Rule VII CERTIFICATION AND APPOINTMENT

Types of Appointment. All vacancies in the competitive service shall be filled by re-employment, reinstatement, promotion, transfer, demotion, transition, or original appointment. In the absence of available persons for appointment through these means, a provisional or temporary appointment may be made.

Method of Appointment. In the event of a vacancy, persons eligible for re-employment shall be given preference. This right of preference shall not be affected by a refusal of appointment to a comparable or lower position never held by a laid off employee. If no persons are available for re-employment in accordance with section 4 (also sections 4(a) and 5(a), which were added to rule VII by Resolution No. 1044 dated July 8, 1948) of this rule, the appointing authority shall determine the method of appointment to be used.

(02-033, 04/18/02; amended by Resolutions CS03-068, 10/02/03; amended by Resolutions CS09-057, 11/05/09)

Sec. 3 Certification for appointment.

Eligible List Certification. In the event an appointing authority shall desire to fill a vacancy by original appointment, the Director of Human Resources, who is the designated representative of the Personnel Officer, shall certify the eligibles to the appointing authority in accordance with Rule VI, section 9(d). If there are less than 10 eligibles on the list, the entire list for that class may be certified. In the event of two or more vacancies in one class, the Director of Human Resources shall certify an additional name for each additional vacancy.

The Director of Human Resources shall certify, in addition, the name next in order on the eligibility list to replace that of each certified eligible who is unwilling to accept appointment.

For positions in which there exists a promotional and an open eligibility list and there are less than three names appearing on the promotional list who are willing to accept employment, additional names shall be certified from the open eligibility list to satisfy the top three requirement of this section.

(3)

If sufficient names are not available to meet this requirement, the appointing authority may request additional certification, whereupon the Director of Human Resources shall schedule and conduct an examination to provide the number of eligibles required.

Direct Certification. Those candidates placed on an eligible list as a result of continuous testing shall be certified immediately by the Director of Human Resources and such certification shall be recognized as direct certification. The Director of Human Resources shall certify to the appointing authority the 10 names at the top of the eligibility list, or if less than 10, then the entire list, for that class or in the event of two or more vacancies in one class, then an additional name for each additional vacancy shall be certified.

Transition Certification. Candidates hired by the City of Stockton as limited term employees, who have completed not less than 3042 hours of satisfactory service as determined by recorded performance ratings and who have been certified by the Director of Human Resources as qualified for designated classes, shall be considered as an eligible within the meaning of section 8 of rule VI. Separate eligibility lists shall be maintained for such employees and they shall be subject to removal from the eligibility list the same as other eligibles. In the event an appointing authority shall desire to fill a vacancy by transition appointment, the Director of Human Resources shall make certifications to the appointing authority in the same manner set forth in section (a), above.

For each method of certification set forth in subsections (a), (b), and (c) of this section, the appointing authority shall make an appointment to fill the vacancy from among those eligibles certified pursuant to this section. In no case shall an appointing authority be allowed to non-select qualified candidates in favor of another candidate who is not among the top-ranking candidates on the eligible list.

(CS03-068, 10/02/03; amended by Resolutions CS04-088, 08/19/04; amended by Resolution CS07-127, 09/20/07; amended by Resolution CS2013-03-20-1101, 03/20/14)

Sec. 4 Lay-off and re-employment.

Order of Lay-off. Any employee may be laid off by an appointing authority in the event of the abolition of his or her position by the City Council, or if a shortage of work or funds requires a reduction in personnel. The appointing authority shall have the power to determine, after consideration of work requirements, the efficiency and conduct of individual employees, and their length of service, the order in which employees shall be laid off. The employee shall be notified at least one pay period before the effective date of the lay-off.

Preference in Reemployment. The name of each employee who is laid off in accordance with these rules shall be placed at the head of the eligible list for the class of positions which he or she previously held, and shall be given preference in filling vacancies in that class.

