Santa Ana Municipal Code § 9-7 Considering appeals from decisions and ratings of qualification appraisal…

The civil service rules and regulations contained in this chapter shall govern and control the relationship existing between city employees and the city upon any matter covered or regulated herein. Exceptions to these rules and regulations may be negotiated with the appropriate recognized employee group(s), or allowed at the discretion of the city manager when these changes do not impact any recognized employee group, in keeping with charter provisions.

(Code 1952, § 2200; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2232, § 1, 9-19-94)

Charter reference— Rules effective after adoption in an ordinance, § 1000.

The following terms, whenever used in these rules and regulations, shall be construed as follows:

Assembled examination: A test conducted at a specified time and place at which applicants are required to appear for competitive examination under the supervision of an examiner.

Board: The personnel board appointed in accordance with sections 911 and 912 of the charter.

Charter: The Charter of the city, ratified by the voters of the City November 4, 1952, adopted by California Concurrent Resolution No. 10, in Assembly January 8, 1953, and in Senate January 8, 1953, as amended.

Class or classification: A group of positions in the competitive service which are substantially so similar as to require the same kind and amount of training and experience for proper performance and to merit equal pay.

Council: The city council of the City of Santa Ana.

Executive director of human resources: That person designated by the city manager to have charge of personnel administration.

Eligible: A person who legally may be appointed to a vacant position in the competitive service as provided in the rules.

Eligible list: A list of persons eligible for appointment in the competitive service to positions in the class indicated by the title of the class.

Memorandum of understanding: An agreement between the city and represented employees under the Meyers-Milias-Brown Act.

Oath of office: That oath required by the charter, prior to entering upon the duties of a position.

Part-time appointment: An employee appointed to a position which averages more than twenty (20) hours and less than forty (40) hours per week within the civil service system as outlined in these rules and regulations.

Part-time employee: An employee appointed to a position within the civil service system which averages more than twenty (20) hours and less than forty (40) hours per week.

Position: A group of current duties, tasks and responsibilities assigned or delegated by competent authority, requiring the full or part-time services of one (1) person.

Regular appointment: An appointment to a regular full-time or part-time civil service position after completion of the prescribed probationary period.

Regular employee/status: A full-time or part-time employee who has successfully completed his or her probationary period and has received a regular appointment. An employee who has attained regular status retains that status during any probationary promotional periods.

Unassembled examination: An appraisal of training, experience, work history, or use of other means for evaluating relative qualifications without the necessity for the personal appearance of applicants at a specified time.

(Code 1952, § 2201; Ord. No. NE-277, § 2, 9-3-57; Ord. No. NS-1886, § 6, 1-19-87; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2285, § 1, 5-6-96; Ord. No. NS-2946, § 3, 6-5-18)

(a) For purposes of section 707 of the charter, the following officers of the city are designated as the heads of a department, office or agency, having the power to appoint and remove such deputies, assistants, subordinates, and employees as are provided by the city council for their department, office, or agency, and shall be deemed to be a "department head," "appointing officer," and "appointing authority" with respect to such deputies, assistants, subordinates and employees for purposes of this chapter:

(1) City attorney;

(2) Clerk of the council;

(3) Police chief;

(4) Fire chief;

(5) Executive director of finance and management services;

(6) Executive director of public works;

(7) Executive director of recreation and community services;

(8) Executive director of human resources;

(9) Executive director of planning and building safety;

(10) Executive director of community development;

(11) Library director.

(b) The city manager shall be the "appointing officer" and "appointing authority" for purposes of this chapter for all appointed officers of the city except officers appointed by the city council pursuant to the charter and for those employees of the city who are not subject to appointment and dismissal by any officer designated in subsection (a) of this section.

(c) The officers listed in subsection (a) of this section shall constitute the heads of departments of the city for purposes of clause (7) of subsection (a) of section 1002 of the charter.

(Ord. No. NS-1886, § 7, 1-19-87; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2946, § 3, 6-5-18)

Editor's note— Ord. No. NS-2232, § 1, adopted Sept. 19, 1994, set out provisions repealing § 9-3, which pertained to residence requirements and derived from Code 1952, § 2202 and Ord. No. NS-277, § 2, adopted Sept. 3, 1957.

