Reference Civil Service Rules, Ch. 8, which explains certification and appointment procedures that agencies may use to fill vacancies.

CIVIL SERVICE SYSTEM OVERVIEW

Most state government jobs are subject to the State of Maine Civil Service System. The basis for the civil service system is found in the Civil Service Law (Title 5, Maine Revised Statutes Annotated) and Civil Service Rules. Jobs that are subject to the civil service system are "classified" positions. The civil service system follows merit principles for equal employment opportunity and the selection and advancement of employees on the basis of fair and objective competition.

Some jobs are excluded from the civil service system by the Legislature. Jobs that are excluded from the civil service system are "unclassified" positions. All unclassified positions have a basis in law and all unclassified positions are filled through the direct hire process. Employees who fill unclassified positions that are excluded from the collective bargaining process are appointed to serve at the pleasure of the hiring authority. Employees who fill unclassified positions that are covered by the bargaining process are subject to the tenure terms of their collective bargaining agreement. Examples of unclassified "serve-at-the-pleasure" positions include cabinet members, heads of State boards and agencies and major policy-influencing appointees. Examples of unclassified positions that are covered by a collective bargaining agreement include teachers, physicians, scientists and other highly professional lines. (Note: By law, the Bureau of Human Resources must apply its classification and pay program for classified jobs to unclassified jobs if these unclassified jobs are not salaried by the Governor or assigned to a specific pay grade by the Legislature.)

The civil service system is centrally administered by the Bureau of Human Resources through its classification and pay, recruitment and examination, and register and certification programs. Under the classification and pay program, jobs that have similar work and work responsibilities are grouped and assigned to a common job classification and salary grade. Under the recruitment and examination program, vacancies are announced and applicants are tested and scored using competitive, job-related measures (e.g., written or oral examinations, evaluations of individual experience and training, or a combination of these methods). Under the register and certification program, persons who successfully complete the examination process are placed on classification registers by score, and job referrals are made from these registers in accordance with these competitive scores and other criteria such as civil service status, conditions of work (full-time, part-time, seasonal, permanent, temporary, shift work), and geographic preferences.

For some classified jobs (e.g., labor and trade jobs, highly scientific or technical jobs, and jobs that are unique to an agency), the full responsibility for recruitment, examination, and selection is delegated to the agency human resources division. These jobs are designated direct hire. Agencies that are authorized direct-hire classified jobs must follow the same merit principles for filling vacancies that are followed by the Bureau of Human Resources for jobs that are centrally controlled.

THE CERTIFICATION PROCESS

There are several internal factors that should be considered before requesting a certification. Among them are:

• Are future layoffs planned? If so, it may be advantageous to delay filling a vacancy until the end results of the layoff situation are known. It may happen that the vacancy can be used to lessen the impact of the layoffs.

• Are there state employees on the register with recall rights? Supervisors and managers should ask this question of their agency human resources staff. Agency human resource staff will be aware of layoff candidates within their own agency and will check with the Bureau of Human Resources to see if there are layoff candidates from other agencies who have recall rights to the vacancy. If there are layoff candidates on the register, and the Bureau of Human Resources receives a requisition (form PER 15) from the agency, the certification type submitted will be voided and the layoff candidates will be referred by seniority. See the section on layoff candidates that follows.

• Are there agency employees who would like to transfer to the vacant position? All vacancies must be posted to allow agency employees the opportunity to bid for transfer. If there is a reasonable expectation that a vacancy will be filled by internal transfer, the certification should be delayed until the posting period has ended and all transfers have been considered. Note: The various bargaining agreements specify posting requirements and afford certain rights to employees who bid for vacancies on a transfer basis. These rights vary among bargaining units. Agency human resource representatives should be consulted.

• What is the condition of the class register? Supervisors and managers should ask this question of their own agency human resources staff. Agency human resource staff will check with the Bureau of Human Resources to see if there are an adequate number of names on the register. If there are just a few names on the register, the agency must decide to accept these names or to wait until more names are added through the recruitment and examination process.