Preference in Filling Lower or Comparable Vacancies. Similarly, an employee laid off in accordance with these rules shall be placed on the eligible list or lists for any lower or comparable class or classes for which the employee is qualified. The Director of Human Resources or Chief Examiner shall determine whether the employee is qualified for a lower or comparable class, as follows:

In the case of a lower class, the Director of Human Resources or Chief Examiner shall consider, among other things, whether the employee possesses the minimum qualifications for such class, and is able to demonstrate through education, experience, or successful completion of pertinent test, that he or she is qualified for the class.

In the case of a comparable class, the Director of Human Resources or Chief Examiner must assure that the salary ranges for the classes are comparable. The Director of Human Resources or Chief Examiner shall also consider, among other things, whether the employee possesses the minimum qualifications for such class, and is able to demonstrate through education, experience, or successful completion of pertinent test, that he or she is qualified for the class.

(3)

The waiver of appointment to a lower or comparable position, or the refusal of a laid off employee to accept appointment to a lower or comparable position, shall not cause the removal of the name of that employee from the reemployment list; and the laid off employee shall remain eligible for appointment to any lower or comparable class for which qualified until the employee accepts appointment or the two year reemployment period expires.

Effective Dates for Preference. This right of a laid off employee shall remain effective for two years from the date of the latest separation from the service. The laid off employee's place on the list or lists shall be at the head of the eligibility list for the class of positions that the employee is deemed qualified as hereinabove set forth and the employee shall be given preference in filling vacancies, except for those persons placed on the list or lists of re-employment in the same position they previously held.

(e)

Status Upon Re-employment. Upon certification for appointment to a new position never having been held by this employee, a probationary period must be completed as required in rule VII of these rules and regulations.

(f)

Effect of Rejection From Probation in Reemployed Position. An employee rejected from probation in a position never having been held by the employee shall be reinstated to the reemployment list from which he or she was certified. Such employee shall be entitled to all rights and privileges held prior to reemployment in accordance with these rules and the applicable memorandum of understanding.

(CS03-068, 10/02/03; CS09-026, 5/05/09; CS 09-050, 9/03/09; amended by Resolutions CS09-057, 11/05/09)

Sec. 5 Transfer.

Transfers Within Miscellaneous Service. A regular status employee or a probationary employee who has successfully completed six months of probation in the Miscellaneous Service may be transferred from a class in one department or to a position of the same class in another department, or to a comparable class, with the approval of both the employee and department heads. In the case of a comparable class, the employee must be qualified, as determined by the Human Resources Director. The Human Resources Director in making such a determination must assure that the salary range for the classes are comparable, as determined by the Human Resources Director. The Human Resources Director shall consider, among other things, whether the employee possesses the minimum qualifications for such class, and is able to demonstrate through education, experience, or successful completion of pertinent test, that he or she is qualified for the transfer.

Transfers, Reinstatements, or Voluntary Demotions From Sworn Service. A regular status sworn employee or a probationary sworn employee who has successfully completed six months of probation in the sworn service may be transferred, reinstated, or voluntarily demoted to a position in the Miscellaneous Service upon request of the employee and the recommendation of the heads of the affected departments, with notice provided to the Commission; provided, however, that the employee is qualified to fill the Miscellaneous class, as determined by the Human Resources Director or the Chief Examiner. In making such a determination, the Human Resources Director or Chief Examiner must assure that the salary ranges for the classes are comparable as determined by the Human Resources Director. The Human Resources Director or the Chief Examiner shall determine whether the employee possesses the minimum qualifications for the class and is able to demonstrate through education, experience, training, or successful completion of relevant tests that he or she is qualified for the transfer.

Filling Vacancies. Probationary employees requesting transfer, reinstatement, or voluntary demotion shall fill vacancies in the originating department upon approval of the Personnel Officer. If there are no vacant positions in the originating department, employees may fill positions in other departments as set forth in subsection (b), above.

Probationary Period. All employees transferred, reinstated or voluntarily demoted from the Sworn Service to the Miscellaneous Service in accordance with this provision shall be subject to a new probationary period designated for that class beginning on the first day of transfer, reinstatement, or voluntary demotion.

