PURPOSE
The purpose of this General Letter is to establish uniform procedures for temporary service in a higher classification (TSHC) appointments and supersedes previous General Letters on this topic. TSHC occurs when an appointing authority temporarily appoints an employee to a position in a higher classification and the employee assumes the essential functions of the higher classification. This General Letter supersedes the previous General Letter dated June 8, 2023.
POLICY
As part of appointing authorities’ responsibility to deliver efficient, safe, and timely public services, they use their responsible judgement to appropriately manage and direct their agencies. Incorporated within this duty and obligation, appointing authorities may, for legitimate business purposes, make TSHC appointments under Sec. 5-209 of the Connecticut General Statutes, Management Personnel Policy 81-1 (MPP), and applicable collective bargaining agreements (CBA).
SCOPE
This General Letter applies to all TSHC appointments within the executive branch under the jurisdiction of the Department of Administrative Services (DAS) except for positions assigned to labor unit ‘01’ or to the SE pay plan. Appointments to these appointed positions are not typically made on a temporary basis and may be made without the need of TSHC.
REQUIREMENTS
A TSHC appointment is permissible when it is either inappropriate or not possible to delegate the essential duties to other staff without the need for TSHC due to either of the following:
- The incumbent of a position is not available for a period of time greater than thirty (30) days and the appointing authority determines that the need for the service is immediate, essential, and in the best interest of the public; or
- A vacant position that cannot be immediately filled on a permanent basis and the appointing authority certifies that the immediate rendition of service is essential and in the best interest of the public.
TSHC appointments are not to be used to circumvent the filling of approved vacancies and the use of reemployment, SEBAC and other mandatory lists.
Given that employees must qualify for the higher classification at the time of TSHC appointment, time served in a TSHC appointment is not credited toward meeting the minimum qualifications for the higher classification of the TSHC appointment. However, this experience can be credited toward meeting the minimum requirements for other class specifications.
RESPONSIBILITIES
Agencies and their assigned Human Resources Business Partner or Designee shall:
- Be judicious when making TSHC appointments pursuant to the above policy.
- Ensure TSHC appointments have a legitimate business purpose and are made in a fair, reasonable, and non-discriminatory manner.
- Inform employees of the requirements and benefits of TSHC in accordance with this policy and the employee’s CBA or MPP.
- Appropriately manage employee work performance and attendance while serving TSHC. (Note: TSHC is at the direction of agencies. Therefore, approved and/or protected leaves of absence that occur during a TSHC do not break the continuity of the TSHC.)
- Ensure correct compensation while an employee serves in the TSHC appointment and immediately following the completion of the TSHC appointment (refer to “Compensation” section below).
- Retain and, when requested, provide approvals and other relevant documentation during DAS’ post-audit.
- Render a decision on all requests for TSHC to ensure the:
- TSHC is organizationally sound and the appropriate use of the proposed higher classification; and
- Proposed employee meets the minimum qualifications of the higher classification, based on the experience and training requirements listed on the class specification.
- In extraordinary circumstances when an emergency arises, an appointing authority may request authorization from the DAS HR Policy Unit to assign an employee who can assume the essential functions without meeting the minimum qualifications for the higher classification.
- Prior to making emergency TSHC appointments, appointing authorities must indicate why the filling of this position is required to facilitate the carrying on of public business or avoid inconvenience to the public; specify why an individual who meets the experience and training is not being assigned to the TSHC; describe their agency’s current staffing levels in place at the time of appointment; indicate future plans for finding a permanent solution to the vacancy; and provide any other relevant information to the request. Appointing authorities must request and receive DAS approval in advance, before they may proceed with emergency TSHC appointments in these extraordinary circumstances.
- Approval of TSHC in such extraordinary circumstances does not alter established qualification requirement for the TSHC classification, nor does it set precedent.
- Appropriately process approved TSHC requests.
DAS HR Policy and Information Systems Unit shall:
- Conduct post audits of assigned TSHC.
PROCEDURES FOR MAKING TSHC APPOINTMENTS
If the appointing authority determines there is a need to make a TSHC appointment, the agency’s Human Resources Business Partner or designee shall prepare and assemble the following required documentation or agency approval:
- Summary of the request, to include:
- Requesting agency;
- Reason for the TSHC;
- Employee name;
- Employee ID;
- Permanent class title;
- Class reassignment title;
- TSHC position number;
- TSHC start and end dates;
- Name of employee being replaced, if applicable; and
- Appointing letter to employee or other documents, if applicable.
