Stockton Municipal Code Title CSR Civil Service Rules and Regulations

Addendum 1. City of Stockton Civil Service Rules and Regulations for Miscellaneous Employees

Sec. 1. Definition of terms.

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

COSIP:

The City of Stockton Internship Program, which provides training and experience opportunities in part-time and volunteer positions for college students. Work hours shall be less than 1000 hours in a fiscal year. Upon successful completion of the program, candidates become eligible to compete for full-time promotional examinations.

Allocation:

The assignment of a single position to its proper class in accordance with the duties performed, and the authority and responsibilities exercised.

Alternate Staffing:

The process by which a qualifying employee is promoted to a higher level upon attainment of the required level of knowledge, skills, and abilities or the attainment of specified licenses or certificates; or is hired at any level of a class series based upon the needs of the hiring department. Alternate staffing patterns exist when a class series has two or more levels where an employee may be initially appointed to any level in the series and can be promoted from the lower level to the higher level without further testing. Alternate staffing has four categories:

(a)

Automatic.

After successful completion of a one-year probationary period, an employee is automatically advanced to the second level.

(b)

Discretionary.

After successful completion of the one-year probationary period and one additional year of experience, an employee may be advanced to the second level if proficiency has been demonstrated.

(c)

Deep class.

Employees may be assigned to any level of the classification and may be advanced upon attainment of the required education, experience, and proficiency levels.

(d)

Apprentice programs.

Employees may be promoted after completion of the required apprenticeship or training program.

Applicant:

A person who has made a formal request, on the prescribed form, to take a civil service examination.

Appointing Authority:

The officers of the City who, in their individual capacities, or as a board, Commission, or City Council, have the final authority to make the appointment to the position to be filled.

Appointment:

The offer and acceptance of a position in the classified service in accordance with these rules.

Candidate:

Any applicant who has been deemed qualified to take a civil service examination.

Civil Service Ordinance:

Chapter 2 of the Stockton Municipal Code (Ordinance No. 1606), and amendments thereto, which creates a Human Resources System for the City.

Class:

All positions in the competitive service that are so similar in duties, authority, and responsibilities as to permit grouping under a common title and the application with equity of common standards for selection, compensation, and other human resources procedures.

Classification Plan:

The record of all positions in the classified service consisting of classes of positions defined by specifications, to include title, description of typical duties and responsibilities, statement of training, education, experience, and other qualifications required of the position.

Commission:

The Civil Service Commission established pursuant to section 2502 of article XXV of the Charter of the City of Stockton.

Competitive Service:

The positions and employments occupied by officers and employees that are included, or that may hereafter be included, under the Civil Service System of the City.

Demotion:

A reduction to a class having a lower rate of pay, or a change in duties that are allocable to a class having a lower maximum rate of pay.

Dismissal:

The permanent separation of a regular employee from the service for a stated cause.

Eligible:

A person who may legally be appointed to a vacant position in the competitive service as provided by the Civil Service Ordinance and these rules.

Eligible Lists:

A list of names of persons who have (a) taken an examination for a position in the competitive service and passed; (b) been laid off in the competitive service as provided in section 4, rule XII; (c) been certified as eligible as provided in section 12, rule VI; or (d) met all requirements of a lateral-entry candidate or Police Officer Recruit as established by the Civil Service Commission.

Examination:

(a)

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.

(b)

Unassembled examination:

A test consisting of an appraisal of training, education, experience, work history, or any other means for evaluating other relative qualifications of applicants with or without the necessity for their personal appearance at a specified place.

Lateral Entry:

An applicant who has passed an unassembled examination consisting of an appraisal of training, education, experience, work history or any other means for evaluating relative qualifications.

Limited Term Eligible:

Temporary, Provisional, and Part-Time employees serving in an unclassified status, who have been selected from an eligible list for their current position or in a position with comparable qualifications, skills, duties, and responsibilities (as determined by the Director of Human Resources or Chief Examiner, in accordance with the relevant provisions of Rule VII), who have successfully completed 3042 hours or more of continuous service (as evidenced by the employee's personnel file), and have passed an unassembled examination for the position currently held, or a comparable position.

Non-Competitive Service:

The positions and employments occupied by officers and employees that are excluded, or that may hereafter be excluded from the Civil Service System of the City by Stockton Municipal Code chapter 2 (Ordinance No. 1606), and amendments thereto.

Personnel Officer:

The City Manager of the City of Stockton, or designee.

Police Officer Recruit:

An eligible that is currently enrolled in and attending a certified Peace Officer Standards and Training Academy and has successfully completed a POST Entry Level Law Enforcement Test.

Promotion:

A change in employment status to a class with a higher maximum rate of pay.

Provisional:

The status of an otherwise qualified employee who was appointed in the absence of an appropriate eligibility list as provided for in these rules.

Reclassification:

The reassignment of a position or group of positions to the occupational classification that most accurately reflects the duties being performed and responsibility level.

Regular Employee:

An employee who has successfully completed the probationary period and has been granted regular status as hereafter provided in these rules.

Rejection from Probation:

The separation of an employee from the service during the probationary period.

Salary Advancement:

A salary increase within the limits of the pay range established for a class.

Suspension:

The temporary separation from the service of an employee without pay, for disciplinary purposes.

Transfer:

A change from one position to another position in the same class or in another class requiring comparable qualifications and carrying substantially the same salary range.

Vacancy:

Any unfilled allocated position in the classified service. A position is considered vacant when it is not filled by a probationary or regular employee in the class to which the position has been allocated.

(Amended by Resolution CS97-003, 01/16/97; amended by Resolution CS03-058, 08/07/03; CS04-088, 08/19/04; amended by Resolution CS05-156, 11/17/05; amended by Resolution CS06-074, adopted 06/01/06; amended 02-01-07 by Resolution CS07-011; amended by Resolution CS08-047, 03/20/08; amended by Resolution CS09-050, 9/03/09; amended by Resolution CS2017-10-19-1201)

Sec. 1. Unlawful employment practices.

(a) No question in any examination in any application for, or any other Human Resources proceeding, or of any appointing authority, shall be so framed as to attempt to elicit information regarding race, religion, color, national origin, ancestry, disability, marital status, pregnancy, medical condition, gender, sexual orientation, or political opinions or affiliation of an applicant, eligible or employee, except as required by law.

(b) No appointment to or removal from a position in the competitive service shall be affected or influenced in any manner by race, religion, color, national origin, ancestry, disability, marital status, pregnancy, medical condition, gender, sexual orientation, or political opinions or affiliation, except as required by law.

(c) No Human Resources proceeding or any appointing authority shall discriminate in any aspect of employment because of race, religion, color, national origin, ancestry, disability, marital status, pregnancy, medical condition, gender, sexual orientation, or political opinions or affiliation, or any nonmerit employment action.

(5374, 3/15/79; amended by Resolutions CS03-058, 08/07/03)

Violation of the provisions of the rules shall be grounds for rejection of application, removal from an eligible list, dismissal or other disciplinary action.

Sec. 3. Adoption, amendment or repeal of rules.

(a) Adoption of new rules, or amendment or repeal of an existing rule, shall require the submission in writing of the proposed action at a previous meeting of the Commission, either by the Personnel Officer or by a member of the Commission, and posting in accordance with section 4 of this rule.

(b) New rules, or amendments, revision or repeal of an existing rule, shall become effective upon approval or adoption by the Commission.

(CS02-045, 05/16/02; CS03-058, 08/07/03; amended by Resolutions CS07-079, 06/07/07)

(a) Responsibility. The responsibility for postings of documents and notices required to be posted under these rules shall be borne by either the Secretary of the Commission, the Director of Human Resources, or the Chief Examiner as set forth in this section.

(b) Manner of Posting. All documents and notices required to be posted under these rules shall be posted by at least two of the following mediums: deposited in the United States mail; transmitted by facsimile, electronic mail, Internet, or Intranet; placed in a daily newspaper printed and circulated in the City of Stockton; placed on a City or departmental bulletin board; or broadcast on the government access cable channel. The Secretary of the Commission, the Director of Human Resources, or the Chief Examiner shall be authorized to determine the best method and places of posting so as to ensure proper notice in accordance with these rules and all other applicable federal, state, and local laws and rules.

(c) Place of Posting. The Secretary of the Commission, the Director of Human Resources, and/or the Chief Examiner shall determine the location of posting of any document or notice required to be posted under these rules; provided, however, that such locations shall include public places that will give as widespread and prominent circulation as is practicable and conducive to securing as many qualified applicants as possible.

(1) For the purpose of this rule, "public places" shall include the Internet, Intranet, City and departmental bulletin boards, government cable access channel, and such other places as determined by the Secretary of the Commission, the Director of Human Resources, or the Chief Examiner.

(d) Time. All documents and notices required to be posted under these rules, shall be posted within the times set forth below:

(1) Notice of proposed changes to these rules and the Classification Plan shall be posted at least five calendar days before final action is taken.

(2) Notice of examinations, including promotional examinations, shall be posted at least 15 calendar days prior to the date set for the examination.

(3) Examination results shall be posted immediately after certification; except that examination results for continuous examinations shall be posted by the Chief Examiner as soon as practicable after completion of the examination.

(4) Notices of public hearings, appeals, and all other actions before this Commission requiring notice shall be posted in accordance with the timelines set forth in the notice requirements for such actions. The Secretary of the Commission shall be deemed to have given notice of a public hearing, appeal, or other action on the date when the notice is: deposited in the United States mail; transmitted by facsimile or electronic mail; first posted on the Internet, Intranet, or City or departmental bulletin board; first published in a daily newspaper printed and circulated in the City of Stockton, or first broadcast on the government access cable channel. (Section 4 Added by Resolution CS07-079, 06/07/07)

Sec. 1. Meeting.

Regular meetings of the Commission shall be held on the third Thursday of each and every month, at the hour of 3:00 p.m., in an office or room provided for the Civil Service Commission in the City Hall, Stockton, California. Special meetings may be held on the call of the Chair, Vice-Chair or any three members of the Commission, notice of which shall be given as prescribed by the Ralph M. Brown Act.

(CS03-058, 08/07/03; CS05-079, 06/16/05; amended by Resolutions CS10-014, 06/17/10)

Three members of the Commission shall constitute a quorum for the transaction of business and no action may be taken by the Commission unless it is concurred in and adopted by the affirmative votes of at least three members of the Commission.

Sec. 3. Hearings and investigations.

(a) Public Hearings. Hearings conducted by the Commission shall be public, unless the Commission by unanimous vote shall determine that a private hearing is necessary to secure all the facts in the case. Whenever such a finding is made, the Commission may limit attendance at the hearing to the members of the Commission, the Personnel Officer, the employee requesting the hearing, the officer or officers from whose action the appeal was taken, and such witnesses and other persons as the Commission may require to be present.

