Minnesota Rules — Management and Budget Department

Chapter 3900 PERSONNEL

Minn. R. 3900.0100 Purpose and Scope of Rules

Chapters 3900 and 3905 supplement and clarify the provisions of Minnesota Statutes, chapter 43A, which generally affect the rights of or processes available to the general public. They also apply to state employees of the executive branch when the employees participate in any process that is available to the general public. Unless otherwise stated, these rules apply to positions in the civil service in the executive branch, the office of the legislative auditor, the Minnesota State Retirement System, the Public Employees Retirement Association, and the Teachers Retirement Association.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.0200 Other Elements of the State Personnel System

Subpart 1. Commissioner.

The commissioner is the chief personnel and labor relations manager for the civil service of the executive branch. The commissioner is responsible for carrying out Minnesota Statutes, chapter 43A. Personnel rules are one of several elements used to implement Minnesota Statutes, chapter 43A. Other elements are described in subparts 2, 3, and 4.

Subp. 2. Collective bargaining agreements.

Collective bargaining agreements define or describe terms and conditions of employment between the state and exclusive representatives of employees as directed under Minnesota Statutes, sections 179A.01 to 179A.25. Provisions of collective bargaining agreements supersede inconsistent provisions of chapters 3900, 3905, and 3910 for employees covered under these agreements.

Subp. 3. Other employment plans.

Certain plans established and approved under Minnesota Statutes, section 43A.18, define or describe terms and conditions of employment for all classified and unclassified employees in the executive branch who are not covered by a collective bargaining agreement. Provisions of these plans supersede inconsistent provisions of chapters 3900, 3905, and 3910 for employees covered by these plans.

Subp. 4. Administrative procedures.

Certain administrative procedures adopted in accordance with Minnesota Statutes, section 43A.04, subdivision 4, define or describe employee relations programs, activities, and elements for state agency management and employees but do not directly affect the rights of or processes available to the general public.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.0300 Actions Taken Before July 31, 1983

Personnel actions taken before July 31, 1983, are governed by the rules that were in effect on the date when the actions were taken.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.0400 Definitions

Subpart 1. Scope.

For purposes of chapters 3900 and 3905, the terms defined in this part have the meanings given them. Terms used in chapters 3900 and 3905 which are defined in Minnesota Statutes, section 43A.02, shall have the meanings there given them.

Subp. 2. Affirmative action.

"Affirmative action" means a management point of view that all barriers to employment opportunity that are not based on specific job requirements should be identified and removed and that initial employment and advancement opportunities for persons in protected groups shown to be underutilized in an agency's work force should be facilitated so that the imbalance is redressed.

Subp. 3. Affirmative action plan.

"Affirmative action plan" means a coherent set of management policies and procedures designed to find any barriers contributing to imbalance in an agency's work force and to foster the correction of any imbalances which exist.

Subp. 4. Agency subdivision.

"Agency subdivision," for purposes of affirmative action, means a state hospital or nursing home, state school, state college or university, correctional facility, or regional or district office, or any other organizational unit under the jurisdiction of a state agency, which is geographically separate and which has an appointing authority.

Subp. 4a. Applicant with a disability.

"Applicant with a disability" means any applicant who has a physical or mental impairment that substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having an impairment.

An applicant with a disability does not include any individual who is an alcohol or drug abuser whose current use of alcohol or drugs prevents the individual from performing the duties of the job in question or whose employment, by reason of the current alcohol or drug abuse, would constitute a direct threat to property or the safety of others.

Subp. 5. Department.

"Department" means the Department of Management and Budget, including the commissioner and the employees of the department.

Subp. 6.

[Repealed, 30 SR 807]

Subp. 7. Emergency employee.

"Emergency employee" means an employee who is appointed for no more than 45 aggregate working days in any 12-month period for any single appointing authority.

Subp. 8. Employment condition.

"Employment condition" means any limitation on continuous employment caused by the number of hours of work assigned to an employee, and his or her appointment status. Hours of work may be full time, part time, or intermittent. Appointment status may be unlimited, limited temporary, limited emergency, or seasonal.

Subp. 9. Full-time employee.

"Full-time employee" means an employee who is normally scheduled to work 80 hours in a biweekly payroll period.

Subp. 10. Goal.

"Goal" means a numerical objective designed to correct an identified deficiency in the utilization of protected group members.

Subp. 11.

[Repealed, L 2004 c 287 s 3]

Subp. 12.

[Repealed, 8 SR 1479]

Subp. 12a.

[Repealed, 30 SR 807]

Subp. 13.

[Repealed, 30 SR 807]

Subp. 13a. Job grouping.

"Job grouping" means a cluster of classes with similar recruitment needs. Each class is assigned to a single job grouping by the commissioner.

Subp. 14. Labor force statistics.

"Labor force statistics" means the estimated number of persons 16 years old or older who are working, seeking work, or unemployed at the time as determined by the most recent federal census published by the United States Department of Commerce, Bureau of the Census.

Subp. 15. Labor market area.

"Labor market area" means a geographic area in which an employer is seeking a worker in a particular goal unit and where there is an available supply of workers employed or seeking jobs in that goal unit.

Subp. 16.

[Repealed, 8 SR 1479]

Subp. 16a. Minimum qualifications.

"Minimum qualifications" are the requirements of a job class or position that are necessary at the time of hire to satisfactorily perform the essential functions of a job.

Subp. 17. Part-time employee.

"Part-time employee" means an employee who is normally scheduled to work fewer than 80 hours in a biweekly payroll period.

Subp. 18. Seasonal employee.

"Seasonal employee" means an employee who is appointed for no more than ten months during any 12 consecutive months but who is expected to return to work year after year.

Subp. 19. Temporary employee.

"Temporary employee" means an employee who is appointed under Minnesota Statutes, section 43A.15, subdivision 3, with a definite ending date. A temporary employee's term of employment may not exceed a total of 12 months in any 24-month period in any one agency.

Subp. 20. Timetable.

"Timetable" means a prescribed reasonable time period in which affirmative action goals are expected to be achieved.

Subp. 21. Underutilization.

"Underutilization" means the employment in a goal unit of fewer qualified protected group members than would reasonably be expected from their workforce participation in the labor market area.

Subp. 22. Unlimited employee.

"Unlimited employee" means an employee who is appointed with no definite ending date.

History

• Statutory Authority: MS s 43A.04
• History: 8 SR 1479; L 2004 c 287 s 3; 30 SR 807; L 2008 c 204 s 42; L 2009 c 101 art 2 s 109

Minn. R. 3900.1100 Use of Class Titles

The title of the class is the official title of every position allocated to that class for all purposes having to do with the position. The title is used on all personnel records, payroll records, budget estimates, official records, and reports related to the position. An appointing authority may use any other working title to designate a particular position for the purposes of internal administration and in any other connection not involving the personnel processes covered by administrative procedures, statutory law, or chapters 3900, 3905, and 3910.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.1200 Class Specifications

The commissioner shall make available for public inspection, and may amend, written class specifications for any class in the classification plan. Each class specification must include the class title, a general description of the scope of the work, and the knowledge, skills, and abilities an incumbent should possess in order to perform duties of the class. If a classification consists of only one position, the commissioner may use the position description as the class specification.

Definitions used in class specifications are descriptive and not restrictive, indicating the kinds of positions allocated to classes, and are not to be construed as limiting in any way or modifying the power of the appointing authority to appoint, direct, and control the work of employees. Using a particular expression or illustration of duties does not exclude other duties not mentioned that are of a similar kind or quality.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.1300 Temporary Designation of Positions in the Unclassified Service

The commissioner may authorize the temporary designation of a position in the unclassified service in accordance with Minnesota Statutes, section 43A.08, subdivision 2a, for a period not to exceed three years. After considering the documentation submitted by the appointing authority, the commissioner shall determine whether the position is classified or unclassified.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.2100 Administration of the Wage and Salary Plan

Subpart 1. Scope.

This part applies to all classified and unclassified positions in the executive branch, the classified positions in the Office of the Legislative Auditor, the Minnesota State Retirement System, the Public Employees Retirement Association, and the Teachers Retirement Association, which have been assigned to salary ranges by the commissioner. The rule is conditional upon the availability of funds and authorization by the commissioner of management and budget.

Subp. 2. Salary upon entry into civil service.

Salary upon entry into civil service should usually be at the minimum rate for the classification. An appointing authority may make an appointment at the second or third step of a range or within 12 percent of the minimum rate for the class when the salary range does not contain steps. An appointing authority must receive prior authorization from the commissioner to make an appointment at or beyond the fourth step of the salary range or more than 12 percent above the minimum rate when the range does not contain steps. The commissioner may disapprove an unauthorized salary offer by an appointing authority beyond the third step of a salary range or more than 12 percent from the minimum rate. Appointments above the minimum rate must be based upon the exceptional qualifications of the applicant or the unavailability of applicants at the minimum rate. Salaries paid to current employees in the same or related classifications must also be taken into consideration.

Subp. 3. Salary upon reinstatement.

If a former employee is reinstated in a classification in which the employee was previously employed, the appointing authority may make the appointment at the same rate of pay the employee had been receiving at the time of last separation from that classification plus any automatic adjustments that may have been made since the employee left the civil service or the classification. Appointments above this rate of pay must be approved by the commissioner before they can take effect. Automatic adjustments include, but are not limited to, across-the-board adjustments, equity adjustments, and cost-of-living adjustments and do not include performance-related increases that the employee might have received had the employee remained in the classification.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807; L 2009 c 101 art 2 s 109

Minn. R. 3900.2200 Relocation Expenses

Subpart 1. Conditions for reimbursement.

An appointing authority may reimburse a person for relocation expenses associated with an initial appointment in the civil service. Authorization for relocation expenses must be made on or before the date of hire. The relocation must be completed within six calendar months unless the time period is extended, in writing, to a maximum of one year by the appointing authority.

Subp. 2. Reimbursement limits.

The reimbursement limit is that prescribed in the collective bargaining agreement or the compensation plan which applies to the position being filled. The appointing authority may establish lower limits for both the type and amount of reimbursement. Payment for relocation expenses may be made after the person has become an employee.

Subp. 3. State not responsible for loss or damage.

