AUDIT PLAN
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AUDIT PLAN Special Leaves with Pay AUDIT PURPOSE AND SCOPE The purpose of this audit is to review agencies’ use of special leaves with pay to verify that they are being applied and documented appropriately and in compliance with federal and state laws and rules, Human Resource Service Division (HRSD) state policies, and various collective bargaining agreements. The audit will also allow the State to identify how the leave codes are being used by agencies. REFERENCES HRSD State Policy 60.000.10 Special Leaves with Pay states, in relevant part, “The State of Oregon recognizes that certain employee leaves are either directly or indirectly beneficial to the state and therefore qualify as paid leave.” (1)(a) Military Training Leave with Pay An employee shall be granted military training leave with pay for a period not exceeding 15 calendar days or 11 work days in any federal training year if the employee: (A) has been employed with the State of Oregon or its counties, municipalities or other political subdivisions for 6 months or more immediately preceding application for military leave; (B) is a member of the National Guard or reserve component of the United States armed forces; and (C) has provided advanced written or verbal notice of the absence. (1)(b) World, Pan American, or Olympic Event Training Leave with Pay A leave-with-pay loan to participate in official training camps and competitions for World, Pan American, or Olympic events ...
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A
UDIT
P
LAN
Special Leaves with Pay
A
UDIT
P
URPOSE AND
S
COPE
The purpose of this audit is to review agencies’ use of special leaves with pay to verify that they are
being applied and documented appropriately and in compliance with federal and state laws and rules,
Human Resource Service Division (HRSD) state policies, and various collective bargaining agreements.
The audit will also allow the State to identify how the leave codes are being used by agencies.
R
EFERENCES
HRSD State Policy 60.000.10 Special Leaves with Pay
states, in relevant part, “The State of Oregon
recognizes that certain employee leaves are either directly or indirectly beneficial to the state and
therefore qualify as paid leave.”
(1)(a) Military Training Leave with Pay
An employee shall be granted military training leave with pay for a period not exceeding 15 calendar
days or 11 work days in any federal training year if the employee: (A) has been employed with the State
of Oregon or its counties, municipalities or other political subdivisions for 6 months or more immediately
preceding application for military leave; (B) is a member of the National Guard or reserve component of
the United States armed forces; and (C) has provided advanced written or verbal notice of the absence.
(1)(b) World, Pan American, or Olympic Event Training Leave with Pay
A leave-with-pay loan to participate in official training camps and competitions for World, Pan American,
or Olympic events may be granted not to exceed 90 calendar days per calendar year. The conditions
under which such a loan may be granted shall be in accordance with ORS 243.325 - 243.335.
(1)(c) Exceptional Performance Recognition Leave with Pay
An employee may be awarded leave with pay by an agency head in accordance with agency policy in
recognition of outstanding achievement or performance not to exceed 40 hours in a fiscal year. This
leave is not an entitlement, is not to be automatically granted at the beginning of a fiscal year, and is to
be judiciously awarded. It is compensable only in the form of leave, and shall not be cumulative from
year to year.
Any certified or non-certified agency which does not develop its own exceptional
performance recognition leave with pay policy shall default to the use of the model policy.
(1)(d) Jury Service Leave with Pay
An employee shall be granted jury leave upon request. The employee may keep any money paid by the
court for jury service.
(1)(f) Search and Rescue Operation Leave with Pay
Leave with pay not to exceed 5 work days for each operation shall be granted if requested by a law
enforcement agency; the Department of Transportation, Aeronautics Section manager; the United States
Forest Service, or any local civil defense organization.
(1)(g) Red Cross Disaster Relief Services Leave with Pay
An agency may grant leave with pay not to exceed 15 work days to an employee to participate in disaster
relief services in Oregon. To qualify for such leave the employee shall be a certified disaster services
volunteer of the American Red Cross.
(1)(i) Job Interview and Testing Leave with Pay
Leave with pay for job interviewing and testing for employment opportunities in state government may be
granted by the appointing authority, who will also determine the amount of time that is appropriate.
HR Audit Program
Page 1 of 5
October 20, 2003
(1)(j) Pre-retirement Counseling Leave with Pay
Leave with pay for an employee to investigate and assemble a retirement program may be granted by
the appointing authority, for a period up to three and one-half (3-1/2) days of leave within 3 years of the
chosen retirement date.
HRSD State Policy 40.055.10 Employee Relocation Allowance – Attachment A – Model Policy
(1)(b) Paid Time.
Employees will be allowed up to ten days of paid agency time as needed to effect the
move, including searching for temporary living quarters, house hunting, and the transporting of personal
belongings.