(e)

Any probationary employee who has not successfully completed the minimum requirement of six months probation in the Miscellaneous Classified Service and who is subsequently certified to the Sworn Classified Service, is not eligible for transfer, reinstatement or voluntary demotion to the Miscellaneous Service under these Rules and has no vested right of appeal, absent non-merit discrimination or an abuse of discretion by the appointing authority.

(CS86-20, 3/6/86; amended by Resolution No. CS91-085, 6/20/91; CS02-032, 4/18/02; CS03-068, 10/02/03; amended by Resolutions CS05-065, 05/19/05)

Sec. 6 Promotion.

Promotional Certification. Upon the establishment of a promotional eligibility list, the Director of Human Resources shall certify to the appointing authority the three names at the top of the eligibility list for that class or in the event of two or more vacancies in one class, one additional name for each additional vacancy shall be certified. The appointing authority shall make an appointment to fill the promotional vacancy from among those eligibles certified pursuant to this section. In no case shall an appointing authority be allowed to non-select qualified candidates in favor of another candidate who is not among the top-ranking candidates on the eligible list.

Appeal of Non-Selection. All persons in positions on the promotional eligibility list higher than the person selected by the appointing authority shall have a right of appeal to the Commission, providing notice of appeal is filed with the Commission within five days from the date of the letter of notification of non-selection.

Effect of Appeal. In the event an appeal is filed, no appointment to the position will be made until the Commission shall have completed its investigation of the matter and made its recommendation to the personnel officer.

Alternate Staffing. The Commission has established a list of classifications to be under the alternate staffing policy of the City of Stockton. Promotions within these classifications may be made after completion of the requirements and in the manner set forth in the policy.

(5947, 4/1/82; amended by Resolutions CS03-068, 10/02/03)

Sec. 7 Reinstatement.

Reinstatement After Resignation. A regular employee who has resigned in good standing may, with the recommendation of the Personnel Officer and majority vote of the Civil Service Commission, be reinstated to a vacant position of the same class, or reinstated to a lower or comparable class for which the employee is qualified, within a period of two years from the effective date of resignation. The Director of Human Resources or Chief Examiner shall determine whether the employee is qualified for a lower or comparable class, as follows:

Reinstatement After Release From Sworn Service Probation. A probationary employee who has resigned from the Miscellaneous Service after successfully completing six months of probation, as evidenced by the performance evaluations conducted in accordance with these Rules, and who was subsequently certified for appointment to any entry-level position in the Police or Fire Department, may, upon the recommendation of the Personnel Officer and written request to and approval by the Commission, be reinstated to the Miscellaneous class previously held; provided, however, that the affected department head approves and there is a valid vacancy existing in the class.

Probationary employees requesting reinstatement, upon approval of the Personnel Officer, shall first fill vacancies in the originating department

An employee reinstated in accordance with this provision shall be reinstated in a probationary status and shall not attain regular status until successful completion of the entire probationary period for that class.

(6250, 2/21/85; CS03-068, 10/02/03; CS05-065, 5/19/05; amended by Resolutions CS09-050, 9/03/09)

Sec. 8 Demotion.

A position may be filled by the demotion of an employee in accordance with section 1 of rule XII or, in the event of necessary reduction in personnel due to lack of work or funds, an employee may accept a voluntary demotion in lieu of being laid off.

(6250, 2/21/85; amended by Resolutions CS03-068, 10/02/03)

Sec. 9 Original appointment.

After interview by the appointing authority and background investigation, if applicable, the appointing authority shall make appointments from among those certified, and shall immediately notify the Director of Human Resources, who shall notify the person appointed. If the appointee does not report for duty within the time prescribed by the appointing authority, the appointee shall be deemed to have refused appointment and shall be removed from the eligible list in accordance with section 8 of rule VI.

(Amended by Resolution CS03-068, 10/02/03)

Sec. 10 Provisional appointment.