The state of Minnesota is not responsible for loss or damage to household goods or personal effects as a result of a relocation covered by this part.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.3100 Limitations on Applicant Admission

The commissioner shall decide whether to open a vacancy to the general public or limit consideration to applicants who are current employees of the civil service, current permanent and probationary employees who have indicated availability for transfer or demotion to the class of the vacancy, or former permanent and probationary employees of the class of the vacancy who have indicated availability for reinstatement to the class. To make this decision, the commissioner shall consider:

A. the requests of appointing authorities;

B. the provisions of collective bargaining agreements or plans established under Minnesota Statutes, section 43A.18, that could limit the opportunities of applicants from outside the civil service to receive consideration for appointment;

C. the anticipated number of qualified applicants within and outside the civil service;

D. ways to meet affirmative action goals; and

E. career opportunities and mobility for employees.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.3200 Public Notice

The commissioner shall provide public notice of application requirements and procedures. The commissioner shall also provide public notice, for not less than 24 hours, of any unlimited classified vacancy which is open to the general public. The commissioner may publicize this information in any way the commissioner considers appropriate to attract qualified applicants. These ways may include providing notice of announcements in newspapers or appropriate public offices. Vacancy announcements must specify the title of the class/class option, typical job duties, minimum qualifications, location, employment conditions, travel status, and job grouping of the vacancy; the application process; and any specified limitations on applicant consideration.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.3300 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.3400 Expenses of Applicants for Civil Service Positions

The commissioner or an appointing authority may pay travel expenses for applicants invited to participate in oral assessments or employment interviews. In determining to pay travel expenses, the commissioner or an appointing authority will consider the availability of qualified applicants, the needs of the agency or state service, and the availability of funds. Any expenses paid are subject to the provisions of the commissioner's plan, established under Minnesota Statutes, section 43A.18, subdivision 2, regarding types and maximum amounts of reimbursement.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.4100 Application Requirements to Be Admitted to the Resume Database

Applicants shall apply on paper or electronic forms prescribed by the commissioner. The forms must be used to ask for information for use in the selection and appointment process, including an indication of applicant availability for certain geographic locations, employment conditions, job groupings, or travel. The application form must contain a statement providing that false information on the application may subject the applicant to the penalty provisions of Minnesota Statutes, section 43A.39. It must also contain a statement explaining why private or confidential information is being collected and the purpose for which it is to be used and must indicate that the appointing authority has the right to verify information provided in the application. The commissioner will notify applicants whose applications are rejected of the reasons for rejection and the corrective action to be taken before the application may be accepted.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.4200 Consideration of Applicants for Individual Vacancies

Subpart 1. Admission to applicant pool.

The appointing authority shall review the qualifications of all applicants who indicate an interest in being considered for a particular vacancy, whose completed applications are received at the place specified and who meet any limitations on applicant admission in the vacancy announcement, and shall admit to the applicant pool any such applicant who meets the minimum qualifications. The appointing authority may also admit to the applicant pool any identified individuals whose applications were received in the resume database and who appear to best meet the announced minimum qualifications and limitations on admission, and who indicated availability for the geographic location, employment condition, shift, travel status, and job grouping specified in the vacancy notice. The appointing authority may consider additional qualified applicants who may have indicated availability for different locations, employment conditions, travel status, and job groupings if the original number of applicants available is insufficient to fill the vacancy.

The appointing authority may consider an applicant who has submitted an incomplete timely application but shall require completion of the application. The appointing authority may withdraw from consideration applicants who fail to respond to requests for information within a specified period.

Subp. 2. Additional limits to consideration.

The appointing authority may limit consideration in the following ways if public notice of the intent to do so is provided in the vacancy announcement:

A. The appointing authority may limit the maximum number of applicants whose names will be permitted to compete in any of the separate assessment parts. Criteria for how this determination will be made must be included in the public notice.

B. The appointing authority may admit applicants to later assessment parts in rank order of their rating on the previous parts.

Subp. 3. Removal from consideration.

The appointing authority may remove from further consideration for a vacancy an applicant who:

A. does not appear at the scheduled time or place for an assessment or interview;

B. fails to respond within seven days from the date of mailing to a written or electronic inquiry about availability for appointment;

C. declines an appointment under conditions the applicant previously indicated would be acceptable;

D. fails to report for work within the time period prescribed by the appointing authority;

E. fails to maintain a record of current address;

F. does not meet the minimum requirements of the position;

G. does not successfully complete an assessment that is part of the selection process for the vacancy; or

H. does not follow instructions specified in the vacancy announcement.

Subp. 4. Notice of assessment.

The appointing authority shall notify applicants of the date, time, and place for those parts of the assessment process which require the applicant to appear in person.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807; 34 SR 473

Minn. R. 3900.4300 Change of Application Deadline or Assessment Date or Cancellation of a Vacancy Notice

The appointing authority may revise the date of any assessment part or may cancel an assessment or vacancy notice by notifying applicants for the vacancy of the new date or cancellation.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.4400 Administration of Assessments

The commissioner will administer assessments that are part of the selection process at the time and place and by the personnel the commissioner decides most nearly meet the needs of the service.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.4500 Assessment of Applicants

Subpart 1. Determination of qualifications.

The commissioner shall decide the appropriate scientific techniques and procedures to be used to assess whether applicants meet the minimum and preferred qualifications of the position. The commissioner shall set the minimum qualifications for the position considering the requirements of the class and the position. The commissioner may require applicants to obtain a minimum rating on each assessment part in order to receive a final passing rating or to pass all preceding assessment parts in order to be rated on the remaining parts of the assessment process. Veteran's preference will be assigned according to Minnesota Statutes, section 43A.11, and applied only after an applicant has met the minimum qualifications of the position.

The commissioner may revise the minimum qualifications of a position by providing public notice of the changes. Applicants who have already applied will be re-evaluated based on the new qualifications. The appointing authority shall also reconsider applicants whose applications were received in the resume database based on the revised qualifications.

Subp. 2. Frequency of access to assessment methods.

To protect the security and validity of an assessment method, the commissioner may refuse to allow an applicant to retake an assessment when the applicant has taken the same assessment within the preceding six months. In deciding whether to let an applicant repeat an assessment, the commissioner shall consider the type of assessment questions involved, the effect of memory and practice, the availability of unassessed applicants, and other circumstances regarding the assessment, the needs of the agency, and situations of individual applicants. If the same assessment is used more than once within a six-month period for the same or a different classification, applicants who have been refused the opportunity to retake the assessment because of a six-month prohibition will be considered based upon their results obtained on the previously taken assessment.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.4600 [Repealed, 30 SR 807]

[Repealed, 30 SR 807]

Minn. R. 3900.4700 Explanation and Appeals of Qualifications Determination

Subpart 1. Procedures.

Upon request, the appointing authority shall give an applicant or an authorized representative an explanation of the methods used to assess whether the applicant met the minimum/preferred qualifications for a vacant position to which the applicant expressed interest. An applicant may appeal to the appointing authority in writing for reconsideration of the applicant's qualifications. The appeal must be received in the agency within 30 calendar days of the date on the notice of the original determination and shall state the grounds for the appeal. The appointing authority shall grant a review on the grounds of error, irregularity, or fraud in the conduct or scoring of any assessments or upon submission of additional information affecting the original determination.

Subp. 2. Review of other applicants' status.

If a review discloses errors, fraud, or irregularities affecting the assessment of other applicants, the review may be extended to the assessment of those applicants.

Subp. 3. Determination change required.

The appointing authority must change the final determination of an applicant's ability to meet minimum/preferred qualifications if additional information affecting the original determination is submitted or if an error was made in the original determination, or must order a new assessment or a revision to the assessment for the applicant or for all applicants if an error or irregularity occurred in the conduct or scoring of the assessment.

Subp. 4. Effect of determination change.

A change made in the determination of an applicant's ability to meet the minimum/preferred qualifications of a position as the result of an appeal will not affect an appointment already made in good faith as the result of original determinations.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.5100 Accommodations for Applicants with Disabilities

Applicants with disabilities may request that an assessment procedure be altered to accommodate their disabilities on the written or electronic application form prescribed in part 3900.4100.

The appointing authority shall consider the following in reviewing requests for assessment procedure accommodations: whether the content and form of the assessment procedure would make the requested accommodations necessary; whether the requested accommodations would compromise the validity or job-relatedness of the assessment procedure; and whether the requested accommodations can reasonably be made. The appointing authority shall decide whether to make the requested accommodations or to deny the request for accommodations. If the appointing authority denies the request for accommodations, the applicant shall be offered the choice of appealing the decision to the commissioner, participating in the assessment procedure offered to other applicants or, if the commissioner determines that the applicant meets the eligibility criteria in Minnesota Statutes, section 43A.15, subdivision 14, participating in an on-the-job demonstration process according to part 3900.5200.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.5200 On-the-Job Demonstration Process and Appointment

Subpart 1. Criteria for offering.

The commissioner may offer applicants whose disabilities are so severe that they cannot be accommodated in the selection process an opportunity to participate in an on-the-job demonstration process according to Minnesota Statutes, section 43A.15, subdivision 14. The on-the-job demonstration process shall consist of an on-the-job trial work experience of up to 700 hours. The commissioner shall approve an on-the-job demonstration process if the commissioner determines that not all of the standard selection requirements need to be met for some positions in the class and whether the job duties or procedures can be altered so that the applicant could perform the essential duties of a position in the class.

Subp. 2. Placement.

An applicant admitted for an on-the-job demonstration process must be given a list of agencies having positions in the class and written authorization by the commissioner to seek a vacant position in the class. The applicant, with the help of a placement and referral specialist in a rehabilitation program recognized by the state, may contact the agencies to develop a suitable placement. The commissioner in accordance with Minnesota Statutes, section 43A.15, subdivision 14, shall authorize an on-the-job demonstration process for any position determined suitable by the applicant, counselor, and appointing authority.

Subp. 3. Completion or termination of process.

An on-the-job demonstration process may be successfully completed at any time during the 700 hours of work experience if the appointing authority notifies the commissioner that the applicant can satisfactorily perform the essential duties of the position and is eligible for probationary appointment according to Minnesota Statutes, section 43A.15, subdivision 14. An on-the-job demonstration process may be terminated at any point during the 700 hours of work experience, except for the first 30 scheduled work days from the date of the start of the process, if the appointing authority notifies the commissioner that the applicant cannot satisfactorily perform the essential duties of the position. An applicant terminated from an on-the-job demonstration process shall be authorized to seek placement in other positions in the class if the commissioner decides that the applicant's inability to perform was limited to duties essential to the specific position in which the applicant was placed but which are not essential for other positions in the class.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 1279; 30 SR 807

Minn. R. 3900.5300 Notice

The appointing authority shall notify an applicant with a disability and, upon request, provide a written statement of the reasons for the decision to provide or deny a request for assessment accommodations except when the accommodation is unnecessary due to the selection process format. The commissioner shall notify an applicant with a disability and, upon request, provide a written statement of the reasons for the decision to admit or deny admission to an on-the-job demonstration process.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.6100 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.6200 [Repealed, 30 SR 807]

[Repealed, 30 SR 807]

Minn. R. 3900.6300 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.6400 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.6500 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.6600 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.6650 Duration of Availability in Resume Database

The commissioner will retain an applicant's availability in the resume database for at least one year from the date an applicant's completed application is received, or until the applicant is appointed to a position, whichever comes first.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.6700 Changes in Applicant's Availability

Applicants may update the resume database with changes in their availability at any time.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.7100 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.7200 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.7300 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.7400 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.7500 Appointments

Positions in the classified service must be filled by appointments from the applicant pool except as otherwise provided by chapters 3900 and 3905 and Minnesota Statutes, chapter 43A. An appointing authority may select an applicant from the applicant pool after comparing the knowledge, skills, and abilities of the applicant with the specific needs of the position and agency. Specific needs include meeting agency affirmative action goals.

