Chapter 3 – Personnel, Training, and Employee Relations

31060.7.2 Departmental Restriction of Appointments

• The DROADepartmental Restrictions Of Appointment process is intended to assist in the placement of surplus employees resulting from administratively approved program changes or budget-induced position reductions and to avoid a layoff.

• This process applies to all appointments except:

  • Emergency appointments.

  • Mandatory reinstatements.

  • Promotions in place that do not result in a true vacancy (e.g., Staff Services Analyst to Associate Governmental Program Analyst).

• Departmental Placement Coordinator Responsibilities

  • The departmental placement coordinator shall:

    • Publish and distribute the list of classes for which approval is required prior to appointment.

    • Update the list as necessary.

    • Upon notification from the IPOInstitutional Personnel Officer that a surplus exists, submit a memorandum to the LRBLabor Relations Branch (see OLR) requesting union notification of the surplus.

    • When the union has been notified, send an informational surplus employee memorandum to all employees in the affected classification(s).

    • Review requests to fill vacancies on an exceptional basis or when no interest in the vacant position has been expressed by the DROADepartmental Restrictions Of Appointment candidates.

    • Take or recommend appropriate appointment actions.

    • Actively monitor the voluntary placement of surplus employees to appropriately classified vacant positions.

    • If necessary, work with the hiring authority, the Labor Relations Office and the appropriate control agencies to coordinate involuntary transfers and/or an employee layoff.

  • The informational surplus employee memorandum shall include a current list of vacancies in the affected employee’s classification.

  • The employee will be given the opportunity to voluntarily seek a vacant position.

  • If voluntary placement options are unsuccessful, the employee shall be reassigned to a different location or a comparable classification in the same location.

• Institutional Personnel Officer Responsibilities

  • The IPOInstitutional Personnel Officer shall submit timely monthly lists of current and anticipated vacant positions for the classes on DROADepartmental Restrictions Of Appointment directly to the departmental Personnel Officer.

  • Prior to filling a position listed on the restricted hiring list, the IPOInstitutional Personnel Officer shall take the following steps:

    • Contact the IPOInstitutional Personnel Officer of the organization where the surplus exists to obtain the names and addresses of the employees on DROADepartmental Restrictions Of Appointment.

    • Send out a CDC Form 1486, Departmental Restriction of Appointment (DROADepartmental Restrictions Of Appointment) Clearance and Waiver, to all affected employees. Telephone contacts may be made but shall be followed up with a CDC Form 1486.

    • Secure approval to fill the vacancy from the Personnel Operations Analyst if no interest is expressed by the employees on DROADepartmental Restrictions Of Appointment. This approval only applies to the DROADepartmental Restrictions Of Appointment restrictions and is not intended to replace or supersede other hiring requirements. Such requests for approval may be by telephone but shall be confirmed in writing.

    • Complete a CDC Form 1162, State of California Departmental Restriction of Appointments Confirmation Letter, for each classification.

    • Submit a copy to the Personnel Operations Analyst within ten calendar days after verbal approval is received and to the IPOInstitutional Personnel Officer at the surplus institution for audit purposes.

    • Retain a copy for the originator’s files.

• Special Exceptions

  • Requests for exceptions (including LTLimited Term and intermittent appointments) to this process shall:

    • Be signed by the appropriate hiring authority or any member of the Director’s executive staff.

    • Be forwarded to the Personnel Operations Analyst for review and approval.

    • Provide the following information:

    • The nature of the critical need and why identified DROADepartmental Restrictions Of Appointment eligibles cannot meet the needs of the position.

    • A copy of the position duty statement.

    • The consequence if any exception is not granted.

  • The projected time frame for any employee to remain on the DROADepartmental Restrictions Of Appointment list is approximately 120 days. Within this 120 days, the following activities take place:

    • The classification is placed on DROADepartmental Restrictions Of Appointment and frozen to preclude appointments to the class without obtaining appropriate DROADepartmental Restrictions Of Appointment clearances.

    • The Personnel Operations analyst notifies the employees in the affected class of the action while simultaneously notifying the LRBLabor Relations Branch (see OLR) so they can notify the union.

    • The Personnel Operations analyst actively monitors the placement of surplus employees to appropriately classified vacant positions. If the employee is not placed, they are given an official involuntary transfer notification 60 days prior to the proposed action.