- A current and completed Master Application in JobAps by the employee;
- The current and proposed organizational charts; and
- An acknowledgement from the Human Resources Business Partner or designee that the:
- TSHC is organizationally sound and use of the proposed higher classification is appropriate; and
- Proposed employee meets the minimum qualifications of the higher classification, based on the experience and training requirements listed on the class specification.
It is critical that TSHC requests be made prior to the commencement of the TSHC appointments to ensure proper authority exists to compensate employees working higher level duties. There is no authority to make TSHC appointments and compensate employees prior to such approval. (Emphasis added)
If the assigned Human Resources Business Partner or designee approves the TSHC, the Human Resources Business Partner or designee shall:
- Make TSHC appointments for the minimum duration required, not to exceed one year.
- Enter the TSHC in the employee’s Job Data record in accordance with the CORE-CT Job Aid.
- Return an employee to the last held position, classification and base rate of compensation as if the employee had never left at the completion of the assigned TSHC.
- If the employee is promoted via permanent appointment to the higher classification (immediately) following completion of TSHC, retain the compensation rate s/he received while serving TSHC.
- Exceptions to TSHC appointments beyond 12 months are extremely limited. TSHC appointments beyond 12 months may be approved by an agency’s Human Resources Business Partner or designee when the appointment is due to one of the following types of situations:
- To cover a leave of absence due to the appointment of an employee to a union leadership position;
- To cover a leave when operational needs require individuals who possess specialized, current knowledge to assist with training in the employee’s particular area (e.g., DCF Training Academy rotation, etc.);
- To implement collective bargaining agreement language concerning the temporary reclassification of an employee for certain assignments (e.g., DOT Workfare Supervision, etc.); or
- To address a critical staffing need when a certified examination list is pending due to circumstances that are outside of DAS control.
COMPENSATION WHILE SERVING IN A TSHC APPOINTMENT
“Correct compensation” of an employee on a TSHC means the following:
- Paying the employee on the 31st consecutive calendar day or working day as determined by the applicable CBA or MPP, retroactive to the date of assumption of such higher duties and responsibilities.
- Assigning the employee appropriate hours of work that coincide with the requirements of the higher classification. When the hours differ from the last held permanent position, the employee accrues vacation leave in accordance with the last held permanent position.
- Providing the employee benefits and terms and conditions of employment based upon the employee’s last held permanent position. This includes union dues, longevity payments and vacation payout (should the employee separate from state service while serving TSHC).
- Calculating the employee’s base rate of compensation as if a promotion occurred and providing the following salary adjustments:
- TSHC position is in the same labor union code as the last held permanent position: When a salary adjustment occurs, adjust the compensation accordingly in the TSHC position per the relevant CBA language. (Upon completion of TSHC, apply all salary adjustments to the last held position as though the employee never left that position.)
- TSHC position is in a different labor union code than the last held permanent position:
- When a salary adjustment occurs only in the last held position, virtually apply the adjustment (to the employee’s pay in the last held position) and recalculate the promotion; adjust the TSHC pay, when appropriate.
- When a salary adjustment occurs only in the TSHC position, apply the adjustment only to the TSHC pay.
- When a salary adjustment occurs in both positions on the same effective date, the salary adjustment should occur on the TSHC position. Upon completion of the TSHC, apply all salary adjustments to the last held position as though the employee never left that position.
- If the employee is promoted via permanent appointment to the higher classification (immediately) following completion of TSHC, retain the compensation rate s/he received while serving TSHC.
POST AUDIT
All transactions under this General Letter are subject to post-audit by DAS HR Policy and Information Systems Unit.
OTHER
Appointing authorities are responsible for the following regarding TSHC appointments:
- Responding to any administrative and/or legal challenges to TSHC appointments;
- Meeting all document retention requirements;
- Responding to all requests for information under the Freedom of Information Act (FOIA); and
- Maintaining the security and confidentiality of all TSHC appointment materials.
Employees should direct questions concerning this policy to their agency Human Resources Office. Questions from Human Resources staff are to be directed to the DAS HR Policy and Information Systems unit