The appointing authority is responsible for verifying all job-related information on all prospective employees for civil service positions. On or before the appointment date, the appointing authority should explain to the prospective employee the proposed classification title, employment status, salary, and terms and conditions of employment. The appointing authority shall submit appropriate appointment forms to the commissioner which must include the effective date of appointment. Appointments made from the applicant pool are effective only on or after the date of completion of the selection process.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.8100 Other Means of Filling Civil Service Positions

In addition to filling vacancies in the civil service by appointing from the applicant pool, appointing authorities may make noncompetitive, qualifying, work training, revenue seasonal, internship, or unclassified appointments according to Minnesota Statutes. Those appointments may be made when authorized by the commissioner or by statute and are subject to parts 3900.8200 to 3900.9000.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.8200 Emergency Appointments

An appointing authority may make an emergency appointment to meet unique and immediate needs. The appointing authority may appoint any person considered qualified. Appointments are limited to 45 working days in any 12-month period by Minnesota Statutes, section 43A.15, subdivision 2.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.8300 Temporary Appointments

The commissioner may approve an appointing authority's written request for a temporary appointment for:

A. filling a vacancy funded for six months or less;

B. providing an employee for a temporary project not anticipated to last more than six months;

C. filling a vacancy created by an approved leave of absence to a maximum of one year; or

D. unusual documented instances, when an appointing authority asks to make a temporary appointment of six months or less to a position otherwise authorized for more than six months. The commissioner may, in the best interest of the state, grant an extension of a temporary appointment to a maximum period of one year. An appointing authority may request authorization to make a direct temporary appointment of any person considered qualified according to Minnesota Statutes, section 43A.15, subdivision 3. The commissioner may authorize the appointing authority to search the state's resume database for a qualified applicant or to make a direct appointment of a person considered qualified or both. In making this decision, the commissioner will consider requests from the appointing authority, the anticipated length of the temporary appointment, and the number and availability of applicants for temporary appointments.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.8400 Provisional Appointments

Subpart 1. Authorization.

The commissioner may authorize a provisional appointment according to Minnesota Statutes, section 43A.15, subdivision 4, after considering the following documentation submitted by the appointing authority:

A. a statement that no applicant is suitable or available for appointment, including a specific statement of the job-related reasons for determining an applicant to be unsuitable; and

B. a description of the nominee's qualifications in the form prescribed by the commissioner demonstrating that the person to be provisionally appointed is qualified in all respects except completion of a licensure or certification requirement.

Subp. 2. Termination.

The appointing authority shall terminate a provisional appointment 90 days after the commissioner provides an applicant who is suitable and qualified for appointment, or after six months, whichever is earlier. However, in individual cases, the commissioner may grant exceptions and extend provisional appointments according to Minnesota Statutes, section 43A.15, subdivision 4, if the appointing authority documents a continued shortage of qualified and suitable applicants, and the provisional appointee is continuing to work to complete the licensure or certification requirement.

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.8500 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

History

• Statutory Authority: MS s 43A.04
• History: 30 SR 807

Minn. R. 3900.8600 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.8700 Routine Service Appointments

Appointing authorities may make routine service appointments only to positions in classes determined by the commissioner to be of a routine service nature as provided in Minnesota Statutes, section 43A.15, subdivision 10. The commissioner shall give public notice as provided in part 3900.3200 designating the routine service classes and describing the procedures used in recruiting and selecting persons for appointment.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.8800 [Repealed, L 2004 c 207 s 31]

[Repealed, L 2004 c 207 s 31]

Minn. R. 3900.8900 Work Training Appointments

Appointing authorities may make work training appointments only to positions in work training programs approved by the commissioner. These appointments shall be of a predetermined duration.

Work training programs must include trainee recruitment and selection procedures that incorporate public notice of intent to accept applications for training.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.9000 Internship Appointments

Appointing authorities may make internship appointments only to positions in programs established in cooperation with accredited educational institutions. These appointments shall be of a predetermined duration.

The internship appointment must provide academic credit or fulfillment of academic requirements for the participating student. An appointing authority is responsible for providing information about available programs and positions to institutions and students.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.9100 Unclassified Appointments

Appointing authorities may make appointments to unclassified positions authorized in accordance with statute. Unclassified appointments do not require public notice. Unless otherwise specified in a statute, an appointing authority may appoint to an unclassified position any person he or she considers qualified. For persons appointed to positions for which compensation is established under Minnesota Statutes, section 43A.18, subdivisions 1, 2, and 3, the appointing authority shall submit the person's resume to the commissioner. No employee shall serve in positions authorized under part 3900.1300 performing the same function in the same agency for more than three years in total.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3900.9500 Reporting and Investigating Conflict of Interest

A member of the public may report an alleged conflict of interest concerning a civil service employee subject to the code of ethics in Minnesota Statutes, section 43A.38, to the commissioner or the employee's appointing authority. The appointing authority shall cooperate with the commissioner in investigating complaints. If the commissioner decides that a conflict of interest exists, the commissioner shall direct the appointing authority to take action in accordance with Minnesota Statutes, section 43A.38, subdivision 7. The appointing authority shall report actions taken to the commissioner within ten calendar days.

History

• Statutory Authority: MS s 43A.04

Chapter 3905 STATE AGENCIES; AFFIRMATIVE ACTION

Minn. R. 3905.0100 Affirmative Action Policy

It is the policy of the state of Minnesota to implement and maintain an affirmative action program designed to eliminate underutilization of qualified protected group members within the state civil service through a series of specific, result-oriented procedures combined with good faith effort. A good faith effort minimally includes consideration of affirmative action goals on all staffing and personnel decisions.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3905.0200 Scope of Chapter

This chapter applies to all agencies in the executive branch and to classified and unclassified positions of those agencies. In the event of a conflict or duplication between requirements of this chapter and federal regulations and at the request of the agency head, the commissioner may permit an agency to substitute a federally required procedure for a similar procedure otherwise required by this chapter.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3905.0300 Duties of Agency Head

The agency head shall administer the agency's affirmative action program in compliance with existing laws, federal regulations, and state rules. The agency head is accountable for affirmative action compliance to the governor and to the commissioner.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3905.0400 Requirements for Agency Affirmative Action Plans

Subpart 1. For agencies with 25 or more employees.

The head of each agency with 25 or more employees shall submit to the commissioner an affirmative action plan for the agency. The plan must at least:

A. identify the protected group or groups underrepresented in the agency's work force and, therefore, covered by the affirmative action plan;

B. designate those persons or groups responsible for directing and implementing the agency affirmative action program and the specific responsibility, accountability, and duties of each person or group;

C. state the agency head's commitment to the affirmative action program and to the implementation of the agency affirmative action plan;

D. specify a readily accessible location for the posting of the agency's affirmative action plan;

E. describe the methods by which the agency's affirmative action program is communicated internally and externally to employees and other interested persons;

F. describe internal procedures, which must comply with part 3905.0500, for processing complaints of alleged discrimination from applicants, eligibles, and employees;

G. set goals and timetables, which must be established using the standards in part 3905.0600;

H. identify and describe methods for developing programs and program objectives designed to meet affirmative action goals;

I. describe methods of auditing, evaluating, and reporting program success, including a procedure that requires a preemployment review of all hiring decisions for goal units with unmet affirmative action goals and prereview of all layoff decisions to determine their effect on agencies' affirmative action goals and timetables; and

J. include the official affirmative action transmittal form which provides for section by section verification of the plan's components. At the discretion of the agency head, the affirmative action plan may contain other provisions not in conflict with this chapter.

Subp. 2. For agencies with fewer than 25 employees.

The head of each agency with fewer than 25 employees shall submit to the commissioner an affirmative action plan for the agency, which must at least:

A. state the agency head's commitment to the affirmative action program;

B. state the agency head's objective to hire members of protected groups when vacancies occur if an apparent underutilization of protected group members exists in the agency work force; and

C. describe an internal procedure, which must comply with part 3905.0500, for processing complaints of alleged discrimination from applicants, eligibles, and employees.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3905.0500 Requirements for Complaint Procedures

In an agency's internal procedure for processing complaints of alleged discrimination from applicants, eligibles, and employees, the initial step must provide for a determination of whether the complaint is properly a discrimination complaint and, therefore, appropriate to be addressed by the internal procedure. Time limits on these determinations must be established to permit the applicant, eligible, or employee to pursue a complaint determined to be other than a discrimination complaint through other appropriate grievance procedures in accordance with the time limits of those procedures. Complaint procedures must also provide for a final written answer within 60 days after a formal complaint is filed. Disposition of complaints must be filed with the commissioner within 30 days of final determination.

History

• Statutory Authority: MS s 43A.04

Minn. R. 3905.0600 Requirements for Goals and Timetables

Subpart 1. General requirement.

In establishing goals and timetables for affirmative action plans, agency heads shall comply with subparts 2 to 6.

Subp. 2. Labor force statistics.

In establishing goals for affirmative action plans, agency heads shall use labor force statistics from census data when available to examine work force participation. When an agency requests the authority to substitute more specific data, the commissioner shall consider alternative data sources and determine their applicability based on the following criteria:

A. the objectivity of the supplying organization;

B. the reliability of statistical procedures used to generate the data; and

C. the comparability of data categories (occupational group, geographic location, disabling condition, for example) used.

Subp. 3. Formula for determining underutilization.

Agency heads shall determine underutilization of protected groups using statistical formulas based on the following criteria:

A. types of jobs within each agency and agency subdivision;

B. number of employees in those jobs, by state class title, and by protected group;

C. availability of protected group workers having the qualifications for those jobs; and

D. geographic locations and applicable labor market areas for each type of job in each agency and agency subdivision.

Subp. 4. Numerical goals.

Agency heads shall establish numerical goals for the agency and for each agency subdivision that has 25 or more employees and that is in a geographic location with a labor market area separate from that of the agency central office.

Subp. 5. Basis for goals.

Agency heads shall establish goals for each goal unit by protected group. The goals must be based on a comparison of the composition of the agency or agency subdivision work force with the composition of the relevant civilian labor force in an identified labor market area. If the comparison shows that a goal unit underutilizes a protected group, the agency head shall establish a goal for that group in that goal unit.

Subp. 6. Timetables.