There are also external factors that influence the certification process. Among them are:

• Are there workers’ comp. return-to-work candidates? The statewide Return-to-Work Program exists to locate suitable return-to-work opportunities for injured employees who have work capacity, but who are temporarily or permanently unable to perform the work of their permanent (previous) position. If an agency vacancy is determined to be a good fit for a return-to-work candidate, agency human resource representatives and supervisors will be contacted by the Workers’ Compensation Unit to consider a placement. To the extent practicable these placements will be given priority after layoff and agency promotional candidates.

• Is the vacancy in an underutilized classification identified in the agency Affirmative Action Plan? If so, steps will be taken to ensure that candidates from underutilized groups who are on the register are represented on the certification. Agency EEO Officers and/or human resource staff are expected to request the referral of candidates on the register from underutilized groups for their underutilized classifications. In addition, the Bureau of Human Resources will add candidates from underutilized groups on its own authority. See Footnote 3 following the Certification Types Table.

REQUESTING THE BEST CERTIFICATION

Agency human resource representatives are responsible for requesting certifications for vacancies within the agency. Different types of certifications will provide different sets of names. Supervisors and managers should become familiar with certification types so that they can make informed choices when requesting a certification to fill a vacancy. Informed choices will minimize delays and avoid unnecessary paperwork for both the agency and the Bureau of Human Resources. The following information will assist supervisors and managers with these important choices:

Without exception, state employees who are laid off are considered first, whether by direct hire or from a class certification, regardless of what type of certification may be requested. State employees who have been laid off or displaced retain extensive rights with respect to recall to their former classification or work location. In the event that a vacancy occurs in a classification or work location to which a state employee has recall rights, a "Layoff from Classification" (LC) certification will be issued. No other names will be certified unless the layoff candidate(s) refuses the job.

Under some circumstances, not selecting a layoff candidate may be based on the candidate’s lack of qualifications for a specific position. Written justification for non-selection must be submitted to the Director, Bureau of Human Resources. Additional names will not be provided unless the reason for non-selection is approved. The standard for non-selection of a layoff candidate based on qualifications is narrowly interpreted and should be considered an exceptional situation.

State employees who are laid off from a related classification or higher classification also retain certain preferences. In the event that a vacancy occurs in a related classification or a higher classification from which a state employee has been laid off, the employee’s name will be added to the requested certification as a "Layoff from Related or Higher Classification" (LR) candidate. LR candidates must be interviewed along with other certified candidates and are given preference in hiring. Specific reasons for non-selection must be provided.

CERTIFICATION TYPES AND USES

The following table summarizes the different certification types and explains how they are generally used . Depending on position needs, the basic certification types (left hand column) may be modified by additional factors (listed in the right hand column).

 

 

 

 

 

 

 

 

 

 

¹Selective: Receive names of candidates who meet job-specific special qualifications. A Selective certification may be considered when a position requires special qualifications (such as educational attainment, professional licensure, or specific work experience) in conjunction with the training and experience required for the class. Generally, the selective criteria should be reflected in the FJA for the position in question.

Requests for a Selective certification must be justified in writing and include the specific criteria to be used to identify the special qualification. Prior to certification, applications will be reviewed by BHR and/or agency staff to establish which candidates possess the required selective qualification(s). Selective candidates will then be certified by score and certification type.

²Extended Certification: An agency may request an extended certification in classifications where there have historically been large numbers of declines or if a large number of declines is anticipated for any other reason. These names may only be used to maintain a viable six-name certification by replacing candidates, in strict descending order, who either decline an interview, do not appear for a scheduled interview, or decline a job offer. It is important to note that candidates who are simply not selected ("non-selects") may not be replaced with candidates from the extended list. A request for an extended certification must be approved by the Bureau of Human Resources.

³Expanded Certification: All certifications are automatically expanded, by certification type, to include persons with disabilities and/or minority candidates. In certain situations, such as supervisory positions or non-traditional occupational groups, under-utilization based on gender may indicate that the implementation of affirmative action is appropriate. Agencies may request that certifications be expanded for females. Agency EEO Officers and human resource professionals should be consulted in these situations.

⁴Acting Capacity: A certification is required for all acting appointments that are greater than 90 days in duration. An Acting Capacity certification must be used in conjunction with one of the types listed above. (Note: Refusal of an interview for an acting capacity appointment does not jeopardize a candidate’s standing on the class register.