Hearings and investigations that the Commission is authorized to conduct shall be conducted as a body, but special investigations and detailed work may be delegated to a single member or to the Personnel Officer.

(b) Procedures. The procedure of any hearing or investigation shall be informal and shall not be restricted so as to deny the introduction of any evidence that the Commission may deem pertinent. Unless incapacitated, a person pressing a claim or defending a privilege before the Commission shall appear personally and shall not be excused from answering questions and supplying information except upon claim of constitutional privilege in respect to self-incrimination.

(c) Decisions. All decisions, opinions, and recommendations arising from a hearing or investigation by the Commission shall be written and subscribed to by the members concurring, and shall be counter-signed and filed as a permanent record by the Personnel Officer. Any member may submit a minority or supplemental report which shall be filed as a matter of record.

(Amended by Resolution CS03-058, 08/07/03)

In the event that a quorum is not present at the time and place set for the public hearing, it shall be automatically continued to the next regular meeting of the Commission.

Sec. 5. Closed sessions.

(a) Policy. It is the policy of the Civil Service Commission that all actions taken by it shall be public and that all deliberations shall be openly conducted so that the right of the public to participate is protected, except as provided herein.

(b) Closed Session Items. The Commission shall adjourn to closed session whenever it is determined that an issue before it demands confidential deliberation and closed session is allowed in accordance with Government Code sections 54950, et seq. Items referred to closed session shall include, but shall not be limited to:

(1) Review of examination results;

(2) Review of complaints, grievances, appeals, and other matters where charges have been filed against an employee;

(c) Participants in Closed Session. Each member of the Commission, legal counsel, City Clerk, and such staff as designated by the Commission shall be present in closed session.

(d) Form and Manner of Notice. All closed session items shall appear on the agenda, which agenda shall be made available to the public, and shall clearly state the date, time, and place of the closed session, along with descriptions of the items to be discussed. Disclosure of information that would harm the Commission, the City, individual persons, or the public interest shall not be disclosed on the face of the agenda.

After adjourning from closed session, legal counsel or such other appropriate staff shall provide an oral report on any action taken in closed session.

(e) Transcription of Closed Session. All closed sessions shall be transcribed by the City Clerk and retained in the archives of the Commission.

(Amended by Resolution CS05-064, 05/19/05, adding Sec. 5 (a)-(e))

Sec. 1. Preparation of classification plan.

The Director of Human Resources shall ascertain and record, or cause to be ascertained and recorded, the duties and responsibilities of all positions in the Classified Service and, after consultation with heads of departments affected and discussing the effects thereof with collective bargaining units, shall recommend a classification plan for all positions in the Classified Service. The classification plan shall consist of classes of positions in the Classified Service defined by class specifications, including title, a description of typical duties and responsibilities of positions in each class, a statement of training, education, experience and other qualifications to be required of applicants for positions in each class. The classification plan shall be so developed and maintained that all positions substantially similar with respect to duties, responsibilities, authority and character of work are included within the same class, and that the same schedules of compensation may be made to apply with equity under like working conditions to all positions in the same class.

(CS03-058, 08/07/03; amended by Resolutions CS07-058, 04/19/07)

Before becoming effective, the Classification Plan shall be presented to the Commission, which shall hold public hearings after notice has been posted in accordance with rule II, section 4 of these rules, and shall adopt the plan with such revisions as it shall deem necessary.

(CS07-058, 04/19/07; amended by Resolutions CS07-079, 06/07/07)

Sec. 3. Right of appeal.

After the classification plan has been adopted by the Commission, the Director of Human Resources shall allocate every position in the Classified Service to one of the classes established by the plan. Any employee shall have the right to appeal to the Commission concerning the allocation of his or her position in accordance with section 2003 of the Civil Service Ordinance.

(CS03-058, 08/07/03; amended by Resolutions CS07-058, 04/19/07)

(a) Authority and Duties of Director. In accordance with Stockton Municipal Code section 2-007, the Director of Human Resources is hereby authorized, on behalf of the Civil Service Commission, to maintain and approve the class specifications making up the Classification Plan set forth in this rule. Subject to the provisions herein, the Director of Human Resources shall have the authority and duty to:

(1) Allocate new positions to a class based on the level and type of assigned duties as applicable under this rule. Several positions may form a class when it is determined by the Director of Human Resources that the duties are at the same level of responsibility and duty.

(2) Analyze a position through a job analysis to determine if the level and/or function of the assigned responsibilities have changed significantly or are no longer consistent with the existing class, and reclassify the position to an appropriate level. The status and rights of a reclassified employee shall be governed by section 4(b), below.

(3) Change the title of a class without affecting the classification of the position or the status of the incumbents. All employees with regular Civil Service status shall have continued regular status in the retitled class. Eligibles on a list in the former class shall continue as eligibles for the retitled class.

(4) Amend class specifications as necessary to reflect the major duties of positions within the class and the job related knowledge, skills, and abilities necessary to perform the functions of the class.

(5) Abolish or consolidate classes consistent with the Classification Plan. When two or more classes are combined into one new, existing, or amended class, and if any of the classes involved are abolished, an employee who has regular Civil Service status within the abolished class is granted status to the new, existing, or amended class, subject to the provisions of this rule.

"Status" is granted after successful completion of the probationary period and is defined as the right of an employee to perform certain duties in a specific class. Status is granted to a class and not to a specific position within a class.

(6) Divide or separate classes. When a class is divided into two or more classes, an employee who has regular Civil Service status within the class that is divided is granted status in the new class or classes that reflect the primary responsibility of the employee. The determination of which class or classes reflect(s) an employee's primary responsibilities shall be made by the Director of Human Resources.

(b) Effects of Reclassification. When a position occupied by an employee with regular Civil Service status is reclassified upward, in accordance with section (a)(2), above, the employee is given status in the new, existing, or amended class subject to the limitations provided in this rule.

Except as provided elsewhere in this rule, when a position occupied by an employee with regular Civil Service status is reclassified downward, in accordance with section (a)(2), above, the employee may choose one of the following options: (1) accept the downward reclassification consistent with applicable bargaining unit provisions; (2) reassign to a vacancy within the same class and department; (3) request transfer to a vacant position to a class in another department; (4) reinstate to a vacant position previously held by the employee as provided elsewhere in these rules; (5) accept the downward reclassified position with reinstatement rights to the next available Citywide vacancy in the class held by the employee at the time of the downward reclassification; or (6) exercise Civil Service layoff ("bumping") rights.

If the employee elects to accept the downward reclassification with reinstatement rights, the employee must accept the first available open position for which the employee is qualified. If no position becomes available within one year from the effective date of the action, all status to the previous classification is forfeited, unless an extension is granted by the Director of Human Resources.

(No. 5995, 9/16/82; CS03-058, 08/07/03; amended by Resolutions CS07-058, 04/19/07)

(a) Contents. A class specification shall be the official description of the class or position. The class specification shall describe the class but shall not be considered as a restriction on the assignment of duties not specifically listed therein. The class specification is intended to indicate the kind of positions that should be allocated to a class but shall not be considered as describing all duties and responsibilities of each individual position allocated to the class. The specification shall give examples of the significant and typical duties assigned to the positions in the class, the minimum requirements for application to the positions in the class, and any special requirements. The appointing authority shall have the authority to assign an employee to perform work provided that it is consistent with the type of duties and level of responsibility of the class.

(b) Approval. The Director of Human Resources shall approve all new or amended class specifications. A class specification shall be deemed approved when the Director of Human Resources affixes his or her signature thereon and it is filed with the Secretary of the Commission

(c) Filing of Official Copy. The Director of Human Resources shall maintain an accurate and complete copy of each class specification in the Classification Plan, which shall be designated as the "Official Copy." The Secretary of the Commission shall maintain a complete and accurate copy of the entire Classification Plan in the official records of the Commission, which shall be open for public inspection. The Director of Human Resources shall notify the Commission of all classification changes by placing an item on the Commission's regular agenda.

(d) Notwithstanding any other provision of this rule, if the Commission, in its sole discretion, determines that the approved class specification is not in conformance with its rules and regulations, then it may, on its own motion, either accept, deny, or modify the action of the Director of Human Resources.

(e) No person shall be appointed or employed to fill any position in the Classified Service until the position has been allocated to a class, or the classification plan has been amended to provide therefor.

(Added by Resolution CS07-058, 04/19/07)

(a) The allocation or reallocation of a position shall not adversely affect the Civil Service rights of an employee legally holding a position under regular appointment. If there is an adverse affect on the Civil Service rights of an employee legally holding such a position under regular appointment, such allocation or reallocation shall be effected when the position becomes vacant by reassignment, attrition, or other reason, except when earlier implementation is approved by mutual agreement with the employee or the appropriate recognized collective bargaining unit. Pending such reallocation, the incumbent shall continue in the position.

(b) Employees who are appointed by status in the same department shall not be required to complete a new probationary period.

(c) Employees who have not yet completed probation in the class subject to reclassification shall be required to complete the remainder of the probationary period in the new class.

(Added by Resolution CS07-058, 04/19/07)

(a) Right of Appeal. Any employee, employee representative, or appointing authority affected or aggrieved by a classification action of the Director of Human Resources may appeal the action to the Civil Service Commission. The appeal shall be in writing, stating the basis on which the appeal is based and shall be subject to the provisions of rule XIV of these rules.

(b) Notice. The Director of Human Resources shall notify the employee, employee representative, and the appointing authority of any proposed changes in classification or status of regular status employees and shall provide a reasonable period for comment or protest.

(c) Final Decision. The decision of the Civil Service Commission with respect to the appeal of a classification action shall be final and not subject to reconsideration.

(Added by Resolution CS07-058, 04/19/07)

(Rule V, Compensation was deleted by Resolution No. 5796, 3/19/81)

Rule VI. APPLICATION AND EXAMINATION

Sec. 1. Announcement of examinations.

(a) Published Notice. Whenever an examination is to be given for a position in the competitive service, the Chief Examiner shall cause notice of such examination to be published at least once in a daily newspaper printed and published in the City of Stockton. The contents of the published notice shall specify the title and probable rates of pay for the class, the method of submitting application, and the final filing dates on which applications will be accepted. The Chief Examiner shall also cause said notice to be posted in accordance with rule II, section 4 of these rules.

(b) Contents of Job Bulletin. Job Bulletins shall specify the title and probable rates of pay of the class, the nature of the work to be performed, the minimum qualifications required for admission to the examination, the method of submitting application, the final dates on which applications will be accepted and other pertinent information consistent with the provision of these rules.

