Department of Corrections and Rehabilitation - Operations Manual

Chapter 3 – Personnel, Training, and Employee Relations

Article 6 – Appointments

Revised January 17, 2000

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31060.6.3.3 Out‑of‑Class Assignments

Out-of-class assignments (also called acting assignments) shall be used only as the last option when filling a position. Limited-term (LTLimited Term) appointments are the appropriate means to fill critical positions on a short-term basis.
Advance planning and scheduling can reduce an operation’s dependency on out-of-class assignments. By using established certification lists, qualified employees can be appointed immediately to vacant critical positions.
Misuse of out-of-class assignments results in grievances (circumventing list procedures), higher costs (lost person hours, working on out-of-class claims), the potential loss of delegated testing authority and the centralization of approval for all out-of-class assignments. However, bonafide emergency out-of-class assignments may be used.
Guidelines
- Managers and supervisors shall ensure that all employees are assigned duties and responsibilities that are within the scope of their classification. Employees shall not work out-of-class on a regular, ongoing basis.
- Current bargaining unit language, as well as DPADepartment of Personnel Administration (see CalHR) Rule 599.810, states that “an employee may be required to perform work other than that described in the specification for their classification for up to 120-consecutive calendar days during a fiscal year.” This language is intended to provide appointing authorities the flexibility necessary to meet short-term, temporary staffing needs. All viable alternates shall have been exhausted before any out-of-class assignment is approved.
- An employee may be assigned out-of-class work for more than 120 days if the additional out-of-class work is required to meet a need that cannot be met through other administrative or civil service alternatives. Prior approval from DPADepartment of Personnel Administration (see CalHR) is required. Such assignments shall be subject to termination by the Director of DPADepartment of Personnel Administration (see CalHR) upon determination that other reasonable alternatives do exist.
- The “120-consecutive calendar days during a fiscal year” applies to both the assignment and the individual. The same assignment cannot extend beyond July 1 or a new fiscal year resulting in an individual serving in the assignment for more than 120 calendar days. Such situations would require DPADepartment of Personnel Administration (see CalHR) approval to extend beyond 120 calendar days.
- Recent interpretation from DPADepartment of Personnel Administration (see CalHR) states that good personnel management practice precludes an indefinite out-of-class assignment by rotating employees in and out of the assignment. The 120 days should be a sufficient period of time to resolve and out-of-class situation. Rotations are inappropriate and circumvent the intent of the out-of-class provisions.
- The out-of-class provisions apply to both rank and file and non-represented employees. Managerial employees are not covered under DPADepartment of Personnel Administration (see CalHR) Rule 599.810 and there is no authorization to assign the out-of-class duties.
Criteria
- Out-of-class assignments may be made only to established positions and only if it can be demonstrated that:
  - The assignment is needed to meet a specific operating need.
  - The need cannot be feasibly met through civil service procedures or other administrative alternatives.
  - The employee is assigned duties which are clearly outside the scope of their current class and which include the full range of duties of the assigned class. The out of class duties must be performed for more than 50 percent of the employee’s time.
  - The supervisor requests the employee, in writing and in advance of the assignment, to perform the duties of a higher class.
- No out-of-class assignments shall be considered for approval retroactively. The grievance process is the appropriate method for employees to obtain payment if their out-of-class assignment was not approved accordance with established guidelines.
- No out-of-class assignments to “MCR NONE” classes shall be approved retroactively.
Operating Needs
- An operating need may exist when leaving a position vacant results in:
  - Inadequate management or supervision of a unit or function that cannot be offset from other sources.
  - Risk to public health and safety.
  - The interruption of public service.
  - An economic loss or program delay.
Alternatives
- If a need is established, the following alternatives should be considered before an employee is given an out-of-class assignment:
  - Delaying or canceling other less critical work.
  - Temporarily redirecting the unit’s staff, workload, or resources in order to “work around” the vacancy.
  - Filling the position with a locally available person on a temporary basis through another civil service procedure such as emergency, LTLimited Term, temporary authorization (TAUTemporary Authorization), or intermittent appointment.
  - Modifying the duties temporarily until the position can be filled.
Appropriate Assignments
- Examples of out-of-class assignments that are viewed by the Department as appropriate consist of the following:
  - An immediate assignment involving risk of life, property, or critical operation of the Department.
  - Back-up for an employee absent on extended sick leave.
  - A vacant position that needs temporary filling until an employment list is available.
  - The assignment is temporary in nature, with no definite time period but less that 120 calendar days, and all viable recruitment efforts to fill the position have been exhausted.
Inappropriate Assignments
- Examples of inappropriate/out-of-class assignments are as follows:
  - An assignment where no budgeted positions exist.
  - A certification list is available so that a LTLimited Term appointment could be made, the desired employee is on the list but is not reachable, or the list was canvassed but the candidate group is undesirable.
  - An assignment was made to bypass the Departmental Restrictions of Appointment (DROADepartmental Restrictions Of Appointment), State Restrictions of Appointment (SROAState Restrictions Of Appointment), and/or re-employment list process.
  - The assignment can be covered by a T&DTraining and Development assignment, a reinstatement, an emergency appointment, or a TAUTemporary Authorization appointment.
  - An intermittent pool of candidates is available.
  - Changes have been made to a class specification and/or allocation standards and the employee claims to have been working in a higher classification prior to the effective date of the change.
  - The employee requests some of the higher level duties for career development, personal convenience, or gain.
  - In the following situations, unless pre-approved by DPADepartment of Personnel Administration (see CalHR):
    - To positions or levels requiring classification pre-approval by DPADepartment of Personnel Administration (see CalHR) (MCR NONE).
    - To positions or levels not authorized in the appointing power’s budget. Before considering pre-approval in these situations, DPADepartment of Personnel Administration (see CalHR) will require specific written notice from the DOFDepartment Of Finance that funding is available.
    - Where the employee’s class specification provides for the proposed work assignment.
- When any of these options are considered, the Personnel Operations Analyst shall be contacted for guidance and interpretation.
Process
- The supervisor shall prepare the following documents:
  - A request for approval to make an out-of-class assignment.
  - A CDC Form 1821, Out-of-Class Checklist .
  - A duty statement.
  - An organizational chart.
  - A CDC Form 1820, Out-of-Class Justification For Assignments Exceeding 120 Days .
- The Out-of-Class Checklist shall provide the information necessary for the review and evaluation of the request and for completion of the Out-of-Class Justification.
- The checklist will also serve as an audit trail for peer audits, payment of claims, and examination eligibility.
- The document shall be forwarded to the appropriate approval levels in accordance with Section IX of the Out-of-Class Checklist.