Eligible List. All provisional appointments shall first be offered to candidates on the appropriate eligible list. In the event an eligible list is not available or if there are no candidates willing to accept provisional appointment, any person meeting the minimum qualifications for the class and acceptable to the appointing authority may be appointed provisionally, upon approval of the Director of Human Resources, pending the qualification of applicants by other means. The initial appointment may be made by the appointing authority after approval by the Personnel Officer for a period of two months; provided, however, that the Personnel Officer shall not appoint to any position any business or personal associate of an employee in the requesting department or any person related to any employee of the requesting department by blood or marriage within the third degree, except that the foregoing prohibition against nepotism may be waived by a vote of at least three members of the Civil Service Commission if the Commission finds that the proposed appointment is in the interest of the classified service.

First Extension of Appointment. If it is determined that the provisional appointment is necessary beyond the two months, the affected department head or his or her representative shall appear before the Civil Service Commission to request approval of the first extension for a four month period. Such department head or designated representative shall show cause to the Commission why the extension is necessary and shall present to the Commission a written declaration, signed by the applicant, that the applicant is not a business or personal associate or related by blood or marriage to any employee in the requesting department as set forth in subsection (a), above.

Second Extension of Appointment. If it is determined that the provisional appointment is necessary beyond the first extension, the affected department head or his/her representative shall appear before the Civil Service Commission to request approval of the second extension not to exceed a six-month period. Such department head or designated representative shall show cause to the Commission why the extension is necessary.

Final Extension of Appointment. If it is determined that the provisional appointment is necessary beyond the second extension, the affected department head or his/her representative shall appear before the Civil Service Commission to request approval of the third extension not to exceed a six-month period. Such department head or designated representative shall show cause to the Commission why the extension is necessary. The third extension shall be the final extension of the provisional appointment.

(e)

Restrictions. Extensions of provisional appointments shall not be granted unless the requesting department head can show good cause why the extension should be granted. Good cause may include, but is not limited to:

That a recruitment has been requested but has not been completed;

That the appointment is necessary to carry on the crucial functions of the department; and/or

(3)

That there are no interested candidates on the eligible list.

In no case shall a provisional appointment last longer than a total of 18 months. After exhaustion of the third and final extension of a provisional appointment, an employee shall not again be appointed to a provisional position until a six-month period has elapsed.

No time spent under provisional appointment shall be given credit in evaluating experience in any examination, or be credited to a probationary period, or used for computing any privileges accruing under the civil service ordinance and these rules.

(f)

Reporting Requirements. The Director of Human Resources shall prepare and file with the Commission on a quarterly basis a report of all provisional appointments in the classified service. Such report shall include the name, position, and department for each provisional appointment, the length of time the provisional appointment has been held, and the reason such appointment is necessary. The report shall also include notations on whether the provisional employee has held any other limited-term position in the classified service.

(CS94-075, 9/15/94; CS02-129, 12/19/02; amended by Resolutions CS03-068, 10/02/03)

Sec. 11 Emergency appointment.

In the event of an emergency threatening public life and property, such as could not be reasonably foreseen and anticipated by the appointing authority, the appointing authority may appoint such persons as are required to meet the needs of the situation. Such appointments shall not exceed 15 days, nor shall successive emergency appointments be made. Emergency appointments shall be reported promptly to the Personnel Officer.

(Amended by Resolution CS03-068, 10/02/03)

Sec. 12 Temporary appointment.

A temporary employee is one who has been certified and appointed to a position which will continue for a period of less than nine months in any fiscal year. A temporary employee must be taken from an eligible list established for such position, said employee having stated he or she would accept temporary appointment. For reasons of inability to contact an eligible for temporary employment, the Director of Human Resources may certify the next eligible in order on the eligible list for temporary appointment.

(5963, 5/6/82; amended by Resolutions CS03-068, 10/02/03)

Sec. 13 Waiver of appointment.

Any eligible may waive appointment only once after being certified for appointment, on giving written reasons satisfactory to the Director of Human Resources. In such waiver, the eligible shall state the period of time during which he or she does not desire an appointment. Such waiver shall not affect the standing or right to certification to the first vacancy in the rank occurring after the expiration of such period. A request for a second waiver, or refusal of appointment upon expiration of a waiver automatically removes the eligible from the eligible list.