The city council finds and determines that close relatives working together as city officers or employees is likely to result in problems of employee morale, inappropriate supervision, conflict of interest and public criticism. It is the policy of the city to avoid such problems in the government of the city caused by close relatives working together.

For the purpose of this chapter, a person shall be deemed a "close relative" of a city officer or employee if that person is related to such officer or employee by blood, adoption or marriage, exclusive of any such relationship which is collateral consanguinity more remote than the fourth degree.

(Ord. No. NS-2034, § 1, 1-2-90; Ord. No. NS-2232, § 1, 9-19-94)

There is created the position of executive director of human resources. The executive director of human resources shall be appointed by, and serve at the pleasure of, the city manager. The duties of the executive director of human resources may be combined with those of any other office or position which is filled by appointment by the city manager. The executive director of human resources shall:

(1) Serve as secretary to the personnel board, if so appointed by the city manager.

(2) Administer all the provisions of the civil service rules and regulations except those specifically reserved to the council, the personnel board, or the city manager.

(3) Be custodian of the official records concerning the employment status of all employees.

(4) Confirm that authorized budgeted positions exist, before probationary or temporary appointments are made.

(5) Keep such records as required by these rules and regulations.

(6) Ascertain that employee pay items conform to memorandum of understanding provisions and to federal, state and municipal laws.

(Code 1952, § 2203; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2946, § 3, 6-5-18)

The executive director of personnel services may reject any application, refuse to examine an applicant, disqualify an applicant, remove an applicant from an eligible list, or refuse to certify any person on an eligible list if:

(a) The applicant is found to lack any of the requirements prescribed for the class or position;

(b) The applicant is so disabled as to be unable to perform all of the essential functions, with reasonable accommodations, of the position for which the applicant is a candidate;

(c) The applicant is addicted to the use of narcotics or the habitual use of intoxicating liquors to excess;

(d) The applicant has been convicted of a crime involving moral turpitude;

(e) The applicant has previously been dismissed from any public or private employment for any cause other than abolition of position or reduction in force;

(f) The applicant has used, or attempted to use, political pressure or bribery to secure an advantage in connection with the application, examination, certification or appointment;

(g) The applicant has directly or indirectly obtained information regarding the examination to which the applicant was not entitled;

(h) The applicant has failed to submit the application correctly or within the prescribed time;

(i) The applicant has taken part in the compilation, administration or correction of the examination;

(j) The applicant has practiced, or attempted to practice, any deception or fraud in the application or in securing the eligibility or appointment;

(k) On evidence that the applicant cannot be located by postal authorities;

(l) On receipt of a written statement declining an appointment or stating that the applicant wishes his or her name removed from the eligible list;

(m) An offer of an appointment from the eligible list has been extended but not accepted;

(n) The applicant declines to reply to letters of inquiry or letters of appointment or fails to respond to a notification of certification in a timely manner;

(o) The applicant does not report for duty, after appointment by the appointing officer;

(p) The applicant has been appointed to the position for which he/she has applied;

(q) The applicant has not been selected for appointment after being certified from the eligible list the maximum allowed times;

(r) After examination by a designated physician, the applicant does not meet the medical standards prescribed for the class including the standards as set forth in the city's policy on a drug-free workplace and cannot reasonably be accommodated;

(s) The applicant is a close relative of the city manager or the city manager's assistants, if any.

The personnel board may, upon written request of applicant, review any action taken pursuant to the provisions of this section. The applicant shall have ten (10) calendar days following notification of such action to file his or her written request for review in the offices of the secretary to the personnel board. Such review shall normally occur at the next regularly scheduled meeting of the personnel board, unless the board determines that the matter requires earlier consideration. The decision of the personnel board in the review of such matters shall represent final appeal action.

(Code 1952, § 2207; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-994, § 1, 12-1-69; Ord. No. NS-2034, § 2, 1-2-90; Ord. No. NS-2232, § 1, 9-19-94)

Except as otherwise hereinafter provided, no person convicted of a felony or misdemeanor involving moral turpitude shall be eligible for employment in the excepted or competitive service of the city; provided, however, that the appointing authority may disregard such conviction if it is determined that mitigating circumstances exist, such as, but not limited to, evidence of rehabilitation, length of time elapsed since such conviction, the age of such person at the time of conviction, or the fact that the position applied for or occupied by such person is unrelated to such conviction.

