve unions and other outside agencies.

Process triggers This process can start with contract negotiations and changes to union affiliations and/or CBAs. The process also involves addressing Equal Employment Opportunity Commission (EEOC), Bureau of Labor and Industries (BOLI), and tort claims.


CBAs

Contract negotiations

Agency negotiations

Claims

Grievances


Unions

Develop CBAs proposals

Labor relations unit

Process proposals

Negotiate contracts

Track and access current and prior bargaining concepts and agreements

Contract administration and mutual agreements/LOAs

Update system

Agency HR and DAS

Manage grievances

Develop agency specific proposals and draft letters of agreement for DAS unions

Outside agencies (BOLI and EEOC)

Process EEOC, BOLI, and tort claims

Method The process is performed manually, with data entry into PPDB and tracking in Microsoft Excel.

91





CBAs

Proposals

Contracts

Resolution of grievances

LOAs


Include, but not limited to: CBAs; PEBA; statute chapter 240 state personnel relations; EEOC regulations in title 29 of the Code of Federal Regulations (CFR); and BOLI administrative rules and regulations

Strengths Third party expertise and cooperation

Weaknesses Manual paper processes; lack of automation; lack of training; inability to track timelines; inability to track grievances and claims, as well as the status of grievances and claims; and no numbering system on grievances

Opportunities for improvement Provide the ability to search current and previous CBAs, concepts, and agreements; enable the ability to track progress and outcome from grievances and claims; provide the ability to track timeline/schedule; provide and communicate access to training; and enable automated numbering of grievances


PPDB

Microsoft Excel

92



b. HR5.02 Labor Relations as-is diagram

Below is the as-is diagram for the labor relationslabor relations area.

HR5.02 Labor Relations DAS HRIS Project As-Is Process Model

Ou

tsid

e A

ge

ncie

s

(BO

LI,

EE

OC

)

La

bo

r

Ma

na

ge

me

nt

Co

mm

itte

e

La

bo

r

Re

latio

ns

Un

it

Un

ion

s

Manage

grievances

Process EEOC,

BOLI,

Tort claims

Ability to track and

access current and

prior bargaining

concepts and

agreements


Negotiate

contracts Process proposals

Develop Collective

Bargaining

Agreements

(CBAs)

Contact

Administration mutual

agreements / Letters

of Agreement (LOA)

Update system EndStart

Inputs

Collective Bargaining Agreements (CBAs)


Agency negotiations

Claims

Outputs

CBAs

Proposals

Contracts


Letters of Agreement (LOA)

Customers

Unions

Employees

Human Resources

Labor Relations

Third party agencies

Systems/Interfaces

PPDB

Microsoft Excel

93



c. HR5.02 Labor Relations marked-up diagram

Below is the marked-up diagram for the labor relationslabor relations area.

HR5.02 Labor Relations DAS HRIS Project As-Is Process Model

La

bo

r

Re

latio

ns

Un

it

Un

ion

s

Ability to track and

access current and

prior bargaining

concepts and

agreements


Negotiate

contracts Process proposals

Develop Collective

Bargaining

Agreements

(CBAs)

Contact

Administration mutual

agreements / Letters

of Agreement (LOA)

Update system EndStart

Inputs

Collective Bargaining Agreements (CBAs)


Agency negotiations

Claims

Outputs

CBAs

Proposals

Contracts


Letters of Agreement (LOA)

Customers

Unions

Employees

Human Resources

Labor Relations

Third party agencies

Systems/Interfaces

PPDB

Microsoft Excel

Automated EliminatedAutomated Automated

94



3. HR5.03 Progressive Discipline

This business area covers the progressive discipline labor relations area.

a. HR5.03 Progressive Discipline process summaries

Below are the process summaries for the progressive disciplinelabor relations

area.



This process describes the steps to take to administer progressive discipline with employees as a result of job performance or conduct. Depending on the circumstances, discipline may be a written reprimand, pay reduction, demotion, suspension, or dismissal.

Process triggers This process can start with a complaint from a third party, the employee’s work performance, observance of an employee’s inappropriate conduct, an investigation, and fact finding from a previous investigation or complaint. In addition, negative test results or failure to submit to a drug trust can initiate the process.


Employee conduct

Performance evaluation(s)

Investigation/fact finding

Third party complaint

Drug test results

CBAs, policies, and procedures


Employee

Receive notification of dismissal or dscipline

File grievance

Initiate the grievance or appeal process

Manager/supervisor with agency human resources

Identify issue (receive notification of issue) with employee job performance or work conduct

Initiate investigations

Determine if disciplinary action is warranted

Determine type of disciplinary action

Prepare disciplinary letters

Conduct disciplinary meeting with employee, human resources management staff, and union representative

Notify payroll

Monitor and follow up on disciplinary action

95




Determine if dismissal is warranted

Prepare dismissal letter


Method The process is performed manually, with tracking in Microsoft Excel and data entry in payroll.


Disciplinary actions

Last change agreement (LCA)

Performance work plan


Coaching/training

Oral or written warning


Include, but not limited to: division 70 discipline and discharge policy number 70.005.02 for classified unrepresented discipline and dismissal; Public Employee Bargaining Act (PEBA); CBAs; statute chapter 240 state personnel relations; and division 20 classification/compensation policy number 20.000.01 for job evaluation and position benchmarks

Strengths Ability to address specific problems with the employee; documentation and fact gathering for issues to eliminate discipline, based on egregious issues; and collaboration between human resources and the management team

Weaknesses Manual process with a lot of paper documentation required; slow process; multiple interpretations and inconsistency in discipline; difficult to track and to stay within the planned schedule; and inability to track patterns based on employee, position, or agency, et cetera

Opportunities for improvement Complete process with notes in the system to reduce paper documentation and enable reporting by type of discipline; establish consistency in disciplinary action by personnel action; create standardized letters or agreements; track progress/discipline; and track and monitor timeline/schedule


Payroll (OSPA)

Microsoft Excel

96



b. HR5.03 Progressive Discipline as-is diagram

Below is the as-is diagram for the progressive disciplinelabor relations area.

HR5.03 Progressive Discipline DAS HRIS Project As-Is Process Model

Ma

na

ge

r / S

up

erv

iso

r

with

Ag

en

cy H

RE

mp

loye

e

Start

End

Pre-dismissal

letter

Issue may or may not have come through the Pre-Disciplinary Actions. Some situations do

not go through all steps. Disciplinary action letter is placed in the employee official Personnel

File. Duty Station at Home is evaluated throughout the process and can occur at any step.

Letters of reprimand are authorized by the Supervisor. Pay reductions and potential removal

are authorized by an appointing authority. Pre-dismissal actions include: coaching, training,

oral warning, letter of expectations, memo of concern, letter of warning, performance work

plan, last chance agreement, and settlement agreement.

Pre-dismissal or

disciplinary?

Disciplinary

Action?

Identify issue (receive

notification of issue)

with employee job

performance or work

conduct

No

Pre-dismissal

Monitor and follow

up on disciplinary

action

Pre-dismissal meeting

with employee, select

HR management staff

and union

representative

SeparationsPrepare dismissal

letter

File

grievance?

Grievance

ProcessYes

Notify payroll

Notify payroll

End

Investigations

Yes

Type of

discipline

Pay reduction

Suspension

without pay

Letter of

reprimand

Demotion

Last chance

agreement Dismiss?

Yes

DisciplinaryNo

Receive notification

of dismissal (and/or

union representative)


No

Inputs

Employee conduct


Investigation / fact finding


Drug test results


Outputs



Performance Work Plan


Coaching / Training


Customers

Employee

Employee’s Peers

Manager

Human Resources

Systems/Interfaces

OSPA / Payroll

Microsoft Excel

97



c. HR5.03 Progressive Discipline marked-up diagram

Below is the marked-up diagram for the progressive disciplinelabor relations area.

HR5.03 Progressive Discipline DAS HRIS Project As-Is Process Model

Ma

na

ge

r / S

up

erv

iso

r

with

Ag

en

cy H

RE

mp

loye

e

Start

End

Pre-dismissal /

letter

Issue may or may not have come through the Pre-Disciplinary Actions. Some situations do not go

through all steps. Disciplinary action letter is placed in the employee official Personnel File. Duty Station

at Home is evaluated throughout the process and can occur at any step. Letters of reprimand are

authorized by the Supervisor. Pay reductions and potential removal are authorized by an appointing

authority. Pre-dismissal actions include: coaching, training, oral warning, letter of expectations, memo of

concern, letter of warning, performance work plan, last chance agreement, and settlement agreement.

Pre-dismissal or

disciplinary?

Disciplinary

Action?

Identify issue (receive

notification of issue)

with employee job

performance or work

conduct

No

Pre-dismissal

Monitor and follow

up on disciplinary

action



HR management staff,

and union

representative

SeparationsPrepare dismissal

letter

File

grievance?

Grievance or

Appeal

ProcessesYes

Notify payroll

Notify payroll

End

Investigations Egregious? No

Yes

Yes

Type of

discipline

Pay reduction

Suspension

without pay

Letter of

reprimand

Demotion

Last chance

agreement Dismiss?

Yes

Disciplinary

No

Receive notification of

dismissal (and/or union

representative)


No

Inputs

Employee conduct


Investigation / fact finding


Drug test results


Outputs



Performance Work Plan


Coaching / Training


Customers

Employee

Employee’s Peers

Manager

Human Resources

Systems/Interfaces

OSPA / Payroll

Microsoft Excel

Standardized

Automated

Automated Automated

Automated

AutomatedAutomated

Standardized

Standardized

Automated

Automated

98



d. HR5.03 Progressive Discipline could-be diagram

Below is the could-be diagram for the progressive disciplinelabor relations area.

HR5.03 Progressive Discipline DAS HRIS Project Could Be Process Model

Ma

na

ge

r / S

up

erv

iso

r w

ith

Ag

en

cy H

RE

mp

loye

eS

yste

ms


Issue may or may not have come through the Pre-Disciplinary Actions. Some situations do not go through

all steps. Disciplinary action letter is placed in the employee official Personnel File. Duty Station at Home is

evaluated throughout the process and can occur at any step. Letters of reprimand are authorized by the

Supervisor. Pay reductions and potential removal are authorized by an appointing authority. Additional

meetings and notifications may apply based on collective bargaining agreements / union contracts and type

of discipline identified.

Start End



HR management staff

and union

representative

Administer

Separations

HR3.06

File

grievance?

Manage

Grievance

Processes

HR5.0xYes

End

Investigations

HR5.01Findings? No

Yes

Pay reduction

HRIS

Generate notification

letter to employee (e.g.,

reprimand, last chance

agreement, et cetera)

based on user

configuration

Demotion

Dismiss?

No

HRIS

Generate pre-

dismissal letter

and meeting

notices

Yes

Workforce

Management

HR3.03

Identify type of

discipline and

document (e.g.; letter

of reprimand or last

chance agreement) Pay Changes

HR3.05

Suspension

without pay Yes

NoPre-

dismissal?No

Termination

99



4. HR5.04 Management Services Discipline

This business area covers disciplinary actions for management services employees.

a. HR5.04 Management Services Discipline process summaries

Below are the process summaries for the management services disciplinelabor

relations area.



This process describes the steps to take to administer progressive discipline with management services employees as a result of job performance or conduct. If substantiated, discipline may include dismissal.

Process triggers This process can start with a complaint or grievance from a third party, poor work performance or deficient conduct, an investigation, and/or fact finding from an investigation or complaint.


Employee conduct/performance

Investigations

Complaints/grievances

Policies and procedures


Employee

Deficient performance or conduct

Receive notice and participate in pre-disciplinary meeting

Receive notification of discipline

Decision to appeal discipline

Initiate the management service grievance process

Agency human resources manager/supervisor

Complete investigation process

Determine if discipline is substantiated

Conduct pre-disciplinary/pre-dismissal notice and meeting

Determine if findings are egregious and if discipline is warranted

Determine if timeline can be met

Notify employee and set new deadline

Impose appropriate level of discipline (appointing authority)

Determine if dismissal is warranted

Issue non-dismissal discipline


100




Method The process is performed manually, outside of a system.



Pre-disciplinary notice/meeting

Coaching/training/counseling

Letter of expectations

Memo of concern

Warning/letter of warning


Include, but not limited to: division 70 discipline and discharge policy number 70.000.02 for management service discipline and dismissal/removal; division 20 classification/compensation policy number 20.000.01 for job evaluation and position benchmarks; division 50 workforce management policy number 50.010.03 for maintaining a professional workplace; and statute chapter 240 state personnel relations

Strengths Ability to address specific problems

Weaknesses Slow, manual process and difficult to manage schedule, timeline, and progress of disciplinary actions

Opportunities for improvement Complete process, with notes in the system to reduce paper documentation and enable reporting by type of discipline; create standardized letters; track progress/discipline; and track and monitor timeline/schedule


N/A

101



b. HR5.04 Management Services Discipline as-is diagram

Below is the as-is diagram for the management services disciplinelabor relations area.

HR5.04 Management Service Discipline DAS HRIS Project As-Is Process Model

Ag

en

cy H

R M

an

ag

er

/ S

up

erv

iso

rE

mp

loye

e

Yes

Deficient

performance or

conduct

Substantiated?

Pre-disciplinary /

pre-dismissal

notice and meeting

Yes

Notify employee

and set new

deadline

Can the

timeline be

met?

No

Receive notice

and participate in

pre-disciplinary

meeting

Receive

notification

Dismissal

warranted?

No

Issue non-

dismissal

discipline

Yes Separations

Agency must impose discipline within 21 days of the pre-disciplinary

meeting.



Salary reduction


Demotion

Removal from management service with restoration to classified

represented position

Appeal?Management

Service GrievanceYes

End

No

HR5.66

Investigations


Start

End

No

Appointing

authority imposes

appropriate level

of discipline

Inputs

Employee conduct / performance

Investigations

Complaints / grievances


Outputs


Pre-disciplinary notice / meeting

Coaching / Training / Counseling

Letter of Expectations

Memo of Concern

Warning / Letter of Warning

Customers

Employee

Employee’s Peers

Manager

Human Resources

Systems/Interfaces

N/A

Determine if

egregious and

type of discipline

warranted

102



c. HR5.04 Management Services marked-up diagram

Below is the marked-up diagram for the management services disciplinelabor relations area.

HR5.04 Management Service Discipline DAS HRIS Project As-Is Process Model

Ag

en

cy H

R M

an

ag

er

/ S

up

erv

iso

rE

mp

loye

e

Egregious?

Yes

Deficient

performance or

conduct

Substantiated?

Pre-disciplinary /

pre-dismissal

notice and meeting

Yes

Notify employee

and set new

deadline

Can the

timeline be

met?

No

Receive notice

and participate in

pre-disciplinary

meeting

Receive

notification

Dismissal

warranted?

No

Issue non-

dismissal

discipline

Yes

Separations

Agency must impose discipline within 21 days of the pre-disciplinary meeting.



Salary reduction


Demotion

Removal from management service with restoration to classified represented position

Appeal?Management

Service GrievanceYes

End

No

HR5.66

Investigations


Start

End

No

Appointing

authority imposes

appropriate level

of discipline

Inputs


Investigations

Complaints / grievances


Outputs


Pre-disciplinary notice / meeting

Coaching / Training / Counseling

Letter of Expectations

Memo of Concern

Warning / Letter of Warning

Customers

Employee

Employee’s Peers

Manager

Human Resources

Systems/Interfaces

N/A

Standardized

Automated Automated

Standardize

Determine if

egregious and

type of discipline

warranted

103



d. HR5.04 Management Services could-be diagram

Below is the could-be diagram for the management services grievance labor relations area.

