POSITION DESCRIPTION

Transcription

1 State of Michigan Civil Service Commission Capitol Commons Center, P.O. Box Lansing, MI Position Code 1. ADMSPLE POSITIO DESCRIPTIO This position description serves as the official classification document of record for this position. Please complete the information as accurately as you can as the position description is used to determine the proper classification of the position. 2. Employee's ame (Last, First, M.I.) 8. Department/Agency LICESIG AD REGULATORY AFF 3. Employee Identification umber 9. Bureau (Institution, Board, or Commission) Corporations, Securities and Commercial Licensing 4. Civil Service Position Code Description Admin Law Specialist-E 10. Division Regulatory Compliance 5. Working Title (What the agency calls the position) 11. Section Administrative Law Specialist 6. ame and Position Code Description of Direct Supervisor BREITMEYER, KIMBERLY; ADMI LAW SPECIALIST MAAGER-1 7. ame and Position Code Description of Second Level Supervisor DALE, JULIA A; STATE BUREAU ADMIISTRATOR Unit 13. Work Location (City and Address)/Hours of Work 2501 Woodlake Circle, Okemos, MI / 8 AM - 5 PM; Monday - Friday 14. General Summary of Function/Purpose of Position This position performs the full range of administrative law specialist assignments. The position performs legal analysis and research concerning applicable statutes, rules, and case law for the purposes of document drafting, including preparation of legal pleadings, orders, affidavits, motions, and settlement agreements on behalf of statutorily created quasi-judicial boards, the Unarmed Combat Commission, and the Bureau Director under the jurisdiction of the Department of Licensing and Regulatory Affairs (LARA) and CSCL and consistent with the Michigan Administrative Procedures Act (APA). Some of the statutes that CSCL administers include: Article 18 of the Occupational Code (mortuary science), the Prepaid Funeral and Cemetery Sales Act, the Cemetery Regulation Act, the Proprietary Schools Act, the Carnival-Amusement Safety Act of 1966, the Ski Area Safety Act of 1962, the Unarmed Combat Regulatory Act, the Limousine, Taxicab, and Transportation etwork Company Act, and the Uniform Securities Act (2002). The position also provides representation in contested administrative proceedings before the Michigan Administrative Hearing System (MAHS) and at compliance conferences and assists the LARA Freedom of Information Act Coordinator in responding to requests for records and information under the Michigan Freedom of Information Act (FOIA). The position further assists in responding to requests for records and information from government and law enforcement agencies, self-regulatory organizations, the media, and via subpoenas for records or employee testimony. Finally, the position supports agency board and commission activities. At the experienced level, extensive independent judgment is used in carrying out assignments that have a substantial impact on Corporations, Securities & Commercial Licensing Bureau (CSCL) services and compliance programs.

2 15. Please describe the assigned duties, percent of time spent performing each duty, and what is done to complete each duty. List the duties from most important to least important. The total percentage of all duties performed must equal 100 percent. Duty 1 General Summary: Percentage: 40 Prepare formal complaints and other legal pleadings, summary suspension orders, cease and desist orders, subpoenas, and other legal documents on behalf of the Department and at the direction of the division director. Perform legal research and analysis of statutes, hearing reports, proposals for decision, case law, attorney general opinions, and other rulings of law and fact. Research and draft proposed stipulations, consent orders, final orders, and other documents required by statute. Coordinate efforts with the Department of Attorney General, when necessary. Request and review for relevance and redactions records requested under the Freedom of Information Act, by subpoena, or through a request from a self-regulatory organization, law enforcement, or other government agency. Support agency board and commission activities. Review complaints or proposed license denials that have been fully investigated, inspected, audited, or otherwise researched. Determine appropriate disposition of cases in accordance with the law, including all of the statutes and rules administered by CSCL and the APA. Prepare formal complaints and/or other legal pleadings, summary suspension orders, affidavits, cease and desist orders, final orders, and other legal correspondence necessary to further process or dispose of complaints or license or registration denials. Make recommendations in areas of developed expertise. Perform legal research. Maintain records and prepare correspondence related to assigned work. Determine if alleged violations or bases for denial are supported or not supported by the evidence gathered in investigation, audit, or examination or contained in a complaint file. Interpret statutes administered by LARA and CSCL Evaluate legislative bills and statutory provisions and provide rulemaking recommendations. Evaluate and respond to requests for records submitted under the Freedom of Information Act, via Subpoena, or received from a self-regulatory organization, law enforcement, or other government agency, determining relevance and which records should be withheld or redacted. Compile, process, and maintain appropriate records and documentation related to assigned work. Confer with the division director and other CSCL directors and managers on sensitive, controversial, or high profile matters. Draft requests for Department of Attorney General representation for Bureau Director approval. Review complaint files and certified hearing records to make recommendations in response to requests for rehearing. Attend Board or commission meetings to record license sanction determinations. Research and draft proposed opinions, final orders, and other documents on behalf of CSCL s boards and commissions. Duty 2 General Summary: Percentage: 40 This position provides representation in contested administrative proceedings and conducts or attends compliance conferences on behalf of LARA, the Cemetery Commissioner, the Securities Administrator, or CSCL under the various statutes administered by CSCL.