The city manager, assistant city manager, executive director of executive services, chief of police, city attorney, and each appointing authority of the city are hereby authorized to have access to the "State Summary Criminal History Information" as provided for in Section 11105 of the Penal Code of the State of California.

(Ord. No. NS-1307, § 1, 8-2-76; Ord. No. NS-2232, § 1, 9-19-94)

Whenever an applicant is rejected, or the applicant's name is removed from an eligible list per the provisions of sections 9-5 and 9-5.1, the applicant will be notified by letter, stating the reason(s) therefor.

(Code 1952, § 2208; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2034, § 3, 1-2-90; Ord. No. NS-2232, § 1, 9-19-94)

The executive director of personnel services shall consider appeals from decisions and ratings of qualification appraisal boards in the same manner and within the same periods of time as established for appeals of results of written examinations. Appeals of decisions and ratings of the qualification appraisal boards shall be considered solely for alleged irregularity or fraud in the conduct of the interview.

(Code 1952, § 2219; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2034, § 4, 1-2-90; Ord. No. NS-2232, § 1, 9-19-94)

Before the initial placement with the city, individuals receiving job offers will be required to successfully pass a physical examination before a licensed physician. The standards for the physical examination including the drug screening shall be established prior to publication of the written announcement of the examination. The licensed physician mentioned in this section shall be one selected by the executive director of human resources. The examination fee shall be paid by the city.

A candidate for a promotional appointment to a classification which requires higher or more stringent medical standards than the classification from which the candidate seeks promotion shall be required to pass a medical examination prior to appointment.

(Code 1952, § 2220; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2034, § 5, 1-2-90; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2946, § 3, 6-5-18)

Hearings before the personnel board shall be called by the chair of the personnel board or, in the chair's absence, by the vice-chair. The chair shall make arrangements through the executive director of human resources for suitable clerical assistance and for assignment of space in which to hold the hearings.

(Code 1952, § 2245; Ord. No. NS-277, § 1, 9-3-57; Ord. No. NS-994, § 1, 12-1-69; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2946, § 3, 6-5-18)

The order of proof in any hearing of review shall be as follows:

(a) The appointing authority shall present evidence in support of the charges;

(b) The employee shall then produce such evidence as such employee may wish to offer in his or her defense;

(c) The parties in interest may then offer, respectively, rebuttal and surrebuttal evidence;

(d) All evidence must be relevant and material to the issues, and the board's decision concerning the relevance or materiality of evidence shall be final;

(e) Following the presentation of evidence, each side shall be permitted to argue the case to the personnel board. The order of argument shall be as follows: The appointing authority shall be permitted to present its opening argument; the employee, or employee's counsel, shall be permitted to argue; if the employee presents an argument, the appointing authority shall be permitted to present a closing argument;

(f) When arguments are completed, the chair shall declare the hearing closed;

(g) The personnel board shall then retire to its chambers to consider and review the evidence presented to it;

(h) Following its review of the evidence, the board members shall return to the hearing room and shall vote publicly "yes" or "no" upon the question of whether each charge has been sustained. The chair shall announce the result of the vote. If any charge is sustained, the board shall consider what disciplinary action, if any, it concludes to be warranted. Such consideration of appropriate disciplinary action may, at the board's discretion, be conducted at the public meeting or in the chambers of the board. In either event, any proposed disciplinary action shall be determined by roll call vote. The chair may announce the recommended disciplinary action at the public meeting or submit such recommendation within the ten (10) days;

(i) The board shall adjourn to prepare its written findings, conclusions and recommendations;

(j) The written findings, conclusions and recommendations shall be signed by the chairman and authenticated by the secretary of the personnel board before distribution.

(Code 1952, § 2246; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-994, § 1, 12-1-69; Ord. No. NS-2232, § 1, 9-19-94)

Amendment note—Ord. No. NS-994, § 1, amended § 2246 of the 1952 Code, § 9-10 herein, by adding the provisions concerning the board's decision as to relevance in (d), and by expanding the provisions concerning disciplinary action in (h).