Agency heads shall establish timetables for meeting goals. Timetables must be based on turnover and hire rates within each goal unit in the agency or within each agency subdivision.

History

• Statutory Authority: MS s 43A.04
• History: L 2005 c 56 s 2

Minn. R. 3905.0700 Reporting Requirements

Subpart 1. Quarterly reports.

Agency heads with 25 or more employees shall submit quarterly to the commissioner a report of the agency's efforts to meet affirmative action goals and the progress resulting from those efforts. Agency heads with fewer than 25 employees shall submit such a report to the commissioner semiannually. Reports are due 30 days following the close of the reporting period.

Subp. 2. Biennial reports.

Each agency head shall submit to the commissioner, concurrently with the agency's biennial budget request, a report on the results of the agency's affirmative action plan. The commissioner shall submit these reports to the governor and the legislature.

History

• Statutory Authority: MS s 43A.04

Chapter 3920 LOCAL GOVERNMENT PAY EQUITY

Minn. R. 3920.0100 Definitions

Subpart 1. Scope.

The terms used in this chapter have the meanings given them in this part.

Subp. 2. Benefits.

"Benefits" means health insurance or health self-insurance programs to which a jurisdiction contributes on behalf of an employee or an employee plus dependents. Benefits does not include pensions, life insurance, dental insurance, disability insurance, or other insurance programs.

Subp. 3. Compensation.

"Compensation" consists of salary, exceptional service pay, and benefits. Compensation does not include overtime pay, shift differentials, or uniform allowances, as defined in items A to C. Compensation also excludes any other payments not defined as salary, benefits, or exceptional service pay.

A. "Overtime pay" means payment to employees for services performed in excess of the normal work period, and when the payments are required by applicable state and federal overtime laws, by an applicable collective bargaining agreement, or by written personnel policies.

B. "Shift differential" means payment to employees for working other than the standard daytime weekday shift.

C. "Uniform allowance" means payment to employees for purchasing a specified, required uniform.

Subp. 4. Department.

"Department" means the Minnesota Department of Management and Budget.

Subp. 5. Employee.

"Employee" means a public employee as defined by Minnesota Statutes, section 179A.03, subdivision 14, except that employee also includes employees of charitable hospitals as defined by Minnesota Statutes, section 179.35, subdivision 3. Employee does not include employees of charitable hospitals who would be excluded under Minnesota Statutes, section 179A.03, subdivision 14, paragraphs (a) to (f).

Subp. 6. Exceptional service pay.

"Exceptional service pay" means longevity pay or performance pay, as defined in items A and B.

A. "Longevity pay" means payment above the salary range maximum to employees with specified years of service or seniority.

B. "Performance pay" means payment above the salary range maximum to employees who meet specified performance or production standards.

Subp. 7. In compliance, not in compliance.

"In compliance" means that the jurisdiction has established equitable compensation relationships and met the reporting requirements of Minnesota Statutes, sections 471.991 to 471.999, and this chapter. "Not in compliance" means that the jurisdiction has not established equitable compensation relationships, or has not met reporting requirements under the statute or rules.

Subp. 8. Job evaluation system.

"Job evaluation system" means the system used to measure the comparable work value of work performed by each class of employees.

Subp. 9. Jurisdiction.

"Jurisdiction" means a political subdivision, governmental subdivision, or public employer responsible for achieving equitable compensation relationships under Minnesota Statutes, sections 471.991 to 471.999. For purposes of pay equity compliance, jurisdiction means a public employer as defined by Minnesota Statutes, section 179A.03, subdivision 15, clause (c), except that jurisdiction may also include charitable hospitals as defined by Minnesota Statutes, section 179.35, subdivision 2.

If a charitable hospital does not have final budgetary approval authority for employees in the hospital, the jurisdiction for purposes of parts 3920.0100 to 3920.1300 is defined as the public employer with final budgetary approval authority for employees in that hospital. If the governing board of a joint powers agency does not have final budgetary approval authority for employees in the joint powers agency, the jurisdiction for purposes of parts 3920.0100 to 3920.1300 is defined as the public employer with final budgetary approval authority for employees in that joint powers agency.

Subp. 10. Salary.

"Salary" consists of wages and additional cash compensation, as defined in items A and B.

A. "Wages" means all regular payments for routinely scheduled labor or services made by a jurisdiction to a class of employees, whether these payments are made on an hourly, monthly, or annual basis, except for payments defined as exceptional service pay, and except for payments excluded from the definition of compensation. Wages refers to the maximum monthly payment for a job class if there is an established payment range for the class, or to the highest actual monthly wage paid to any member of a class if there is no established payment range for that class.

B. "Additional cash compensation" means all payments made by a jurisdiction to a class of employees when the payments are made to all employees in the class and when the payments exceed the maximum of an established payment range. Additional cash compensation includes lump sum payments and bonus payments except as provided in subitems (1) and (2).

Subp. 11. Submit, submitted by, or submitted within.

To "submit" means to provide the department with the information specified. When this chapter requires that information be submitted by a specified date, "submitted by ..." or "submitted within ..." means postmarked on or before the specified date, or hand carried to the department and received by the department on or before the specified date. Hand carried materials will be accepted by the department only during regular business hours, from 8:00 a.m. to 4:30 p.m., Monday through Friday, excluding state holidays. The department's address is Second Floor Centennial Building, 658 Cedar Street, Saint Paul, Minnesota, 55155.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712; L 2008 c 204 s 42; L 2009 c 101 art 2 s 109

Minn. R. 3920.0200 Jurisdiction Determination

Subpart 1. Scope.

This part explains how the department will proceed when there is a question or dispute about the jurisdiction responsible for establishing equitable compensation relationships and for meeting reporting requirements under Minnesota Statutes, sections 471.991 to 471.999, and this chapter.

Subp. 2. Requesting a determination.

A person or entity may request a determination of the responsible jurisdiction by writing to the department. The request must specify the employee classes in question, and must identify the jurisdiction which the requester believes may be the responsible jurisdiction. In response to a request, the department must decide that a request is without merit and that no review of documents is necessary, or that the request may have merit and a review of documents is necessary, as explained in subpart 3.

In addition, the department may initiate a review of the responsible jurisdiction for the purpose of ensuring that a jurisdiction's implementation report has included all classes for which that jurisdiction is responsible and has not included any classes for which the jurisdiction is not responsible.

Subp. 3. Documents to support determination.

If the department decides that the request may have merit, or if the department initiates a review, the department must determine the responsible jurisdiction for the employee classes specified by the requesters or the department, based on the documents listed in items A to D. The department may require the requesters, or one or more jurisdictions, to submit this information within a reasonable time set by the department as needed to make a jurisdiction determination.

A. Documents such as enabling legislation, ordinances, or resolutions which demonstrate that a particular jurisdiction has final budgetary approval authority for one or more employee classes.

B. Documents which demonstrate that a different jurisdiction has final budgetary approval authority for one or more employee classes.

C. Documents which identify how a jurisdiction's budget is established and how its budget is adopted.

D. Any other documents which identify the responsible jurisdiction as defined in part 3920.0100, subpart 9.

Subp. 4. Notice to jurisdictions.

If the department undertakes a review of the responsible jurisdiction, it must send a written notice to the jurisdictions which may be affected by the review, and must provide an opportunity for those jurisdictions to submit any of the documents listed in subpart 3, within a reasonable time set by the department. When the department makes a jurisdiction determination, it must send a written notice to the affected jurisdictions and to the requester, if any.

Subp. 5. Impact on compliance determination.

The department must follow the procedure explained in items A and B. Any jurisdiction found not in compliance as the result of a jurisdiction determination may request reconsideration as explained in part 3920.0900. If a jurisdiction is subject to a penalty, the jurisdiction may submit a request for suspension of penalty as explained in part 3920.1100, or a contested case appeal as explained in part 3920.1200, or both.

A. If the department determines that a jurisdiction is the responsible jurisdiction for one or more employee classes which were not included in the jurisdiction's implementation report, that report will be considered an incomplete report. Inaccurate and incomplete reports are subject to part 3920.0700, subpart 2.

B. If the department determines that a jurisdiction reported on one or more employee classes for which it is not the responsible jurisdiction, that report will be considered an inaccurate report. Inaccurate and incomplete reports are subject to part 3920.0700, subpart 2.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0300 Implementation Reports

Subpart 1. Report required.

Each jurisdiction must submit a pay equity implementation report as provided by Minnesota Statutes, section 471.9981, subdivision 5a. The report must be submitted to the department by January 31, 1992. The report must be based on the jurisdiction's payroll as of December 31, 1991, except as otherwise provided in subpart 5, and it must include all of the information listed in subparts 3 to 8.

Subp. 2. Report form.

The report must be submitted on a form provided by the department. In addition to the form, jurisdictions may submit all or part of the information on a computer diskette, in a format specified by the department.

Subp. 3. Notice to employees.

The report must include a statement signed by the chief elected official verifying that employees have been notified, as provided in this subpart, that the report is public data under the Minnesota Government Data Practices Act, Minnesota Statutes, chapter 13. If there is no chief elected official, the statement must be signed by the chief appointed official of the jurisdiction.

The jurisdiction must send the notice to each exclusive representative, if any, for the jurisdiction. In addition, the jurisdiction must post the notice in a prominent location accessible to all employees, and make a copy available in the public library. The notices must be sent and posted before the report is submitted to the department. Posted notices must remain posted for at least 90 days after the report is submitted to the department.

The written and posted notices must include the following information:

A. a statement that the jurisdiction has submitted its implementation report to the department as required by the Local Government Pay Equity Act; and

B. a statement that the report is public information available to anyone requesting this information.

Subp. 4. Verifications.

The report must include a statement signed by the chief elected official or, if none, the chief appointed official of the jurisdiction verifying that:

A. all information in the report is accurate and complete to the best of the jurisdiction's knowledge;

B. the governing body of the jurisdiction has reviewed and approved the report;

C. the job evaluation system used by the jurisdiction meets the criteria in subitems (1) and (2):

D. the report includes all classes of employees over which the jurisdiction has final budgetary approval authority.

Subp. 5. Job class information.

The jurisdiction must submit the information listed in items A to H for each job class which had employees at any time in calendar year 1991, unless the class was abolished on or before December 31, 1991.

The information provided must be as of December 31, 1991, except that for classes which were vacant on that date the information must be as of the most recent date when the class was occupied, as specified in items B, C, D, and F.

A. Class title. If the jurisdiction has a two-tier pay system, and there were employees in both tiers on December 31, 1991, the jurisdiction must report each tier as a separate class. The information in items B to H must be reported separately for each tier. "Two-tier pay system" means a pay practice in which two classes with the same duties, responsibilities, and general qualifications have different pay range minimums or maximums, or in which more recently-hired employees progress through the pay range at a different rate than less recently-hired employees.

