Broad Classification Bands

PURPOSE: The board is establishing this rule to provide for the broadbanding of positions within agencies covered by the uniform classification and pay provisions of the State Personnel Law. This rule provides for the formation and administration of a system of broadbanding applicable to positions within affected state agencies. The Division of Personnel and the Personnel Advisory Board may exercise authority and responsibility for preparation, adoption, maintenance, and revision of that part of the classification and pay plan which includes provisions for grouping of positions with similar levels of responsibility or expertise into broad classification bands in the classified and covered services. This rule provides the framework within which this authority may be exercised. (1) Standards and Methods. After consultation with appointing authorities or their designated representatives, the director shall establish and maintain the standards and methods for identifying positions subject to the law for broad classification bands and pay band designations. (2) Classification Plan. The provisions of 1 CSR 20-2.010 are applicable in the preparation and maintenance of broad classification bands, except as specifically outlined in this section or necessary for implementation. The class specifications for broadbanded classifications shall be designed to encompass a broad spectrum of positions in generic and agency-specific classes, or may provide for broader applications when the director determines that agency and system needs can be met in a consistent, equitable, and appropriate manner. (A) Preparation of the Plan. The director shall ascertain the duties, authority, and responsibilities of positions subject to the law. The broad classification bands shall group positions in very broad classes which generally describe the duties, authority, and responsibilities of positions and cover various pay band levels. The broadbanded class specifications are not specific to individual positions or programs. Two (2) kinds of broadbanded classes, common-use and agency-specific may be used. Common-use classes will accommodate functions which cross agency lines. Agency-specific classes will encompass functions distinct to an individual agency. Each broadbanded class specification will have a class title; statement of the duties, authority, and responsibilities; examples of duties performed; knowledge, skills, and abilities; and the necessary qualifications, provided that equivalent substitutions will be allowed for deficiencies in education or experience. Upon adoption by the Personnel Advisory Board, the broadbanded classes shall become part of the uniform classification and pay plan. (B) Allocation of a Position. Before establishing a new broadbanded position subject to the law, an appointing authority shall provide the director with a written statement of the duties, authority, and responsibilities to be assigned. The director will determine an appropriate class and pay band assignment based on the duties, authority, and responsibilities of the position. (3) Compensation Structure. The director will recommend to the board establishment and adoption of pay bands as considered necessary and equitable in order to group and maintain positions with similar levels of responsibility or expertise. The provisions of 1 CSR 20-2.020 are applicable in the preparation, adoption, maintenance, and administration of the pay plan for broad classification bands, except as specifically outlined in this section or necessary for implementation. (A) Administration. The implementation and ongoing administration of pay within the broad classification bands shall be conducted in a manner which promotes equitable pay relationships and the efficient and effective practice of personnel administration. When the meaning and purpose of a rule is not otherwise affected, the term band may replace range. The pay plan for the broadbanded system shall be administered in accordance with 1 CSR 20-2.020 and the following provisions: 1. Appointment rate. The initial appointment rate to a position in a broad classification band is at the discretion of the appointing authority. In making these determinations, consideration should be given to the individual’s qualifications, permanent position-related factors, such as working conditions or physical location of work, and/or recruitment or staffing needs; 2. Salary advancements. Salary advancements within the band occupied by an employee are of three (3) types: probationary salary advancements, specific salary advancements authorized during a fiscal year, and discretionary salary advancements, administered in accordance with the following provisions: A. A probationary salary advancement is permitted for an employee covered under section 36.030.1(2), RSMo, upon successful completion of the probationary period. An appointing authority may grant a salary advancement following successful completion of a probationary period in a band or after an appropriate period of time following upward reclassification; B. Within-grade, market progression, or other specific salary advancements within the pay bands, which are only authorized during a fiscal year when specific funding has been appropriated, will be implemented in accordance with guidelines and instructions issued by the board; C. Discretionary salary advancements may be granted by an appointing authority as warranted by the needs of the service; and D. In the broadbanded service, a conditional salary advancement is a discretionary within-band advancement associated with the assignment of higher level duties or responsibilities of a permanent nature. At the discretion of the appointing authority, and without appeal to the Administrative Hearing Commission, such higher level duties and responsibilities and the associated conditional salary advancement may be withdrawn as specified by the appointing authority. When a conditional salary advancement is established, the appointing authority will provide the affected employee with written notice describing the conditions under which the advancement is given and the conditions under which it can be withdrawn. (B) Within-Band Salary Decreases. Salary reductions