HRSD State Policy 50.040.01 Employee Performance Recognition Program
states, in relevant part,
“In order to reward and reinforce desired, demonstrated behavior, achievement, and results, appointing
authorities may establish and maintain plans that recognize and promote extraordinary employee and/or
team achievements. (1)(a) provides that an agency head shall determine the nature of the employee
performance recognition program, to include: (A) plan objectives; (B) eligibility; (C) performance criteria;
(D) plan administration; (E) award components: (i) cash/non-cash, or (ii) paid leave.”
HRSD State Policy 70.000.05 Management Service Dismissal/Removal (1)(e)(B)
provides that
pending determination of appropriate action, the employee may be authorized to continue a normal or
alternative work assignment, continue in their current employment status, be placed in an administrative
assignment to work from home, or be placed on administrative leave with pay.
HRSD State Policy 50.000.01 Drug-Free Workplace (1)(b)(B)
provides that upon determining or having
reasonable suspicion, under subsection (1)(c) of the policy, that an employee has not complied with the
policy, an appointing authority shall take appropriate action with regard to the employee, which may
include: granting of leave with or without pay.
OAR 105-050-0003 Alcohol and Controlled Substance Testing of Employees Having Commercial
Drivers License (4)
provides that except as otherwise provided in 49 CFR Part 382.505 regarding
alcohol test results of 0.02 to 0.039, an employee who violates alcohol misuse or controlled substance
use rules may be terminated by an agency head or, if not terminated, shall be removed from duties
requiring a CDL and shall be evaluated by a substance abuse professional to assess any need for
rehabilitation or treatment and, as determined to be appropriate by the agency head, may be assigned to
duties not requiring a CDL, granted leave with or without pay at employee request, or disciplined as
provided by HRSD State Policy 70.000.01 Management Service Discipline,
or 70.005.01 Classified
Unrepresented Discipline and Discharge.
Various collective bargaining agreements have provisions relating to special leave with pay,
including but not limited to:
Types
of
Special Leave with Pay
Unions that may have collective bargaining agreements
that include this provision:
Union Business Leave
“bargain on the clock”
AFSCME – all units, SEIU, Association of Corrections
Employees, IAFF for Portland Air National Guard Fire
Fighters, Oregon Nurses Association, Criminal Investigators
Association,
OSPOA,
Association
of
Engineering
Employees, Graphic Communications Union, Klamath Falls
Airport Fire Fighters Association, State Teacher Education
Association.
HR Audit Program
Page 2 of 5
October 20, 2003
Types
of
Special Leave with Pay
(Continued)
Unions that may have collective bargaining agreements
that include this provision:
(Continued)
Jury Duty Leave
Most AFSCME units, SEIU, Association of Corrections
Employees,
Oregon
Nurses
Association,
Criminal
Investigators
Association,
OSPOA,
Association
of
Engineering Employees, Graphic Communications Union,
Klamath Falls Airport Fire Fighters.
Military Training Leave
Most AFSCME units, SEIU, Association of Corrections
Employees,
Oregon
Nurses
Association,
Criminal
Investigators
Association,
OSPOA,
Association
of
Engineering Employees, Klamath Falls Airport Fire Fighters,
State Teachers Association
Pre-retirement Counseling
Most AFSCME units, SEIU, Association of Corrections
Employees,
Oregon
Nurses
Association,
Criminal
Investigators
Association,
OSPOA,
Association
of
Engineering Employees, Graphic Communications Union,
State Teachers Association
Disaster Relief Leave
Some AFSCME units, SEIU, Association of Corrections
Employees,
Oregon
Nurses
Association,
Criminal
Investigators
Association,
Association
of
Engineering
Employees.
Search & Rescue Leave
Some AFSCME units, SEIU, Association of Corrections
Employees,
Oregon
Nurses
Association,
Criminal
Investigators
Association,
Association
of
Engineering
Employees
Educational Leave
AFSCME
DOC
(Security),
AFSCME
State
Operated
Community Program, AFSCME DOC (Non-Security) & Bd
of Parole and Post-Prison Supervision, AFSCME Oregon
Youth Authority, AFSCME Oregon Association of Justice
Attorneys, SEIU, Association of Corrections Employees,
Criminal
Investigators
Association,
Association
of
Engineering Employees, Klamath Falls Airport Fire Fighters
Association.
A
UDIT
E
LEMENTS AND
M
ETHODOLOGY
Overall Methodology – Data from the Oregon State Payroll System (OSPS) DataMart and the Position
and Personnel DataBase (PPDB) will be used to identify employees who have used special leaves with
pay between July 1, 2001 and September 30, 2003. This data will be used in the review of each of the
elements listed below. In addition, data from July 1, 1999, through September 30, 2003, will be reviewed
to identify trends on employees’ use of leave with pay.