HR5.04 Manage Grievances – Management Service DAS HRIS Project Could Be Process Model

Ag

en

cy

He

ad

Ag

en

cy H

RE

mp

loye

eS

yste

ms

Em

plo

ym

en

t R

ela

tio

ns

Bo

ard

(E

RB

)

StartIs this an

appeal?


No

File grievance

with HR or

agency Head in

HRIS

Within thirty

(30) days

from effective

date of action

Escalate

grievance to

Agency Head in

HRIS

YesWithin seven (7)

days from due

date of action

Within fifteen (15)

days of receipt

File appeal with

ERB in HRIS

Within thirty (30) days

from effective date of

action / initial discipline

Yes

Agree to

mediation?

Conduct

mediation with

Conciliation


Resolution?

ERB closes

grievance /

appeal in HRIS

No

HRIS

Send notification of

resolution / decision

to Agency Head, HR,

and employee

Hold hearing,

issue decision No

HRIS

Send notification

of decision to

employee

Can the

timeline be

met?

HRIS

Assign grievance

identification number,

send notification to HR

or agency head based

on rules

Establish new timeline

in HRIS

Yes

No

Affirm or deny

grievance in

HRIS

Accept

resolution /

decision?

Close grievance

in HRIS

No

Affirm or deny

grievance in

HRIS

Yes

HRIS

Send notification

of decision to

employee

Accept

resolution /

decision?

HRIS

Close grievance

in HRIS

No

Yes

End

End

HRIS

Send notification

of new timeline

Employees may file a grievance with the agency and / or file an appeal with

ERB at any time, within the thirty (30) days of the initial personnel action.

Grievances filed as a result of disciplinary action bypass HR and are routed

to the agency head.

104



5. HR5.05 Investigations

This business area covers investigations related to employee grievances.

a. HR5.05 Investigations process summaries

Below are the process summaries for the investigationslabor relations area.



This process describes the steps to take to conduct a personnel investigation. The process and outcome of the investigation help maintain compliance with federal and state policies and procedures and CBAs. The process uses a review of facts to address written and verbal allegations, complaints, and/or grievances.

Process triggers This process can start with an allegation, complaint, or grievance that warrants an investigation to determine if the complaint is substantiated and/or egregious. Findings and new allegations discovered in the initial investigation can also trigger additional investigations.


Allegations

Complaint/grievance

Written documents and electronic files

Tapes and witness interviews

Employee conduct/performance


DAS, agency human resources, or other investigatory body

Receive complaint or allegation

Determine and notify who handles action(s)

Investigate, gather evidence, and interview personnel

Determine if complaint/allegation is substantiated

Determine if there are new allegations

Amend complaint

Formulate recommendation

Finalize decision

Deliver record of final decision

Manager/supervisor

Discuss options/recommendations with human resources/DAS or others

Employee

Receive and sign disciplinary or pre-disciplinary letter

Decide to appeal

105




Initiate the grievance process

Method The process is performed manually, with data entry and tracking in Microsoft Word and/or Excel.


Recommendations

Disciplinary action/letter

Report or investigation results

Written documents and electronic files

DESA/DBOS tapes and witness interviews


Include, but not limited to: Employment Relations Board (ERB) administrative rules; Public Employees Collective Bargaining Act (PECBA) ORS 243.650 through 243.766; state personnel relations law ORS chapter 240; BOLI chapter 659A unlawful discrimination in employment, public accommodations, and real property transactions; administrative and civil enforcement; EEOC regulations, including title VII of the Civil Rights Act of 1964; Equal Pay Act of 1963 (EPA); Age Discrimination in Employment Act of 1967 (ADEA); and title I of the ADA

Strengths Investigations and findings can occur before the employee is aware that he or she is being investigated

Weaknesses Manual process with a lot of paper documentation required; slow, detailed driven process; and investigations are not kept confidential, once employee interviews begin

Opportunities for improvement Complete process, with notes in the system to reduce paper documentation and to enable reporting by type of investigation; track progress/outcome of investigation; track and monitor timeline/schedule; and implement confidentiality agreements


Microsoft Word

Microsoft Excel

106



b. HR5.05 Investigations as-is diagram

Below is the as-is diagram for the investigationslabor relations area.

HR5.05 Investigations DAS HRIS Project As-Is Process Model

Em

plo

ye

eM

an

ag

er

/ S

up

erv

iso

rD

AS

, A

ge

ncy H

R,

or

Oth

er

Inve

stig

ato

ry B

od

y

End

Complaint

received or

allegation made

Investigate, gather

evidence, interview

personnel

Substantiated?

Finalize decisionCommunicate and

record final action

Discuss options /

recommendations

with HR / DAS or

others, as

appropriate

Receive and sign

disciplinary or pre-

disciplinary letter

Formulate

recommendation

Grievance

Processes

Appeal?

Yes

Yes

Note: Duty Station at Home is evaluated throughout the process and can occur at any step. Process may

change if there is criminal investigation by a law enforcement agency, Tort, or an EEOC BOLI claim is filed.

Once criminal investigation has been resolved the process can proceed.


Start

Determine and

notify who handles

action(s)

NoAmend complaintNew

allegations?Yes

EndNo

No

Inputs

Allegations

Compliant / grievance

Written documents, electronic files

DESA / DBOS tapes, witness interviews


Outputs

Recommendations

Disciplinary action / letter

Report of investigation results



Customers

Employee

Employee’s Peers


DAS

Human Resources

Systems/Interfaces

Microsoft Word

Microsoft Excel

107



c. HR5.05 Investigations marked-up diagram

Below is the marked-up diagram for the investigationslabor relations area.

HR5.05 Investigations DAS HRIS Project As-Is Process Model

Em

plo

ye

eM

an

ag

er

/ S

up

erv

iso

rD

AS

, A

ge

ncy H

R, o

r

Oth

er

Inve

stig

ato

ry B

od

y

End

Complaint

received or

allegation made

Investigate, gather

evidence, interview

personnel

Substantiated?

Finalize decisionCommunicate and

record final action

Discuss options /

recommendations

with HR / DAS or

others, as

appropriate

Receive and sign

disciplinary or pre-

disciplinary letter

Formulate

recommendation

Grievance

Processes

Appeal?

Yes

Yes

Note: Duty Station at Home is evaluated throughout the process and can occur at any

step. Process may change if there is criminal investigation by a law enforcement

agency, Tort, or an EEOC BOLI claim is filed. Once criminal investigation has been

resolved, the process can proceed.


Start

Determine and

notify who handles

action(s)

NoAmend complaintNew

allegations?Yes

EndNo

No

Inputs

Allegations

Compliant / grievance




Outputs

Recommendations

Disciplinary action / letter

Report of investigation results



Customers

Employee

Employee’s Peers


DAS

Human Resources

Systems/Interfaces

Microsoft Word

Microsoft Excel

Automated

Automated

Automated

108



d. HR5.05 Investigations could-be diagram

Below is the could-be diagram for the investigationslabor relations area.

HR5.05 Investigations DAS HRIS Project Could Be Process Model

Ma

na

ge

r /

Su

pe

rvis

or

DA

S, A

ge

ncy H

R, o

r

Oth

er

Inve

stig

ato

ry B

od

yS

yste

ms

Complaint

received or

allegation made

Investigate, gather

evidence, interview

personnel; document

findings in HRIS

Substantiated?

Close investigation in

HRIS and notify

employee and

manager

Formulate

recommendation

Note: Duty Station at Home is evaluated throughout the process and can occur at any step.

Process may change if there is criminal investigation by a law enforcement agency, Tort, or

EEOC BOLI claim is filed. Once criminal investigation has been resolved, the process can

proceed.

New allegations can surface at any time during an investigation. The type of allegation will

determine if the existing complaint is modified or a new complaint is created.


Start

HRIS

Determine and notify

who handles action(s)

using configurable

business rules

No

HRIS

Store investigation

findings based on

configurable security

settings

Progressive

Discipline

HR5.02 or

Management

Service Discipline

HR5.03

EndNo

New

allegations?

Amend

complaint?Yes

Yes

Open new complaint

in HRISNo

Yes

109



6. HR5.06 Manage Grievances–AFSCME, SEIU (Union Represented

Employee/Group)

This business area covers the management of grievances related to union represented

employees or groups of employees.

a. HR5.06 Manage Grievances–AFSCME, SEIU (Union Represented

Employee/Group process summaries

Below are the process summaries for the manage grievances–AFSCME, SEIU

(union represented employee/group)labor relations area.



This process describes the steps involved to resolve a grievance that a union or union represented employee or group has filed.

Process triggers This process can start when a union representative, a union represented employee, or a group of employees file a notice of a grievance. The grievance and/or allegation can result from a contract violation, reprimand, pay/merit issue, or dismissal. In addition, the process can also result in an appeal of an unresolved issue and/or proposed solution.


Contract article violation/reprimand

Letter of reprimands

Last change agreements

Pay reductions

Merit increase withheld/reduction in pay

Suspension, demotion, dismissal, and appeals


CBAs

Policies


Grievant (union represented employee/group)

Allege contract violation, reprimand, pay issue, or dismissal and generate notification via e-mail or form

Discussion with union representative

Manager/supervisor and agency human resources

Investigate, evaluate, and make decision

Determine if grievance is resolved

Sign agreement with union

Send response to union

110




Implement agreement

Union

Receive notification from employee

Investigate allegation

Decide to file grievance

Decide to appeal

Meeting with labor relations unit and other parties involved

Decide to request arbitration

Agency head (or designee)

Implement agreement



Send response to union

Sign agreement with union and agency, implement resolution, or withdraw complaint

DAS labor relations

Contacts appropriate arbitrator



Sign agreement with union and implement agreement/resolution

Arbitrator

Administers the arbitration process

Method Microsoft Office (Word, Excel and Access) is used to perform the process. Some agencies use a grievance tracking database.




Various communications

Appeal letter(s)

Report(s) of appeal proceedings

Report(s)/findings of investigations


Include, but not limited to: PECBA ORS 243.650 through 243.766; CBAs with SEIU, the American Federation of State, County and Municipal Employees (AFSCME), and other organized labor unions; and state personnel relations law ORS chapter 240

Strengths Not applicable, as the process is manual and it is difficult to manage where the process is and which grievances are unresolved

111




Weaknesses No numbering system on grievances; no tracking of grievances; no history of grievances to show trends; all information is submitted by paper for review (no electronic file transfer); and inability to track timeline

Opportunities for improvement Complete process, with notes in the system to reduce paper documentation and enable information/file sharing; track progress/discipline; track timeline/schedule; track status of grievance by employee(s); enable access to prior grievances and results; track trends, based on grievance type; and enable automated numbering of grievances


Grievance tracking Microsoft Access database

Microsoft Excel

Microsoft Word

Microsoft Access

112



b. HR5.06a Manage Grievances–AFSCME, SEIU (Union Represented Employee/Group) as-is diagrams

Below are the as-is diagrams for the manage grievances–AFSCME, SEIU (union represented employee/group)labor relations area.

HR5.06a Manage Grievances – AFSCME, SEIU (Union Represented Employee / Group) DAS HRIS Project As-Is Process Model

Ag

en

cy H

ea

d

(o

r d

esig

ne

e)

Un

ion

Ma

na

ge

r / S

up

erv

iso

r a

nd

Ag

en

cy H

R

Grie

va

nt

(Un

ion

rep

rese

nte

d

em

plo

ye

e/

gro

up)

Start

Step 1

Is grievance

resolved?

Union and

Supervisor sign

agreement

(if necessary)End

Union and Agency sign

agreement (if necessary),

implement resolution or

withdraw complaint

No

Is grievance

resolved?

No

Investigate,

evaluate, and

make decision

Investigate,

evaluate, and

make decision

Yes

Implement

agreement at

this level?

Yes

Agreement

implemented

End

Appeal

decision?

Appeal

decision?No

Yes

Yes

The grievance process is driven by time constraints outlined in contracts, tracking deadlines is critical.

The union can agree to end the grievance at any time. Step 2 grievances skip the manager and begin

with the Agency Department head. Step 3 grievances are across agencies and are reviewed by the

DAS Labor Relations Unit (LRU). Step 4 grievances begin with arbitration.

Investigate

allegation

YesReceive

notification from

employee

Allege contract violation,

reprimand, pay issue, or

dismissal, generate

notification via e-mail or

form

File

grievance?

Discussion with

Union

representative

No

Response sent

to Union

End

No


Start

Step 2

No

Yes

End

Response sent

to Union

Go to HR5.06b

Inputs

Contract article violation / Reprimand

Merit increase withheld / reduction in pay

Suspension, demotion, dismissal, appeals



Policies

Outputs




Appeal letter(s)


Report(s) /findings of investigations

Customers

Grievant(s)

Union

Labor Relations

Agency HR

Systems/Interfaces

Grievance Tracking Access Database

Microsoft Excel

Microsoft Word

Microsoft Access

113



HR5.06b Manage Grievances–AFSCME, SEIU (Union Represented Employee/Group) as-is diagrams

HR5.06b Manage Grievances – AFSCME, SEIU (Union Represented Employee / Group) DAS HRIS Project As-Is Process Model

DA

S

La

bo

r R

ela

tio

ns U

nit

Ag

en

cy H

ea

d

(o

r d

esig

ne

e)

Un

ion

Arb

itra

tor

Is grievance

resolved?

No

LRU and Union sign

agreement (if

necessary) and

implement agreement/

resolution

End

Investigate,

evaluate, and

make decision

Yes

Appeal

decision?Yes

Arbitration

Process

Start

Step 3

Start

Step 4

Meeting with

LRU and other

parties

involved

Response

provided from

meeting

Arbitration?

Yes

No

Inputs






Policies

Outputs




Appeal letter(s)



Customers

Grievant(s)

Union

Labor Relations

Agency HR

Systems/Interfaces


Microsoft Excel

Microsoft Word

Microsoft Access


114



c. HR5.06a Manage Grievances–AFSCME, SEIU (Union Represented Employee/Group) marked-up diagrams

Below are the marked-up diagrams for the manage grievances–AFSCME, SEIU (union represented employee/group)labor relations area.

HR5.06a Manage Grievances – AFSCME, SEIU (Union Represented Employee / Group) DAS HRIS Project As-Is Process Model

Ag

en

cy H

ea

d

(o

r d

esig

ne

e)

Un

ion

Ma

na

ge

r / S

up

erv

iso

r a

nd

Ag

en

cy H

R

Grie

va

nt

(Un

ion

rep

rese

nte

d

em

plo

ye

e/

gro

up

)

Start

Step 1

Is grievance

resolved?

Union and

Supervisor sign

agreement

(if necessary)End

Union and Agency sign

agreement (if necessary),

implement resolution, or

withdraw complaint

No

Is grievance

resolved?

No

Investigate,

evaluate, and

make decision

Investigate,

evaluate, and

make decision

Yes

Implement

agreement at

this level?

Yes

Agreement

implemented

End

Appeal

decision?

Appeal

decision?No

Yes

Yes

The grievance process is driven by time constraints outlined in contracts, tracking deadlines is critical.

The union can agree to end the grievance at any time. Step 2 grievances skip the manager and begin

with the Agency Department head. Step 3 grievances are across agencies and are reviewed by the

DAS Labor Relations Unit (LRU). Step 4 grievances begin with arbitration.

Investigate

allegation

YesReceive

notification from

employee

Allege contract violation,

reprimand, pay issue, or

dismissal, generate

notification via e-mail or

form

File

grievance?

