Current through Rules and Regulations filed through March 20, 2024
(1)
Introduction:
A reduction in force is the separation from a job, furlough, or
salary reduction of one (1) or more employees as the result of a shortage of
work or funds, a change in organization or operations, or to otherwise support
the financial health and viability of an agency. This Rule defines the process
for implementing reduction in force actions.
(2)
Applicability:
This Rule applies to Executive Branch employers, local
departments of Public Health, and Community Service Boards. It does not apply
to other public corporations, Authorities, or the Board of Regents of the
University System of Georgia.
(3)
Definitions:
For the purposes of this Rule, the following terms and
definitions apply in addition to those in Rule
478-1-.02, Terms and
Definitions:
(a) "Average
Summary Rating" means the average of the summary ratings of all annual
performance evaluations issued in the two years immediately prior to the
performance evaluation cutoff date.
(b) "Competitive Area" means an
organizational, budgetary, or geographic part of the agency to which a
reduction in force is to apply, such as a particular worksite, budget unit,
function, or the entire agency. A reduction in force may include multiple
competitive areas.
(c) "Competitive
Jobs" means those job titles/codes to which the reduction in force is to
apply.
(d) "Overtime" means work
time that qualifies for premium compensation under the Fair Labor Standards Act
(FLSA). Typically it is time worked over 40 hours in an FLSA workweek with
limited exceptions that may apply to law enforcement, fire protection, and
health care employees.
(e) "Summary
Rating" means the overall rating provided on an annual performance
evaluation.
(4)
Types of Reduction in Force:
A reduction in force may involve layoff, furlough, or reduction
in salary.
(a) Reduction in Force -
Layoff:
1. An agency may lay off staff in
accordance with a plan filed with DOAS when necessary to meet business
needs.
2. Layoff results in the
employee's separation from employment. The separation is not considered
disciplinary.
(b)
Reduction in Force - Furlough:
1. An
appointing authority may place employees in non-pay (furlough) status as a
temporary reduction in force in accordance with a plan filed by DOAS.
2. Employees may be furloughed no more than
30 workdays within any 12-month period. (See Section (22)(h) of Rule
478-1-.16, Absence from
Work.)
3. All affected
classified employees in the same competitive job within a competitive area must
be placed in non-pay status for the same number of days. Therefore, competition
is not necessary and retention credits are not calculated. (See Section (5)(c)
of this Rule.)
4. The agency has
discretion to vary the number of furlough days for unclassified employees in
the same competitive job within a competitive area, if necessary to meet
business needs. A competitive process is necessary when the number of furlough
days will vary among employees in the same competitive job. (See Section (5)(c)
of this Rule.)
5. When furloughing
an FLSA exempt employee, the agency will follow FLSA provisions to treat the
employee as a non-exempt employee during any workweek in which a furlough
occurs. During an FLSA workweek that includes furlough time, both exempt and
non-exempt employees will be compensated for all hours worked, and if overtime
is inadvertently worked, the overtime compensation rate will be time and a
half.
(c) Reduction in
Force - Salary Reduction:
1. An appointing
authority may reduce the salary of employees to conserve funds in accordance
with a plan filed with DOAS. (See Rule
478-1-.12, Salary.)
2. The
plan will define the amount or percentage of salary reduction and the period of
reduction for each competitive job within each competitive area.
3. All affected classified employees in the
same competitive job within a competitive area must have their salary reduced
by the same amount or percentage and for the same amount of time. Therefore,
competition is not necessary and retention credits are not calculated. (See
Section (5)(c) of this Rule.)
4.
The agency has discretion to vary the conditions of salary reduction for
unclassified employees in the same competitive job within a competitive area,
if necessary to meet business needs. A competitive process is necessary when
the conditions will vary among employees in the same competitive job. (See
Section (5)(c) of this Rule.)
5.
Prior to reducing the salary of a Fair Labor Standards Act (FLSA) exempt
employee, the agency should determine whether such action would result in the
loss of the FLSA exemption.
(5)
Process Overview:
(a) The agency determines the scope of the
reduction in force, including the segments of the agency to be affected (i.e.,
competitive areas), the jobs to be affected (i.e., competitive jobs), and the
number of employees to be affected.
(b) Identifying Affected Employees:
1. The agency must use a competitive process
to identify which employees in competitive jobs within a competitive area will
be affected under the following conditions:
(i) if some employees in the same competitive
job within a competitive area will be affected and others will not;
(ii) if employees in the same competitive job
within a competitive area will be laid off at different times, furloughed a
different number of days, or reduced in salary dissimilarly.
2. A competitive process is not
needed when all employees in the same competitive job within a competitive area
will be laid off on the same date, furloughed the same number of days, or
reduced in salary under the same conditions.
3. When determining whether a competitive
process is necessary, each competitive job within a competitive area is
reviewed separately. Employees within the same job in a competitive area
compete among themselves, not with other potentially affected employees in
different jobs.