B. Male employees. For classes which were vacant on December 31, 1991, the jurisdiction must report the number of male employees as of the most recent date when the class was occupied.

C. Female employees. For classes which were vacant on December 31, 1991, the jurisdiction must report the number of female employees as of the most recent date when the class was occupied.

D. Class type. The jurisdiction must identify the class type (male-dominated, female-dominated, or balanced) as defined by Minnesota Statutes, section 471.991. For classes which were vacant on December 31, 1991, the class type must be as of the most recent date when the class was occupied.

E. Comparable work value. The jurisdiction must report the job evaluation rating (comparable work value) of the class as determined by the job evaluation system.

F. Salary. The jurisdiction must report the minimum and maximum monthly salary, as determined by subitems (1) to (4). If there is no salary range for the class, the jurisdiction must note that information in the space provided on the form.

G. Years to maximum. The jurisdiction must report the number of years required to qualify for the maximum monthly salary. If no salary range exists, the jurisdiction must report the number of years of service in the class for the employee with the highest actual monthly salary.

H. Exceptional service pay. The jurisdiction must report the type of exceptional service pay received, if any employee in the class was receiving longevity or performance payments which resulted in pay above the salary range maximum.

Subp. 6. Benefits.

The jurisdiction must report whether or not eligibility for benefits, or the jurisdiction's contribution limit for benefits, is different for any male-dominated and female-dominated classes of comparable work value. Classes are of comparable work value for purposes of this subpart if their job evaluation ratings are within a range of ratings equal to ten percent of the total range of evaluation ratings in the jurisdiction.

The total range of evaluation ratings is determined by subtracting the lowest rating assigned to any class in the jurisdiction from the highest rating assigned to any class in the jurisdiction. The rating corresponding to ten percent of that amount is determined by dividing the total range of evaluation ratings by ten.

To determine whether differences exist, jurisdictions must compare benefits eligibility and contribution limits for each female-dominated class to benefits eligibility and contribution limits for each male-dominated class within an evaluation range extending from ten percent of the total range of evaluation ratings below the female-dominated class to ten percent of the total range of evaluation ratings above the female-dominated class.

If differences exist, and if the differences represent a lower contribution limit or more limited eligibility for any female-dominated class, the jurisdiction must report the following information for all classes:

A. eligibility or lack of eligibility for each benefit program; and

B. the amount of the employer's contribution limit for each benefit program, prorated to determine monthly value.

Subp. 7. Performance differences.

If a jurisdiction without salary ranges for any of its classes wants the department to consider documented performance differences which may explain compensation differences between male-dominated and female-dominated classes, as explained in part 3920.0600, subpart 7, the jurisdiction's report must so indicate. In addition, the report must include a statement that documentation about performance differences is available at the department's request.

Subp. 8. Total payroll.

The jurisdiction must state the amount of its total actual annual payroll for the year ending December 31, 1991.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0400 Compliance Review

Subpart 1. Compliance requirements.

This part identifies the tests a jurisdiction must pass to be found in compliance. If a jurisdiction fails any of the tests which apply to that jurisdiction, as described in items A to D, the department must find the jurisdiction not in compliance.

A. A jurisdiction with six or more male-dominated classes and one or more salary ranges must pass the statistical analysis test described in part 3920.0500.

B. A jurisdiction with four or five male-dominated classes and one or more salary ranges, and a jurisdiction with more than three male-dominated classes and no salary ranges, must pass the statistical analysis test described in part 3920.0500 or, if that test is not passed, the alternative analysis test described in part 3920.0600.

C. A jurisdiction with three or fewer male-dominated classes must pass the alternative analysis test described in part 3920.0600.

D. All jurisdictions must pass all the other tests described in part 3920.0700.

Subp. 2. Basis for analysis.

The statistical analysis test and the alternative analysis test are based on the maximum monthly salaries and on the job evaluation ratings listed in the jurisdiction's implementation report, except as provided in items A and B.

A. If a jurisdiction has no salary ranges, the analysis is based on the highest actual salary paid for each class.

B. If a jurisdiction provides different benefits to male-dominated and female-dominated classes of comparable work value as explained in part 3920.0300, subpart 6, and if those differences represent a disadvantage to any female-dominated class, the department must add the jurisdiction's benefits contribution limit to the maximum monthly salary or to the highest salary actually paid for each class.

Subp. 3. Data review.

Before completing the compliance review, the department must mail to each jurisdiction a printout showing the data derived from the jurisdiction's implementation report which will be used in determining compliance for that jurisdiction. The department may not make a compliance decision for a period of 14 days after the date shown on the printout mailed to the jurisdiction. If a jurisdiction submits written notification to the department within the 14-day period that any of those data are in error, the department must review the data and correct any bona fide data entry errors before making a compliance decision.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0500 Statistical Analysis Test

Subpart 1. Scope.

This part applies to a jurisdiction with more than three male-dominated classes.

Subp. 2. Criteria for statistical analysis test.

To pass this test, analysis of the jurisdiction's implementation report must show:

A. an underpayment ratio of 80.0 percent or more; or

B. an underpayment ratio less than 80.0 percent, and:

Subp. 3. Steps in statistical analysis.

For each jurisdiction with more than three male-dominated classes, the department must conduct a statistical analysis. The analysis includes determining and analyzing the following data: predicted pay, underpayment ratio, average pay difference, and statistical significance of the average pay difference as described in subparts 4 to 9. All operations in this part are based on unrounded data, except when otherwise specified.

Subp. 4. Determining predicted pay.

The department must determine predicted pay for each male-dominated and female-dominated class in the jurisdiction. Predicted pay means predicted salary for those jurisdictions which do not have different benefits for male-dominated and female-dominated classes of comparable work value, as described in part 3920.0300, subpart 6. For those jurisdictions which do have different benefits for male-dominated and female-dominated classes of comparable work value, predicted pay means the total predicted amount of salary plus benefits contribution limits.

The department must determine predicted pay by creating a window, drawing a regression line within the window, and identifying a predicted pay point on the regression line. The process described in items A to D is continued until pay has been predicted for each male-dominated and female-dominated class in the jurisdiction.

A. Creating a window. The analysis creates a window around the class. The window defines classes of comparable work value for purposes of the statistical analysis. Except as provided in item B, each window represents 20 percent of the total range of job evaluation ratings in the jurisdiction. The total range of evaluation ratings is determined by subtracting the lowest rating assigned to any class from the highest rating assigned to any class. The result is then multiplied by 20 and divided by 100. In addition, the window must meet the criteria in subitems (1) to (4).

B. Expanding the window. If any of the criteria in item A, subitems (2) to (4), are not met, the window is expanded in increments of five percent of the total range of evaluation ratings on both sides of the previous window, except as provided in subitems (1) and (2). That is, in the first expansion the lower limit becomes the rating level 15 percent below the class being analyzed and the upper limit becomes the rating level 15 percent above the class being analyzed. The window is increased using these five percent increments as many times as necessary until the criteria in item A, subitems (2) to (4), are met.

C. Drawing a line. Using conventional statistical regression techniques, the analysis fits a linear regression line to all male-dominated classes in the window. The line is weighted to reflect the number of employees in each male-dominated class. The regression line represents the relationship between job evaluation ratings and salary, or between job evaluation ratings and salary plus benefits in the case of jurisdictions with different benefits for male-dominated and female-dominated classes of comparable work value, as explained in part 3920.0300, subpart 6.

D. Predicting pay. The analysis predicts pay for the class being analyzed by determining the dollar value on the regression line which corresponds to the job evaluation rating of the class being analyzed.

Subp. 5. Determining underpayment ratio.

The analysis tabulates the number of female-dominated and male-dominated classes which are paid below predicted pay for their job evaluation ratings. The analysis then calculates female-dominated classes paid below predicted pay as a percentage of all female-dominated classes in the jurisdiction, and male-dominated classes paid below predicted pay as a percentage of all male-dominated classes in the jurisdiction, as follows:

A. the number of male-dominated classes which are paid below predicted pay is divided by the total number of male-dominated classes, and the result is multiplied by 100;

B. the number of female-dominated classes which are paid below predicted pay is divided by the total number of female-dominated classes, and the result is multiplied by 100; and

C. the result from item A is divided by the result from item B, and the quotient is multiplied by 100 and rounded to one decimal place. This is the underpayment ratio.

Subp. 6. Analyzing underpayment ratio.

If the underpayment ratio is 80.0 percent or more, the department must find that the jurisdiction passes the statistical analysis test. If the underpayment ratio is less than 80.0 percent, the department must continue the compliance review as explained in items A to C.

A. If the underpayment ratio is less than 80.0 percent, and the jurisdiction has fewer than six male-dominated classes, the department must use the alternative analysis test described in part 3920.0600. The department must not continue the statistical analysis as described in subparts 7 to 9.

B. If the underpayment ratio is less than 80.0 percent, and the jurisdiction has no salary ranges for any of its classes, the department must use the alternative analysis test described in part 3920.0600. The department must not continue the statistical analysis as described in subparts 7 to 9.

C. If the underpayment ratio is less than 80.0 percent, and the jurisdiction has six or more male-dominated classes and one or more salary ranges, the department must continue the statistical analysis as described in subparts 7 to 9.

Subp. 7. Determining average pay difference.

For a jurisdiction described in subpart 6, item C, the department must determine and analyze the average pay difference. The average pay difference is the dollar amount of the average difference from predicted pay, calculated as follows:

A. The number of employees in each female-dominated class is multiplied by the dollar amount of the difference from predicted pay for that class. Both positive amounts (above predicted pay) and negative amounts (below predicted pay) are included.

B. The sum of the amounts in item A is divided by the total number of employees in female-dominated classes and rounded to the nearest whole dollar. The result is the average difference from predicted pay for female-dominated classes.

C. The process explained in items A and B is repeated for male-dominated classes. The result is the average difference from predicted pay for male-dominated classes.

Subp. 8. Analyzing average pay difference.

The department must evaluate the average pay difference as explained in items A and B.

A. If the average pay difference is the same for male-dominated and female-dominated classes, or if the average pay difference does not represent a disadvantage for female-dominated classes, the department must find that the jurisdiction passes the statistical analysis test.

B. If the average pay difference represents a disadvantage for female-dominated classes, the department must continue the analysis as described in subpart 9.

Subp. 9. Significance of average pay difference (t-test).

If the average pay difference represents a disadvantage for female-dominated classes, a standard test of statistical significance called the t-test must be applied to this finding. The department must evaluate the results as explained in items A and B.