Discussion with

Union

representative

No

Response sent

to Union

End

No


Start

Step 2

No

Yes

End

Response sent

to Union

Go to HR5.06b

Inputs






Policies

Outputs




Appeal letter(s)



Customers

Grievant(s)

Union

Labor Relations

Agency HR

Systems/Interfaces


Microsoft Excel

Microsoft Word

Microsoft Access

Automated

Automated

Automated

115



HR5.06b Manage Grievances–AFSCME, SEIU (Union Represented Employee/Group) marked-up diagrams

HR5.06b Manage Grievances – AFSCME, SEIU (Union Represented Employee / Group) DAS HRIS Project As-Is Process Model

DA

S

La

bo

r R

ela

tio

ns U

nit

Age

ncy H

ea

d

(o

r d

esig

ne

e)

Un

ion

Arb

itra

tor

Is grievance

resolved?

No

LRU and Union sign

agreement (if

necessary) and

implement agreement/

resolution

End

Investigate,

evaluate, and

make decision

Yes

Appeal

decision?Yes

Arbitration

Process

Start

Step 3

Start

Step 4

Meeting with

LRU and other

parties

involved

Response

provided from

meeting

Arbitration?

Yes

No

Inputs






Policies

Outputs




Appeal letter(s)



Customers

Grievant(s)

Union

Labor Relations

Agency HR

Systems/Interfaces


Microsoft Excel

Microsoft Word

Microsoft Access


116



d. HR5.06 Manage Grievances–AFSCME, SEIU (Union Represented Employee/Group) could-be diagram

Below is the could-be diagram for the manage grievances–AFSCME, SEIU (union represented employee/group)labor relations area.

HR5.06 Manage Grievances – AFSCME, SEIU (Union Represented Employee / Group) DAS HRIS Project Could Be Process Model

Ag

en

cy H

ea

d o

r

De

sig

ne

e

Un

ion

Ma

na

ge

r / S

up

erv

iso

r a

nd

Ag

en

cy H

RS

yste

ms

DA

S L

ab

or

Re

latio

ns U

nit

Start

Further

action

required?

End

Is grievance

resolved?

No

Review findings in

HRIS, conduct

additional

investigation and

evaluation

Implement and

record outcome

in HRIS

Appeal

decision?No

Yes

The grievance process is driven by time constraints outlined in contracts, and tracking deadlines is critical. The Union works

with the employee / group of employees to investigate the allegation to determine if grievance is filed. The union can agree to end the

grievance at any time. Step 2 grievances skip the manager and begin with the Agency Department head. Step 3 grievances

are across agencies and are reviewed by the DAS Labor Relations Unit (LRU). Step 4 grievances begin with arbitration.

File grievance in

HRIS

HRIS

Generate response

to Union using form

template(s)


No End

HRIS

Generate

response to Union

using form

template(s)

HRIS

Assign grievance

identification number and

sends notification based on

configurable business rules

No

HRIS

Send notification

of outcome based

on business rules

Yes

Appeal

decision?

Meet with

approporate

parties involved

Yes

Record notes,

response and

outcome from

meeting in HRIS

HRIS

Log outcome and

send notifications

based on business

rules

Request

arbitration?

ArbitrationYes

Previously

investigated?

Review records

in HRISYes

No Investigations

HR5.01

Investigate,

evaluate, and

make decision

Yes

Review investigation

records in HRIS,

conduct additional

investigation, if

necessary

Implement

outcome

EndNo

117



F. Performance Evaluations


for performance evaluations.

1. HR6.01 Performance Evaluations

This business area covers the management of performance evaluations.

a. HR6.01 Performance Evaluations Services process summaries

Below are the process summaries for the performance evaluationsperformance

evaluations area.



This process describes the steps to take to complete performance evaluations, which include the employee self-appraisal/assessment and the manager’s evaluation. This process is used as a reminder for employees to update their contact information, including emergency contacts and their list of assigned assets/equipment.

Process triggers This process starts with the monthly report from PPDB that identifies which employees are due a performance evaluation. After the report is reviewed, the process is triggered when the manager/supervisor gathers feedback and instructs the employee to complete a self-assessment.


Time-driven and annual review

Type of review, end of trial service, behavioral issues, and change in work duty

Performance review form

Report of upcoming annual performance review dates


DAS HRSD

Generate annual review report from PPDB, produced monthly

Employee

Prepare self-evaluation and bring to review

Receive evaluation

Schedule review with manager/supervisor

Participate in performance discussion

Plan and document goals/objectives

Make decision to sign document(s)

Sign evaluation and position description

Manager/supervisor

118




Gather performance feedback

Determine whether to conduct employee self-evaluation

Request self-appraisal/review; to be completed by employee

Complete written performance evaluation for employee and update employee’s position description, if necessary

Work with agency human resources to determine/agree on review specifics

Obtain signatures from supervisor, reviewer, and appointment authority

Schedule review with employee

Conduct performance discussion

Plan and document goals/objectives

File rebuttal

Determine if pay increase is due

If denying pay increase, request denial of pay increase from appointing authority


Review report and notify supervisor of employee(s) due for performance evaluation. Send forms to supervisor, if applicable.

Review evaluations(s)

Make changes to evaluation and obtain signatures (employee supervisor and appointing authority, if necessary)

Determine if pay increase is due (note: appointing authority can deny pay increase)

Enter freeze code on employee’s PPDB record to bypass automated processing of merit increase

Method The process is performed manually, outside the system, unless the agency uses Halogen and/or Survey Monkey to collect feedback.


Completed performance review form

Performance improvement plan

Disciplinary/non-disciplinary action


Include, but not limited to: state human resources policy 50.035.01 and CBAs; and division 50 workforce management policy, including number 50.045.01 for employee development and implementation of Oregon benchmarks for workforce development

Strengths Evaluations for seasonal employees are completed based on their seasonal schedules and Halogen is legally compliant

Weaknesses Evaluations are often behind or overdue; after three months of not completing an evaluation, the system no longer reports the evaluation as overdue/incomplete; evaluation process is not standard/consistent

119




across agencies; forms vary by agency; manual or no tracking of employee’s last evaluation date; and manual or no tracking of manager’s/supervisor’s completed evaluations

Opportunities for improvement Hold managers/supervisors accountable for completing evaluations; flag overdue evaluations; notify human resources if/when evaluations are overdue; develop and use statewide evaluation form; track date of last evaluation by employee; and track manager’s/supervisor’s trends/percentage complete


PPDB

Survey Monkey for peer review

Halogen

120



b. HR6.01 Performance Evaluations as-is diagram

Below is the as-is diagram for the performance evaluations–performance evaluations area.

HR6.01 Performance Evaluations DAS HRIS Project As-Is Process Model

Ag

en

cy

HR

Ma

na

ge

r /

Su

pe

rvis

or

Em

plo

ye

eD

AS

HR

SD

Review report and

notify supervisor of

employee(s) due

performance

evaluation. Send

forms to supervisor,

if applicable.

Schedule review

with the

employee*

Conduct /

participate in

performance

discussion

Plan and

document

goals /

objectives

Prepare self-

appraisal, bring to

review

Generate annual review

report from PPDB,

produced monthly

Start

(Annual or End

Trial Service

Review)

Request self -

appraisal / review,

to be completed by

employee

Gather

performance

feedback

Complete written

performance evaluation

for employee, update

employee’s position

description, if necessary

Work with Agency

HR to determine/

agree on review

specifics

Obtain signatures

from supervisor,

reviewer, and

appointing

authority

Sign evaluation

and position

description

If employee refuses to sign performance evaluation, write on the

signature line “employee refused to sign,” initial, or sign and

date the statement. A second manager will need to do the

same.

Make changes to

evaluation and obtain

signatures (employee

supervisor and

appointing authority,

if necessary)

Is a pay

increase

due?

Enter freeze code on

employee’s PPDB

record to bypass

automated processing

of merit increase

EndYes

Receive

evaluation

Employee self

assessment?No

Review with

employee?

Yes

File rebuttal

Review

appraisal(s)

Yes


No

Refuse to sign? No

Yes

Inputs

Time-driven, annual review

Type of review: end of trial service,

behavioral issues, change in work duty


Report of upcoming annual performance

review dates

Outputs

Completed review form

Performance Improvement plan

Disciplinary / non-disciplinary action

Customers

Employee

Employee’s Peers

Manager

Agency HR

Systems/Interfaces

PPDB


Halogen

No

*Employee may review evaluation prior to an official meeting

121



c. HR6.01 Performance Evaluations marked-up diagram

Below is the marked-up diagram for the performance evaluations–performance evaluations area.

HR6.01 Performance Evaluations DAS HRIS Project As-Is Process Model

Ag

en

cy

HR

Ma

na

ge

r/S

up

erv

iso

rE

mp

loye

eD

AS

HR

SD

Review report and

notify supervisor of

employee(s) due

performance

evaluation. Send

forms to supervisor,

if applicable.

Schedule review

with the

employee*

Conduct /

participate in

performance

discussion

Plan and

document

goals /

objectives

Prepare self-

appraisal, bring to

review

Generate annual review

report from PPDB,

produced monthly

Start

(Annual or End

Trial Service

Review)

Request self -

appraisal / review,

to be completed by

employee

Gather

performance

feedback

Complete written

performance evaluation

for employee, update

employee’s position

description, if necessary

Work with Agency

HR to determine/

agree on review

specifics

Obtain signatures

from supervisor,

reviewer, and

appointing

authority

Sign evaluation

and position

description

Make changes to



supervisor and

appointing authority,

if necessary)

Is a pay

increase

due?

Enter freeze code

on employee’s

PPDB record to

bypass automated

processing of merit

increase

End

No

Yes

Receive

evaluation

Employee self

assessment?No

Review with

employee?

Yes

File rebuttal

Review

appraisal(s)

Yes


No

Refuse to sign? No

Yes

Inputs






review dates

Outputs




Customers

Employee

Employee’s Peers

Manager

Agency HR

Systems/Interfaces

PPDB


Halogen

Automated

Automated

Automated

Automated

Automated

Automated

Automated

Automated

Automated

Eliminated

Automated

Standardized

Automated

Automated

*Employee may review evaluation prior to an official meeting

Standardized

If employee refuses to sign performance evaluation, write on the

signature line “employee refused to sign,” initial or sign and date

the statement. A second manager will need to do the same.

122



d. HR6.01 Performance Evaluations could-be diagram

Below is the could-be diagram for the performance evaluations–performance evaluations area.

HR6.01 Performance Evaluations DAS HRIS Project Could Be Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

eS

yste

m Generate

evaluation-due

notifications to

manager (1)

Start

End

(1) Evaluations are due periodically for

employees in trial service period;

annually for employees in limited

duration or regular status.

Enter performance

evaluation in HRIS,

consulting with Agency

HR, as needed

Employee self

assessment?

Mark record for

self-evaluation in

HRIS

Generate self-

evaluation

notification to

employee

Yes

No

Print, sign and

obtain reviewer

and appointing

authority

signatures (2)

(2) If hard signatures are not required,

performance evaluations can be routed in the

system to the appropriate personnel for online

review and approval.

Further efficiencies can be gained by requiring

employee to access HRIS to review and digitally

sign performance evaluation and position

description after in-person review.

Schedule and

conduct in-person

review with

employee

Participate in review

meeting; plan and

document goals,

objectives, training, and

development plan

Accept

evaluation?

Sign hard copy

evaluation and position

description, (2)

obtain

personal copy, if

desired.

Update HRIS, scan

and attach signed

evaluation and

position description

Summon second manager

as witness. Enter “Employee

refused to sign” on signature

line of evaluation. Both

managers date and initial.

File rebuttal with

Agency HR, if

desired

Review

evaluation, if

necessary

Changes

made?

Obtain re-sign by

manager and

Appointing

Authority

Yes

No

Generate

completion

notification to

manager

Review evaluation,

add comments and

rating


Self Service

Performance

Management

HR7.02

Schedule and

conduct meeting

with employee, if

necessary

Yes

No

End

123



2. HR6.02 Performance Management

This business area covers the management of performance management. The could-

be diagram for this process is combined in HR6.01 Performance Evaluations.

a. HR6.02 Performance Management process summaries

Below are the process summaries for the performance management–

performance evaluation area.



This process describes the steps to take to administer performance expectations and job duties. The process includes monthly reviews and reviews for the duration of trial service.

Process triggers This process can start with new hires’ need to complete trial service reviews and with feedback needed for annual performance evaluations.


Time-driven and annual review

Type of review, end of trial service, behavioral issues, and change in work duty


Report of upcoming annual performance review dates


Employee

Participate in review/evaluation meetings

Complete self-evaluation performance evaluation

Review appraisal with supervisor

Decide to sign evaluation

Sign evaluation

File rebuttal

Manager/supervisor

Manager outlines expectations and job duties as part of initial on-boarding

Conduct monthly reviews during employee trial service

Complete end-of-trial-service recommendation and evaluation

Decide to retain employee

Recommend separations to appointing authority

Move employee to annual performance evaluation cycle

Manager reviews evaluation with supervisor

Reviewer provides sign-off on evaluation

Supervisor reviews evaluation with employee

124




Sign evaluation/appraisal

Distribute copies to employee and agency human resources

Determine if pay increase is due

If denying, requests denial of pay increase from agency appointing authority


Review evaluations

Make changes to evaluation and obtain signatures (employee supervisor and appointing authority, if necessary)

Determine if pay increase is due (note: appointing authority can deny pay increase)

Enter freeze code on employee’s PPDB record to bypass automated processing of merit increase

Agency appointing authority can remove employee from trial service

Method The process is performed manually outside the system, unless the agency uses Halogen and/or Survey Monkey to collect feedback.


Completed performance review form



Updated position description/job duties

Disciplinary/non-disciplinary action


Include, but not limited to: state human resources policy 50.035.01; CBAs, division 50 workforce management policy, including number 50.035.01 for performance management process; policy number 50.040.01 for employee performance recognition program; and policy number 50.045.01 for employee development and implementation of Oregon benchmarks for workforce development

Strengths Annual performance begins on the employee start date, regardless of trial service date, and Halogen is legally compliant

Weaknesses Personnel manually track or do not track ongoing performance; inconsistent processes across agencies; timelines vary by agency (e.g., semi-annually versus monthly; based on salary eligibility date; based on a particular day of a month; or based on workload/schedule demand); and process is dependent on manager’s desire, workload, and number of employees supervised

Opportunities for improvement Enforce performance management and hold managers accountable; establish consistent timeline, based on specific criteria (e.g., classification and position/job role); track date of last performance meeting; enable personnel to use the system to document performance; and enable notifications, based on performance review

125




cycle


PPDB


Halogen

126



b. HR6.02 Performance Management as-is diagram

Below is the as-is diagram for the performance management–performance evaluation area.

HR6.02 Performance Management DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

e


Start Yes

Manager outlines

expectations and

job duties as part

of initial on-

boarding

Manager reviews

appraisal with

supervisor

Complete end-of-

trial-service

recommendation

and evaluation

Move to annual

performance

appraisal cycle

Supervisor

completes

performance

appraisal

Complete self-

evaluation

performance

appraisal

Conduct monthly

reviews during

employee trial

service

Retain

employee?

Separations

No

Supervisor and

employee review

appraisal

Supervisor and

employee sign

evaluation /

appraisal

Distribute copies

to employee and

Agency HR

Participate in

review / evaluation

meetings

File rebuttal

Yes

Refuse to sign?

Yes

No

Make changes to



supervisor and appointing

authority, if necessary )

Is a pay

increase

due?

Enter freeze code on

employee’s PPDB

record to bypass

automated

processing of merit

increase

EndNo

Yes

Review appraisal

Inputs






review dates

Outputs




Updated position description / job duties


Customers

Employee

Employee’s Peers


Agency HR

Systems/Interfaces

PPDB


Halogen

Reviewer provides

sign off on

evaluation

127



c. HR6.02 Performance Management marked-up diagram

Below is the marked-up diagram for the performance management–performance evaluation area.