(c) Posting. Notice of promotional examinations, which are open to qualified regular employees, qualified COSIP interns who meet the criteria set forth in Section 2 (5)(b), and qualified federally funded employees who have successfully completed six months or more of continuous service, shall be given by posting a copy of the notice in accordance with rule II, section 4 of these rules.

(5064, 06/16/77; CS02-045, 05/16/02; CS03-063, 09/04/03; CS07-079, 06/07/07; CS08-047, 03/20/08; amended by Resolutions C.S. 2016-04-21-1101)

(a) Form. Application shall be made on the forms provided by the Personnel Officer. Such forms shall require information covering training, education, experience, and other pertinent information, and may include a request for fingerprints. All applications must be completed and signed by the person applying.

(b) Eligibility Requirements. All applicants for classified employment, including transitional and COSIP employment, must meet the minimum qualifications as set forth in the job announcement. Specified positions may be required to successfully complete a background investigation, which may include a polygraph and/or voice stress analysis test and psychological examination, and/or a California Department of Justice fingerprint clearance.

After a background investigation, including a polygraph and/or voice stress analysis test and psychological examination, the Human Resources Director may reject or disqualify any applicant in accordance with section 3 of this rule.

Lateral-entry, COSIP, and transitional applicants must meet the following requirements:

(1) Lateral-Entry Police Telecommunicator Applicants. To be eligible as a Lateral-Entry Police Telecommunicator, an applicant must (i) be currently, or within the past 12 months, employed as a Telecommunicator with a public agency or a similar situation or equivalent as determined by the City; (ii) completed a probationary period as a Telecommunicator or equivalent position with another public agency or a similar situation; (iii) possess a current P.O.S.T. Telecommunicator certification; and (iv) have experience in a public safety dispatch system.

(2) Lateral-Entry Fire Telecommunicator Applicants. To be eligible as a Lateral-Entry Fire Telecommunicator, an applicant must (i) possess two years of full-time experience as a telecommunicator or dispatcher in a public agency or a similar situation; and (ii) possess or be able to obtain other licenses and certificates required to perform the job as determined by the City.

(3) Lateral Fire Fighter Trainee. To be eligible as a lateral-entry Fire Fighter Trainee, an applicant must: possess a high school diploma or GED; possess, or be able to obtain prior to appointment, and maintain a valid Class C or greater driver's license; possess an EMT Certification from a California County Emergency Services agency or National Registry or Paramedic Accreditation from a California Emergency Medical Services agency or National Registry; possess or able to acquire and maintain, within one year of employment, current certification as an Emergency Medical Technician/Level I or Paramedic issued in San Joaquin County; possess four continuous months (within the last 12 months), in good standing, of full-time (includes seasonal) paid work experience fighting fires in a municipal fire service agency, fire protection district, or state or federal fire agency as of the date of appointment; and must possess a Fire Fighter I certification from either California State Fire Training (CASFT), International Fire Service Accreditation Congress (IFSAC), or the National Board of Fire Service Professional Qualifications (The ProBoard); and must have successfully completed a CPAT examination within 12 months prior to date of appointment.

(4) Transitional Applicant. To be eligible as a transitional applicant, the employee must have been initially hired from or be currently on an eligibility list, be currently employed in the position applying for, or in a comparable position (as determined by the Director of Human Resources), and must have successfully completed 3042 hours or more of continuous service (as evidenced by the employee's personnel file and most recent performance evaluation). The transitional eligible shall make application in the same manner set forth in section 2(a), above.

(5) COSIP Interns. (a) Entry into Program. Students who apply to COSIP and meet the program requirements and minimum qualifications as indicated in the position specification shall be placed on the COSIP eligible list.

(c) Eligibility for Promotional Examinations. COSIP interns must apply for full-time promotional examinations within 120 days of completion of all graduation requirements. Such interns must have attained a minimum grade point average of 3.0; must meet the minimum requirements for the position; must have successfully completed one year of continuous service working a minimum average of 12 hours per week in COSIP (relevant volunteer, part-time, or full-time work experience with the City of Stockton as evidenced by the employee's personnel file and most recent performance evaluation); to be eligible to compete in promotional examinations.

(CS97-003, 01/16/97; CS 00-028, 4/20/00; CS02-033, 04/18/02; CS03-063, 09/04/03; CS04-088, 08/19/04; CS05-093, 07/21/05; CS06-034, 02/16/06; CS08-047, 03/20/08; CS08-048, 03/20/08; CS2014-06-19-1101; CS2020-05-21-1201; amended by Resolutions CS2020-10-15-1201)

(a) Disqualification. The Director of Human Resources has the authority to disqualify candidates consistent with the provisions of these rules. The following shall constitute grounds for disqualification of a candidate:

(1) Failure to meet any of the requirements or qualifications established for the classification;

(2) False statement of material fact or actual or attempted deception, fraud or misconduct in connection with the application or examination;

(3) Conviction of an offense (including pleas of guilty or nolo contendere) in accordance with state and federal laws;

(4) A determination has been made that the candidate cannot perform the essential job functions of the classification, with or without accommodation, for which he or she has applied;

(5) Been dismissed from public service, or has resigned in lieu of dismissal;

(6) Failed to submit an application and/or related supplemental documents within the prescribed time limits;

(7) Has otherwise failed to meet the City's employment standards or violated the provisions of the law, or these rules; or

(8) Where there exists any other evidence deemed appropriate by the Director of Human Resources to reasonably disqualify.

(b) Frivolous Applicants. When the Civil Service Commission of the City of Stockton believes for any reason that an applicant for a position in the classified service does not intend to take the position when offered, it may move to call the applicant before the Commission at its next regular or special meeting. Notice shall be given to the applicant.

At this next regular or special meeting the Commission may ask the applicant if he or she intends to take the position if it is offered. If the applicant fails to reply in the affirmative the Commission may, in its discretion,: (1) if the applicant has not yet taken the examination for the position, reject the application to take such examination; or (2) if the applicant has taken the examination but it has not yet been scored, order the chief examiner not to score the examination paper; or (3) if the applicant has been placed on the eligibility list for the position, order the applicant's name to be stricken from said eligibility list.

(c) Appealability. The removal of a name from an eligible list due to failure to complete and/or successfully pass a background investigation is not appealable to the Commission.

(CS03-063, 09/04/03; CS07-096, 07/19/07; amended by Resolutions 2016-12-15-1001)

Examinations may be assembled or unassembled and may consist of written or oral tests, performance or demonstration tests, examinations of physical or mental fitness, or any combination thereof, but shall be designed to test the relative ability of applicants to perform the duties of the class to which appointment is sought.

(Amended by Resolution CS03-063, 09/04/03)

Sec. 5. Conduct of examination.

The Personnel Officer shall conduct all examinations or shall designate some competent person or agency to conduct all or any part thereof or to participate therein, or to contract with any competent agency or individual to score examinations. The Personnel Officer shall arrange for the use of facilities and equipment for the conduct of examinations and shall render such assistance as shall be required with respect thereto.

(CS97-044, 5/1/97; CS03-063, 09/04/03; amended by Resolutions CS2015-10-15-1101)

(a) Qualifying Factors. In all examinations, the minimum grade or standing for which eligibility may be earned shall be based upon all factors in the examination, including educational requirements, experience, and other qualifying elements as shown in the application of the candidate or other verified information. Failure in one part of the examination may be grounds for declaring the applicant as failing in the entire examination, or as disqualified for a subsequent part of the examination.

(b) Minimum Score. Applicants shall be required to attain a score of not less than 70% in each part of the examination and general average of not less than 70% in order to qualify in an examination; except that in a promotional examination, it may be within the discretion of the Chief Examiner to require a higher general minimum average.

(c) Adjusted Scores. In written tests the percentage used to represent the minimum score need not be the arithmetic percentage of the total possible score, but may be an adjusted score based on a consideration of the difficulty of the test and the quality of the competition; provided that such adjusted score shall be established by the Chief Examiner before the identification of applicant's test papers.

(5710, 9/18/80; amended by Resolutions CS03-063, 09/04/03)

The Commission shall provide for the award of five points in favor of all applicants for appointment or employment under Civil Service, who have served on active duty in any branch of the United States Armed Forces, including the National Guard and the United States Coast Guard, for at least 181 consecutive days and have been honorably discharged. These credits shall apply to entrance examinations only.

(CS03-063, 09/04/03; amended by Resolutions CS04-056, 05/20/04)

(a) Inspection of Written Examinations. During the inspection period, as set forth in subsection (b) of this section, participants on a written examination may inspect a copy of the examination in the presence of a designated representative of the Director of Human Resources. This privilege does not extend to examinations used on a continuous testing basis, standardized examinations, copyrighted examinations, examinations obtained through a testing agency where contractual provisions prohibit the exposure of content, or when, in the judgment of the Chief Examiner, this exposure would damage the examination's reliability or validity.

(b) Inspection Period for Written Examinations. Except as provided in section 8(a), the inspection period is that period beginning the third work day immediately following the administration of the written examination and ending five work days later. The duration of any examination inspection shall not exceed one hour. Only one inspection shall be allowed. This period may be extended if, in the judgment of the Director of Human Resources, the number of requests of participants for inspection exceeds the work time available for such inspection.

(c) Protest Period for Written Examinations. The protest period is that period beginning the third work day immediately following the administration of the written examination and ending 10 working days later. During this period, any participant may file with the Director of Human Resources a written protest, on the form prescribed, setting forth the question number and reasons and/or authority in support of the protest. Such protests shall be deemed the only proper and legal reference to specific test items and their general content, and as such, shall not be a violation of section 11(b).

(d) Evaluation of Protests. The Director of Human Resources shall submit such protests to the test consultant that developed the examination for prompt evaluation and recommendation. The results of such evaluation shall be submitted to the Commission as soon as practicable after receipt from the test consultant.

(e) Public Hearing. The Commission shall schedule a public hearing to vote upon the protests. The examination will then be scored under a method determined by the Commission.

(CS 5040, 4/21/77; amended by Resolutions CS03-063, 09/04/03)

(a) Qualifications for Open/Promotional Examinations. Whenever an examination is held, the Chief Examiner shall permit qualified regular employees holding positions in the lower classes and eligible COSIP interns to compete in the examination on a promotional basis. To qualify for the promotional eligible list, the employee and/or intern must attain a final examination grade as required by the Chief Examiner except that in a promotional examination, it is within the discretion of the Chief Examiner to require a higher general minimum average. ((a) amended by Resolutions CS08-102, 10/02/08; CS08-047, 03/20/08)

(b) Procedure. After a review of the number and types of vacancies to be filled and the number of employees who may be qualified to hold the position, the Chief Examiner shall determine whether it is in the best interest of the Classified Service to designate any examination as open/promotional, open, or promotional.

(c) Certification of Eligibility List. The Civil Service Commission shall certify all merged open/promotional, open, and promotional eligibility lists.