A. The t-test of pooled variance is applied using conventional statistical techniques. Significance is determined at the five percent level for a one-tailed test. The statistical analysis rounds the value of t to three decimal places. The sample t table is taken from a standard statistical text: Blalock, Social Statistics, Second Edition 1972, published by McGraw-Hill, page 559. The degrees of freedom is the total number of employees in male-dominated and female-dominated classes, minus two. To be significant, the value of t for a jurisdiction must be at or above the level listed, except that for degrees of freedom not listed, the required level of t is taken from a standard normal distribution table. Distribution of t (five percent significance)

B. If the t-test is not significant, the department must find that the jurisdiction has passed the statistical analysis test. If the t-test is significant, the department must find that the jurisdiction has failed the statistical analysis test and is not in compliance.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0600 Alternative Analysis Test

Subpart 1. Scope.

This part applies to:

A. a jurisdiction with three or fewer male-dominated classes;

B. a jurisdiction with four or five male-dominated classes, when the jurisdiction has an underpayment ratio of less than 80.0 percent as explained in part 3920.0500, subpart 6; and

C. a jurisdiction with no salary ranges for any of its classes, when the jurisdiction has an underpayment ratio of less than 80.0 percent as explained in part 3920.0500, subpart 6.

Subp. 2. Criteria for alternative analysis test.

To pass the alternative analysis test, a jurisdiction must meet one of the following criteria:

A. an initial review shows that salary, or salary plus benefits, for female-dominated classes is not consistently below that of male-dominated classes of comparable work value, as described in subpart 4;

B. for classes with no salary ranges, differences in years of service explain the underpayment for all underpaid female-dominated classes, as described in subpart 6;

C. for classes with no salary ranges, differences in performance, separately or in combination with differences in years of service, explain the underpayment for all underpaid female-dominated classes, as described in subpart 7; or

D. for classes with no salary ranges, combined differences in years of service and performance explain the underpayment for some of the underpaid female-dominated classes, and the remaining number of underpaid female-dominated classes is 20.0 percent, or less, of female-dominated classes in the jurisdiction, as explained in subparts 6 and 7.

Subp. 3. Basis for alternative analysis.

The analysis is based on the maximum monthly salaries and job evaluation ratings listed in the jurisdiction's implementation report, except as described below. If the jurisdiction has no salary ranges, the analysis is based on the highest actual salary paid for each class. If a jurisdiction provides different benefits to male-dominated and female-dominated classes of comparable work value, and if those differences represent a disadvantage to any female-dominated class, the analysis is based on the jurisdiction's benefits contribution limit plus the maximum monthly salary, or on the jurisdiction's benefits contribution limit plus the highest salary actually paid for each class.

Subp. 4. Initial review.

The department must conduct an initial review to determine whether salary, or salary plus benefits, for female-dominated classes is not consistently below that of male-dominated classes of comparable work value. The department must examine salary or salary plus benefits for each female-dominated class using the criteria in items A to D, and must identify each female-dominated class which is underpaid. For purposes of this part, "underpaid" means paid less than the level established by these criteria.

The department must count the number of underpaid female-dominated classes and calculate underpaid female-dominated classes as a percentage of all female-dominated classes in the jurisdiction. If 20.0 percent or a smaller percentage of female-dominated classes are underpaid according to the criteria in items A to D, the department must find that the jurisdiction has passed the alternative analysis test. If more than 20.0 percent of female-dominated classes are underpaid according to these criteria, the department must proceed as explained in subpart 5.

A. If there are any female-dominated classes with higher job evaluation ratings than male-dominated classes, and there are no male-dominated classes with ratings higher than those female-dominated classes, the amount of salary or salary plus benefits for each of those female-dominated classes must be equal to or higher than the amounts for each lower-rated male-dominated class.

B. If there are any female-dominated classes with job evaluation ratings falling between lower-rated and higher-rated male-dominated classes, the amount of salary or salary plus benefits for each of the female-dominated classes must fall between the amounts for the male-dominated classes.

C. If there are any female-dominated classes with the same job evaluation ratings as male-dominated classes, the amount of salary or salary plus benefits for each of those female-dominated classes must be equal to or higher than the amounts for any of the male-dominated classes. This criterion does not apply if there are any male-dominated classes which are rated higher than the female-dominated class, but which receive salary or salary plus benefits amounts equal to or lower than the amounts for the female-dominated class.

D. If there are any female-dominated classes with job evaluation ratings lower than all male-dominated classes, those female-dominated classes must be compensated as reasonably in proportion to their job evaluation ratings as other classes in the jurisdiction.

Subp. 5. Failure to meet initial review standard.

If more than 20.0 percent of female-dominated classes are underpaid according to the criteria in subpart 4, the department must determine whether the jurisdiction has salary ranges for its classes.

A. If there is no salary range for one or more underpaid female-dominated classes, or if there is no salary range for one or more male-dominated classes with which the underpaid female-dominated classes are being compared, the department must analyze years of service under subpart 6.

B. If there are salary ranges for the underpaid female-dominated class and for all male-dominated classes with which the female-dominated class is being compared, the department must find that the jurisdiction has failed the alternative analysis test and is not in compliance.

Subp. 6. Years of service.

The department must analyze the years of service for employees in female-dominated and male-dominated classes in the situation described in subpart 5, item A. For each of the underpaid female-dominated classes, the department must determine whether differences in years of service explain the underpayment.

The department must then count the remaining number of underpaid female-dominated classes for which years of service do not explain the underpayment, and evaluate the result as explained in items A to C.

A. If the remaining number of underpaid female-dominated classes is 20.0 percent or a smaller percentage of female-dominated classes in the jurisdiction, the department must find that the jurisdiction has passed the alternative analysis test.

B. If the remaining number of underpaid female-dominated classes is more than 20.0 percent of female-dominated classes, and if the jurisdiction has no salary ranges for any of its classes, the department must request and analyze any documents about performance differences submitted by the jurisdiction, as explained in subpart 7.

C. If the remaining number of underpaid female-dominated classes is more than 20.0 percent of female-dominated classes, and if the jurisdiction has salary ranges for some or all of its classes, the department must find that the jurisdiction has failed the alternative analysis test and is not in compliance.

Subp. 7. Performance.

In the situation described in subpart 6, item B, if a jurisdiction reported that documentation of performance differences is available, as explained in part 3920.0300, subpart 7, the department must request the documentation from the jurisdiction. The department must find that a jurisdiction which does not submit this information within the time set by the department has submitted an incomplete or inaccurate report, as explained in part 3920.0700, subpart 2.

The department must analyze the documentation in each case where a female-dominated class is underpaid according to subpart 4. For each of these female-dominated classes, the department must decide whether differences in performance explain the underpayment, separately or in combination with information about years of service for classes without salary ranges.

The department must then count the remaining number of underpaid female-dominated classes for which neither years of service nor performance explain the underpayment, and evaluate the result as explained in items A and B.

A. If the remaining number of underpaid female-dominated classes represents 20.0 percent or a smaller percentage of female-dominated classes in the jurisdiction, the department must find that the jurisdiction has passed the alternative analysis test.

B. If the remaining number of underpaid female-dominated classes represents more than 20.0 percent of female-dominated classes, the department must find that the jurisdiction has failed the alternative analysis test and is not in compliance.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0700 Other Tests

Subpart 1. Scope.

This part describes additional tests to be passed in the compliance review. If a jurisdiction fails any of the tests which apply to that jurisdiction as explained in subparts 2 to 5, the department must find the jurisdiction not in compliance.

Subp. 2. Complete and accurate information test.

Each jurisdiction must report accurately and completely all of the information required by Minnesota Statutes, sections 471.991 to 471.999, and this chapter. If a jurisdiction fails to submit a report by January 31, 1992, the department must find that jurisdiction not in compliance.

Any person or entity may submit a complaint about the accuracy or completeness of a jurisdiction's report by writing to the department. The complaint must specify the information believed to be inaccurate or incomplete. In response to a complaint, the department must decide either that the complaint is without merit and that no review is necessary, or that the complaint may have merit and a review is necessary.

In addition, the department may initiate a review of the accuracy and completeness of a jurisdiction's report for the purpose of ensuring that the compliance review is based upon correct and complete information.

If the department decides that a review is necessary, the department must notify the jurisdiction in writing that a review is being undertaken. The department's notice must identify the missing information, the information which may be inaccurate, and any information required to demonstrate the completeness and accuracy of the report. The department must establish and notify the jurisdiction of a reasonable time period for the jurisdiction to submit missing information or to verify the information.

If the jurisdiction does not respond within the established time period, or if the department determines after reviewing the response that the report remains inaccurate or incomplete, the department must find the jurisdiction not in compliance.

Subp. 3. Reopening department determinations.

If the conditions listed in items A and B are met, the department must reopen the jurisdiction determination under part 3920.0200, the compliance review under part 3920.0400, the reconsideration review under part 3920.0900, or the request for suspension of penalty review under part 3920.1100. The appropriate review process must be reopened if:

A. after making a jurisdiction determination, a compliance determination, a reconsideration determination, or a determination on a request for suspension of penalty, the department becomes aware that information submitted by a jurisdiction may be inaccurate or incomplete; and

B. the department has reason to believe that completing or correcting the information is likely to affect one of those determinations. If any of the review processes are reopened, the department must use the procedure in subpart 2. In addition, the department must consider the evidence, notify the jurisdiction, and undertake all other procedures appropriate for the affected review process. Jurisdictions found not in compliance as the result of reopening a review process may submit a reconsideration request under part 3920.0900. Jurisdictions subject to a penalty as the result of reopening a review process may submit a request for suspension of penalty under part 3920.1100, a contested case appeal as provided in part 3920.1200, or both.

Subp. 4. Salary range test.

The average number of years required for female-dominated classes to qualify for the maximum monthly salary may not be consistently larger than the average number of years required for male-dominated classes to qualify for the maximum monthly salary. If a jurisdiction provides a different number of years to qualify for the maximum monthly salary for male-dominated and female-dominated classes, the department must evaluate this information as follows. The evaluation is limited to classes with an established number of years to reach maximum salary.

A. Calculate the average years to maximum for female-dominated classes by adding the years to maximum for female-dominated classes and dividing the result by the number of female-dominated classes.

B. Calculate the average years to maximum for male-dominated classes by adding the years to maximum for male-dominated classes and dividing the result by the number of male-dominated classes.

C. Divide the result from item B by the result from item A, and multiply the result times 100. If this amount is 80.0 percent or more, the department must find that the jurisdiction has passed the salary range test. If this amount is less than 80.0 percent, the department must find that the jurisdiction has failed the salary range test and is not in compliance.

Subp. 5. Exceptional service pay test.

The percentage of female-dominated classes receiving exceptional service pay may not be consistently below the percentage of male-dominated classes receiving exceptional service pay. If employees in male-dominated classes receive exceptional service pay, the department must evaluate the information as provided in items A to D.

A. Count the number of male-dominated classes in which employees are receiving some form of exceptional service pay. Divide the sum by the total number of male-dominated classes, and multiply the quotient by 100.