The city manager shall establish and make effective a system of employee performance appraisal. Such evaluations shall be prepared by the employee's immediate supervisor and shall be reviewed by the division and/or department head. Performance appraisals shall be reviewed with the employee concerned and the employee shall sign the appraisal form to acknowledge said review. Performance appraisals will be submitted according to the following schedule for full-time civil service employees and after equivalent hours of service for part-time civil service employees:

(a) At the end of each four (4) months' service during probationary periods;

(b) Annually after completion of probation;

(c) Prior to a merit increase eligibility date;

(d) As called for, at the discretion of the appointing authority and/or as mandated by the applicable memorandum of understanding.

Employee performance appraisals, including those prepared as directed in this section will be delivered to the executive director of human resources for filing with the records of the employee. Performance appraisals will be considered in making merit salary advances and may be considered a factor in promotional examination, demotions, and dismissals.

(Code 1952, § 2247; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-994, § 1, 12-1-69; Ord. No. NS-1094, § 2, 11-15-71; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2285, § 2, 5-6-96; Ord. No. NS-2946, § 3, 6-5-18)

Amendment note—Ord. No. NS-994, § 1, reenacted § 2247 of the 1952 Code, § 9-11 herein. Ord. No. NS-1094, § 2, amended § 9-11 by revising the number and type of reports required.

Department heads shall furnish the executive director of human resources with written reports of any disciplinary action involving loss of pay, and of any especially noteworthy communication or oral commendation or condemnation received or written by the department head relative to the performance of any employee.

(Code 1952, § 2248; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2946, § 3, 6-5-18)

Eight (8) hours shall constitute a normal day and forty (40) hours of work shall constitute a minimum workweek for full-time employees, except for employees for whom special provisions have been approved by the council. Employees shall be in attendance at their work during prescribed hours and shall not absent themselves during prescribed hours without approval of the department head.

(Code 1952, § 2250; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-787, § 1, 3-15-65; Ord. No. NS-994, § 1, 12-1-69; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2285, § 3, 5-6-96)

Amendment note—Ord. No. NS-994, § 1, reenacted § 2250 of the 1952 Code, § 9-14 herein.

All departments shall keep attendance records prescribed by the city manager and shall transmit them to the executive director of human resources on the dates he or she shall specify.

(Code 1952, § 2251; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2232, § 1, 9-19-94; Ord. No. NS-2946, § 3, 6-5-18)

Employees in the competitive service shall not engage in any employment or sales or service outside of their regular city employment, except with the written approval of the department head and consent of the city manager. Such permission may be granted for intermittent or casual employment in sales, services or in connection with educational programs, if the request contains a statement as to the nature and frequency of the employment. The said application shall be denied by the department head or city manager if he or she has reasonable cause to believe that such outside employment will be inconsistent, incompatible, in conflict, or interferes in any way with the proper performance of the duties as a city employee. Permission to engage in outside employment will be granted for a period not to exceed six (6) months and extensions may be granted by the department head for additional six-month periods. The personnel board may, upon request of the employee, review any action taken pursuant to the provisions of this section and report its findings to the city council and the city manager.

(Code 1952, § 2275; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2232, § 1, 9-19-94)

The vacation and sick leave provisions of these rules and regulations shall apply to all regular full-time city employees of the excepted service who are eligible to become members of the state employees' retirement system

(Code 1952, § 2276; Ord. No. NS-277, § 2, 9-3-57; Ord. No. NS-2232, § 1, 9-19-94)

Editor's note— Ord. No. NS-2232, § 1, adopted Sept. 19, 1994, set out provisions repealing § 9-18, which pertained to accidents or disease sustained in connection with city employment and derived from Code 1952, § 2277 and Ord. No. NS-277, § 2, adopted Sept. 3, 1957.

Editor's note— Ord. No. NS-2232, § 1, adopted Sept. 19, 1994, set out provisions repealing § 9-19, which pertained to death of any city employee and derived from Code 1952, § 2278 and Ord. No. NS-277, § 2, adopted Sept. 3, 1957.

Editor's note— Ord. No. NS-2150, § 1, adopted Nov. 18, 1991, repealed § 9-20 in its entirety. Former § 9-20 pertained to persons excluded from retirement plans under charter § 1400 and derived from Ord. No. NS-1460, § 1, adopted Nov. 20, 1978.