(d) Certification from Eligible List. The appointing authority shall have the following options to request certification of names from a merged open/promotional, promotional, or combination open and promotional eligible list:

(1) Certification of the top 10 names on the open/promotional merged eligible list; an additional name shall be certified for each additional vacancy; OR

(2) Certification of the top three names on the promotional eligible list; an additional name shall be certified for each additional vacancy; OR

(3) Certification of the top seven names from the open eligible list and the top three names from the promotional eligible list. Under this option, a combined total of 10 eligibles shall be certified to the appointing authority for one vacancy. One additional name shall be certified from either of the open or promotional eligible list for each additional vacancy.

(e) Appointment. The appointing authority shall make an appointment to fill the vacancy from among those eligibles certified pursuant to this subsection.

(f) Restriction. 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.

(g) Effect of Lay-Off on Promotional Examination. Employees who are eligible to take promotional examinations upon official announcement of the examination and are laid off prior to completion of the examination shall be allowed to complete the examination process. If successful in the examination, said eligible shall remain on the eligible list until appointed, the list expires, or two years, whichever occurs first.

(CS03-063, 09/04/03; CS07-127, 09/20/07; CS08-102, 10/02/08; amended by Resolutions CS09-057, 11/5/09)

(a) Notice. Each candidate shall be given notice of relative standing on the eligible list by mail or by posting in accordance with rule II, section 4 of these rules. Each candidate who fails to obtain a place on the eligibility list shall be given written notice in accordance with rule II, section 4 of these rules.

(b) Inspection. During the five working days immediately following the date of notice of relative standing on the eligible list, any participant shall be entitled to inspect his or her written test papers in the Department of Human Resources during regular office hours and in the presence of the director's designee.

(c) Restrictions. The inspection of a test paper shall include only the candidate's own answer sheet and scoring answer sheet. The duration of this inspection shall not exceed 15 minutes per candidate.

(d) Errors in Computing Scores. Upon the request of a candidate, the candidate shall be granted a consultation with the director and/or the Chief Examiner to discuss the correction of any item or errors in the computation of the candidate's total score, and to review the reasons for the score. The consultation may include discussion of the written, performance, oral, or other rating devices.

If an error in the marking or grading of an examination is raised by the candidate, the Civil Service Commission shall be informed at the next regular meeting. The Commission shall consider the request from the candidate and the report from the director concerning such alleged error(s). The Commission shall determine the need for correction and, if necessary, shall instruct the director to republish the eligible list as corrected by the Commission. Such correction(s) shall not invalidate any certification or employment previously made.

(5356, 2/16/79; amended by Resolutions CS03-063, 09/04/03; amended by Resolution CS07-079, 06/07/07)

(a) Every participant's marking and papers shall be subject to inspection by the employing department head and the Personnel Officer and shall also be open to public inspection at the discretion of the Civil Service Commission.

(b) Examination booklets and other documents and their contents are the confidential property of the examining contract agency and/or Commission. Any effort by any person to duplicate, reconstruct, take notes of, or in other ways reproduce the content or structure of said examination(s), except as expressly provided for in section 8(c), shall be cause for civil action on the part of the City and/or disciplinary action, including dismissal as defined in these Civil Service Rules and Regulations.

(Amended by Resolution CS03-063, 09/04/03)

(a) Establishment of Lists. After each examination has been scored and rated, the names of successful candidates shall be recorded in the order of their standing in the examination. Eligibility lists established as a result of continuous testing shall be integrated with the existing eligible list as provided in section 12 of this rule. In the event of identical ratings, names shall be arranged in order of application, date, and, if the same, then arranged alphabetically. The Commission shall certify the results of each examination conducted by other than continuous examination.

(b) Duration of Entry-Level and Promotional Eligible Lists. The period of eligibility for appointment from all classified eligible lists established by other than continuous examinations shall be at the discretion of the Commission, but will in no case exceed three years from the date the eligible list was established.

(c) Abolition of Eligible Lists. Upon the recommendation of the Personnel Officer and with the approval of the Commission, an eligible list may be abolished prior to the expiration of three years for reasons of inadequacy or other reasons consistent with the principles of merit and good personnel administration, provided that names appearing on the list by reason of layoffs shall remain effective for two years from the date of the latest separation from the service. The right of a laid off employee to have his or her name remain on an eligible list for a comparable or lower class shall not be affected by the refusal or waiver of appointment to a position never held by such laid off employee.

(d) Removal of Names From Eligible Lists. Upon the recommendation of the Personnel Officer and with the approval of the Commission, the name of an eligible may be removed from an eligible list in the event the eligible is certified to three different vacancies and is not appointed or for reasons contained in section 3 of this rule. This subsection shall not apply to laid off employees, whose names shall remain on an eligible list for a comparable or lower class until such employee is appointed to the position or the two-year period expires.

The name of an eligible that is certified to a position subject to a background investigation shall be removed from the affected eligible list for reasons of failure to successfully complete a background investigation, which may include a polygraph and psychological examination; provided, however, that the position is assigned only to a department that requires all employees to successfully complete a background investigation, which may include a polygraph and psychological examination. ((d) amended by Resolution CS05-093, 07/21/05)

Names of the eligibles shall also be removed by the Personnel Officer from the eligible list when the records of the Personnel Officer show:

(1) That said eligible person has not passed a satisfactory physical or medical examination as shown by the report of the examining physician;

(2) That, for any reason, the eligible person has been tendered employment and has not accepted the same; unless waiver of acceptance of employment has been granted by the Personnel Officer after written application has been made; or unless the eligible's name has been placed on the list as a result of layoff, in which event the eligible shall have the right to refuse appointment in accordance with subsection (d), above;

(3) That the eligible refused or neglected to respond to any first-class correspondence within a reasonable time;

(4) That the eligible has been appointed to the position for which the list was established;

(5) That the eligible has requested in writing that his/her name be removed;

(6) In the case of promotional eligible lists, that the eligible is not an employee of the City of Stockton; except, in those cases where the applicant is employed at time of application and is laid off, through no fault of his/her own, said employee will remain on such promotional list until appointed, the list expires, or two years, whichever occurs first; or

(7) That the eligible has failed to complete the Peace Officers Standards and Training Basic Academy. ((7) added by Resolution CS05-156, 11/17/05)

(e) Lateral-Entry Eligible List. Lateral-entry candidates who have passed an unassembled examination as set forth in these rules shall be placed on the lateral-entry eligible list after completion of all tests and may be certified for appointment in addition to the eligibles who successfully passed all assembled examinations. ((e) amended by Resolution CS05-156, 11/17/05)

(f) Limited Term Eligible List. Limited Term eligibles who have successfully completed an unassembled examination shall be placed on the transition eligible list and shall be certified for transition to full-time appointment in addition to the eligibles who successfully passed all assembled examinations.

(g) Police Officer Recruit Eligible List. Police Officer Recruit candidates who have passed an unassembled examination as set forth in these rules shall be ranked according to scores received in the POST Entry Level Law Enforcement Test and placed on the Police Officer Recruit eligible list after completion of requirements and may be certified for appointment in addition to the eligibles who successfully passed all assembled examinations. (Subsection (g) amended 02-01-07 by Resolution CS07-011; amended by Resolution CS05-156, 11/17/05; added by Resolution 04-083, 08/05/04)

(h) Reinstatement of an Expired Eligible List. Within 90 days of the expiration of an eligible list, such list may be reinstated for good cause, at the discretion of the Civil Service Commission, if the list is less than three years old.

Good cause for reinstatement may include, but is not limited to, any or both of the following reasons:

(1) Eligibles have been certified, but there remains an insufficient number of candidates to fill the existing vacancies;

(2) Unforeseen circumstances arise whereby the immediate needs of the City require taking such action. (Subsection (h) added by Resolution CS05-156, 11/17/05)

(Amended by Resolution CS03-063, 09/04/03; amended by Resolution CS04-088, 08/19/04; amended by Resolution CS09-057, 11/5/09)

Existing eligible lists shall be integrated with the eligible lists established as a result of subsequent examinations given for the same position. Candidates appearing on an existing eligible list established by the continuous examination process shall be permitted to compete in said examination, and shall be integrated in the new list of eligibles at their highest rating.

Candidates appearing on an eligible list established through a continuous examination process shall be permitted to compete not more than three times in any one year from the date of their first examination for the same position and shall be integrated in the eligible list at their highest score.

(5356, 2/15/79; amended by Resolutions CS03-063, 09/04/03)

(a) Grant Funded Procedures. Examinations for federal or state funded positions shall be conducted pursuant to all sections of Rule VI except: Section 1, Announcement of Examination, that part describing processing and publishing time periods. Section 6, Qualifying Grades, that portion dealing with veterans credit, all of Section 8, Eligibility Lists and all of Section 9, Integration of Eligibility Lists.

While the examination for federal and state funded positions will generally follow Rule VI procedures, the above mentioned exceptions are required on occasion to conform to the purpose, intent, or deadlines stipulated by various federal or state grant agencies.

(b) Selective Certification for Special Skills. If the Director of Human Resources, as the designated representative of the Civil Service Commission, determines that a special skill is needed for less than all positions in a class, such special skill may be tested for on a pass-or-fail basis as part of the examination for the class or, in lieu of testing, the Director of Human Resources reserves the right to accept official verification as proof of special skill. If the special skill has been tested for or verified as provided in this paragraph, an appointment to a vacancy in a position in the class which requires the special skill shall be made from among the persons possessing the special skills who are available for appointment and whose scores at the time of certification represent the 10 highest scores on an open eligible list or the three highest scores on a promotional eligible list.

(c) Appointment Procedures; Transition to Regular Civil Service Status. Candidates hired by the City of Stockton under federal, state, or local grant programs, who have completed not less than six months of satisfactory service as determined by recorded performance ratings and who have been certified by the Personnel Officer as qualified for designated classes, shall be considered "an eligible" within the meaning of section 8 of this rule. Separate eligibility lists shall be maintained for said employees and they shall be subject to removal from said eligibility list the same as any other eligible.

Employees hired under grant programs, who are otherwise qualified for transition and are laid off, through no fault of their own, shall remain eligible for transition, if at such time they are currently employed by the City in either a provisional, temporary, or part-time status. Said employee will be eligible for such transition up to two years from the date laid off.

(CS03-063, 09/04/03; amended by Resolutions CS09-057, 11/5/09)

(a) Authority. The Civil Service Commission has the exclusive power and authority to hear and decide all appeals of promotional examinations. The Commission appoints the Chief Examiner to administer all examinations and to review and determine whether all appeals filed under this section meet the standards for further review by the Commission. The final decision of the Chief Examiner shall be subject to review by the full Commission upon a valid appeal filed by the applicant or candidate in accordance with this section.