4. An agency may
further restrict competition by classified/unclassified status, or may allow
classified and unclassified employees within the same competitive job to
compete with one another.
5. When a
competitive process will include a classified employee, the agency must
calculate retention credits and determine the order of retention as defined in
this Rule.
(c) The
agency will file a reduction in force plan with the Department of
Administrative Services (DOAS) and adhere to other notice requirements outlined
in this Rule.
(6)
Employees on Contingent Leave or Working Test:
In the event of a reduction in force that involves a layoff,
the following provisions apply for employees in a competitive job within a
competitive area who are either on contingent leave or working test.
(a) Classified and unclassified employees on
contingent leave without pay shall be the first to be separated, except as set
forth in Section (7)(d) of this Rule.
(b) Classified employees on working test
following a promotion shall revert to the last job (or equivalent if such job
is not available) in which they hold permanent status and shall, if necessary,
compete with other employees in that job, provided the job exists in the
competitive area.
(7)
Competitive Process for Classified Employees:
(a) The order of retention of classified
employees involved in a competitive process is determined by a combination of
retention credits, average summary performance rating, and status as a veteran
of a period of armed conflict, as outlined in this section.
(b) Retention Credits:
1. Retention credits are calculated using an
employee's average summary rating of annual performance and length of
continuous and most recent service.
2. Summary Rating of annual performance:
Summary ratings on performance evaluations are assigned the
following numerical values for the purpose of computing retention
credits:
(i) zero (0) for a summary
rating of "Unsatisfactory Performer"
(ii) two (2) for a summary rating of
"Successful Performer - Minus"
(iii) three (3) for a summary rating of
"Successful Performer"
(iv) four
(4) for a summary rating of "Successful Performer - Plus"
(v) five (5) for a summary rating of
"Exceptional Performer"
3. The average summary rating is derived by
adding the numerical values assigned to the summary ratings of all annual
performance evaluations issued in the two (2) years immediately prior to the
performance evaluation cutoff date set by the agency in the reduction in force
plan and dividing the sum thereof by the number of ratings, rounded to the
nearest tenth of a point.
4. If no
performance evaluation was issued during the two-year period, an employee will
be assigned a presumptive average summary rating of three (3) Successful
Performer.
5. The average summary
rating converts to retention credits as follows:
(i) 0 retention credits for an average
summary rating of 1.0 to 1.9
(ii)
60 retention credits for an average summary rating of 2.0 to 2.4
(iii) 68 retention credits for an average
summary rating of 2.5 to 2.9
(iv)
76 retention credits for an average summary rating of 3.0 to 3.4
(v) 84 retention credits for an average
summary rating of 3.5 to 3.9
(vi)
92 retention credits for an average summary rating of 4.0 to 4.4
(vii) 100 retention credits for an average
summary rating of 4.5 to 4.9
(viii)
108 retention credits for an average summary rating of 5.0
6. Employees receive one (1) additional
retention credit for each full year of continuous service, including any period
of leave which has been allowed in accordance with these Rules.
(i) One-half year or more will be considered
as one (1) year; less than one-half year will be disregarded.
(ii) For determining years of continuous
service as provided in this section, service shall be computed up to the
effective date of the reduction in force.
(iii) If a classified employee was hired into
the Executive Branch from a local department of Public Health or Community
Service Board, or vice versa, without a break in employment, then continuous
classified service with these employers is considered when determining
retention credits.
7.
The sum of the retention credits for the average summary rating of performance
and length of continuous service equals the total number of retention credits
for an employee.
(c)
Sequence for Reduction of Employees with Permanent Status:
1. Within a competitive job in a competitive
area the order of reduction in force of employees in each job shall be:
(i) First group to be reduced - from the
lowest to highest number of retention credits, employees who are not honorably
discharged veterans of a period of armed conflict and whose average summary
rating of performance is lower than three (3) "Successful Performer";
(ii) Second group to be reduced - from the
lowest to highest number of retention credits, employees who are honorably
discharged veterans of a period of armed conflict and whose average summary
rating of performance is lower than three (3) "Successful Performer";
(iii) Third group to be reduced - from the
lowest to highest number of retention credits, employees who are not honorably
discharged veterans of a period of armed conflict and whose average summary
rating of performance is three (3) "Successful Performer" or higher;
and,
(iv) Fourth group to be
reduced - from the lowest to highest number of retention credits, employees who
are honorably discharged veterans of a period of armed conflict and whose
average summary rating of performance is three (3) "Successful Performer" or
higher.
2. If two (2) or
more employees are tied in the total number of retention credits and one (1) or
more, but not all, employees so tied will be more affected by the reduction in
force than the other(s), the appointing authority will select the manner in
which the order of retention shall be determined.