Approvals

All out-of-class assignments requests require the approval of the IPOInstitutional Personnel Officer or Personnel Operations Analyst to ensure that all viable alternatives have been exhausted before the request is forwarded for final approval.

Prior final approval is required for out-of-class assignments as follows:

Duration of Assignment	Documents Required	Approval Required
Up to 60 Calendar Days	Request for Approval Out-o-Class Checklist	IPOInstitutional Personnel Officer or Personnel Operations Analyst
61 to 120 Calendar Days*	The above	The above and Personnel Operations Analyst
Over 120 Calendar Days**	The Above and Out-of-Class Justification form (2 Copies)	The Above and the Departmental Personnel Officer, the Chief Deputy Directors, and DPADepartment of Personnel Administration (see CalHR)
	* When the hiring authority becomes aware that the assignment may extend beyond 60 days, the Personnel Operations Section shall be notified. The written request shall be received by Personnel Operations Section no later than day 50 of the assignment.	** Requests shall be received by Personnel Operations Section no later than day 100 of the assignment. The Departmental Personnel Officer shall forward approved requests to the DPADepartment of Personnel Administration (see CalHR) for review.

The departmental personnel officer may deny a claim if it does not meet existing criteria.
When a request is inconsistent with departmental policy, the Personnel Operations Section shall return the unapproved request directly to the hiring authority.
Log/Record
- For audit purposes each approval authority shall keep a log/record of all out-of-class assignment requests and/or out-of-class compensations claims.
Compensation
- See DOMDepartment Operations Manual 31150.9 for out-of-class compensation guidelines.