(b) Scope of Review by Chief Examiner. The Chief Examiner shall have the power and authority to consider appeals on any issue regarding the scoring and ranking of all promotional examinations, including oral examinations, practical examinations, manipulative examinations, assessment centers, and any other component comprising the non-written portions of promotional examinations.

(c) Right of Appeal. Any applicant for a promotional examination in the Classified Service shall have a right to appeal to the Chief Examiner any non-written portion of a promotional examination upon a showing of a significant irregularity in the examination process; discrimination, as defined under federal or state law; or a violation of these rules that adversely affected the examination process.

A significant irregularity in the examination process occurs when the examination is not administered in accordance with the examination plan adopted by the Commission or the examination method was not applied fairly to all competitors.

A violation of the rules occurs when any participant or administrator violates any part of the Rules and Regulations of the Civil Service Commission.

The filing of an appeal with the Chief Examiner shall not cause the promotional examination process to cease.

(d) Non-Appealable Actions. The Civil Service Commission has determined that the following subjects are not subject to appeal:

(1) Weights of Examination Components.

(2) An objection to ratings or rankings based solely on the applicant's or candidate's belief that he or she is entitled to a higher or passing score.

(3) Process and development of examinations, including, but not limited to, subjects covered in the examination.

(e) Procedures.

(1) Time and Place of Filing. Appeals shall be filed in writing with the Human Resources Department within 10 City work days of the administration of the examination component giving rise to the appeal. However, an applicant or candidate must bring to the attention of the designated Human Resources representative present at the examination site any alleged irregularity in the examination process that significantly interferes with the applicant's or candidate's performance by 5:00 p.m. of the following City work day. Such irregularities include, but are not limited to, an alleged equipment malfunction or ambiguous examination instructions. No appeals shall be accepted unless filed in accordance with this section.

(2) Format of Appeal. The appeal must be in writing and upon the form designated by the Director of Human Resources and approved by the Civil Service Commission. For each appeal, the applicant or candidate must:

State the specific grounds upon which the appeal is based

Cite the specific Civil Service Rule, if any, that was violated

Provide facts, including documents, to support the appeal

Demonstrate a rational relationship between the grounds of the appeal and the alleged harm suffered

(3) Investigation by Chief Examiner. The Chief Examiner shall investigate the basis of the appeal and shall not unreasonably deny the appeal, but shall grant the appeal and correct the exam defect, if appropriate. The Chief Examiner and/or the test consultant shall submit a written report to the Commission detailing the final decision and the steps taken to correct or cure the exam defect or detailing the reasons for a denial of the appeal.

The Chief Examiner shall deny the appeal if it is found that:

a. The appeal is untimely.

b. The subject matter is not appealable under this section.

c. The appeal does not meet the standards contained in this section, including, but not limited to, the format and contents of the appeal.

d. The appeal relates solely to an internal right of management, as defined in section 5 of City Council Resolution No. 32,538.

(4) Appeal to the Commission. If the candidate is not satisfied with the final decision of the Chief Examiner, he or she may file with the Civil Service Commission an appeal within five City work days of issuance of the final written decision of the Chief Examiner. The candidate shall file such appeal in writing with the Secretary of the Commission (City Clerk of the City of Stockton) in the same format and in accordance with the same standards set forth in subsection (e) of this section. The Secretary shall immediately forward a copy of the appeal to the Chief Examiner and shall place the appeal on the agenda for the next regular meeting of the Commission noticing the filing of the appeal.

The Commission may, upon its own motion, grant an appeal hearing to review or modify any action or decision of the Chief Examiner.

(5) Burden of Proof. The candidate shall bear the burden of proof in all appeals of promotional examinations.

(6) Effect of Appeal to Commission. The Commission may, in its discretion, certify the results of the promotional examination; provided, however, that valid appointments shall not be affected by any subsequent decision of the Commission; or the Commission may certify the results of the promotional examination but make no regular appointments from the eligibility list established thereby; or the Commission may stop the entire promotional process until such time as the appeal filed hereunder is adjudicated.

(7) Request for Public Hearing. The Commission shall review the written appeal document and the report of the Chief Examiner to determine if there is a basis for an appeal. No oral testimony will be allowed at this point; except that the appellant shall be allowed to answer any questions or provide any information requested by the Commission. The Commission shall set the matter for an appeal only if it determines (1) that the request contains a basis for appeal under subsection 15(c); (2) the matter is not subject to exclusion pursuant to subsection (d); and (3) the applicant or candidate has complied with the procedural requirements of subsection 15(e). The appearance, either personally or through legal counsel or unit representation, of the candidate making the appeal shall be required at the request for public hearing.

(8) Public Hearing and Decision. The Commission shall consider the testimony and evidence presented at the public hearing and determine whether the applicant or candidate has established by a preponderance of the evidence any of the grounds specified in subsection (c), above ("Right of Appeal"). In the alternative, the Commission, on its own motion or on motion of a party, may summarily dispose of an appeal on any of the following grounds:

a. That the appeal exceeds the scope of section 15(c) or is excluded by section 15(d) of this rule.

b. That the appeal has not been made in the required manner or within the prescribed period of time.

c. That the appeal has become moot.

d. That the applicant or candidate or representative has failed to appear at the time fixed for the hearing.

Rule VII. CERTIFICATION AND APPOINTMENT

Sec. 1. Preparation for appointment.

Insofar as practical, vacancies should be anticipated sufficiently in advance to permit the Director of Human Resources to determine who may be available for appointment, whether or not the position involved is properly classified and, if necessary, to prepare and/or amend an existing class specification and to proceed to establish a list of eligibles.

(09-19-02; CS 02-099; amended by Resolutions CS03-068, 10/02/03)

Sec. 2. Types of employment.

(a) 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.

(b) 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.

(a) 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.

(1) 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.

(2) 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.

(b) 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.

(c) 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.

(d) 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.

(a) 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.

(b) 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.

(c) 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:

(1) 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.

(2) 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.

(d) 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.

(a) 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.

(b) 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.

(c) 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.

(d) 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.

(a) 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.

(b) 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.

(c) 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.

(d) 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.

(a) 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:

(1) 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.

(2) 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.

(b) 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)

(a) 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.

(b) 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.

(c) 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.

(d) 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:

(1) That a recruitment has been requested but has not been completed;

(2) 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.

(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)

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)

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)

(a) 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.

(b) This rule does not apply in refusing or waiving temporary work nor does it apply in waivers granted to permit entrance into military service nor does it apply to reemployment in a position never held by a laid off employee.

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

Rule VIII. PROBATIONARY PERIOD AND PERFORMANCE EVALUATIONS

Sec. 1. Probation.

(a) Objective of Probationary Period. The probationary period shall be regarded as an intrinsic part of the examination process and shall be utilized for closely observing the employee's work, for securing the most effective adjustment of a new employee to the position, and for eliminating any probationary employee whose performance does not meet the required standards of work.

(b) Length of Probation. All original, transitional and promotional appointments shall be tentative and subject to a probationary period of not less than six months. The probationary period may be extended only in those cases where the appointing authority and the Personnel Officer agree that due to specific and documented performance problems an additional period would be beneficial to the employee and the City.

(1) Limitation on Extension. Any extension of the probationary period shall not exceed six months.

(2) Continuance of Probation. In the event of injury, illness, or other authorized leaves of absence in excess of 30 days or 216 hours, excluding absences for regularly scheduled vacations, the probationary period for entrylevel positions shall be continued for the same number of days or hours the employee is excessively absent from his or her regularly assigned duties. "Excessively absent" shall be defined as an accumulated absence of 14 work days or 96 work hours in a 30-day or 216-hour work period. For example, if an employee accumulates an additional 14 days or 96 hours of absences after a continued absence of 30 days or 216 hours, then such employee shall have his or her probationary period continued for not less than 14 days or 96 hours.

(3) The probationary period will also be continued for the same length of time a probationary employee is assigned to modified or light duty, unless during the modified or light duty assignment, the employee performs substantially all of the regularly assigned duties of the position to which the employee was hired. ((b) amended by Resolutions CS07-126, 09/20/07; CS07-071, 05/17/07; CS06-091, 08/03/06, adding (1) and (2))

(c) Reinstatement of Probation. An employee who has been reinstated in accordance with rule VIII of these Rules may be reinstated to the position held prior to being certified to the sworn position and shall be subject to a new probationary period beginning on the first day of reinstatement. Such employee shall not attain regular status until successful completion of the entire probationary period for that class.

(Amended by resolution CS05-065, 05/19/05, adding (c))

Sec. 2. Acceptance of probationer.

The Director of Human Resources shall notify the appointing authority two weeks prior to the termination of any probationary period. At the end of the probationary period, if the service of the probationary employee has been satisfactory to the appointing authority, then the appointing authority shall file with the Director of Human Resources a statement in writing to such effect and stating that the retention of such employee in the service is desired.

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

Sec. 3. Rejection of probationer.

(a) Original Appointment. During the probationary period, an employee may be rejected at any time by the appointing authority without the right of review of any kind.

(b) Promotional Appointment. Any employee rejected during the probationary period following a promotional appointment, shall be reinstated to the position from which the employee was promoted, unless charges are filed and the employee is discharged in the manner provided in the Civil Services Ordinance and these rules.

(c) Effect of Rejection From Sworn Service. Any employee who successfully completed six months of probation in any class in the Miscellaneous Service and who is rejected from probation after being appointed to any entry-level position in the Police or Fire Department, may be reinstated to the Miscellaneous position previously held upon written request to and approval by the Commission. This provision shall not be effective unless there is a vacancy in the affected Miscellaneous class and the Personnel Officer approves the filling of such vacancy.

(Amended by Resolution CS03-068, 10/02/03; amended by Resolution CS05-065, 05/19/05, adding (c))

Sec. 4. Performance evaluations.

(a) Policy. The Director of Human Resources shall establish and administer a policy and program for evaluating the work performance of employees in the classified service. The performance evaluation shall be designed to permit the evaluation as accurately and fairly as is reasonably possible of each classified employee's performance.

(b) Preparation of Evaluation. Performance evaluations shall be prepared by the department head or by the employee's immediate supervisor. The method of preparing, rating, and distributing performance evaluations shall be determined by the Director of Human Resources.

(c) Rating Periods. Performance evaluations shall be prepared and filed within 10 days of the following due dates:

(1) Classified employees subject to a six-month probationary period shall receive a performance evaluation upon completion of the second and fifth months of employment.

(2) Classified employees subject to a 12-month probationary period shall receive a performance evaluation upon completion of the fourth, eighth, and eleventh months of employment.