(d) Exception to the Sequence for Reduction:
Classified employees in the same competitive job in a
competitive area are affected by reduction in force in the sequence within
Section (7)(c) of this Rule, except as outlined in this paragraph. If the
position of an employee is not to be abolished and the appointing authority
determines its duties cannot be satisfactorily performed after a reasonable
training period by an employee higher in the order of retention whose position
is to be abolished, the employee who can satisfactorily perform the duties may
be retained in preference to an employee higher in the order of retention. The
facts supporting use of this provision must be stated in the reduction in force
plan.
(8)
Competitive Process for Unclassified Employees:
When a competitive process will include only unclassified
employees, the agency has discretion to use the classified employee formula or
implement another non-discriminatory process that effectively supports its
business needs. For example, the agency may consider some combination of
performance, tenure, competencies, discipline history, etc.
(9)
Reduction in Force Plan:
(a) To implement a reduction in force, the
agency creates a plan. The reduction in force plan will include the following
information:
1. the type of reduction in force
action (i.e., layoff, furlough, or salary reduction);
2. the proposed effective date(s);
3. the reason for the action (e.g.,
reorganization, outsourcing, funding, etc.);
4. a definition of the competitive area(s)
and list of competitive jobs within each competitive area;
5. the total number of classified and
unclassified employees in each competitive job by competitive area and the
number of classified and unclassified employees proposed to be impacted by
reduction in force within each competitive job by competitive area;
6. the amount or percentage of reduction if
the reduction in force involves salary reduction;
7. the basis used to determine the order of
retention if competition among unclassified employees is required;
and,
8. if competition among
classified employees is required for a competitive job:
(i) the cutoff date after which performance
evaluations will not be accepted;
(ii) list of employees in the competitive job
in order of retention, showing veterans' preference status and retention
credits;
(iii) justification of any
retentions under Section (7)(d) of this Rule, if applicable; and,
(iv) if applicable, the method used to
determine the order of retention when employees are tied in total retention
credits and at least one (1), but not all, will be laid off or will be laid off
earlier than others.
(b) The plan must be filed with the
Department of Administrative Services (DOAS). When practicable, the plan should
be sent to DOAS before implementing the reduction in force.
(c) DOAS will review the plan and provide
consultation, as appropriate.
(d)
No classified employee will be affected by reduction in force except in
accordance with a plan submitted to DOAS.
(e) The appointing authority will make
available, upon request, a copy of the reduction in force plan for inspection
by any employee or former employee who was directly affected by the reduction
in force.
(10)
Legislative Notification:
If a reduction in force would result in the elimination of 25
or more positions or the layoff of 25 or more employees (including classified
and/or unclassified employees), the appointing authority shall, at least 15
calendar days prior to notifying employees of the proposed action, notify the
President of the Georgia Senate and the Speaker of the Georgia House of the
proposed reduction. The notice shall:
(a) identify the facility(ies) and
operation(s) to be affected and the estimated number of employees to be
affected; and,
(b) state the
reasons for the proposed action.
(11)
Employee Notice:
(a) Except as set forth in Section (12) of
this Rule, each classified employee laid off, furloughed, or subjected to
salary reduction by a reduction in force will be notified in writing at least
30 calendar days prior to the action.
(b) Such notice to classified employees shall
contain, at a minimum:
1. a statement of the
proposed action to be taken with respect to the affected employee;
2. an explanation of the affected employee's
right of appeal;
3. if the employee
is being laid off, any opportunities for possible continued employment or
opportunities to apply for employment with any public or private party assuming
the functions of the employee, or any other similar opportunities;
and,
4. an explanation of any
rights and options with respect to employment benefits, including, but not
limited to, any right to continue participation in any retirement system or
insurance plan.
(c) Each
unclassified employee laid off, furloughed, or subjected to salary reduction by
a reduction in force is to be notified in writing. The notice may be similar to
the classified employee notice with the exception that Section (11)(b)2 is not
to be included because unclassified employees have no appeal rights. The
minimum 30-day notice is not mandatory for unclassified employees, but should
be considered when practicable.
(12)
Advance Notice Exception Based on
Unavailability of Funds:
The advance notice requirements in Sections (10) and (11) of
this Rule shall not apply to a reduction in force which must become effective
immediately if the agency has insufficient funds available to pay the salaries
of the affected employees. Each employee affected by a reduction in force must
still be notified in writing prior to the action.
(13)
Reinstatement for Classified
Employees:
A classified employee who has been laid off as a result of
reduction in force, and who meets all the qualifications (including any
licensure and certification requirements and special qualifications), shall
retain status in and right to reinstatement to a vacant classified position in
the job in the competitive area from which the employee was laid off for a
period of one (1) year from the date of separation and shall be offered
reinstatement in inverse order to the order of layoff. A refusal by the
employee of reinstatement upon reasonable notice by the appointing authority
nullifies the right to reinstatement.
O.C.G.A.
§§
45-20-3, 45-20-3.1, 45-20-4, 45-20-19.