HR6.02 Performance Management DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

e


Start Yes

Manager outlines

expectations and

job duties as part

of initial on-

boarding

Manager reviews

appraisal with

supervisor

Complete end-of-

trial-service

recommendation

and evaluation

Move to annual

performance

appraisal cycle

Supervisor

completes

performance

appraisal

Complete self-

evaluation

performance

appraisal

Conduct monthly

reviews during

employee trial

service

Retain

employee?

Separations

No

Supervisor and

employee review

appraisal

Supervisor and

employee sign

evaluation /

appraisal

Distribute copies

to employee and

Agency HR

Participate in

review / evaluation

meetings

File rebuttal

Yes

Refuse to sign?

Yes

No

Make changes to



supervisor and appointing

authority, if necessary)

Is a pay

increase

due?

Enter freeze code

on employee’s

PPDB record to

bypass automated

processing of merit

increase

End

No

Yes

Review appraisal

Inputs






review dates

Outputs




Updated position description / job duties


Customers

Employee

Employee’s Peers


Agency HR

Systems/Interfaces

PPDB


Halogen

Automated

Eliminated

Automated

Automated

Standardized

Automated

Automated

Automated

AutomatedStandardized

Reviewer provides

sign off on

evaluation

Automated

128



G. Self Service

The following contains only the could-be diagrams for the self service area. There are not any current process summaries, as-is, or marked up diagrams for employee and manager self service.

1. HR7.01Self Service

This business area covers the management of the could-be self service business functions.

a. HR7.01 Employee Self Service could-be diagrams

Below is the could-be diagram for the employee self service–self service area.

HR7.01 Employee Self Service DAS HRIS Project Could Be Process Model

Syste

mE

mp

loye

eM

an

ag

er


Start

End

(1) Options expected to be available include HR policies, training offerings, general announcements, and notifications. Employee-specific

options expected to be available include personalized notifications, pay stubs, and enrolled benefits.

(2) Payroll and benefit change forms should be routed to agency Payroll unit. If benefit changes included, further routing to PEBB may be

accomplished via automated interface(s). Leave and performance forms should be routed to the supervising manager for further action.

Employee signs

into online portal

Select an option

for general

information (1)

Seeking

general

information?

Yes

Select an option

for personal

information (1)

No

Submit

change in

data?

Fill online form

and submit

Review

information

Yes

Form routed to

appropriate unit for

further action based

on business rules (2)

No

No

Leave

request or

performance

evaluation?

Generate

notification and

post to employeeBenefit or

payroll

change?

Review,

approve, or

deny

Yes

No

Route to payroll for

further actionYes

End

129



b. HR7.02 Performance Management could-be diagram

Below is the could-be diagram for the performance management–self service area.

HR7.02 Self Service Performance Management DAS HRIS Project Could Be Process Model

Ma

na

ge

rE

mp

loye

eS

yste

mA

ge

ncy H

R


Start

End


that performance

evaluation due

Create Performance

Evaluation form

(copies previous form

forward or initiates new

form)

Post form to self-

service and

generate notification

to employee

Review form,

print, edit,

discuss with

manager

Receive notification,

access self service

Update form to

reflect employee/

manager in-person

review

Capture manager

approval, post form to

self-service, and

generate notification to

employee

Review form, accept

or reject, and printAccept?

Yes

Capture rating,

generate notification to

manager, HR

File rebuttal with

Agency HR, if

desiredNo

Review rebuttal

and evaluation, if

necessary

Changes

made?

Obtain re-sign by

manager, reviewer

and Appointing

Authority, update

HRIS

Yes

Update HRISNo

End

130



c. HR7.03 Training and Development could-be diagram

Below is the could-be diagram for the training and development–self service area.

HR7.03 Self Service Training and Development DAS HRIS Project Could Be Process Model

Ma

na

ge

rE

mp

loye

e Responsible / Process

Start

End

Employee

registers for

courses in

applicable LMS

Manager

receives

notification

Employee launches

and completes the

course

Course

completed

successfully?

LMS interface

passes data to

HRIS

Yes

No

Additional

mentoring or

coaching

Course

required?

No

No

Yes

Recording

outside

training?

No

Enter training records

in the applicable

learning management

system (LMS)

Yes

Interfaces to HRIS from the learning management systems used

throughout each agency will be determined during the project.

131



H. Health and Safety


for the health and safety area.

1. HR8.01 Drug Testing

This business area covers the process used to manage drug testing.

a. HR8.01 Drug Testing process summaries

Below are the process summaries for the drug testinghealth and safety area.



This process describes the steps to take administer drug testing, including annual and random drug tests. Testing is administered to ensure that the state of Oregon maintains a workplace free of alcohol and controlled substances, in particular for those with designated positions and licenses.

Process triggers This process can start with new hire applicants who desire to work with the state. Human resources notifies new employees that they must successfully pass drug tests before they are eligible for employment. The process also includes annual/recurring and random testing in order for the employee to remain in various positions, such as those that require a commercial drivers’ license (CDL). Employees who do not pass may be asked to retest after an elapsed period.


New hire applicant

Random drug testing

Retest/follow up drug test

Recurring/annual drug test


Third party

Accept sample/complete testing

Process test and transmit test results

Employee

Receive notification to submit to test

Complete test

Receive notification of results


Prepare and send paperwork/information for test

Receive test results

132




Update employee records

Determine to separate employee, or other disciplinary action like a last chance agreement

Process involuntary separation or allow for resignation

Supervisor/manager

Receive notification of results

Monitor modified job duties and/or probationary period

Method The process is performed manually, with tracking and data entry in Microsoft Excel.


New hire

Test results

Disciplinary action


Include, but not limited to: division 50 workforce management polices, including drug-free workplace policy number 50.000.01; drug testing of employees in designated classifications/positions policy number 50.000.02; alcohol and controlled substance testing of employees that have commercial driver’s license policy number 105-050-0003; and drug testing of final applicants for certain state classifications/positions policy number 105-050-0004

Strengths New hire offers for employment are contingent on successful drug test results and various third party providers across the state provide testing that is convenient for employees/new hire applicants

Weaknesses Manual process; random testing is triggered manually; random test dates are not logged/tracked; last test date is not tracked; and third party notifications are sent by mail

Opportunities for improvement Automate the selection and notification for random testing; enable tracking of random test candidates and dates; enable tracking of test dates/results; and provide electronic test results


Microsoft Excel

133



b. HR8.01 Drug Testing as-is diagram

Below is the as-is diagram for the drug testinghealth and safety area.

HR8.01 Drug Testing DAS HRIS Project As-Is Process Model

Su

pe

rvis

or

/ M

an

ag

er

Ag

en

cy H

RE

mp

loye

eT

hird

Pa

rty

Inputs

New hire applicant

Random drug testing

Retest / follow up drug test

Recurring / annual drug test


Receive

notification to

submit to drug test

Accept sample /

complete drug

testing

Process test and

transmit results

Receive results Update employee

records

Receive

notification of

results

Pass?

No

Receive

notification of

results

Yes

End

Separate

Employee

Involuntary

Separation

Yes

Monitor modified

job duties and/or

probationary

period

No

Prepare and send

paperwork/

information to

complete drug test

Start

End

Receive

termination notice

Outputs

New hire

Test results

Disciplinary action

Customers

Employee

Employee’s Peers


Human Resources

Third Party

Systems/Interfaces

Microsoft Excel

134



c. HR8.01 Drug Testing marked-up diagram

Below is the marked-up diagram for the drug testinghealth and safety area.

HR8.01 Drug Testing DAS HRIS Project As-Is Process Model

Su

pe

rvis

or

/ M

an

ag

er

Ag

en

cy H

RE

mp

loye

eT

hird

Pa

rty

Inputs

New hire applicant

Random drug testing

Retest / follow up drug test

Recurring / annual drug test


Receive

notification to

submit to drug test

Accept sample /

complete drug

testing

Process test and

transmit results

Receive results Update employee

records

Receive

notification of

results

Pass?

No

Receive

notification of

results

Yes

End

Separate

Employee

Involuntary

Separation

Yes

Monitor modified

job duties and/or

probationary

period

No

Prepare and send

paperwork/

information to

complete drug test

Start

End

Receive

termination notice

Outputs

New hire

Test results

Disciplinary action

Customers

Employee

Employee’s Peers


Human Resources

Third Party

Systems/Interfaces

Microsoft Excel

Automated

Automated

Automated

Automated

Automated

135



d. HR8.01 Drug Testing could-be diagram

Below is the could-be diagram for the drug testinghealth and safety area.

HR8.01 Employee Medical and Drug Testing DAS HRIS Project Could Be Process Model

Ag

en

cy H

RT

hird

Pa

rty

Syste

ms

Em

plo

ye

e


Accept sample /

complete testing (e.g.,

drug, hearing, medical,

CDL, et cetera)

Process test and

transmit results

Receive and

review results

Update employee

records in HRISPass?

No

Yes End

Separate

Employee?

No

HRIS

Generate paperwork for


required test

Start

Administer

Separations

HR3.06

HRIS

Route notifications

to employee and

supervisor /

manager

Yes

Employee testing includes new hire, annual, and random testing. Vendors providing

testing and counseling are based on current state contracts. Some Agencies provide

testing / retesting and /or counseling for employees.

Schedule retest

with vendor and /

or Agency HR and

employee; send

notifications

Workforce

Management

HR3.03

Start

Notify Agency and

employee of

requirement for

random test

Submit to

test?

Yes

No

If counseling is required, HR and the Manager will

work with the employee and vendor to arrange, as

needed

136



2. HR8.02 Manage Workers’ Compensation Claims

This business area covers the process to manage workers’ compensation claims.

a. HR8.02 Manage Workers’ Compensation Claims process summaries

Below are the process summaries for the manage workers’ compensation

claimshealth and safety area.



This process describes the steps to take to manage a workers’ compensation claim that is a result of an on the job or work-related injury, accident, or other event.

Process triggers This process can start with an occurrence or report of an injury or accident to an employee while he or she is on the job. The process can also be triggered by a doctor’s visit for an aggravated injury from a previous accident.


Injury or accident

Injury or accident report

Doctor’s note

Claim/claim number


Employee

Injury or accident occurs

Visit doctor

Complete form 801

Appeals claim decision

Return to work

Receive notice of modified duties

Agency safety or human resources department

Enter/complete incident or accident report

Manage (review, open, and close) incident/accident reports

Open workers’ compensation claims

Review doctor’s notes for restrictions

Notify human resources and payroll to track time loss and FLMA/OFLA

Process non-disciplinary separations

Determine modified job duties

Create letters to employee

SAIF/third party

137




Complete SAIF form 827

Evaluate claims (approve or deny)

Method The process is performed with data entry into various systems, including a third party system (SAIF).


Form 827

Form 801

Claim/claim number


Include but not limited to: Oregon revised statutes; chapter 656 for workers' compensation and chapter 654 for occupational safety and health; division 50 workforce management polices, including number 50.020.03 for reinstatement and reemployment of injured workers; number 50.020.05 for early return to work of injured workers; number 50.020.10 for ADA and reasonable accommodation in employment; and number 105-050-0025 for injured worker preference for light duty assignments

Strengths Forms are maintained by and available from the SAIF website

Weaknesses Manual process; manual duplication of employee information on various forms; inability to track claim numbers; and inability to track the status of claims

Opportunities for improvement Link to latest/last version of forms on the SAIF website; enable tracking claims by claim number; and automate employee information to populate forms


PPDB

PICS

Safety Tracker

SAIF

138



b. HR8.02 Manage Workers’ Compensation Claims as-is diagram

Below is the as-is diagram for the manage workers’ compensation claimshealth and safety area.

HR8.02 Manage Workers’ Compensation Claims DAS HRIS Project As-Is Process Model

SA

IF/ T

hird

Pa

rty

Ag

en

cy S

afe

ty o

r H

R D

ep

art

me

nt

Em

plo

ye

e

StartInjury/accident

occurs

Doctor completes

form 827 and

provides to SAIF

Open workers

compensation

claim (if required)

No

Doctor visited?

Restrictions?

Review doctor’s

note for

restrictions

Receive notice of

modified duties

(or ADA

accommodation)

Manager determines

modified job duties

(ADA may apply)

Assists in creation

of letter to

employee (with HR)

of modified duties

Non-disciplinary

separation

(appear on preferred

workers list)


Complete incident /

accident report(s)

Review and close

report

Appeal?Yes Return to work

Return to

work?

Notify HR and

payroll to track

time loss, FMLA /

OFLA

Yes

Yes

Additional doctor

visit(s)

Separations

Inputs

Injury or accident

Incident / accident report

Doctor’s note

Claim / claim number

Outputs

Form 827

Form 801


Customers

Employee

Employee’s Peers


Doctor(s)

SAIF

Systems/Interfaces

PPDB

PICS

Safety Tracker

SAIF

No

End

SAIF evaluates

claimAccepted?

Yes

No

No

No

Aggravation of

prior injury?

Safety / HR

monitor claim

status

Complete form

801 (and / or with

manager)

Yes

139



c. HR8.02 Manage Workers’ Compensation Claims marked-up diagram

Below is the marked-up diagram for the manage workers’ compensation claimshealth and safety area.

HR8.02 Manage Workers’ Compensation Claims DAS HRIS Project As-Is Process Model

SA

IF/ T

hird

Pa

rty

Ag

en

cy S

afe

ty o

r H

R D

ep

art

me

nt

Em

plo

ye

e


occurs

Doctor completes

form 827 and

provides to SAIF

Open workers

compensation

claim (if required)

No

Doctor visited?

Restrictions?

Review doctor’s

note for

restrictions

Receive notice of

modified duties

(or ADA

accommodation)

Manager determines

modified job duties

(ADA may apply)

Assists in creation

of letter to

employee (with HR)

of modified duties

Non-disciplinary

separation

(appear on preferred

workers list)


Complete incident /

accident report(s)

Review and close

report

Appeal?Yes Return to work

Return to

work?

Notify HR and

payroll to track

time loss, FMLA /

OFLA

Yes

Yes

Additional doctor

visit(s)

Separations

Inputs

Injury or accident

Incident / accident report

Doctor’s note


Outputs

Form 827

Form 801


Customers

Employee

Employee’s Peers


Doctor(s)

SAIF

Systems/Interfaces

PPDB

PICS

Safety Tracker

SAIF

No

End

SAIF evaluates

claimAccepted?

Yes

No

No

No

Aggravation of

prior injury?

Safety / HR

monitor claim

status

Complete form

801 (and / or with

manager)

Yes

Automated Automated

Automated

Automated

Automated

Automated

Standardized

140



d. HR8.02 Manage Workers’ Compensation Claims could-be diagram

Below is the could-be diagram for the manage workers’ compensation claimshealth and safety area.

HR8.02 Manage Workers’ Compensation Claims DAS HRIS Project Could Be Process Model

SA

IF/ T

hird

Pa

rty

Ag

en

cy S

afe

ty o

r

HR

De

pa

rtm

en

t E

mp

loye

eS

yste

ms


occurs

Open workers’

compensation

claim in HRIS

Doctor visited?

Aggravation of

a prior injury?

Restrictions?

Review doctor’s

note for restrictions,

update employee’s

record in HRIS

Manager determines

modified job duties

and records in HRIS

(ADA may apply)


Enter / complete

incident / accident

report(s) in HRIS

Safety / HR

monitor claim;

update status of

claim in HRIS

Accepted?

Yes

Appeal?