(3) Upon completion of the probationary period, classified employees shall receive performance evaluations at least once in every calendar year within 30 days following the anniversary of employment. Upon reaching the last step of the salary range, regular employees shall receive performance evaluations at two-year intervals.

(d) Special Performance Evaluations. The appointing authority or an employee's immediate supervisor may conduct a special performance evaluation at any time it is deemed necessary to record a specific performance, as set forth in the policy and procedure established by the Director of Human Resources.

(CS 02-126, 12/19/02; 10/02/03; amended by Resolutions CS03-068)

Rule IX. ATTENDANCE AND LEAVES

(Added by Resolution CS03-083, 11/20/03)

Preamble. Modification of the rules and regulations contained in this rule IX shall be permitted if made in accordance with provisions of a Memorandum of Understanding entered into pursuant to the employer-employee meet and confer process and approved by the City Council.

Sec. 1. Vacation.

(a) Entitlement. All employees in the competitive service shall be entitled to paid annual vacation leave, as determined by the accrual rate specified in the applicable memorandum of understanding or compensation plan.

(b) Effect of Resignation on Vacation Accrual. An employee who has resigned in good standing and is subsequently reinstated within one year from the date of his or her resignation shall have prior service counted in determining eligibility for increased vacation benefits, deducting therefrom the amount of time between the date of resignation and the date of reinstatement, which shall not be counted in determining eligibility.

(c) Effect of Holiday on Vacation. In the event one or more recognized holidays fall within an annual vacation leave, such holidays shall not be charged to vacation leave.

(d) Scheduling Vacation. The times during a calendar year at which an employee may take vacation shall be determined by the department head.

Notwithstanding other provisions of this section, employees who terminate employment shall be paid in a lump sum for all accrued vacation leave earned prior to the effective date of termination in accordance with the applicable MOU or compensation plan.

(4311, 1/20/72; CS03-083, 11/20/03; amended by Resolutions CS 2013-08-15-701)

Sec. 2. Sick leave.

Sick leave with pay shall be granted by the appointing authority. Sick leave with pay not granted or requested may be accumulated by the employee from year to year, and unused earned sick leave shall be unlimited, unless otherwise stated in a current memorandum of understanding or compensation plan.

(a) Scope. Sick leave, with or without pay, shall not be considered a privilege that may be used at an employee's discretion; but such sick leave shall be granted only in case of necessity and actual sickness or disability of the employee or a designated family member, as set forth in the applicable memorandum of understanding or compensation plan.

No sick leave with pay shall be earned or credited to an employee during any unpaid leave or leaves of absence granted the employee.

In order to receive compensation while absent on sick leave, the employee must comply with the provisions of the applicable memorandum of understanding or compensation plan for reporting and verification of sick leave.

(b) Physician's Certificate. The Director of Human Resources may require a doctor's certificate or other reasonable proof of illness as he/she deems necessary in order for an employee to receive an excused absence from work and sick leave pay.

(c) Refusal to Submit Affidavit. A refusal to submit to such examination, or to furnish the physician's certificate, or to file the employee's personal affidavit as herein required shall constitute good and sufficient cause for the suspension, demotion, or dismissal of the employee from the competitive service of the City of Stockton.

(d) Unauthorized Absence From Duty. If investigation by the City discloses that the employee was absent from work because of personal reasons, or for any reasons not connected with or arising from the actual illness or physical disability of the employee or a designated family member, as defined in the applicable memorandum of understanding, then the unauthorized absence of such employee or the action of the employee in filing the physician's certificate or in filing a personal affidavit, in order to claim or to receive such leave shall, in either or any of said events, constitute good and sufficient cause of the employee's dismissal from the competitive service of the City of Stockton.

In computing sick leave with pay, all municipal holidays shall be deducted and each employee shall be considered to work not more than five days each week.

(CS86-001, 1/2/86; CS03-083, 11/20/03; amended by Resolutions CS 2013-08-15-701)

Sec. 3. Military leave.

(a) Regular Employees. An officer or all employees who are members of the Armed Forces of the United States or a member of the reserve corps or force of the military, naval, or marine service, including the Coast Guard and National Guard, and are required to perform active military service, shall be granted leave of absence in accordance with applicable federal and state law. If City policy or the applicable memorandum of understanding is more generous than federal or state law, then military leave shall be governed by the regulation that provides the better benefit; EXCEPT THAT, probationary employees who are called to active duty shall be required to complete the probationary period in accordance with the provisions of rule VIII of these rules and/or the applicable memorandum.

(CS03-083, 11/20/03; amended by Resolutions CS07-126, 09/20/07)

Sec. 4. Leave of absence.

An appointing authority may, with the approval of the Personnel Officer, grant a regular employee leave of absence without pay not to exceed one year, except as provided in section 3 of this rule. Leave without pay shall be granted only upon written request of the employee. Whenever granted, such leave shall be in writing and signed by the supervising official and the Personnel Officer. Upon expiration of a regularly approved leave without pay, the employee shall be reinstated to the position of a similar class held at the time leave was granted. Failure on the part of an employee on leave to report promptly at its expiration, or within a reasonable time after notice of return to duty, shall be deemed a resignation.

(Amended by Resolution CS 03-083, 11/20/03)

Sec. 5. Hours of work.

Except as designated by the Personnel Officer, employees shall work a minimum of 40 hours per week.

(Amended by Resolution CS03-083, 11/20/03)

Sec. 6. Attendance.

Every employee in the competitive service of the City of Stockton, under the provisions of Ordinance No. 1606 of said City, shall be in regular attendance at his or her work or assigned duties for the City at the time prescribed by or for the department in which he or she is employed during the normal or regular days of employment each week, in accordance with the rules and provisions of the respective memorandum of understanding regarding hours of work, holidays and sick leave.

The heads of all departments shall cause to be kept attendance records of the employees in competitive service, which shall be reported to the Personnel Officer in the form and on the dates specified.

(Amended by Resolution CS03-083, 11/20/03)

Sec. 7. Holidays.

The dates observed as holidays shall be as set forth from time to time by resolution of the City Council.

Sec. 8. Modification by memorandum of understanding.

(Repealed by Resolution CS03-083, 11/20/03)

Rule X. EMPLOYEE MORALE AND WELFARE

(Amended by Resolution CS03-083, 11/20/03)

The Commission or the Personnel Officer, separately or together, may upon request, investigate any situation relative to the morale and welfare of the employees in the competitive service, and may make such recommendations as they deem necessary to the appointing authority and to the City Council.

Rule XI. TRAINING OF EMPLOYEES

Sec. 1. Responsibility for training.

Responsibility for developing training programs for employees shall be assumed jointly by the Commission, the Personnel Officer and supervising officials. Such training programs may include lectures, courses, demonstrations, assignment of reading matter, or such other devices as may be available for the purpose of improving the efficiency and broadening the knowledge of municipal officers and employees in the performance of their respective duties.

(Amended by Resolution CS03-083, 11/20/03)

Sec. 2. Credit for training.

Employees who enroll in and successfully complete extension, correspondence, or other special training courses shall report to the Personnel Officer their actions and progress, and the Personnel Officer shall offer such advice and assistance as may be within his or her power. The successful completion of specialized training courses shall be noted in the employee's personnel file and shall be considered in making salary increase and promotions.

(Amended by Resolution CS03-083, 11/20/03)

Rule XII. DISCIPLINARY ACTIONS

Sec. 1. Demotion or reduction in pay.

By filing a written statement of reasons with the Personnel Officer and the employee concerned, an appointing authority may demote a subordinate employee whose ability to perform the duties of the position falls below standard, for disciplinary purposes, or for any other good cause.

(Amended by Resolution CS03-083, 11/20/03)

Sec. 2. Suspension.

By filing a written statement of reasons with the Personnel Officer and the employee concerned, an appointing authority may suspend a subordinate employee without pay at any time for the good of the service, for a disciplinary purpose, or for any other just cause, including, but not limited to, insubordination, misconduct, or disobedience. Any persons so suspended may, within 10 days from the time of suspension, file with the Commission a written demand for an investigation, whereupon the Commission shall conduct such investigation. The investigation shall be confined to the determination of whether such suspension was made for political or religious reasons and whether it was made in good faith for cause. Unless dismissal action is brought as provided in these rules, such suspension shall not exceed 30 work days nor shall any employee be penalized by suspension for more than 30 work days in any fiscal year.

(6280, 6/6/85; amended by Resolutions CS03-083, 11/20/03)

Sec. 3. Dismissal.

By filing immediately a written statement of reasons with the Personnel Officer and the employee concerned, an appointing authority may at any time dismiss a subordinate employee for the good of the service or just cause. The appointing authority may withdraw or modify the dismissal within 10 days after the date on which the original notice is filed.

(Amended by Resolution CS03-083, 11/20/03)

Rule XIII. RESIGNATION

Sec. 1. Resignation.

(a) Good Standing. An employee wishing to leave the competitive service of the City in good standing shall file with the appointing authority and the Personnel Officer, at least one week before leaving, a written resignation stating the date it shall become effective and the reason for leaving. Failure to comply with this rule shall be entered on the service record of the employee and may be the cause of denying future employment by the City.

(b) Voluntary Resignation. Every employee in the competitive service of the City of Stockton who shall absent him or herself from the daily work or assigned duties for the City, without a leave of absence from the Personnel Officer, for a period of two consecutive work days, shall be deemed by such action to have voluntarily and permanently resigned from the position in the competitive service of the City of Stockton, and shall be deemed to have voluntarily and permanently severed and separated him or herself from the position in the competitive service of the City, and from the benefits of the Civil Service of the City of Stockton; and the position occupied by such employee shall be deemed vacant.

(c) Effect of Unauthorized Absence. Every unauthorized absence by an employee as herein specified, shall be deemed to be a voluntarily and permanent withdrawal from the Civil Service System of the City of Stockton, and a forfeiture of the position and classification therein, and the position occupied by the absent employee shall be deemed vacant.

(1) Every employee in the competitive service of the City of Stockton who shall be absent from daily work or assigned duties for the City, without a leave of absence from the Personnel Officer, for more than four work hours in any work day, shall be deemed guilty of misconduct, insubordination and disobedience in the discharge of duties for the City and shall be suspended by the Personnel Officer without pay for a period not exceeding the total number of days provided elsewhere in these rules for suspension.

(2) Every employee in the competitive service of the City of Stockton who shall be absent from daily work or assigned duties for the City of Stockton, without leave of absence from the Personnel Officer for an aggregate of more than 16 work hours in any calendar month, shall be deemed to have voluntarily and permanently resigned from his or her position in the competitive service of the City of Stockton, and to have forfeited his or her position and classification therein, in the manner and with the same effect as provided in subdivision (b) hereof, and the position occupied shall be deemed vacant.

(Amended by Resolution CS03-083, 11/20/03)

Rule XIV. APPEALS

Sec. 1. Complaints.