3 Hold meetings or attend or conduct conferences for compliance or settlement purposes. Conduct and respond to prehearing discovery in accordance with the APA, MAHS Rules, and Michigan court rules and rules of evidence. Represent LARA, the Cemetery Commissioner, the Securities Administrator, or CSCL at meetings, conferences, and contested case hearings; prepare witnesses and exhibits; follow court rules and rules of evidence, the APA, MAHS rules, and other rules or policies. Compile, process, and maintain appropriate records and documentation related to assigned work. Confer with supervisor or other CSCL personnel on sensitive or high profile matters. Provide assistance to the Attorney General s Office, as requested. Compile or proofread the compilation of administrative hearing records for circuit and other higher court appeals of final orders. Prepare summaries and analyses of cases highlighting the legal and factual issues in dispute. Research applicable statutes, rulings, case law, and precedents. Research and draft legal pleadings, final orders, settlement agreements, and other documents on behalf of CSCL, a Board, or the commission. Review settlement agreements drafted by assistant attorneys general and others for accuracy and completeness. Review hearing reports and proposals for decision prepared by administrative law judges for accuracy. Review requests for hearing for accuracy and completeness before they are sent to the MAHS. Proofread other documents, pleadings, and orders prepared by division secretary, the MAHS, assistant attorneys general, and others for accuracy and completeness. Duty 3 General Summary: Percentage: 10 Conducts reviews and analysis of complaint or licensing files and final order monitoring files to determine CSCL s jurisdiction and whether an investigation or audit shall immediately begin, if a denial of the license or registration should be recommended, or if additional information or evidence is required before formal action or additional formal action can be taken.

4 Recommend processing of a new complaint based upon lack of compliance with prior disciplinary order. Maintain a correspondence file related to a complaint or proposed denial. Determine whether a license or registration should be denied based on a lack of good moral character or specific criminal convictions, and draft relevant denial order for Licensing Division Director/Cemetery Commissioner approval. Determine if additional investigation, inspection, audit, or evidence is needed to prove a violation or support a license denial, and forward request to other areas of CSCL to secure such proofs. Research all relevant statutes, administrative rules, regulations, policies, case law, and past results of administrative proceedings to determine if a potential violation exists and is likely to be found after a hearing. Render opinions as to whether a complaint involves matters outside CSCL s jurisdiction that should be adjudicated in the court system, rather than through administrative proceedings. Determine if alleged violations involve possible criminal actions, and a referral recommendation should occur to other law enforcement or prosecutorial agencies. May coordinate with other law enforcement agencies when agency administrative actions overlap. May close, open, or otherwise dispose of complaints with supervisor s permission, appropriately notifying interested persons of the disposition. Draft or review draft investigative or hearing-related subpoenas for documents or testimony. Review and analyze notices received under the Class Action Fairness Act, 28 USC Duty 4 General Summary: Percentage: 10 When assigned, assist the regulatory compliance division director or others with special projects, studies, or on-going tasks. Provide technical advice based on expertise. Research and recommend new and revised policy, rules, or procedures. Perform other duties as assigned.

5 As assigned, handle special projects, studies, or on-going tasks consistent with LARA and CSCL policy and legal requirements. Serve as a liaison with industry, the public, and other governmental agencies, as assigned. Attend meetings or conferences as assigned or in division director s absence. Handle necessary administrative tasks such as preparing exhibits, typing documents, and running periodic reports. Collaborate with and may coordinate training of personnel, including support staff, other attorneys, or legal externs in designated program areas. Analyze ongoing program operations and recommend modifications of policies and procedures for greater effectiveness. May draft and review CSCL policies, procedures, and rules. Update case tracking electronic database (currently License 2000), shared and personal calendars, and Excel spreadsheets, as necessary. Update electronic shared folder of significant administrative rulings and appellate opinions. Assist division director in responding media requests and legislative inquiries. Research and recommend new and revised policy, regulations or administrative guidelines for CSCL's boards of commissions. Perform other duties as assigned. 16. Describe the types of decisions made independently in this position and tell who or what is affected by those decisions. Determine if a complaint filed with the Department constitutes a potential violation for CSCL action; determine if there is sufficient evidentiary basis for taking formal action, e.g., drafting an agency complaint, or whether additional investigation, inspection, audit, or evidence is needed. Determine disposition of matters consistent with appropriate statutory authority, CSCL policy, or practice. Decide the proper course of representation or research and drafting of documents based on the facts or law. Determine whether settlement should be offered in cases and the appropriate settlement parameters based on policy or practice. Determine if there is a legal and factual basis for denying a request for CSCL records or refusing to disclose records or portions of records in response to a subpoena. LARA, CSCL, members of the public, and licensees or registrants can be affected by decisions. 17. Describe the types of decisions that require the supervisor's review. Review and approval is required before taking action against a licensee or registrant; if a new or unique issue arises; decisions involving a matter of high profile or media, legislative, or executive interest; unusual or important circumstances; a situation that potentially can result in negative consequences for LARA, CSCL, or division, e.g., civil litigation or other actions where LARA/CSCL may be named as a party; issuance of subpoenas; approval of final settlements or orders; approval of final responses to subpoenas. Any time supervisory guidance or direction is necessary to complete assignments, particularly when LARA, CSCL, or division has not yet adopted a clear policy or position about an issue. 18. What kind of physical effort is used to perform this job? What environmental conditions in this position physically exposed to on the job? Indicate the amount of time and intensity of each activity and condition. Refer to instructions. Position duties and tasks are performed in a traditional office or hearing environment that includes considerable sitting, occasional standing, limited lifting, computer usage, and normal office and hearing routines. Occasional in-state or out-ofstate travel may be required. 19. List the names and position code descriptions of each classified employee whom this position immediately supervises or oversees on a fulltime, on-going basis. Additional Subordinates 20. This position's responsibilities for the above-listed employees includes the following (check as many as apply):