Return to

work? YesYes

Additional doctor

visit(s)No

Safety / HR close

report in HRIS

End

HRIS

Generate

notifications of

closed report based

on business rules

Return from

Leave

HR9.05

Complete SAIF

form 801 with

Manager / HR

Notifications of incident / accident reports can include the

Safety Committee, based on user defined business rules

Doctor completes

form 827 and

provides to SAIF

HRIS

Generate incident /

accident report

number, send

notifications based

on business rules

No

Yes

Yes

No

SAIF evaluates

claim

Yes

Leave

Management

Processes

HR9.0x

No

HRIS

Generate letter of

modified duties

Manager can also complete SAIF form 801 if

employee’s accident / injury prevents access to form

HRIS

Track time loss,

FMLA / OFLA;

generate notifications

based on business

rules

NoWorkforce

Management

HR3.03

No

Receive denial,

update status of

claim in HRIS

End

141



3. HR8.03 Safety

This business area covers the process to manage employee safety. The could-be

diagram for this area is covered in the could-be diagram for HR8.01Drug Testing.

a. HR8.03 Safety process summaries

Below are the process summaries for the safetyhealth and safety area.



This process describes the steps to take to ensure safety processes, promote best practices, and help the state meet the federal and state guidelines and regulations.

Process triggers This process can start with inspections, accidents, incidents, near miss accidents/incidents, compliance issues, and changes to safety standards or Occupational Safety and Health Administration (OSHA) regulations.


Safety standards

State regulations

OSHA regulations and compliance

Accidents/incidents

Near miss accidents/incidents


Manager/supervisor

Oversight of statewide and/or local committees and committee activities

Track funds in/out and purpose/location

Safety management

Coordinate training dashboard with SAIF, OSHA, and DAS risk management

Track issues and resolutions with OSHA compliance

Prepare committee communications and reminders

Modify prevention/maintenance schedules

Record and track unsuitable worksite activities due to OSHA regulations

Monitor and report incident, accident, and hazard reports

Agency safety or human resources department

Discuss OSHA consultations

Discuss research and other safety codes (e.g., National Fire Protection Association and building)

Maintain medical files, workers’ compensation files, and

142




inspection files

Conduct/provide safety training

Safety committee

Receive communications and reminders

Review and report OSHA inspections

Review and investigate time loss incidents

Assist with facility inspections

Employee

Receive communications, schedules, logs, and reports

Report safety issues and concerns

Method The process is performed manually, outside the system.


Prevention/maintenance schedules

Accident/incident reporting/reports

Compliance logs


Include, but not limited to: Oregon administrative rules (OAR chapter 437); Oregon Safe Employment Act (ORS 654); and OSHA safety regulations and training compliance

Strengths SAIF maintains/updates the forms used for incident/accident reporting

Weaknesses Manual process for tracking; percentage of employees who should be trained is lower than required; and employees do not know where to obtain information/lack of access to communications

Opportunities for improvement Link to SAIF website/forms; enable consistent, online tracking/recording of inspections, compliance issues, and other events to include date, location, findings, and actions; train/educate and communicate with employees regarding access to schedules, committee communications, and reports; and track training requirements by position and/or employee


Safety Tracker

iLearn

Microsoft Excel

143



b. HR8.03 Safety as-is diagram

Below is the as-is diagram for the safetyhealth and safety area.

HR8.03 Safety DAS HRIS Project As-Is Process Model

Sa

fety

Ma

na

ge

r / S

up

erv

iso

rE

mp

loye

eS

afe

ty C

om

mitte

eA

ge

ncy S

afe

ty o

r

HR

De

pa

rtm

en

t


Start

Track TB Program

Purchases

Track Hepatitis B

Administer doses

Safety

management

OSHA Compliance

track issues and

resolutions

Track funds in/out

purpose/location

Oversight of

statewide and/or

local committees and

committee activities

Discuss with

OSHA

consultations

Training dashboard/

coordination with

SAIF, OSHA, and

DAS Risk

Management

Modify prevention /

maintenance

schedules

Prepare committee

communications

and reminders

Record and track

unsuitable

worksite activities,

due to OSHA

regulations

Monitor and report

incident, accident

and hazard reports

Receive

communications,

schedules, logs,

and reports

Receive

communications

and reminders

Review and report

OSHA inspections

Some Agencies do not have a Safety

Department and functions are handled in HR

Review and

investigate time

loss incidents

Inputs

OSHA Regulations

Safety Standards

State Safety Regulations

OSHA Compliance

Accidents / incidents

Outputs

Prevention / maintenance schedules

Accident / incident reporting / reports

Compliance logs

Customers

Employee

Employee’s Peers


Human Resources

OSHA

Systems/Interfaces

Safety Tracker

iLearn

Microsoft Excel

Discuss research and

other safety codes (e.g.,

National Fire Protection

Association, building)

Maintain medical

files, worker’s

compensation files,

and inspection files

Conduct / provide

safety training

Assist with facility

inspections

Report safety

issues and

concerns

144



c. HR8.03 Safety marked-up diagram

Below is the marked-up diagram for the safetyhealth and safety area.

HR8.03 Safety DAS HRIS Project As-Is Process Model

Sa

fety

Ma

na

ge

r / S

up

erv

iso

rE

mp

loye

eS

afe

ty C

om

mitte

eA

ge

ncy S

afe

ty o

r

HR

De

pa

rtm

en

t


Start

Track TB Program

Purchases

Track Hepatitis B

Administer doses

Safety

management

OSHA Compliance

track issues and

resolutions

Track funds in/out

purpose/location

Oversight of

statewide and/or

local committees and

committee activities

Discuss with

OSHA

consultations

Training dashboard/

coordination with

SAIF, OSHA, and

DAS Risk

Management

Modify prevention /

maintenance

schedules

Prepare committee

communications

and reminders

Record and track

unsuitable

worksite activities,

due to OSHA

regulations

Monitor and report

incident, accident

and hazard reports

Receive

communications,

schedules, logs,

and reports

Receive

communications

and reminders

Review and report

OSHA inspections

Some Agencies do not have a Safety

Department and functions are handled in HR

Review and

investigate time

loss incidents

Inputs

OSHA Regulations

Safety Standards

State Safety Regulations

OSHA Compliance

Accidents / incidents

Outputs

Prevention / maintenance schedules

Accident / incident reporting / reports

Compliance logs

Customers

Employee

Employee’s Peers


Human Resources

OSHA

Systems/Interfaces

Safety Tracker

iLearn

Microsoft Excel

Discuss research and

other safety codes (e.g.,

National Fire Protection

Association, building)

Maintain medical

files, worker’s

compensation files,

and inspection files

Conduct / provide

safety training

Assist with facility

inspections

Report safety

issues and

concerns

Automated

Automated

Automated Automated

Automated

Automated

AutomatedAutomatedAutomated

AutomatedAutomated

145



I. Leave Management


for leave management.

1. HR9.01 Leave ManagementFMLA/OFLA

This business area covers the process to manage leave for both FMLA and OFLA.

a. HR9.01 Leave ManagementFMLA/OFLA process summaries

Below are the process summaries for the leave

managementFMLA/OFLAleave management area.



This process describes the steps to take to review, grant, and administer FMLA and/or OFLA leave.

Process triggers This process can start with a leave request from an employee that qualifies under FMLA or OFLA. The process stops once the employee has exhausted his or her FMLA and/or OFLA allotment of hours.


Medical, military, or other leave under FMLA or OFLA

Supporting records or documentation


Employee

Submit request or place phone call for leave

Receive letter of eligibility/ineligibility

Obtain medical or military certification

Obtain and provide supplemental information

Receive designation letter

Follow instructions in designation letter for amount of time off

Discuss need for additional leave with manager/supervisor

Code time appropriately

Request extension of FMLA/OFLA leave

Return to work at end of leave and provide necessary documentation

Resume work

Manager/supervisor

Receive request or phone call for leave

Receive copy of eligibility/ineligibility letter

Determine if backfill is needed

146




Initiate the recruiting or temporary staffing process

Discuss need for leave with employee without FMLA/OFLA protection

Receive copy of designation letter

Discuss potential ADA with human resources

Complete timesheet(s), when necessary, and monitor for leave without pay (LWOP)

Track hours used and duration

Work with human resources and employee to determine if ADA, if more time can be granted, or if no longer protected under FMLA/OFLA; notify payroll

Return employee to same or similar job and notify payroll and human resources

Human resources

Receive notification of employee’s potential need for FMLA/OFLA

Determine if leave qualifies as FMLA and/or OFLA

Send letter of eligibility/ineligibility for FMLA/OFLA with a request for medical/military certification

Discuss potential ADA-related leave with manager/supervisor

Evaluate medical or military certification to determine if it is a qualifying reason under FMLA/OFLA

Obtain additional information/documentation as needed

Prepare designation letter

Discuss with employee potential ADA-related leave


Provide renewal/extension forms to employee

Prepare exhaust letter for employee

Discuss need for continued leave

Receive notification of employee’s return to work and ensure that job restoration rights are upheld under FMLA/OFLA

Payroll

View record of employee’s time to see if employee meets eligibility requirements

Receive copy of eligibility/ineligibility letter

Receive copy of designation letter

Monitor timesheet(s), watch for LWOP, and facilitate COBRA, when needed

Monitor for COBRA if employee is in or will enter LWOP

Receive notification of employee’s return and start insurance, if needed/appropriate

Method The process is performed manually, with tracking and calculations in

147




Microsoft Excel, and data entry into payroll.


Eligibility/ineligibility letter

Determination/designation letter

Recruiting and temporary staffing


Include, but not limited to: Department of Labor FMLA (29 CFR part 825); OFLA; ADA; Oregon Revised Statue (ORS) 240 for State Personnel Relations Law

Strengths Process is driven by FMLA/OFLA tracking

Weaknesses Manual process and tracking for hours used and duration; no automation or notification for renewal/extension or exhaust letters, no automation to flag for COBRA or LWOP; and manual process and tracking increases compliance risks

Opportunities for improvement Automate tracking of FMLA/OFLA hours used and duration; flag user to send renewal letter; notify user when hours near exhaustion; flag employees on LWOP; flag employees with COBRA; and provide visibility to twelve month rollback by employee


Payroll (OSPA)

Insurance (COBRA)

Microsoft Excel

148



b. HR9.01a Leave Management-FMLA/OFLA as-is diagrams

Below are the as-is diagrams for the leave managementFMLA/OFLAleave management area.

HR9.01a Leave Management – FMLA/OFLA DAS HRIS Project As-Is Process Model

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Responsible/Process

Submit request or

place phone call

for leave

Receive request or

phone call for

leave

Start

Determine if

FMLA/OFLA

No

Notify employee

does not qualify for

FMLA/OFLA

Receive

notification of

employee’s

potential need for

FMLA/OFLA

Yes

View record of

employee’s time to see

if employee meets

eligibility requirements

Send letter of eligibility/

ineligibility for FMLA/OFLA;

with request for medical/

military certification

Within five (5)

days of

request for

leave

Receive letter of

eligibility/

ineligibility

Receive copy of

eligibility/ineligibility

letter

Receive copy of

eligibility/

ineligibility letter

Eligible?

Obtain medical or

military

certification

Within fifteen

(15) days

Evaluate medical or

military certification to

determine if qualifying

reason under FMLA/

OFLA

Discuss need for leave

with employee with no

FMLA/OFLA protection

No

Discuss with

Supervisor/

Manager potential

ADA related leave

Within 5 days

of receiving

certification

Is backfill

needed?

Recruiting or

Temporary

Staffing

Yes

Go to HR9.01b

Inputs

Medical, military or other leave under

FMLA or OFLA


Outputs



Recruiting, temporary staffing

Customers

Employee

Employee’s Peers

Managers/Supervisors

Human Resources

Payroll

Systems/Interfaces

Payroll (OSPA)

Insurance (COBRA)

Microsoft Excel

No

Yes

End

149



HR9.01b Leave Management-FMLA/OFLA as-is diagrams

HR9.01b Leave Management – FMLA/OFLA DAS HRIS Project As-Is Process Model

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Responsible/Process

Obtain and provide

supplemental

information

Is more

information

needed?

Prepare

designation letter

Yes

No

Receive copy of

designation letter

Qualifies for

FMLA/OFLA ?

Receive copy of

designation letter

Monitors

timesheet(s), watch

for LWOP, facilitate

COBRA when

needed

Complete

timesheet(s) when

necessary, monitor

for LWOP

Code time

appropriately

Return to work at

end of leave,

provides

documentation (if

appropriate)

Full duty? Resume workYes

Return employee to

same or similar job.

Notify HR and

Payroll.


of employee’s return,

start insurance if

needed/appropriate


employee’s return, ensure

job restoration rights

upheld under FMLA/OFLA

No

Work with HR and

employee to determine if

ADA, if more time can be

granted, or if no longer

protected under FMLA/

OFLA. Notify Payroll.

Monitor need for

COBRA if

employee is in, or

will enter LWOP

Discuss need for

continued leave or

potential ADA

Discuss potential

ADA with

supervisor/

employee

Receive

designation letter

Follow instructions

in letter for amount

of time off

Discuss potential

ADA with HR

Yes

Discuss need for

additional leave

with Supervisor

Employee should call in daily

for required schedule if using

intermittent leave

Track hours

used and

duration*

Hours nearing

exhaustion?

Provide forms to

employee for

renewal/extension

Yes

Request

extension?No

Employee still

eligible?

Exhaust letter

(hours) to

employee

No

From HR9.01a

No

No

Yes

Yes

Inputs


FMLA or OFLA


Outputs




Customers

Employee

Employee’s Peers


Human Resources

Payroll

Systems/Interfaces

Payroll (OSPA)

Insurance (COBRA)

Microsoft Excel

*Hours are tracked by HR or

Manager/Supervisor

150



c. HR9.01a Leave ManagementFMLA/OFLA marked-up diagrams

Below are the marked-up diagrams for the leave managementFMLA/OFLAleave management area.

HR9.01a Leave Management – FMLA/OFLA DAS HRIS Project As-Is Process Model

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Responsible/Process

Submit request or

place phone call

for leave

Receive request or

phone call for

leave

Start

Determine if

FMLA/OFLA

No

Notify employee

does not qualify for

FMLA/OFLA

Receive

notification of

employee’s

potential need for

FMLA/OFLA

Yes

End

View record of

employee’s time to

see if employee

meets eligibility

requirements

Send letter of eligibility /

ineligibility for FMLA/OFLA;

with request for medical/

military certification

Within five (5)

days of

request for

leave

Receive letter of

eligibility/

ineligibility

Receive copy of

eligibility/


Receive copy of

eligibility/


Eligible?

Obtain medical or

military

certification

Within fifteen

(15) days

Evaluate medical or

military certification to

determine if qualifying

reason under FMLA/

OFLA

Discuss need for leave

with employee with no

FMLA/OFLA protection

No

Discuss with

Supervisor/

Manager potential

ADA related leave

Within 5 days

of receiving

certification

Is backfill

needed?

Recruiting or

Temporary

Staffing

Yes

Go to HR9.01b

Inputs


FMLA or OFLA


Outputs




Customers

Employee

Employee’s Peers


Human Resources

Payroll

Systems/Interfaces

Payroll (OSPA)

Insurance (COBRA)

Microsoft Excel

No

Yes

Automated

Standardized

Eliminated

Automated

Automated

Automated

Automated

Automated

Automated

151



HR9.01b Leave ManagementFMLA/OFLA marked-up diagrams

HR9.01b Leave Management – FMLA/OFLA DAS HRIS Project As-Is Process Model

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yro

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up

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Responsible/Process

Obtain and provide

supplemental

information

Is more

information

needed?

Prepare

designation letter

Yes

No

Receive copy of

designation letter

Qualifies for

FMLA/OFLA ?

Receive copy of

designation letter

Monitor

timesheet(s), watch

for LWOP, facilitate

COBRA when

needed

Complete

timesheet(s) when

necessary, monitor

for LWOP

Code time

appropriately

Return to work at

end of leave,

provides

documentation (if

appropriate)

Full duty? Resume workYes

Return employee to

same or similar job.