1. Element – Identify how agencies are using special leave with pay codes for
Administrative Leave (AD), Discretionary Leave (DL), Miscellaneous Paid Leave
(MPL), and any other leave codes not identified in the Oregon State Payroll
Application (OSPA) Operating manual.
HR Audit Program
Page 3 of 5
October 20, 2003
Element Risk Assessment* = 2 (Public Perception, Monetary)
Methodology – review agency documentation from personnel files and other written
documentation and/or timesheets for the selected records.
2. Element – Determine if state agencies are applying policy and/or collective bargaining
provisions appropriately when granting special leave with pay.
Review agency
specific leave policies adopted under HRSD State Policy 60.000.10(1)(c) Special
Leaves with Pay or HRSD State Policy 50.040.01 Employee Performance Recognition
Program, if applicable, to ensure consistency with state policy, OAR, and/or collective
bargaining agreement provisions.
Element Risk Assessment* = 2 (Public Perception, Monetary)
Methodology – review agency documentation from personnel files and other written
documentation and/or timesheets to determine what type of leave was approved and
the reason leave with pay was granted or used, and to verify the leave with pay
granted or used is within the guidelines of state policy, OAR and/or collective
bargaining agreement provisions.
3. Element – Ensure the agency’s processes for granting special leaves with pay are
documented as referenced in HRSD State Policy 60.000.10 Special Leaves with Pay;
HRSD State Policy 50.040.01 Employee Performance Recognition Program; HRSD
State Policy 70.000.05 Management Service Dismissal/Removal; HRSD State Policy
50.000.01 Drug Free Workplace; OAR 105-050-0003 Alcohol and Controlled
Substance Testing of Employees Having Commercial Drivers License; collective
bargaining agreements (CBA’s); and/or certified agency policies administered under
provisions of HRSD State Policy 60.000.10 and approved by authorized personnel
which may include the appointing authority.
Element Risk Assessment* = 3 (Public Perception)
Methodology – examine employee files, written documentation, and/or timesheets to
ensure special leave with pay is documented and has the appropriate approvals.
S
YSTEM
D
ATA
S
OURCES
9
Report produced from data on the OSPS DataMart and PPDB. For each agency, it will include the
following data fields:
−
Agency Number
−
Employee Classification Title
−
RDC Code
−
Employee Classification Number
−
Employee Name
−
Employee Representation Code
−
Authorization Number
−
Employee FLSA Eligible for Overtime
−
Position Number
−
Employee Recognized Service Date
−
Position Classification Title
−
PPDB Codes: 628 and 629
−
Position Classification Number
−
All Payroll Leave Codes other than
−
Position Representation Code
AT, CH, CTL, GL, HL, HO, LE, LF, LG, LM,
−
Position FLSA Eligible for Overtime
LO, LP, LS, LST, LU, LV, LX, PB, RCL, RP
SL, ST, VA
HR Audit Program
Page 4 of 5
October 20, 2003
HR Audit Program
Page 5 of 5
October 20, 2003
*E
LEMENT
R
ISK
A
SSESSMENT
(ERA)
E
LEMENT
R
ISK
A
SSESSMENT
(ERA)
1
Potential for
significant
monetary impact resulting from penalties or legal action or loss of productivity.
There could also be the potential for a significant adverse impact on the health, welfare and/or safety of
those served, or the public’s perception of state government resulting from inappropriate expenditures
and/or poor stewardship of public funds.
Corrective actions assure compliance within
30 days
and
follow-up actions may include further analysis of the audit subject and/or agency human resource
management practice application.
2
Potential for
moderate
monetary impact resulting from penalties or legal action or loss of productivity.
There could also be the potential for a moderate adverse impact on the health, welfare and/or safety of
those served, or the public’s perception of state government resulting from inappropriate expenditures
and/or poor stewardship of public funds.
Corrective actions assure compliance within
90 days
and
follow-up actions may include further analysis of the audit subject and/or agency human resource
management practice application.
3
Potential for
relatively low
monetary impact resulting from penalties or legal action or loss of
productivity.
The practice does not constitute a best management practice and may cause minor
disruptions and inconveniences to others or the workflow.
Corrective actions are in the form of
recommendations for future practices
or for agency to receive training in the human resource
management area where deficiency is observed and may include further analysis of the audit subject
and/or agency human resource management practice application.
For more information on Element Risk Assessments, please go to the HR Audit Program webpage
at:
www.hr.das.state.or.us/hrsd/audit
.
You can view the Corrective Action Plan and Follow-up
Procedures Guidelines under “Program Documents.”