6 Complete and sign service ratings. Assign work. Provide formal written counseling. Approve leave requests. Approve work. Review work. Approve time and attendance. Provide guidance on work methods. Orally reprimand. Train employees in the work. 22. Do you agree with the responses for items 1 through 20? If not, which items do you disagree with and why? Yes 23. What are the essential functions of this position? The position assists CSCL with the review, preparation, and issuance of agency administrative complaints and orders based on an evidentiary foundation. The position will perform functions related to statutory compliance and enforcement. The position will also represent LARA, CSCL, or Cemetery Commissioner in certain administrative hearings and compliance conferences. The position also supports CSCL board and commission activities. Other duties include conducting legal research and providing recommendations on major issues being decided. At the experienced level, extensive independent judgment must be used to make decisions in the carrying out of assignments that have a substantial impact on CSCL services and programs 24. Indicate specifically how the position's duties and responsibilities have changed since the position was last reviewed. ew position 25. What is the function of the work area and how does this position fit into that function? Corporations, Securities & Commercial Licensing Bureau, Department of Licensing and Regulatory Affairs (LARA) is responsible for the regulation, enforcement, and licensing of approximately 17 occupations and professions, under various stand-alone statutes, including the Unarmed Combat Regulatory Act and the Uniform Securities Act (2002) and cemeteries that are not exempt from the Cemetery Regulation Act, 1968 PA 251. The position works on behalf of the Department, the Securities Administrator, the Cemetery Commissioner, and in support of CSCL boards and the Unarmed Combat Commission with respect to wide reaching activities affecting regulated entities or individuals.the position is responsible for legal research; drafting complaints, legal documents, notices, settlements, briefs, memoranda; representation in administrative proceedings; and providing recommendations with respect to issues being decided upon within the Department 26. What are the minimum education and experience qualifications needed to perform the essential functions of this position. EDUCATIO: Possession of a Juris Doctorate degree from an accredited school of law. EXPERIECE: Administrative Law Specialist 13 o specific type or amount is required. Administrative Law Specialist 14 One year of professional experience in legal work equivalent to an Administrative Law Specialist 13 or Administrative Law Examiner 13, or as an attorney. Administrative Law Specialist P15 Two years of professional experience in legal work, including one year equivalent to an Administrative Law Specialist 14 or Administrative Law Examiner 14; or, two years of experience as an attorney. Preferred: At least one year of experience, handling agency representation in matters of legal compliance or hearings or performing research and the drafting of legal documents. KOWLEDGE, SKILLS, AD ABILITIES:

7 ote: Some knowledge in the area listed is required at the 13 level, developing knowledge is required at the 14 level, and considerable knowledge is required at the P15 level. Knowledge of securities regulation, occupational or licensing laws, other applicable statutes, rules and regulations, policies and procedures. Knowledge of legal research procedures. Knowledge of legal writing techniques, jargon, and terms. Knowledge of the Michigan Administrative Procedures Act and Freedom of Information Act. Skill and ability to interpret complex rules and statutes in making decisions or recommendations. Skill and ability to communicate with and present ideas clearly and effectively to others, both verbally and in writing; draft logical and concise pleadings, memos, correspondence, and orders. Skill and ability to exercise tact and diplomacy when dealing with complex, sensitive, and confidential regulatory matters. Ability to quickly assimilate oral and written data, to analyze facts and draw logical conclusions. Knowledge, skill, and ability to prosecute administrative complaints in a contested hearing setting and negotiate settlements. Ability to maintain records, prepare reports, and other correspondence relevant to the work. Ability to maintain favorable public relations. CERTIFICATES, LICESES, REGISTRATIOS: Status as a member in good standing in the State Bar of Michigan must be maintained. OTE: Civil Service approval does not constitute agreement with or acceptance of the desired qualifications of this position. I certify that the information presented in this position description provides a complete and accurate depiction of the duties and responsibilities assigned to this position. Supervisor Date TO BE FILLED OUT BY APPOITIG AUTHORITY Indicate any exceptions or additions to the statements of employee or supervisors. one. I certify that the entries on these pages are accurate and complete. LY SIMOS Appointing Authority 5/16/2017 Date I certify that the information presented in this position description provides a complete and accurate depiction of the duties and responsibilities assigned to this position. Employee Date