Notify HR and

Payroll.


of employee’s return,

start insurance if

needed/appropriate


employee’s return,

ensure job restoration

rights upheld under

FMLA/OFLA

No

Work with HR and

employee to determine if

ADA, if more time can be

granted, or if no longer

protected under FMLA/

OFLA. Notify Payroll.

Monitor need for

COBRA if

employee is in, or

will enter LWOP

Discuss need for

continued leave or

potential ADA

Discuss potential

ADA with

supervisor/

employee

Receive

designation letter

Follow instructions


of time off

Discuss potential

of ADA with HR

Yes

Discuss need for

additional leave

with Supervisor

Track hours used

and duration*

Hours nearing

exhaustion?

Provide forms to

employee for

renewal/extension

Yes

Request

extension?No

Employee still

eligible?

Exhaust letter

(hours) to

employee

No

From HR9.01a

No

Yes

Yes

Inputs


FMLA or OFLA


Outputs




Customers

Employee

Employee’s Peers


Human Resources

Payroll

Systems/Interfaces

Payroll (OSPA)

Insurance (COBRA)

Microsoft Excel

Automated

Standardized

Automated

Automated

Automated

Automated

Automated

Automated

Standardized


AutomatedAutomated

No

Automated

notification

*Hours are tracked by HR or

Manager/Supervisor

Employee should call in daily

for required schedule if using

intermittent leave

152



d. HR9.01 Leave Management-FMLA/OFLA could-be diagram

Below is the could-be diagram for the leave managementFMLA/OFLAleave management area.

HR9.01 FMLA / OFLA Leave DAS HRIS Project Could Be Process Model

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ll


Employee submits

leave request in

HRIS

Start

Does

employee meet

FMLA / OFLA

eligibility?

HRIS

Generate letter of

ineligibility

Route leave

request to HR in

HRIS

Obtain and submit

medical or military

certification

Evaluate documentation

to determine if qualifying

condition / reason and

approve or deny FMLA /

OFLA leave

HRIS

Generate letter of

eligibility with request

for medical / military

certification

HRIS

Send notification

to Manager

Discuss need for

other leave with

manager

HRIS

Generate designation

letter to employee,

HR, and Payroll

Approved?

Monitor timesheet(s)

for LWOP and

facilitate COBRA, if

needed

Complete

timesheet(s) when

necessary, monitor

for LWOP

Code time

appropriately Return to work at

end of leave,

provide

documentation

(if appropriate)

Return

employee to

same or similar

job

Follow instructions


of time off

Yes

Discuss need for

additional leave

with supervisor

Employee should call in

daily for intermittent leave

HRIS

Track hours used

and duration until

exhausted, generate

notifications based

on business rules

HRIS

Generate

renewal /

extension forms

Request

extension?No

HRIS

Generate exhaust

letter (hours) to

employee, generate

notifications based

on business rules

No

Verify job

restoration rights

upheld under

FMLA / OFLA in

HRIS

Start insurance if

needed /

appropriate

Job Changes

HR3.01

Yes

End

Return from

Leave

HR9.05

Potentially

FMLA / OFLA?

Yes

Leave

Management

Processes

HR9.0xNo

No

Yes

Leave

Management

Processes

HR9.0x

153



2. HR9.02 Administer Employee Status on Leave

This business area covers the process of administering employee status on leave.

a. HR9.02 Administer Employee Status on Leave process summaries

Below are the process summaries for the administer employee status on

leaveleave management area.



This process describes the steps to take to administer an employee’s leave status after requesting leave, while on leave, or after returning from leave. This process helps verify that the necessary paperwork/documentation is completed and that the employee’s benefits and other contributions are maintained.

Process triggers This process begins when an employee has either requested or is

going on leave and includes the sub-process for hardship leave

(As-Is process HR9.04).


PA form

SAIF form 801 (for job-incurred injury)

CBAs/contracts

State policies

Employee requests leave

Employee returns from leave

Leave request form


Employee

Notify manager/supervisor of requested leave

Modify leave request and provide documentation

Return to work

Manager/supervisor/appointing authority

Manage leave request (approval)

Notify human resources and/or payroll of approved leave



Determine if LWOP

Process PA form and send to payroll and human resources

Verify and/or update timesheet and approve and lock timesheet

Notify human resources of employee’s return, notify employee of documentation needed, and forward documents to human resources. rights

154




Review and sign PA and send PA to human resources (appointing authority)

Agency human rights

Receive PA

Process PA into PPDB

Send copy of signed PA to DAS CHRO

File original document(s) in employee file

Complete necessary documents and notify payroll of employee’s return

Update PPDB with employee’s return from leave

Agency payroll office

Receive PA and make necessary entries in PPDB

Update employee’s record to adjust pay, validate accruals, determine if employee is qualified for retirement contributions, et cetera

Method The process is performed manually, with inputs and outputs to/from various systems for reporting and data entry.


PA form

Leave reports



Include, but not limited to: CBAs; ORS 240 for State Personnel Relations Law; division 60 employee leave policies, including sick leave with pay policy number 60.000.01; vacation leave policy number 60.000.05; special leaves with pay policy number 60.000.10; leave without pay policy number 60.000.11; holiday policy number 60.010.01; and temporary interruption of employment policy number 60.015.01

Strengths Employees return to work; employees receive paid leave; and employees who continue to receive benefits are eligible to continue retirement and other contributions

Weaknesses Manual process with various procedures; compliance risks may exist with documentation handling; inability to see leave request(s); lack of access to the employee’s leave accruals and leave balance (in PPDB); have to make phone calls to payroll to obtain information; and payroll is not consistently notified of leave

Opportunities for improvement Enable employee to complete leave request online; use workflow to provide notifications for leave requests, pending approval; enable notification to employee for approved/denied leave requests; provide notification to payroll for approved leave requests; enable secure upload and storage of documentation; and provide an interface to OSPA to provide access to leave accruals and leave balance data

155





OSPA

PPDB

PERS jClarety

PEBB

Agency time and attendance systems

156



b. HR9.02 Administer Employee Status on Leave as-is diagram

Below is the as-is diagram for the administer employee status on leaveleave management area.

HR 9.02 Administer Employee Status on Leave DAS HRIS Project AS-IS Process Model

Ag

en

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Offic

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or

/

Ap

po

intin

g A

uth

ority

Em

plo

ye

e

Start

Notify Agency HR

and/or Payroll

Receive PA and

make necessary

entries in PPDB

Notify HR of employee’s

return, notifies

employee of needed

documents (if needed)

and forwards to HR

Complete

necessary

documents and

notify Payroll of

employee’s return

Update employee’s

record to adjust pay,

validate accruals,

determine if employee is

qualified for retirement

contributions, et cetera

End

Agency input

into PPDB?

Going on leave?Yes No

No

Process PA

into PPDB Yes

Process /update

PA (if necessary)

Verify timesheet is

updated (if necessary,

update timesheet),

approve and lock

timesheet

Responsible/Process

Notify manager/

supervisor of

requested leave

Is backfill

needed?

Recruiting or

Temporary

Staffing

Yes

No

Process PA, send to

Payroll and HR

LWOP?

Yes

Receive PA

For sick time of more than

three (3) days, Payroll needs

to know if FMLA/OFLA

End

File original

document(s) in

employee file

Send copy of

signed PA to DAS

CHRO for input

(if necessary)


reviews and signs

PA, sends PA to HR

(for LWOP)

Agency input

into PPDB?

Update PPDB

with return from

leave

Send copy of

signed PA to DAS

CHRO for input

(if necessary)

Yes

No

Receive and

review leave

request

Approve? Yes

Modify leave

request, provide

necessary

documentation

No

Return to work

No

Inputs


SAIF Form 801 for job-incurred injury


State policies

Employee requests /returns from leave

Leave request form

Outputs

Personnel Action form

Leave reports


Customers

Employee

Manager/Supervisor

Human Resources

Payroll

Systems/Interfaces

OSPA

PPDB

PERS jClarety

PEBB


157



c. HR9.02 Administer Employee Status on Leave marked-up diagram

Below is the marked-up diagram for the administer employee status on leaveleave management area.

HR 9.02 Administer Employee Status on Leave DAS HRIS Project AS-IS Process Model

Ag

en

cy

Pa

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ll

Offic

e

Ag

en

cy

HR

Ma

na

ge

r/

Su

pe

rvis

or/

Ap

po

intin

g

Au

tho

rity

Em

plo

ye

e

Start

Notify Agency HR

and/or Payroll

Receive PA and

make necessary

entries in PPDB

Notify HR of employee’s

return, notifies

employee of needed

documents (if needed)

and forwards to HR

Complete

necessary

documents and

notify Payroll of

employee’s return

Update employee’s

record to adjust pay,

validate accruals,



contributions, et cetera

End

Agency input

into PPDB?

Going on leave?Yes No

No

Process PA

into PPDB Yes

Process /update

PA (if necessary)

Verify timesheet is

updated (if necessary,

update timesheet),

approve and lock

timesheet

Responsible/Process

Notify manager/

supervisor of

requested leave

Is backfill

needed?

Recruiting or

Temporary

Staffing

Yes

No

Process PA, send to

Payroll and HR

LWOP?

Yes

Receive PA

For sick time of more than

three (3) days, Payroll needs

to know if FMLA/OFLA

End

File original

document(s) in

employee file

Send copy of

signed PA to DAS

CHRO for input

(if necessary)


reviews and signs

PA, sends PA to HR

(for LWOP)

Agency input

into PPDB?

Update PPDB

with return from

leave

Send copy of

signed PA to DAS

CHRO for input

(if necessary)

Yes

No

Receive and

review leave

request

Approve? Yes

Modify leave

request, provide

necessary

documentation

No

Return to work

No

Inputs


SAIF Form 801 for job-incurred injury


State policies

Employee requests /returns from leave

Leave request form

Outputs

Personnel Action form

Leave reports


Customers

Employee

Manager/Supervisor

Human Resources

Payroll

Systems/Interfaces

OSPA

PPDB

PERS jClarety

PEBB


Automated

Standardized

Eliminated

Automated

AutomatedAutomated

Standardized

AutomatedAutomated

Eliminated

Eliminated

Automated

Automated

Automated

Automated

AutomatedEliminated

Eliminated

Eliminated

Automated

158



d. HR9.02 Administer Employee Status on Leave could-be diagram

Below is the could-be diagram for the administer employee status on leaveleave management area.

HR9.02 Administer Leave DAS HRIS Project Could Be Process Model

Ag

en

cy

HR

Ma

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up

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iso

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Ap

po

intin

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uth

ority

Sys

tem

sE

mp

loye

e

HRIS

Generate

notifications


HRIS

Route leave

requests for

approval based on

workflow

Is backfill

needed?

RecruitingYes

Submit leave request

with necessary

documentation in

HRIS

Start

Review,

approve, or

deny, as

needed, in HRIS

Approved?

EndReturn to work

Return from

Leave

HR9.05

No

Yes

Military

leave?

Yes

Military Leave

HR9.02

Hardship

request?

No

Yes

No

Visit doctor,

complete and

return medical

forms (if needed)

Close request and

update HRIS with

decision

Approved?

Determine

qualifications in

HRIS No

HRIS

Convert leave and

track donated

leave until

exhausted

HRIS

Generate leave

donation forms to

employee; generate

notification to Payroll

HRIS

Generate

notification to

employee HRIS

Generate

notifications based

on business rules

End

Complete donated

leave form(s) in

HRIS

Yes

End

Note: Interagency leave donation requires

transfer of the leave to the appropriate Agency.

End

FMLA /

OFLA?Explain hardship

leave program to

employee (or

Supervisor/Manager)

No

FMLA / OFLA

Leave

HR9.03Yes

EndNo

Additional steps may be required if the employee is in, or may enter, a leave without pay status.

159



3. HR9.03 Leave ManagementNon FMLA/OFLA Medical Leave

This business area covers the process to administer employee leave that is non FMLA

or OFLA medical leave.

a. HR9.03 Leave ManagementNon FMLA/OFLA Medical Leave process

summaries

Below are the process summaries for the leave managementnon FMLA/OFLA

medical leaveleave management area.



This process describes the steps to take to administer medical leave that does not qualify for the FMLA or OFLA.

Process triggers This process can start when an employee exhausts his or her sick, FMLA, or OFLA leave. It can also start when an employee needs leave not covered under FMLA or OFLA.


Leave of absence (LOA) request

Sick and/or FMLA/OFLA leave exhausted

Terminal illness/recovery from medical procedure

Doctor’s note

Domestic violence incident


Third party

Complete FMLA/OFLA medical forms or other documentation

Employee

Notify manager of LOA

Visit doctor, provide medial forms, or complete non-medical leave forms and/or other documentation

Receive and review decision letter

Request extension

Request donated leave

Decide to accept/deny exhaust letter

Return to full workload

Resign

Manager/supervisor

Receive notice of LOA

Forward LOA to human resources for review

Receive and review decision letter

160








Determine if an ADA accommodation is needed

Identify documentation needed for review

Prepare written response to employee with request for documentation

Receive and review documentation

Determine approval for leave

Send decision letter to employee and discuss other potential leave of absence


Provide forms for renewal/extension

Determine approval for extension of leave

Send exhaust letter

Process separations

Method The process is performed manually, with data entry and tracking in Microsoft Excel and payroll.


Medical leave


Written documentation

ADA accommodation


Include, but not limited to: CBAs; FMLA; OFLA; Oregon revised statutes 659A.270 to 659A.285 for leave for victims of domestic violence, harassment, sexual assault, or stalking; ORS 240 for State Personnel Relations Law; division 60 employee leave policies, including sick leave with pay policy number 60.000.01; vacation leave policy number 60.000.05; special leave with pay policy number 60.000.10; leave without pay policy number 60.000.11; and temporary interruption of employment policy number 60.015.01

Strengths Employee, manager/supervisor, and human resources collaborate to determine if employee is eligible for FMLA/OFLA leave or an ADA accommodation

Weaknesses Manual process and tracking for hours used and duration; no automation or notification for renewal/extension or exhaust letters; leave balances are not real time; and employees have different accrual rates

Opportunities for improvement Automate tracking of hours used and duration; flag user to send renewal letter; notify user when hours near exhaustion; enable employee to complete LOA request online; use workflow to provide

161




notifications for requests that are pending approval; enable secure upload and storage of documentation; and provide an interface to OSPA to obtain leave accruals and leave balance data


OSPA (payroll)

Microsoft Excel

162



b. HR9.03a Leave ManagementNon FMLA/OFLA Medical Leave as-is diagrams

Below are the as-is diagrams for the leave managementnon FMLA/OFLA medical leaveleave management area.

HR9.03a Leave Management – Non-FMLA/OFLA Medical Leave DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er/

Su

pe

rvis

or

Em

plo

ye

eT

hird

Pa

rty

Start

Receive notice of

Leave of Absence

(LOA)

Notify manager of

need for leave

Advise Manager, identify

documentation need for

review (i.e. Health care

provider/Doctor’s note)

Visit doctor or medical

professional and provide

medical forms or complete non-

medical leave forms and/or

other documentation (e.g.,

police or counselor’s report for

domestic violence)

Approve?

Send denial letter to

employee, discuss

other potential leave

of absence

with employee

End

ADA

ADA

accommodation?