 

 

SPECIAL PLACEMENT ASSISTANCE:

 

 

• ASPIRE Candidates: Individuals participating in the APSIRE Program (Department of Human Services) may be added to a certification.

• Rehabilitation Programs: If an individual with a disability meets the minimum qualifications for a classification, and is actively working with a Bureau of Rehabilitation (DOL) Rehabilitation Counselor to secure employment, the individual may be included (as an additional name) on a certification for which he or she is qualified.

 

ADDITIONAL CONSIDERATIONS:

• Prior to requesting a certification, employees, supervisors, and management should carefully consider the pertinent provisions of the applicable bargaining agreement. Contractual requirements for filling positions vary among bargaining units.

• Generally, only candidates who have designated the geographic location and conditions of work (full time, part time, temporary, seasonal) that correspond with a vacancy will be certified.

• In situations where multiple vacancies exist at the same work location, the agency may consider different certification types, which will increase the mix of available candidates.

• Persons employed in "off the street" acting assignments do not have civil service status and are not provided agency or statewide promotional preference on a certification. A person serving in an acting capacity assignment will be certified to a vacancy by score only.

• Generally, candidates who are certified to seasonal or part-time positions must have indicated a willingness to work on a seasonal or part-time basis in the classification.

• Candidates are certified by score. If other candidates have the same score as the sixth (or last) name certified, all candidates with that score will be included on the certification and must be interviewed.

• Some candidates may be certified conditionally, which is indicated on the certification by a "CC". This means that certain documentation necessary to establish qualifications, such as education (degree), registration, or licensure, has not been provided prior to certification. Do not make a hiring commitment until the required documentation has been provided. Processing a new hire package will be delayed if the required verification(s) is (are) not provided.

• The agency will generally receive the names of six candidates on a certification. In the event there are additional candidates on the classification register who have the same score as the sixth candidate, all of the candidates with that score will be certified. The agency may request additional names if the number of active candidates drops to two. An active candidate is one who has not been removed from the certification for cause, has not declined an interview, or has not declined a job offer. Non-selection is not cause to request additional names.

• Refusal of an interview, a job offer, or failing to appear at an interview has certain consequences for the candidate. State employees may refuse up to four interviews/offers, after which they will be requested to update records. Candidates from outside state service will become inactive on the register, and contacted by letter, if they refuse an interview, fail to appear for an interview, or decline a job offer. A candidate will remain inactive until he or she contacts the Bureau of Human Resources. An applicant's status on the register will not be affected if he or she is not selected from a certification. This situation is commonly referred to as a "non-select."

• Agencies have the option of conducting additional skills testing as part of the selection process. For example, an agency may conduct a word processing test to determine speed, accuracy, and proficiency with specific word processing software. If skills tests are utilized, they must be administered fairly and consistently to all candidates. If an agency is not currently administering skills testing, but would like to consider this process, it is strongly recommended that the skills testing be developed in conjunction with agency human resource representatives and in consultation with the Bureau of Human Resources.

• Under certain circumstances, names that have been certified to the hiring agency may be removed from the particular certification or the classification register. Removal of a name from the individual certification indicates that the candidate is not qualified or is otherwise unsuitable for that particular position. Removal of a name from the classification register indicates that the candidate is not qualified or is otherwise unsuitable for any job in the classification.

• The removal of a name from the certification or the classification register is initiated by the hiring agency. Names may be removed for cause, such as qualifications, poor references, unsuccessful work history, etc. In order to remove a name, an agency human resource representative must forward the specific reasons for removal to the Certification Unit, Bureau of Human Resources. If the request is approved, BHR will notify the agency human resource representative. The agency human resource representative is required to notify the candidate, in writing, indicating the reason(s) for removal and the right to appeal to the Director, Bureau of Human Resources.

• All selection processes must be fair and equitable. It is important to remember that selection processes are subject to appeal through Civil Service Rules and, for employees covered by bargaining agreements, the grievance procedure. Interview panel members should consult the Bureau of Employee Relations Memorandum 49, Conducting Competitive Selections, before the interview and selection process begins.

FOR FURTHER ON-LINE ASSISTANCE:

Form PER 18: Request for Placement on the Re-employment Register
Form PER 122: Request for Placement on the Transfer/Demotion Register
BOER Memo 49: Conducting Competitive Selections

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