(a) Right of Employee Appeal. Any employee in the competitive service shall have the right to appeal to the Commission relative to any violation of the Civil Service Rules and Regulations, discrimination, nonmerit employment actions, conditions of employment, or employment status; except in instances when the right of appeal is prohibited by the Civil Service Ordinance or these rules.

(b) Right of Applicant Appeal. Any applicant for the competitive service shall have the right to appeal to the Commission relative to any violation of the Civil Service Rules as set forth in rules VI and VII of these rules.

(c) Notice of Complaint. It shall be the duty of the Director of Human Resources to inform each Commission member and the appointing authority or other persons complained against of the filing of the complaint or request. Such appeal must be filed within 10 days of the alleged violation.

(d) Hearing. When the employee or applicant is entitled to a hearing, the Commission shall schedule a hearing on the action pursuant to the procedures set forth in these rules and regulations.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 2. Disciplinary actions.

(a) Right of Appeal. A regular employee, if discharged, demoted, or reduced in pay, may submit a written appeal to the Commission following receipt of the written notice of discharge, demotion, or reduction in pay. Such appeal must be filed within 10 days of receipt of such notice.

(b) Notice of Appeal. It shall be the duty of the Director of Human Resources to inform each Commission member and the appointing authority of such appeal.

(c) Hearing. When the employee is entitled to a hearing, the Commission shall schedule a hearing on the action pursuant to the procedures set forth in these rules and regulations.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 3. Hearing; time; place; counsel.

(a) Notice. The Civil Service Commission shall set a time and place for the hearing. Notice shall be served personally or by registered or certified mail on the parties to the appeal not less than 30 days before the hearing. Appearance at the hearing waives the right to notice.

(b) Appearance and Counsel. The employee shall be entitled to appear personally, by counsel or a designated representative; to produce evidence; to present and cross-examine witnesses; to testify under oath or affirmation; and to argue the case. The appointing authority or person complained against shall be entitled to the same privileges.

(c) Selection of Hearing Officer. The appeal shall be heard by the Civil Service Commission, a designated Commissioner, or upon agreement of the parties and a majority of the Commission, a hearing officer appointed by the Commission.

If a hearing officer is to hear the appeal, the Commission shall request from the State Conciliation and Mediation Service a list of five qualified hearing officers. The list shall be submitted to the employee and the City. Each may reject or disqualify one name by filing with the Commission the rejection or disqualification, in writing, within five days. The Commission shall appoint a hearing officer from those names remaining.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 4. Preliminary procedures.

(a) Identification of Issues. Appellant shall identify the issues raised on appeal and shall provide a list of these issues to the Civil Service Commission or hearing officer and the City's representative at the time the appeal is filed.

(b) Witnesses and Documentary Evidence. Either party shall have the right to demand in writing that the other party provide a list of witnesses it intends to call, designating which witnesses will be called as expert witnesses, and a list of documents it intends to introduce at the hearing. Such demand shall be served personally or by registered or certified mail on the opposing party no less than 20 days prior to the date of hearing. Copies shall be filed with the Civil Service Commission or the hearing officer.

(c) Service and Discovery. Each party shall serve such respective lists on the other party personally or by registered or certified mail no less than 10 days prior to the date of the hearing. Copies shall be filed with the Civil Service Commission or the hearing officer.

(1) Listed documents shall be made available for inspection and copying at reasonable times and places prior to the hearing.

(2) Time limits provided herein may be waived by mutual agreement of the parties.

(3) The failure to list a witness or a document shall not bar the testimony of an unlisted witness or the introduction of an undesignated document at the hearing, provided that good cause for omission from the requirements of subparagraphs (b) and (c) is shown, as determined by the Civil Service Commission or the hearing officer.

(d) Production of Documents. Before the hearing has commenced, the chairperson or the hearing officer shall issue subpoenas and subpoenas duces tecum at the request of any party for attendance or production of documents at the hearing. Compliance with the provisions of section 1985 of the Code of Civil Procedure shall be a condition precedent to the issuance of the subpoena duces tecum. After the hearing has commenced, the chairperson or the hearing officer may issue subpoenas and subpoenas duces tecum.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 5. Hearing procedure.

(a) Admission of Evidence by Commission. If the Civil Service Commission hears the appeal, it may utilize the services of its counsel in ruling on the admission or exclusion of evidence and on questions of hearing procedure, and shall exercise all powers relating to the conduct of the hearing.

(b) Admission of Evidence by Hearing Officer. If a hearing officer is appointed by the Civil Service Commission, the hearing officer shall rule on the admission and exclusion of evidence and on questions of hearing procedure, and shall exercise all powers relating to the conduct of the hearing except as otherwise provided by this rule.

(c) Attendance at Hearing. The personal presence of the employee shall be required at all hearings, except when excused by the Civil Service Commission or the hearing officer upon good cause shown. Unexcused absence may be deemed a withdrawal of the appeal and consent to the action or ruling from which the appeal was taken.

(d) Testimony and Cross-Examination. The parties to the hearing are entitled to be heard, to present evidence and to examine and cross-examine witnesses appearing at the hearing. The testimony of witnesses shall be given under oath or affirmation.

(e) Types of Evidence Admitted. The hearing shall be formal, but need not be conducted according to technical rules relating to evidence and witnesses. Only relevant evidence shall be admitted and only if it is the type of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs.

(1) Hearsay. Hearsay evidence may be admitted for any purpose but shall not be sufficient in itself to support a finding unless it would be admissible over objections as in civil actions. Irrelevant and repetitious evidence shall be excluded. Oral evidence shall be taken only under oath or affirmation.

(2) Exhibits. Exhibits shall be marked and numbered. Exhibits, when offered by either party, may be received in evidence by the chairperson or hearing officer. The names of all witnesses and exhibits in order received shall be made a part of the record.

(f) Disclosure of Evidence. If the Civil Service Commission or the hearing officer intends to base a decision upon information not obtained at the hearing, the information shall be disclosed to all parties to the hearing and the parties shall have an opportunity to respond to it.

(g) Examination and Cross-Examination. Members of the Civil Service Commission or the hearing officer may ask questions of witnesses to the hearing. However, representatives of each party or parties to the hearing are limited to one further round of examination and cross-examination in response to such questions. Questioning shall be strictly limited to specific matters asked by members of the Civil Service Commission or the hearing officer.

(h) Order of Presentations. In hearings on disciplinary matters, the City shall present its case first and shall present its closing arguments last. There shall be no rebuttal. In other hearings or investigations, the order of presentation shall be determined at the discretion of the Civil Service Commission or hearing officer.

(i) Burden of Proof. In disciplinary hearings, the burden of proof shall be on the appointing authority.

(j) Witnesses. The Civil Service Commission or the hearing officer may, in the exercise of discretion and upon request of either party, exclude witnesses not presently under examination except parties, the designated representative, the appointing authority, the Director of Human Resources or a designated representative and legal counsel.

(k) Continuance of Hearings. The Civil Service Commission or the hearing officer may, on request of a party or on its own motion, for good cause shown, exercise its discretion to grant reasonable continuances.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 6. Decision.

(a) Effect of Decision by Commission. If the matter is heard by the Commission, the Commission shall affirm, modify, or vacate, in whole or in part, the challenged action to the extent permitted by the Charter.

(b) Effect of Decision by Hearing Officer. If the matter is heard by a hearing officer, the hearing officer shall, within 10 days of the close of the hearing, prepare Findings of Fact and Recommendations to the Commission to affirm, modify, or vacate, in whole or in part, the challenged action as permitted by the Charter in such form that it may be used by the Commission in reaching its decision in the case. A copy of the Findings of Fact and Recommendations shall be filed by the Commission as a public record and furnished to each party within 10 days after filing by the Commission. The Commission shall affirm, modify, or vacate, in whole or in part, the challenged action to the extent permitted by the Charter.

(c) Penalty. In arriving at a decision on the propriety of the penalty imposed, the Commission or the hearing officer may consider the records of any relevant prior proceedings against the employee in which a personnel action was ultimately sustained and any records contained in the employee's official personnel files, providing such proceedings and records were introduced into evidence at the hearing.

(d) Filing of Final Action. The final decision of the Commission shall be in writing and shall contain findings of fact and the personnel action approved, if any. The findings may be stated in the language of the pleadings or by reference thereto.

(e) Notice of Final Action. The final decision of the Commission shall be filed with the City Clerk as a public record and served personally or by registered or certified mail upon the parties within 10 days of the conclusion of the hearing, if heard by the Commission, or within 10 days of the Commission's action on the hearing officer's Findings of Fact and Recommendations.

(f) Enforcement of Final Action. The final decision of the Civil Service Commission shall be certified to the appointing authority from whose action the appeal was taken and shall forthwith be enforced and followed by the appointing authority.

(CS88-063, 8/4/88; amended by Resolutions CS03-089, 12/04/03)

Rule XV. REPORTS AND RECORDS

Sec. 1. Roster cards.

The Director of Human Resources shall maintain a service or roster of each employee in the service of the City showing the name, title of position held, the department to which assigned, salary, changes in employment status, and such other information as may be considered pertinent.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 2. Change of status report.

Every appointment, transfer, promotion, demotion, change of salary rate, and any other temporary or permanent change in status of employees shall be reported to the Personnel Officer in such manner as may be prescribed and receive prior approval before final action is taken.

(Amended by Resolution CS03-089, 12/04/03)

Sec. 3. Destruction of records.

Roster cards shall be kept permanently. All examination papers of miscellaneous employees for positions with the City of Stockton, concerning which there are not any legal proceedings commenced or pending, may be destroyed by the chief examiner and Personnel Officer of the City of Stockton, one year or more after such examination is held, provided that the Personnel Officer shall maintain a file of one sample examination paper from each examination. All other records relating to personnel, including correspondence, applications, and reports may be destroyed after three years.

(Amended by Resolution CS03-089, 12/04/03)

Addendum 2. City of Stockton Civil Service Rules and Regulations for Police and Fire Employees

Rule I. DEFINITION OF TERMS

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

Sec. 1. Salary advancement.

A salary increase within the limits of the pay range established for a rank.

Sec. 2. Allocation.

The assignment of a single position to its proper rank.

Sec. 3. Appointing authority.

The City Manager or his authorized representative who has the final authority to make the appointment to the position to be filled as prescribed by the Civil Service Act.

Sec. 4. Commission.

The Civil Service Commission established in pursuance of Article XXV of the Charter of the City of Stockton.

(Amended by Resolution CS98-074, 10/1/98)

Sec. 5. Personnel officer.

The City Manager of the City of Stockton, or designee.

(Amended by Resolution CS2017-10-19-1201)

Sec. 6. Rank.