Yes

No

Forward LOA to

HR for review

Prepare written

response to employee

with requested

documentation

Complete FMLA/OFLA medical

forms, or other documentation

(give to employee or HR)

Receive and

review

documentation

Go to HR9.03bYes

Responsible/Process

No

Inputs



Terminal illness/recovery from medical

procedure

Doctor’s note


Outputs

Medical leave



ADA accommodation

Customers

Employee

Employee’s Peers

Manager /Supervisor

Human Resources

Systems/Interfaces

Payroll (OSPA)

Microsoft Excel

163



HR9.03b Leave ManagementNon FMLA/OFLA Medical Leave as-is diagrams

HR9.03b Leave Management – Non-FMLA/OFLA Medical Leave DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er/

Su

pe

rvis

or

Em

plo

ye

eT

hird

Pa

rty

Track hours used

and duration

(or in HR or

Payroll)

Provide forms for

renewal/extensionExhaust letter

(hours)

Hours nearing

exhaustion?

Visit medical

professional/provide

appropriate

documentation

Request

extension?

Extend leave? No

Return to full

workload

Accept?

Yes

Separations

No

Recruiting or

Temporary

Staffing

Send approval

letter to employee

(copy to

Supervisor/

Manager)

Receive and

review letter

Yes

Complete FMLA/OFLA

medical forms, or other

documentation (give to

employee or HR)

Receive and

review letter

Is backfill

needed?

Yes

No

Request

donated leave

Receive and

review

documentation

Yes

Resign No

End

Medical dismissal or

LWOP resignation

Yes

Responsible/Process

No

From HR9.03a

Inputs




procedure

Doctor’s note


Outputs

Medical leave



ADA accommodation

Customers

Employee

Employee’s Peers

Manager /Supervisor

Human Resources

Systems/Interfaces

Payroll (OSPA)

Microsoft Excel

164



c. HR9.03a Leave ManagementNon FMLA/OFLA Medical Leave marked-up diagrams

Below are the marked-up diagrams for the leave managementnon FMLA/OFLA medical leaveleave management area.

HR9.03a Leave Management – Non-FMLA/OFLA Medical Leave DAS HRIS Project As-Is Process Model

Ag

en

cy

HR

Ma

na

ge

r/

Su

pe

rvis

or

Em

plo

ye

eT

hird

Pa

rty

Start

Receive notice of

Leave of Absence

(LOA)

Notify manager of

need for leave

Advise Manager, identify

documentation need for

review (i.e. Health care

provider/Doctor’s note)


professional and provide

medical forms or complete non-

medical leave forms and/or

other documentation (e.g.,

police or counselor’s report for

domestic violence)

Approve?

Send denial letter to

employee, discuss

other potential leave

of absence

with employee

End

ADA

ADA

accommodation?

Yes

No

Forward LOA to

HR for review

Prepare written

response to employee

with requested

documentation

Complete FMLA/OFLA



employee or HR)

Receive and

review

documentation

Go to HR9.03bYes

Responsible/Process

Inputs




procedure

Doctor’s note


Outputs

Medical leave



ADA accommodation

Customers

Employee

Employee’s Peers

Manager /Supervisor

Human Resources

Systems/Interfaces

Payroll (OSPA)

Microsoft Excel

No

Automated

Standardized

AutomatedAutomated

Automated

Automated

165



HR9.03b Leave ManagementNon FMLA/OFLA Medical Leave marked-up diagrams

HR9.03b Leave Management – Non-FMLA/OFLA Medical Leave DAS HRIS Project As-Is Process Model

Ag

en

cy

HR

Ma

na

ge

r/

Su

pe

rvis

or

Em

plo

ye

eT

hird

Pa

rty

Track hours used

and duration

(or in HR or

Payroll)

Provide forms for

renewal/extensionExhaust letter

(hours)

Hours nearing

exhaustion?

Visit medical

professional/provide

appropriate

documentation

Request

extension?

Extend leave? No

Return to full

workload

Accept?

Yes

Separations

No

Recruiting or

Temporary

Staffing

Send approval

letter to employee

(copy to

Supervisor/

Manager)

Receive and

review letter

Yes

Complete FMLA/OFLA



employee or HR)

Receive and

review letter

Is backfill

needed?

Yes

No

Request

donated leave

(Hardship)

Receive and

review

documentation

Yes

Resign No

End


LWOP resignation

Yes

Responsible/Process

No

From HR9.03a

Automated

Standardized

Automated

Automated

Automated Automated

AutomatedAutomated

Automated

Inputs




procedure

Doctor’s note


Outputs

Medical leave



ADA accommodation

Customers

Employee

Employee’s Peers

Manager /Supervisor

Human Resources

Systems/Interfaces

Payroll (OSPA)

Microsoft Excel

166



d. HR9.03 Leave ManagementNon FMLA/OFLA Medical Leave could-be diagram

Below is the could-be diagram for the leave managementnon FMLA/OFLA medical leaveleave management area.

HR9.03 Non-FMLA / OFLA Medical Leave DAS HRIS Project Could Be Process Model

Ag

en

cy H

RM

an

ag

er

/ S

up

erv

iso

rE

mp

loye

eT

hird

Pa

rty

Sys

tem

s

Start

HRIS

Route leave of

absence (LOA) to

HR for review,

notify manager of

request

Employee submits

request for leave

Identify

documentation

needed (i.e.,

Health care

provider / Doctor’s

note) in HRIS


professional and provide medical

forms or complete non-medical

leave forms and/or other

documentation (e.g., police or

counselor’s report for domestic

violence)

Approve?

HRIS

Generate denial

letter to employee;


manager

ADA

HR3.04

ADA

accommodation?

Yes

HRIS

Generate request for

documentation to

employee; send

notification to

manager

Complete medical

forms or other


employee or HR)

Receive and

review

documentation,

update HRIS


Discuss other

potential leave of

absence

with HR

Administer

Leave

HR9.01

No

HRIS

Track hours used and

duration until exhausted;

notify manager and HR

based on configurable

business rules

HRIS

Generate

renewal /

extension forms

Visit medical

professional /

provide appropriate

documentation

Request

extension?

Recruiting

HRIS

Generate approval

letter to employee;


manager

Is backfill

needed?

Yes

No

Yes

Yes

No

Return to

work?No Yes

Submit resignation No


LWOP resignation

Administer

Separations

HR3.06

Return from

Leave

HR9.05

167



4. HR9.04 Leave ManagementHardship

This business area covers the process to administer employee leave that was previously

identified separately as hardship leave (As-Is process HR9.04). For the Could-Be, this

process is merged with HR9.02 Administer Employee Status on Leave (above). The As-Is

and Marked-Up diagrams are included for reference only.

.

168



a. HR9.04 Leave ManagementHardship as-is diagrams

Below is the as-is diagram for the leave managementhardshipleave management area.

HR9.04 Leave Management – Hardship DAS HRIS Project As-Is Process Model

Ag

en

cy H

RP

ayro

llE

mp

loye

eT

hird

Pa

rty/

Do

cto

r

Start

End

No

Yes

Complete and

return medical

form(s)

Close request and

notify employee

Convert leave and

track donated

leave until

exhausted

Approved?

Notify Payroll and

employee, indicating

authorization to distribute

request forms

Receive

completed

donated leave

form(s)

Determine

qualifications

(or in Payroll)

Explain program to

employee (or

Supervisor/

Manager)

Request hardship

leave

Visit doctor,

provide medical

forms (if needed)

Distribute request

for leave donations

(or in Payroll)

Receive

notification of

denied request

Receive

notification of

approved request

Note: Interagency leave donation requires transfer of the leave to the appropriate Agency.

Responsible/Process

Inputs

Medical forms/documentation

Donated leave form(s)

Leave request form

Outputs

Leave donations

Customers

Employee

Manager/Supervisor

HR

Payroll

Systems/Interfaces

Payroll (OSPA)

169



b. HR9.04 Leave ManagementHardship marked-up diagram

Below is the marked-up diagram for the leave managementhardshipleave management area.

HR9.04 Leave Management – Hardship DAS HRIS Project As-Is Process Model

Ag

en

cy H

RP

ayro

llE

mp

loye

eT

hird

Pa

rty/

Do

cto

r

Start

End

No

Yes

Complete and

return medical

form(s)

Close request and

notify employee

Convert leave and

track donated

leave until

exhausted

Approved?

Notify Payroll and

employee, indicating

authorization to distribute

request forms

Receive

completed

donated leave

form(s)

Determine

qualifications

(or in Payroll)

Explain program to

employee (or

Supervisor/

Manager)

Request hardship

leave

Visit doctor,

provide medical

forms (if needed)

Distribute request

for leave donations

(or in Payroll)

Receive

notification of

denied request

Receive

notification of

approved request

Note: Interagency leave donation requires transfer of the leave to the appropriate Agency.

Responsible/Process

Inputs

Medical forms/documentation

Donated leave form(s)

Leave request form

Outputs

Leave donations

Customers

Employee

Manager/Supervisor

HR

Payroll

Systems/Interfaces

Payroll (OSPA)

Automated

Automated

Automated Automated

AutomatedAutomated

Automated Automated

Standardized

Automated

170



5. HR9.05 Leave ManagementMilitary

This business area covers the process to administer employee leave that is related to

military service.

a. HR9.05 Leave ManagementMilitary process summaries

Below are the process summaries for the leave managementmilitaryleave

management area.



This process describes the steps to take to administer military leave requests. The process helps determine and allow eligible, active duty military personnel to receive pay and/or benefit contributions while on voluntary or involuntary active duty.

Process triggers This process can start when the employee receives notification of upcoming military orders/deployment. The employee notifies the manager of orders, and if he or she is available, provides a copy of the orders.


Military orders


Employee

Notifies manager/supervisor of orders and provides a copy

Receives packet and completes and returns forms

Discusses leave balances, benefits, and options with human resources

Receives acknowledgement letter

Returns to work and provides documentation

Manager/supervisor

Receives notice/orders and forwards to human resources

Determines if backfill is needed

Initiates the recruiting or temporary staffing process

Receives copy of acknowledgement letter


Sends employee packet/information

Receives and reviews documentation and determines qualifications for the event

Completes and submits PA form

Sends acknowledgement letter to employee, manager/supervisor, and payroll

Tracks duration of leave (with payroll)

171




Determines if assignment ended

Determines if five year maximum is reached

Determines if employee is still active

Ends job protection

Ensures documentation is complete/closed

Payroll

Receives copy of acknowledgement letter

Continues insurance

Restores wages/account

Method The process is performed manually, with data entry into PPDB and data obtained from payroll and PERS.


United Services Employment and Reemployment Rights Act

(USSERA) and benefit and leave information

Acknowledgement letter


PA form


Include, but not limited to: Oregon Military Family Leave Act; USERRA; division 60 employee leave policy number 60.000.25 for military leave; and policy number 60.020.05 for military donated leave program

Strengths Military leave permits continuation of insurance and benefits; military leave includes a decompression period for the employee; and family members can provide paperwork if the employee leaves before the leave process is complete

Weaknesses Paperwork is not always available prior to deployment/assignment; information regarding insurance and benefits; manual tracking of time while employee is on military leave; and lack of notification when five year maximum is approaching

Opportunities for improvement Improve communication regarding insurance and benefits; support the ability to obtain and complete paperwork prior to the beginning of the military leave; automate tracking of the duration of the leave; ability to provide a notification to human resources when an employee is approaching the five year maximum for job protection


PPDB

Payroll (OSPA)

PERS

172



b. HR9.05 Leave ManagementMilitary as-is diagram

Below is the as-is diagram for the leave managementmilitaryleave management area.

HR9.05 Leave Management – Military DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er/

Su

pe

rvis

or

Em

plo

ye

eP

ayro

ll/P

ER

S

Re

co

ncili

atio

n T

ea

m

Notify Manager of

orders and provide

copy (if available)

End

Receive and review

documentation,

determine

qualifications for the

event

Track duration of

leave (with Payroll)

Ensure

documentation

complete/ closed

Send acknowledgment

letter to employee

(copy Manager/

Supervisor and Payroll)

Receive notice/

orders and forward

to Agency HR

Send employee

packet /information

(USEERA rights,

leave and benefit

information)

Receive

documentation (in

some cases), send

to HR

Assignment

ended?

Is backfill

needed?

Recruiting or

Temporary

Staffing

Yes

Start

Receive packet,

complete and

return forms (if

necessary)

Complete and

submit PA form

Receive copy of

acknowledgment

letter

Receive copy of

acknowledgment

letter

Continue

insurance

Receive

acknowledgement

letter

Return to work,

provide

documentation

(if necessary)

No

Yes

No

Five year

maximum

reached?

YesIs employee

still active?

Job protection

endsYes

No

Restore wages /

account (if

necessary)

Discuss leave

balances, benefits,

options with HR (if

needed)

Responsible/Process

No

Inputs

Military orders

Outputs

United Services Employment and

Reemployment Rights Act (USSERA),

benefit and leave information



PA form

Customers

Employee

Employee’s Peers

Manager/Supervisor

Human Resources

Payroll

Systems/Interfaces

Payroll (OSPA)

PERS

PPDB

173



c. HR9.05 Leave Management-Military marked-up diagram

Below is the marked-up diagram for the leave managementmilitaryleave management area.

HR9.05 Leave Management – Military DAS HRIS Project As-Is Process Model

Ag

en

cy H

RM

an

ag

er

/

Su

pe

rvis

or

Em

plo

ye

eP

ayro

ll/P

ER

S

Re

co

ncili

atio

n T

ea

m

Notify Manager of

orders and provide

copy (if available)

End

Receive and review

documentation,

determine


event

Track duration of

leave (with Payroll)

Ensure

documentation

complete/ closed

Send acknowledgment

letter to employee

(copy Manager/

Supervisor and Payroll)

Receive notice/

orders and forward

to Agency HR

Send employee

packet /information

(USEERA rights,

leave and benefit

information)

Receive

documentation (in

some cases), send

to HR

Assignment

ended?

Is backfill

needed?

Recruiting or

Temporary

Staffing

Yes

Start

Receive packet,

complete and

return forms (if

necessary)

Complete and

submit PA form

Receive copy of

acknowledgment

letter

Receive copy of

acknowledgment

letter

Continue

insurance

Receive

acknowledgement

letter

Return to work,

provide

documentation

(if necessary)

No

Yes

No

Five year

maximum

reached?

YesIs employee

still active?

Job protection

endsYes

No

Restore wages /

account (if

necessary)

Discuss leave

balances, benefits,

options with HR (if

needed)

Responsible/Process

No

Inputs

Military orders

Outputs

United Services Employment and

Reemployment Rights Act (USSERA),

benefit and leave information



PA form

Customers

Employee

Employee’s Peers

Manager/Supervisor

Human Resources

Payroll

Systems/Interfaces

Payroll (OSPA)

PERS

PPDB

Automated

Automated


Automated

Automated

Automated

Automated AutomatedAutomated

AutomatedAutomated

Standardized

174



d. HR9.05 Leave ManagementMilitary could-be diagram

Below is the could-be diagram for the leave managementmilitaryleave management area.

HR9.05 Military Leave DAS HRIS Project Could Be Process Model

Ag

en

cy H

RM

an

ag

er

/

Su

pe

rvis

or

Em

plo

ye

eS

yste

m

Pa

yro

ll / P

ER

S

Re

co

ncili

atio

n

Te

am

Notify manager of

orders and

provide copies

(if available)

HRIS

Track duration of leave until five

year maximum reached (job

protection ends) or employee is

no longer active; generate

notifications to HR and Payroll,

based on business rules

HRIS

Generate

acknowledgment letter to

employee with copy to

Manager / Supervisor and

Payroll

Receive notice /

orders, update

employee’s record

in HRIS

Receive documentation

and determine


event in HRIS

Is backfill

needed?