within the band may be made for any amount by the appointing authority. Reasons for such decreases include: changes in duties or organization which do not adversely reflect on the employee; within-band movement to a position of lesser value; a permanent and substantial decline in the scope or complexity of assignment; or an involuntary within-band transfer for cause such as inadequate performance or misconduct as provided for in 1 CSR 20-3.070(2). An involuntary salary decrease within the band, when applied to the salary of a classified employee covered under section 36.030.1(2), RSMo, other than one (1) associated with a conditional salary advancement, shall be treated as a demotion and may be appealed by the affected employee in accordance with statute and these rules. (C) Pay Rates in Transfer, Promotion, Reclassification, or Demotion. If an employee is transferred, promoted, reclassified, or demoted, the rate of pay, giving consideration to equity, shall be as follows: 1. An employee’s rate of pay must fall within the minimum and maximum of their assigned pay band, except as provided for in paragraph (3)(C)3. of this rule; 2. An employee’s rate of pay within the appropriate band will depend on the type of personnel transaction. Consistent application of formulas or guidelines by appointing authorities in cases of promotions, reclassifications, and demotions will promote equitable treatment of employees affected by these actions. A. In the case of within-band transfer, which involves a change of an employee from one (1) position to another position in the same class or another class assigned to the same established pay band and which may involve a change of assignment or work location, the salary rate shall be determined by the appointing authority. B. In the case of promotion or upward reclassification, which involves a change of an employee from a position in one (1) band to a position in a higher band, the salary rate may be increased, or, at the discretion of the appointing authority, may stay the same. C. In the case of voluntary demotion, demotion for cause, or downward reclassification, which involves movement from one (1) band to a lower band, the salary rate will be at the discretion of the appointing authority. D. In the case of an out-of-band transfer, which involves movement from a pay band to a pay range, the employee may accept a voluntary reduction in salary. For employees covered under section 36.030.1(2), RSMo, an involuntary salary reduction is considered a demotion and may be appealed by the affected employee in accordance with statute and these rules; and 3. If an employee’s previous rate of pay is more than the maximum rate established for the pay band to which the position is assigned, the employee’s rate of pay may be approved in accordance with the following provisions: A. When a department, division, work unit, class of employees, or other entity of state government is initially made subject to the classification provisions of the State Personnel Law, the Personnel Advisory Board may approve salary rates above the established maximum rates for the affected employees. In each case where an above-themaximum rate has been authorized by the Personnel Advisory Board, the rate of pay will be clearly recorded as an above-the-maximum rate, and the affected employee will not be eligible for any additional type or amount of salary adjustment or advancement until the rate of pay falls within the pay band to which the position is assigned; B. When a position is reallocated to a lower pay band or to a pay range, the appointing authority, with approval of the personnel director, may elect to establish an above-themaximum rate. If the appointing authority elects to establish an above-the-maximum rate, the rate of pay will be clearly recorded as an above-the-maximum rate, and the affected employee will not be eligible for any additional type or amount of salary adjustment or advancement until that time as his/her rate of pay shall fall within the pay band or pay range to which the position is assigned; and C. An above-the-maximum rate established under subparagraphs (3)(C)3.A. and B. will continue while the employee remains in the same or higher pay band in the same department and is above-the-maximum rate for the assigned band. The payment of a differential authorized by the Personnel Advisory Board will be allowed where applicable, and the salary of an affected employee who enters or exits a position covered by this differential will be adjusted in a manner consistent with agency policy and practice. When an employee receiving an above-the-maximum rate of pay transfers to a position in the same class and pay band in another department covered by the classification and pay provisions of the State Personnel Law, the appointing authority of the receiving agency shall have the discretion to continue the authorized above-the-maximum rate, to establish a different, but lower rate of pay which exceeds the established maximum of the appropriate pay band, or to reduce it to a rate within the pay band for the position. Once the pay band can accommodate the rate of pay, the above-the-maximum rate will be void and the employee’s compensation will be subject to the provisions contained elsewhere in the rules. (4) Separation, Suspension, and Demotion. The provisions of 1 CSR 20-3.070 are applicable in the administration of broad classification bands for positions covered by section 36.030.1(2), RSMo, except as specifically outlined in this section, or necessary for implementation. (A) Demotions. An appointing authority may not demote an employee for cause unless the employee to be demoted meets the minimum qualifications for the lower position demoted to, and no regular employee in the affected class and band or range would be laid off by reason of the action. AUTHORITY: section 36.070, RSMo Supp. 2018.* Original rule filed March 11, 1999, effective Sept. 30, 1999. Emergency amendment filed Jan. 2, 2003, effective Jan. 12, 2003, expired July 10, 2003. Amended: Filed Jan. 15, 2003, effective June 30, 2003. Amended: Filed Aug. 15, 2003, effective Feb. 29, 2004. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority 36.070, RSMo 1945, amended 1979, 1995, 2018.