B. If the result from item A is 20.0 percent or less, the department must find that the jurisdiction has passed the exceptional service pay test. If the result from item A is more than 20.0 percent, the department must continue the evaluation.

C. Count the number of female-dominated classes in which employees are receiving some form of exceptional service pay. Divide the sum by the total number of female-dominated classes, and multiply the quotient by 100.

D. Divide the result from item C by the result from item A, and multiply the quotient by 100. If the result is 80.0 percent or more, the department must find that the jurisdiction has passed the exceptional service pay test. If the result is less than 80.0 percent, the department must find that the jurisdiction has failed the exceptional service pay test and is not in compliance.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0800 Compliance Notification

Subpart 1. Written notice.

When the department makes a compliance decision, it must notify the jurisdiction in writing.

Subp. 2. Jurisdictions in compliance.

If a jurisdiction is in compliance, the department must notify the jurisdiction of the date on which the next implementation report must be submitted to ensure that pay equity is maintained, as explained in part 3920.1300, subpart 2.

Subp. 3. Jurisdictions not in compliance.

If a jurisdiction is not in compliance, the department must provide a detailed description of the basis for the finding, specific recommended actions to achieve compliance, an estimated cost of compliance, a date by which compliance must be achieved to avoid a penalty, and a date by which the jurisdiction must submit a revised report for reexamination by the department.

The revised report must consist of the same information required in the original implementation report, except that the information must be revised to be current as of the date by which compliance must be achieved to avoid a penalty. The date by which the jurisdiction must submit a revised report must be 30 days after the date by which compliance must be achieved to avoid a penalty.

In setting the date by which compliance must be achieved to avoid a penalty, the department must consider the basis for the noncompliance finding and the actions recommended to achieve compliance.

Subp. 4. Report to legislature.

The department must list all jurisdictions found not in compliance in its annual pay equity report to the legislature.

Subp. 5. Next steps.

If a jurisdiction found not in compliance disagrees with the compliance decision or the date by which compliance must be achieved to avoid a penalty, the jurisdiction may request reconsideration of the decision under part 3920.0900. If a jurisdiction found not in compliance agrees with the compliance decision, it must act to come into compliance and it must submit a revised report by the date specified in the compliance notice.

After the date specified in the compliance notice, the department must examine the revised report and make a revised compliance decision by the methods explained in parts 3920.0400 to 3920.0700.

A. If the department finds the jurisdiction in compliance as of the date specified, based on the revised report, no penalty may be imposed. The department must notify the jurisdiction that it is in compliance and must specify the date on which the next report must be submitted to ensure that pay equity is maintained, as explained in part 3920.1300, subpart 2.

B. If the department finds the jurisdiction not in compliance as of the date specified, based on the revised report, the department must notify the jurisdiction that the jurisdiction is not in compliance and that a penalty will be imposed under part 3920.1000. The department must provide a detailed description of the basis for the finding, specific recommend actions to achieve compliance, and an estimated cost of compliance. The jurisdiction may submit a request for suspension of penalty under part 3920.1100, a contested case appeal as explained in part 3920.1200, or both.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.0900 Reconsideration

Subpart 1. Scope.

If a jurisdiction disagrees with the department's compliance decision or with the time provided by the department to achieve compliance, it may request reconsideration of the decision. As the result of a reconsideration, the department must decide, based on the written information described in subparts 7 to 9:

A. that its original noncompliance decision and date for achieving compliance were correct;

B. that the original noncompliance decision was incorrect and the jurisdiction is in compliance; or

C. that the original noncompliance decision was correct but that more time will be provided for the jurisdiction to achieve compliance.

Subp. 2. Initiating a reconsideration request.

To initiate a reconsideration request, the jurisdiction must give written notice to the department. The reconsideration request must be submitted within 30 days after the date of the noncompliance notice sent by the department.

Subp. 3. Submitting information.

The jurisdiction must submit written information to support the request within 60 days after the date of the noncompliance notice sent by the department.

A. A jurisdiction requesting reconsideration must submit the information listed in subpart 5, notice to employees.

B. A jurisdiction requesting reconsideration of the time provided to achieve compliance, but not requesting reconsideration of the original compliance decision, must also submit the information listed in subpart 8, compliance plan.

C. A jurisdiction may also submit any of the information listed in subpart 9, evidence for reconsideration.

Subp. 4. Burden of proof.

During the reconsideration process, the burden of proof is on the jurisdiction to demonstrate to the department that the compliance decision was incorrect or that the time allowed to achieve compliance should be extended.

Subp. 5. Notice to employees.

Reconsideration requests must include:

A. a statement signed by the chief elected official, or if none, the chief appointed official, verifying that exclusive representatives and employees have been notified of the reconsideration request, as explained in subpart 6; and

B. a copy of the notice sent and posted, as explained in subpart 6.

Subp. 6. Notice requirements.

A jurisdiction requesting reconsideration must send a written notice to each exclusive representative, if any, for employees of the jurisdiction. The jurisdiction must also post the notice in a prominent location accessible to all employees, and make a copy available in the public library.

The notices must be sent and posted before the request for reconsideration is submitted to the department. Posted notices must remain posted for at least 90 days after the reconsideration request is submitted to the department.

The written and posted notices must include the following information:

A. a statement that the jurisdiction has been found not in compliance with the Local Government Pay Equity Act and that the jurisdiction is requesting a reconsideration of that decision or a longer period of time to achieve compliance;

B. a description of the grounds for the reconsideration request;

C. a statement that the department's determination and the materials submitted in support of the reconsideration request are public information available to anyone requesting the information;

D. a statement that any comments concerning the reconsideration request may be submitted to the department; and

E. the department's address and telephone number.

Subp. 7. Comments.

A person or entity may submit a complaint about the accuracy or completeness of a jurisdiction's reconsideration request by writing to the department. The complaint must specify the information believed to be inaccurate or incomplete. In response to a complaint, the department must decide either that the complaint is without merit and that no review is necessary, or that the complaint may have merit and a review is necessary.

In addition, the department may initiate a review of the accuracy and completeness of a jurisdiction's reconsideration request for the purpose of ensuring that the reconsideration is based upon correct and complete information. If the department decides that a review is necessary, it must follow the procedures in part 3920.0700, subpart 2.

Subp. 8. Compliance plan.

If a jurisdiction agrees that it is not in compliance, but requests reconsideration of the time allowed to achieve compliance, it must submit the following information to the department in writing:

A. a plan for achieving compliance, including the jurisdiction's proposed actions and response to the department's recommendations;

B. a proposed date for achieving compliance and for submitting a revised report for department review; and

C. a statement by the chief elected official or, if none, the chief appointed official, that the plan and proposed date have been approved by the jurisdiction's governing body.

Subp. 9. Evidence for reconsideration.

In submitting a request for reconsideration of the compliance decision or for reconsideration of the time allowed to achieve compliance, the jurisdiction may submit written evidence concerning any of the facts in items A to H.

A. Nongender-based inequities. A jurisdiction may demonstrate that compensation inequities between male-dominated and female-dominated classes are not gender-based. The jurisdiction may submit any relevant information.

B. Recruitment difficulties. A jurisdiction may demonstrate that one or more female-dominated classes receive lower compensation than male-dominated classes because of recruitment difficulties in male-dominated classes. The jurisdiction may submit information documenting that:

C. Retention difficulties. A jurisdiction may demonstrate that one or more female-dominated classes receive lower compensation than male-dominated classes because of retention difficulties in male-dominated classes. The jurisdiction may submit information documenting that:

D. Recent arbitration. A jurisdiction may demonstrate that one or more female-dominated classes receive lower compensation than male-dominated classes because of recent arbitration awards that are inconsistent with equitable compensation relationships. The jurisdiction may submit any relevant information.

E. Good faith. A jurisdiction may demonstrate that it has made a good faith effort to achieve compliance. The jurisdiction may submit any information supporting subitems (1) to (3).

F. Continued progress. A jurisdiction may demonstrate its continued progress toward compliance. The jurisdiction may submit any relevant information.

G. Constraints. A jurisdiction may demonstrate any constraints it faces. The jurisdiction may submit any information supporting subitem (1) or (2).

H. Other evidence. A jurisdiction may submit any other information to demonstrate that the department's compliance decision was incorrect or that more time should be provided to achieve compliance.

Subp. 10. Reconsideration decision and notice.

The department must notify the jurisdiction in writing of its decision after reconsideration.

A. If the department decides that the original noncompliance decision was incorrect and the jurisdiction is in compliance, the department must notify the jurisdiction of that decision. The notice must specify the date on which the next implementation report must be submitted to ensure that pay equity is maintained, as explained in part 3920.1300, subpart 2.

B. If the department decides that the original noncompliance decision and date for achieving compliance were correct, the department must notify the jurisdiction of that decision. The notice must include a detailed description of the basis for the finding, specific recommended actions to achieve compliance, and an estimated cost of compliance, if any of that information is revised from the department's original noncompliance notice. If the jurisdiction does not achieve compliance and submit a revised report by the date specified in the department's original compliance notice, a penalty will be imposed under part 3920.1000.

C. If the department decides that the original noncompliance decision was correct but that more time will be provided to achieve compliance, the department must notify the jurisdiction of that decision. The notice must specify the revised date by which compliance must be achieved to avoid a penalty, as explained in part 3920.0800, subpart 3. In addition, the notice must include a detailed description of the basis for the finding, specific recommended actions to achieve compliance, and an estimated cost of compliance, if any of that information is revised from the department's original noncompliance notice.

Subp. 11. Next steps.

If a reconsideration results in a time extension for achieving compliance, the jurisdiction must submit a revised report by the date established by the department. The department must examine the revised report by the methods in parts 3920.0400 to 3920.0700, and make a revised compliance decision.

A. If a reexamined jurisdiction is found in compliance, the department must notify the jurisdiction of the date on which the next implementation report must be submitted to ensure that pay equity is maintained, as explained in part 3920.1300, subpart 2.

B. If a reexamined jurisdiction is again found not in compliance, the department must notify the jurisdiction that a penalty will be imposed, as explained in part 3920.0800, subpart 5, item B.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.1000 Penalties

Subpart 1. Department of Revenue notification.

If a reexamined jurisdiction is found not in compliance, the department must notify the Department of Revenue and the jurisdiction that the jurisdiction is subject to a financial penalty under Minnesota Statutes, section 471.9981, subdivision 6, paragraph (c).

Subp. 2. Enforcement conditions.

The Department of Revenue must enforce the penalty beginning in calendar year 1992, except that the penalty may not be enforced until after the end of the first regular legislative session in which the jurisdiction was listed not in compliance. In addition, the penalty must be suspended under the circumstances in part 3920.1100, subpart 8, item A, and no penalty may be imposed under the circumstances in part 3920.1200, subpart 3.