RecruitingYes

Start

HRIS

Generate packet /

information (USEERA

rights, leave, and

benefit information) to

employee

Process PA form

in HRIS

Monitor duration to

continue insurance

Return to work,

provide

documentation

(if necessary)

Review packet, discuss

leave balances, benefits,

and options with HR (if

needed); send

documentation to HR


HRIS

Send notification

of orders to HR

EndNo

Assignment

ended?Yes

HRIS

Generate letter to

employee

requesting return

No

Maximum

reached?

No

Return from

Leave

HR9.05

Terminate

employee?Yes

Administer

Separations

HR3.06

Return to

work?Yes No

No

Yes

175



6. HR9.06 Return From Leave

This business area covers the process to administer employee returns leave regardless of

the cause of the leave. This is a new process; therefore only the Could-Be process is

included.

176



a. HR9.06 Return from Leave - could-be diagram

Below is the could-be diagram for the return to leave leave management area.

.

HR9.06 Return from Leave DAS HRIS Project Could Be Process Model

Ag

en

cy

Pa

yro

ll

Ag

en

cy

HR

Ma

na

ge

r / S

up

erv

iso

r /

Ap

po

intin

g A

uth

ority

Em

plo

ye

eS

yste

ms

Start

Notify HR and Payroll of

employee’s return;

notify employee of

needed documents

(if necessary)

Update employee’s record to

adjust pay, validate accruals,



contributions, et cetera in

HRIS



reviews and approves

PA in HRIS, routes to

HR (for LWOP)

Employee returns

to work

HRIS

Generate

notification to

Payroll

HRIS

Generate

notification to HR

HRIS

Generate

notifications as

determined by

business rules

End

Complete necessary

documents and

update PA

(if necessary) in HRIS

177



J. Reporting


for reporting.

1. HR10.01Enterprise Reporting

This business area covers the enterprise reporting process.

a. HR10.01 Enterprise Reporting process summaries

Below are the process summaries for the enterprise reportingreporting area.



This process describes the steps to take to report human resources information at a statewide level.

Process triggers This process starts with the request for information, which can come from the public, the legislature, state agencies, unions, or the media.


Requests in e-mail, letter, or verbal form


Customer

Request information (e-mail, phone, in-person, and mail)

DAS human resources

Receive request for data

Determine customer

If customer is a union representative, send notification for approval/estimate report cost

If customer is a public requestor (newspaper, media, et cetera), send notification for approval/estimate report cost

Determine if the request is from the legislature or a state agency

Verify information requests and run reports

Determine if information is sensitive

Send report to customer via download, Excel, or FTP file, or copy data to CD

Transfer data to CD for secure transport and log and request signature before release (data will be password protected, if applicable)

Obtain payment, create report, and send reports to customer, with a copy to the public affairs manager (PAM)

Create report and send information to DAS policy advisor

178




DAS labor relations unit

Receive notification to approve data request/cost (for union requests)

Determine if costs are approved by the requestor

Approve the release of information

Send notification to human resources systems

Notify requestor(s) if unable to release information

PAM

Receive notification to approve data request/cost (for public requests)

Determine if the requestor approves costs

Approve the release of information

Send notification

Notify requestor(s) if unable to release information

DAS policy advisor

If request is from legislature, request information from human resources systems

Send requested information to legislature

Method The process is performed manually, by data analysts and programmers, with reporting from statewide personnel systems.


Hard or electronic reports

Signature tracking log


Include, but not limited to: state policy 105-010-0011 HRSD public records and 105-010-0016 public disclosure

Strengths The current process incorporates review steps to safeguard sensitive data. Output can be delivered in electronic form.

Weaknesses The review and approval process is not automated. Checks for sensitive data occur manually. A programmer or database analyst has to provide data.

Opportunities for improvement Automation of sensitive data review and automatic workflow for review and approval, prior to release; and an HRIS with security permissions that would not require the skills of a programmer in order to obtain the data


Roscoe

TSO

Mainframe

PPDB

179



b. HR10.01 Enterprise Reporting as-is diagram

Below is the as-is diagram for the enterprise reportingreporting area.

HR10.01 Enterprise Reporting DAS HRIS Project As-Is Process Flow

DA

S

Po

licy

Ad

vis

or

Pu

blic

Affa

irs

Ma

na

ge

r (P

AM

)

La

bo

r

Re

latio

ns

Un

it (

LR

U)

DA

S/H

R S

yste

ms

Cu

sto

me

r

Start

Determine

customer type

Send notification

for approval/

estimate report

cost Obtain payment,

create report, send

to customer, and

copy LRU

Request information

(e-mail, phone, in-

person, mail)

No

Approve release

of information?

Send notification

for approval /

estimate report

cost

Receive

notification to

approve data /

costs

Yes

Verify information

request, run

report

Is information

sensitive?Transfer data to CD for

secure transport, log and

request signature before

release (Data will be

password protected, if

applicable)

Yes

Send report to

customer via

download, excel, or

FTP file, or copy data

to CD

No

Data received

Receive request

for data


to approve data

request / cost

Union

representative?

Public

requestor?

(Newspaper,

media, etc.)

Approve release

of information?

Customer

from state

agency?

No Yes

Send

notification to

HR SystemsYes

Send notification

Yes

No

Costs

approved by

requestor?

Costs

approved by

requestor?

NoRequest from

Legislature?

No

Request

information from

HR Systems

Create report and

send information

to DAS Policy

Advisor

Send requested

information to

Legislature

Yes

Yes

NoNo Yes

Inputs

E-mail

Letter

Phone Request

Outputs

Hard-copy report

Excel

Data File

Signature Tracking Log

CD

Customers

Union representative

Agency

Media/Citizen

Legislature

Systems/Interfaces

Roscoe

TSO

Mainframe

PPDB

End

Obtain payment,

create report, send

to customer with

copy to PAM

Notify requestor End

End

End

End

End

Notify

requestor(s)

No

End

End

Yes

180



c. HR10.01 Enterprise Reporting marked-up diagram

Below is the marked-up diagram for the enterprise reportingreporting area.

HR10.01 Enterprise Reporting DAS HRIS Project As-Is Process Flow

DA

S

Po

licy

Ad

vis

or

Pu

blic

Affa

irs

Ma

na

ge

r (P

AM

)

La

bo

r

Re

latio

ns

Un

it (

LR

U)

DA

S /

HR

Syste

ms

Cu

sto

me

r

Start

Determine

customer type

Send notification

for approval/

estimate report

cost

Obtain payment,

create report, send

to customer, and

copy LRU

Request information

(e-mail, phone, in-

person, mail)

No

Approve release

of information?

Send notification

for approval /

estimate report

cost

Receive

notification to

approve data /

costs

Yes

Verify information

request, run

report

Is information

sensitive?Transfer data to CD for

secure transport, log and

request signature before

release (Data will be

password protected, if

applicable)

Yes

Send report to customer

via download, Excel, or

FTP file, or copy data to

CD

No

Data received

Receive request

for data


to approve data

request / cost

Union

representative?

Public

requestor?

(Newspaper,

media, etc.)

Approve release

of information?

Customer

from state

agency?

No Yes

Send

notification to

HR SystemsYes

Send notification

Yes

No

Costs

approved by

requestor?

Costs

approved by

requestor?

NoRequest from

Legislature?

No

Request

information from

HR Systems

Create report and

send information

to DAS Policy

Advisor

Send requested

information to

Legislature

Yes

Yes

NoNo Yes


Inputs

E-mail

Letter

Phone Request

Outputs

Hard-copy report

Excel

Data File

Signature Tracking Log

CD

Customers

Union representative

Agency

Media/Citizen

Legislature

Systems/Interfaces

Roscoe

TSO

Mainframe

PPDB

End

Obtain payment,

create report, send

to customer, with

copy to PAM

Notify requestor End

End

End

End

End

Notify

requestor(s)

No

End

End

YesStandardized

Automated

Automated

Automated

Automated

Automated

Automated

AutomatedAutomated

AutomatedAutomated

Automated

Automated

181



d. HR10.01 Enterprise Reporting could-be diagram

Below is the could-be diagram for the enterprise reportingreporting area.

HR10.01 Enterprise Public Information Reporting DAS HRIS Project Could Be Process Model

La

bo

r R

ela

tio

ns

Un

itD

AS

HR

Syste

ms U

nit

Syste

mC

usto

me

rP

ub

lic A

ffa

irs

Ma

na

ge

r

DA

S P

olic

y

Ad

vis

or

Request information

(via e-mail, phone,

in-person or mail)

Start

End Request received

and logged into HRIS

(includes cost

estimate and

customer type)

Route for further

action based on

customer typeUnion?

Receive request;

review cost estimate

and information

requested; approve or

deny; collect funds

Yes

Public

or Media?No

Receive request;

review cost estimate

and information

requested; approve or

deny; collect funds

Yes

Legislature?No

Request report from

HR Systems Unit

State

Agency?No

Verify information

on request;

run report

Yes

Is

information

sensitive?

Send report to

customer

electronically

(e-mail, fax)No

Is it a

legislative

customer?

Yes

Send report to

DAS Policy

Advisor for

delivery

Yes

Transfer report to

secure media,

log, deliver, and

obtain signature

upon deliveryNo

Deliver to

legislatureEnd


Provide

without

approval?

This process applies to enterprise wide data

and may involve more than one system.

Yes

Obtain the

necessary

approval

No

182



K. Training and Development


for training and development.

1. HR11.01Employee Training Tracking and Execution

This business area covers the process for tracking employee training.

a. HR11.01 Employee Training Tracking and Execution process summaries

Below are the process summaries for the employee training tracking and

executiontraining and development area.



This process describes the steps used to identify, request, register, and attend training to support workforce development.

Process triggers This process can start with the training advisory committee, where they establish the appropriate ongoing training that each position and/or employee must complete. This can include courses required by the state and/or necessary in order for the employee to remain in a position, such as harassment training or management diversity training.

In addition, training may be requested for new hires or by the employee or manager, based on the results of a performance evaluation, department/agency transfer, promotion opportunity, compliance issue, violation, or progressive discipline.


New hire and department/agency transfer

Training need/training needs assessment

Training proposal form

Training request form


Violation/compliance issue

Activities The following activities are performed in this process:

Training advisory committee or training department

Identify training needs/requirements

Determine if training is already available

Determine the type of training

Obtain third party/vendor training

Determine and schedule training logistics


Publish training information

Manage training registration/waitlist

183




Review test/assessment results

Update training transcript(s)

Review evaluation results

Communicate feedback to training instructors and/or developers

Manager/supervisor

Process training requests (approval)

Register employees for training

Employee

Register for training/request training

Attend training

Complete evaluation form

Review training transcript

Method The process involves manual data entry and registration. It is performed manually by agencies, without an online learning management system, such as iLearn or Halogen.


Training

Training registration form

Training roster

Training waitlist

Training evaluation

Training transcript


Include, but not limited to: division 50 workforce management policy number 50.045.01 for employee development and implementation of Oregon benchmarks for workforce development; policy number 50.015.01 for job rotation; contract training and management training; and OSHA training

Strengths Agencies that use Halogen, iLearn, or a system-based Learning Management System (LMS) have some automated functionality for training registration; training evaluations influence changes to training materials and/or the instructors; and agencies sell open seats for training to other agencies/organizations

Weaknesses Manual registration; managers manually track training; different learning management systems; no statewide training repository, database, or materials (inability to share what training is available across agencies); agencies manually research for existing training; no consistency or statewide templates or standards for training materials; and incomplete training “falls off”

184




Opportunities for improvement Communication and knowledge share of available training courses across agencies; create statewide training standards and consistency for training materials, course names, and content; flag incomplete training so it does not expire, if it is required; automate registration and wait listing; automate the training transcript; enable online course evaluations; process payments online; and enable workflow/manager notifications for approvals


iLearn

Halogen

Learning Center

LMS

Microsoft Excel and PowerPoint

185



b. HR11.01 Employee Training Tracking and Execution as-is diagram

Below is the as-is diagram for the employee training tracking and executiontraining and development area.

HR11.01 Employee Training Tracking and Execution DAS HRIS Project As-Is Process Model

Ma

na

ge

r/S

up

erv

iso

rE

mp

loye

eT

rain

ing

Ad

vis

ory

Co

mm

itte

e

or

Tra

inin

g D

ep

art

me

nt

Ag

en

cy H

R

Start


Identify training

need and review

training

requirements

Register for

training or

complete training

request form

Review request for

training / training

request form

Already have

training/access

to training?

Yes

Determine type

of training*

Determine and

schedule logistics

Publish training

and/or information

to register

Obtain /identify

third party vendor

No

Approve

training

request?

No

Approve employee

and register for

training

Yes

Attend training and

complete training

evaluation

Receive denied

training notification

Review test

results /information

(if necessary)

Review training

evaluations

Communicate

feedback to

trainers, make

changes to training

(as appropriate)

Monitor training

registration and

attendance

(including third party

registration / payment)

*Web-based / internet, instructor-

led / classroom, conference

Update training

transcriptEnd

Inputs

New hire

Department / Agency transfer

Training need / assessment

Training proposal / request form


Violation / compliance issue

Outputs

Training


Training roster

Training waitlist

Training evaluation

Training transcript

Customers

Employee

Employee’s Peers


Human Resources

Third Party

Systems/Interfaces

iLearn

Learning Center

Halogen

Learning Management System

Microsoft Excel, PowerPoint

186



c. HR11.01 Employee Training Tracking and Execution marked-up diagram

Below is the marked-up diagram for the employee training tracking and executiontraining and development area.

HR11.01 Employee Training Tracking and Execution DAS HRIS Project As-Is Process Model

Ma

na

ge

r/S

up

erv

iso

rE

mp

loye

eT

rain

ing

Ad

vis

ory

Co

mm

itte

e

or

Tra

inin

g D

ep

art

me

nt

Ag

en

cy H

R

Start


Identify training

need and review

training

requirements

Register for

training or

complete training

request form

Review request for

training / training

request form

Already have

training/access

to training?

Yes

Determine type

of training*

Determine and

schedule logistics

Publish training

and/or information

to register

Obtain /identify

third party vendor

No

Approve

training

request?

No

Approve employee

and register for

training

Yes

Attend training and

complete training

evaluation

Receive denied

training notification

Review test

results /information

(if necessary)

Review training

evaluations

Communicate

feedback to

trainers, make

changes to training

(as appropriate)

Monitor training

registration and

attendance



*Web-based / internet, instructor-

led / classroom, conference

Update training

transcriptEnd

Inputs

New hire

Department / Agency transfer

Training need / assessment

Training proposal / request form


Violation / compliance issue

Outputs

Training


Training roster

Training waitlist

Training evaluation

Training transcript

Customers

Employee

Employee’s Peers


Human Resources

Third Party

Systems/Interfaces

iLearn

Learning Center

Halogen

Learning Management System

Microsoft Excel, PowerPoint

Automated

Automated

Automated

Automated Automated

187



d. HR11.01 Employee Training Tracking and Execution could-be diagram

Below is the could-be diagram for the employee training tracking and executiontraining and development area.

HR11.01 Employee Training Tracking and Execution DAS HRIS Project Could Be Process Model E

mp

loye

eT

rain

ing

Ad

vis

ory

Co

mm

itte

e

or

Tra

inin

g D

ep

art

me

nt

Ag

en

cy H

RS

yste

ms

Start


Identify training

need and review

training

requirements

Already have

training/access

to training?

Yes

Determine type

of training*

Determine and

schedule logistics

Publish training

and/or information

to register

Obtain / identify

third party vendor

or other resource

No

Review training

evaluations

Communicate

feedback to

trainers, make

changes to training

(as appropriate)

Monitor training

registration and

attendance



*Web-based / internet, instructor-led / classroom, conference

End

Establish or update

course records and/or

class schedules in

iLearn or other LMS

Self Service

Training and

Development

HR7.03

This process may change with project design decisions

regarding LMS, by standardization or interfaces.

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