Subp. 3. Enforcement procedure.

The Department of Revenue must enforce the penalty by deducting aid or by fining the jurisdiction. For purposes of this part, "aid" means amounts otherwise payable under Minnesota Statutes, section 126C.13, 273.1398, or 477A.011 to 477A.014. The Department of Revenue must determine which of the amounts in items A and B is larger, and deduct the aid or assess the fine accordingly:

A. an amount equivalent to five percent of the aid otherwise payable for calendar year 1992, calculated from January 1, 1992, added to an amount equivalent to five percent of the aid otherwise payable for all additional years after 1992, in which the department certifies that the jurisdiction remains not in compliance; or

B. an amount equivalent to $100 a day, calculated from January 1, 1992, until the date the department certifies to the Department of Revenue that the jurisdiction has achieved compliance.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.1100 Request for Suspension of Penalty

Subpart 1. Scope.

A jurisdiction which has been notified that it is subject to a penalty under Minnesota Statutes, section 471.9981, subdivision 6, paragraph (c), may submit a request for suspension of penalty with the department. A jurisdiction is not required to submit a reconsideration request before submitting a request for suspension of penalty.

Subp. 2. Evidence for request.

The department may suspend the penalty for a specified time if a jurisdiction provides written evidence to the department demonstrating that:

A. the failure to implement equitable compensation relationships was attributable to circumstances beyond its control or to severe hardship; or that

B. noncompliance results from factors unrelated to the sex of the members dominating the affected classes and that the subdivision is taking substantial steps to achieve compliance to the extent possible.

Subp. 3. Initiating a request.

To initiate a request for suspension of penalty, the jurisdiction must submit written notice to the department within 30 days after the date of the penalty notice sent by the department.

Subp. 4. Burden of proof.

During the request for suspension of penalty process, the burden of proof is on the jurisdiction to demonstrate to the department that the penalty should be suspended.

Subp. 5. Notice to employees.

A request for suspension of penalty must include:

A. a statement signed by the chief elected official or, if none, the chief appointed official, verifying that exclusive representatives and employees have been notified of the request for suspension of penalty, as explained in subpart 6; and

B. a copy of the notice sent and posted as explained in subpart 6.

Subp. 6. Notice requirements.

A jurisdiction submitting a request for suspension of penalty must send a written notice to each exclusive representative, if any, for employees of the jurisdiction. The jurisdiction must also post the notice in a prominent location accessible to all employees, and make a copy available in the public library.

The notices must be sent and posted before the request for suspension of penalty is submitted to the department. Posted notices must remain posted for at least 90 days after the request for suspension of penalty is submitted to the department.

The written and posted notices must include the following information:

A. a statement that the jurisdiction is subject to a penalty for noncompliance with the Local Government Pay Equity Act and that the jurisdiction is submitting a request for suspension of penalty;

B. a description of the grounds for the request;

C. a statement that the department's determination and the materials submitted in support of the request for suspension of penalty are public information available to anyone requesting the information;

D. a statement that any comments concerning the request for suspension of penalty may be submitted to the department; and

E. the department's address and telephone number.

Subp. 7. Comments.

A person or entity may submit a complaint about the accuracy or completeness of a jurisdiction's request for suspension of penalty by writing to the department. The complaint must specify the information believed to be inaccurate or incomplete. In response to a complaint, the department must decide either that the complaint is without merit and that no review is necessary, or that the complaint may have merit and a review is necessary.

In addition, the department may initiate a review of the accuracy and completeness of a jurisdiction's request for suspension of penalty for the purpose of ensuring that the department's suspension decision is based upon correct and complete information. If the department decides that a review is necessary, it must follow the procedures in part 3920.0700, subpart 2.

Subp. 8. Decision on request.

The department must make a finding on the request for suspension of penalty, based on the evidence in subparts 2 and 7, and must provide written notice of the finding to the jurisdiction.

A. If the department finds that the penalty should be suspended, it must notify the Department of Revenue of its decision. In this case, the department must extend the time to achieve compliance and notify the jurisdiction of the date when a second revised report will be required. The department must review the second revised report according to parts 3920.0400 to 3920.0700.

B. If the department finds that the penalty should not be suspended, the Department of Revenue must enforce the penalty except as provided under part 3920.1200.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.1200 Contested Case Appeal

Subpart 1. Scope.

A jurisdiction which has been notified that it is subject to a penalty may file an appeal to be decided as a contested case. A jurisdiction is not required to submit a reconsideration request or a request for suspension of penalty before filing a contested case appeal.

Subp. 2. Initiating a contested case appeal.

To initiate a contested case appeal, the jurisdiction must submit written notice to the department within 30 days after the date of the penalty notice sent by the department.

Subp. 3. No penalty pending appeal.

When it receives a contested case appeal notice, the department must notify the Department of Revenue that the appeal is pending. No penalty may be imposed while an appeal is pending.

Subp. 4. Contested case procedure.

When it receives a contested case appeal notice, the department must initiate a contested case proceeding under Minnesota Statutes, sections 14.57 to 14.62.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Minn. R. 3920.1300 Maintaining Pay Equity

Subpart 1. Scope.

After the original implementation date and reporting date, a jurisdiction must maintain equitable compensation relationships and submit additional reports as required by the department. The department must monitor compliance on an on-going basis and must report to the legislature annually. This part explains procedures for monitoring pay equity after the first implementation cycle.

Subp. 2. Future reports.

The department must establish a schedule for future reporting, providing that approximately one-third of all jurisdictions must report each year beginning in 1994.

A. The department must give a jurisdiction at least one year's notice of the date when its next scheduled report will be due.

B. The department must require, and a jurisdiction must submit, the same information required in the original implementation report, except that the information must be revised to be current as of the date 30 days before the new report. In addition, a jurisdiction must:

Subp. 3. Future compliance reviews and notifications.

The department must review the reports and make compliance decisions according to parts 3920.0400 to 3920.0700, and notify jurisdictions of its decisions according to part 3920.0800.

Subp. 4. Future reconsideration and appeal.

A jurisdiction which was found in compliance at one time, but which is found not in compliance at a future date, may initiate the reconsideration request under part 3920.0900. If a jurisdiction is subject to a penalty after reexamination, the jurisdiction may initiate the request for suspension of penalty under part 3920.1100, and the contested case appeal described in part 3920.1200. The department must consider the evidence and make decisions as provided in parts 3920.0900, 3920.1100, and 3920.1200.

Subp. 5. Future penalties.

A jurisdiction which was found in compliance at one time, but which is found not in compliance at a future date, and which remains not in compliance after reexamination, is subject to the penalties in part 3920.1000, except that the penalty applies only to the period the jurisdiction is found not in compliance under subpart 6.

Subp. 6. Enforcement conditions for future penalties.

The Department of Revenue must enforce the penalty beginning in the calendar year in which the department finds the jurisdiction not in compliance, except that the penalty may not be enforced until after the end of the first regular legislative session in which the jurisdiction was listed not in compliance. In addition, the penalty must be suspended under the circumstances in part 3920.1100, subpart 8, item A, and the penalty may not be imposed under the circumstances in part 3920.1200, subpart 3.

Subp. 7. Enforcement procedures for future penalties.

The Department of Revenue must enforce the penalty by deducting aid or fining the jurisdiction. For purposes of this part, "aid" means amounts otherwise payable under Minnesota Statutes, section 126C.13, 273.1398, or 477A.011 to 477A.014. The Department of Revenue must determine which of the amounts in items A and B is larger, and deduct the aid or assess the fine accordingly:

A. an amount equivalent to five percent of the aid otherwise payable for the calendar year in which the department finds the jurisdiction not in compliance, added to an amount equivalent to five percent of the aid otherwise payable for all additional years in which the department certifies that the jurisdiction remains not in compliance; or

B. an amount equivalent to $100 a day, calculated from the date the department finds the jurisdiction not in compliance until the date the department certifies that the jurisdiction has achieved compliance.

History

• Statutory Authority: MS s 43A.04
• History: 17 SR 712

Chapter 9700 CREDIT CARD DISCLOSURE REPORTS

Minn. R. 9700.0100 Definitions

Subpart 1. Scope.

As used in this chapter, the terms defined in this part have the meanings given them.

Subp. 2. Credit card application.

"Credit card application" has the meaning given in Minnesota Statutes, section 325G.41, subdivision 2.

Subp. 3. Creditor.

"Creditor" has the meaning given in Minnesota Statutes, section 325G.41, subdivision 3.

History

• Statutory Authority: MS s 325G.415
• History: 17 SR 1357

Minn. R. 9700.0200 Credit Card Disclosure Report

Subpart 1. Requirement.

A creditor who distributes its own credit card application within the state of Minnesota shall complete and file the credit card disclosure report form contained in this part.

Subp. 2. Procedures.

A creditor shall file a credit card disclosure report form with the Department of Management and Budget on December 31 of each year beginning in 1992. The information provided must be current as of January 1 of the following year.

Subp. 3. Report form.

The following form must be used in conjunction with this chapter:

DEPARTMENT OF MANAGEMENT AND BUDGET

TREASURY DIVISION

CREDIT CARD DESK

303 ADMINISTRATION BUILDING

SAINT PAUL, MINNESOTA 55155

MINNESOTA CREDIT CARD DISCLOSURE REPORT FORM

Minnesota Statutes, section 325G.415, requires any creditor who distributes its own credit card application in Minnesota to annually file certain information regarding this credit with the commissioner of management and budget. The Minnesota Credit Card Disclosure Report Form must be filed annually with the Department of Management and Budget no later than December 31. The information contained in the report must be current as of January 1 of the following year.

INSTRUCTIONS

History

• Statutory Authority: MS s 325G.415
• History: 17 SR 1357; L 2003 c 112 art 2 s 50; L 2009 c 101 art 2 s 109

Minn. R. 9700.0300 Electronic Filing Procedures

In lieu of filing the form referred to in the previous part, the creditor may, at the creditor's option, electronically file the information required by the form in part 9700.0200. For purposes of this part, "electronically" means:

A. facsimile transmission of the form via commercial phone lines;

B. computer floppy disk of the information required by the above form; or

C. direct transmission of the information required via a modem to the computer system in the Department of Management and Budget.

History

• Statutory Authority: MS s 325G.415
• History: 17 SR 1357; L 2003 c 112 art 2 s 50; L 2009 c 101 art 2 s 109

Minn. R. 9700.0400 Public Access to Information Filed

The credit card disclosure information shall be available from the Department of Management and Budget upon request subject to the provisions of Minnesota Statutes, chapter 13 (Government Data Practices).

History

• Statutory Authority: MS s 325G.415
• History: 17 SR 1357; L 2003 c 112 art 2 s 50; L 2009 c 101 art 2 s 109