All positions in the classified service which are so similar in duties, authority, and responsibility as to permit grouping under a common title and the application with equity of common standards for selection, compensation, and other personnel procedures.

Rank, grade and class as used in the Civil Service Act and these rules and regulations are synonymous.

Sec. 7. Civil service act.

Article XXV of the Charter of the City of Stockton and amendments thereto which creates a civil service system for the Police and Fire Departments of the City.

(Amended by Resolution CS98-074, 10/1/98)

Sec. 8. Classified service.

The positions and employments which are included under the Civil Service Act of the City.

Sec. 9. Eligible.

A person who may legally be appointed to a vacant position in the classified service as provided by the Civil Service Act and these rules.

A list of names established by the Commission of persons who have (a) taken an examination for a position in the Classified Service and passed, or (b) met all requirements of a lateral entry or academy graduate candidate as established by the Commission, or (c) an eligible that is currently enrolled in and attending a certified Peace Officer Standards and Training (POST) Basic Academy and has successfully completed a POST Entry-Level Law Enforcement Test, or (d) has successfully completed the Stockton Fire Academy.

(CS87-26, 3/19/87; CS02-099, 9/19/02; CS06-030, 02/09/06; CS10-021, 08/19/10; amended by Resolutions CS2013-07-18-701)

A list of names of persons arranged by seniority, who have been laid off from a permanent position by reason of abolition of the position, lack of work, lack of funds, or other legitimate reason or who take a voluntary demotion in lieu of layoff, and who are eligible for reemployment without examination in their former class.

(Amended by Resolution CS10-021, 08/19/10)

(a) Assembled Examination. A test conducted at a specified time and place at which applicants are required to appear for examination under the supervision of an examiner as provided in Rule V and Rule VI.

(b) Unassembled Examination. A test consisting of an appraisal of training, experience, work history, or any other means for evaluating other relative qualifications of applicants without the necessity of their personal appearance at a specified place.

(c) Promotional Examination. A test limited to persons with permanent status in City of Stockton civil service, who meet the required specified standards for a higher position.

(d) Examination and Tests. Examination and tests are synonymous and may be used interchangeably.

(CS87 26, 3/19/87; amended by Resolutions CS10-021, 08/19/10)

Certification of an applicant who has passed an unassembled examination consisting of an appraisal of training, experience, work history, or any other means for evaluating relative qualifications.

(CS87-26, 3/19/87; amended by Resolutions CS10-021, 08/19/10)

An employee who has successfully completed his probationary period and has been granted regular status as hereafter provided in these rules.

(Amended by Resolution CS10-021, 08/19/10)

A change in employment status to a rank with a higher maximum rate of pay.

(Amended by Resolution CS10-021, 08/19/10)

A reduction to a rank having a lower maximum rate of pay.

(Amended by Resolution CS10-021, 08/19/10)

The separation of an employee from the service during his probationary period.

(Amended by Resolution CS10-021, 08/19/10)

The temporary separation from the service of an employee without pay, for disciplinary purposes.

(Amended by Resolution CS10-021, 08/19/10)

The permanent separation of a permanent employee from the service for a stated cause.

(Amended by Resolution CS10-021, 08/19/10)

(a) An eligible that has successfully completed a California Peace Officer Standards and Training (P.O.S.T.) certified basic academy within the past 36 months from date of application.

(b) An eligible that has successfully completed a California P.O.S.T. re-certification course within 36 months from date of application.

(Added by Resolution CS97-057, 5/17/97; CS98-030, 5/7/98; CS05-056, 04/21/05; CS06-028, 02/02/06; amended by Resolutions CS10-021, 08/19/10)

An eligible that is currently enrolled in and attending a certified Peace Officer Standards and Training Basic Academy and has successfully completed a POST Entry Level Law Enforcement Test.

(Added by Resolution CS05-155, 11/17/05; CS07-011, 02-01-07; amended by Resolutions CS10-021, 08/19/10)

Rule II. GENERAL PROVISIONS

Sec. 1. Unlawful employment practices.

(a) No question in any examination, in any application form, or in any other Human Resources proceeding, or of any appointing authority, shall be so framed as to attempt to elicit information concerning race, religion, color, national origin, ancestry, disability, marital status, pregnancy, medical condition, gender, sexual orientation, or political opinions or affiliations of an applicant, eligible, or employee.

(b) No appointment to or removal from a position in the competitive service shall be affected or influenced in any manner by race, religion, color, national origin, ancestry, disability, marital status, pregnancy, medical condition, gender, sexual orientation, or political opinions or affiliations, except as required by law.

(c) No Human Resources proceeding or any appointing authority shall discriminate in any aspect of employment because of race, religion, color, national origin, ancestry, disability, marital status, pregnancy, medical condition, gender, sexual orientation, or political opinions or affiliations, or any nonmerit employment action.

(CS05-139, 10/20/05; CS10-021, 08/19/10; amended by Resolutions CS2016-06-16-1201)

Sec. 2. Violation of rules.

Violation of the provisions of these rules shall be grounds for rejection of application, removal from an eligible list or reemployment list, or dismissal or other disciplinary action.

(CS10-021, 08/19/10; amended by Resolutions CS2016-06-16-1201)

Sec. 3. Adoption, amendment or repeal of rules.

(a) Adoption of new rules, or amendment or repeal of an existing rule, shall require the submission in writing of the proposed action at a previous meeting of the Commission, either by a member of the Civil Service Commission, the City Manager, the secretary of the Civil Service Commission, or by a member of the Police or Fire Departments, and posting in accordance with section 5 of this rule.

(b) New rules, or amendments, revision or repeal of an existing rule, shall become effective upon approval or adoption by the Commission.

(CS02-044, 05/16/02; CS07-079, 06/07/07; amended by Resolutions CS2016-06-16-1201)

Sec. 4. Violation of departmental rules and regulations.

Violation of the provisions of departmental rules and regulations shall be grounds for dismissal or other disciplinary action. Departmental rules and regulations are adopted by the Commission similar in manner as set forth in Section 3 of this rule for the adoption of Commission rules and regulations.

(Amended by Resolution CS2016-06-16-1201)

Sec. 5. Posting requirements for notices of examination, rule changes, eligibility lists, and other documents and actions requiring notice.

(a) Responsibility. The responsibility for postings of documents and notices required to be posted under these rules shall be borne by either the Secretary of the Commission, the Director of Human Resources, or the Chief Examiner as set forth in this section.

(b) Manner of Posting. All documents and notices required to be posted under these rules shall be posted by at least two of the following mediums: deposited in the United States mail; transmitted by facsimile, electronic mail, Internet, or Intranet; placed in a daily newspaper printed and circulated in the City of Stockton; placed on a City or departmental bulletin board; or broadcast on the government access cable channel. The Secretary of the Commission, the Director of Human Resources, or the Chief Examiner shall be authorized to determine the best method and places of posting so as to ensure proper notice in accordance with these rules and all other applicable federal, state, and local laws and rules.

(c) Place of Posting. The Secretary of the Commission, the Director of Human Resources, and/or the Chief Examiner shall determine the location of posting of any document or notice required to be posted under these rules; provided, however, that such locations shall include public places that will give as widespread and prominent circulation as is practicable and conducive to securing as many qualified applicants as possible.

(1) For the purpose of this rule, "public places" shall include the Internet, Intranet, City and departmental bulletin boards, government cable access channel, and such other places as determined by the Secretary of the Commission, the Director of Human Resources, or the Chief Examiner.

(2) The Chief Examiner shall cause all places of posting to be included in all examination plans; and the Commission shall retain and reserve the right, when applicable, to add to, delete from, or modify such places of posting.

(d) Time. All documents and notices required to be posted under these rules, the Stockton Municipal Code, the City Charter, or any federal, state, or local law or rule, shall be posted within the times set forth below:

(1) Notice of proposed changes to these rules and the Classification Plan shall be posted at least five calendar days before final action is taken.

(2) Notice of examinations, including promotional examinations, shall be posted at least 15 calendar days prior to the date set for the examination.

(3) Results of promotional written examinations and continuous examinations shall be posted as soon as practicable after completion of the examination by the Chief Examiner. Final examination results shall be posted immediately after certification.

(4) Notices of public hearings, appeals, and all other actions before this Commission requiring notice shall be posted in accordance with the timelines set forth in the notice requirements for such actions. The Secretary of the Commission shall be deemed to have given notice of a public hearing, appeal, or other action on the date when the notice is: deposited in United States mail; transmitted by facsimile or electronic mail; first posted on the Internet, Intranet, or City or departmental bulletin board; first published in a daily newspaper printed and circulated in the City of Stockton, or first broadcast on the government access cable channel.

(CS07-079, 06/07/07; amended by Resolutions CS2016-06-16-1201)

Rule III. CIVIL SERVICE COMMISSION

Sec. 1. Meeting.

Regular meetings of the Commission shall be held on the third Thursday of each and every month, at the hour of 3:00 p.m., in an office or room provided for the Civil Service Commission in the City Hall, Stockton, California. Special meetings may be held on the call of the Chair, Vice-Chair or any three members of the Commission, notice of which shall be given as prescribed by the Ralph M. Brown Act.

(CS05-079, 06/16/05; amended by Resolutions CS10-014, 06/17/10)

Sec. 2. Quorum.

Three members of the Commission shall constitute a quorum for the transaction of business and no action may be taken by the Commission unless it is concurred and adopted by the affirmative votes of at least three members of the Commission.

Sec. 3. Public hearings.

Hearings and investigations that the Commission is authorized to conduct shall be public and shall be conducted as a body, but special investigations and detailed work may be delegated to a single member or to the Personnel Officer. The procedure of any hearing or investigation shall be informal and shall not be restricted so as to deny the introduction of any evidence that the Commission may deem pertinent. Unless incapacitated, a person pressing a claim or defending a privilege before the Commission shall appear personally and shall not be excused from answering questions and supplying information except upon claim of constitutional privilege in respect to self-incrimination. All decisions, opinions, and recommendations arising from a hearing or investigation by the Commission shall be written and subscribed to by the members concurring, and shall be countersigned and filed as a permanent record by the Personnel Officer. Any member may submit a minority or supplemental report which shall be filed as a matter of record.

Sec. 4. Continuance of hearings.

In the event that a quorum is not present at the time and place set for the public hearing, it shall be automatically continued to the next regular meeting of the Commission.

Sec. 5. Closed sessions.

(a) Policy. It is the policy of the Civil Service Commission that all actions taken by it shall be public and that all deliberations shall be openly conducted so that the right of the public to participate is protected, except as provided herein.

(b) Closed Session Items. The Commission shall adjourn to closed session whenever it is determined that an issue before it demands confidential deliberation and closed session is allowed in accordance with Government Code sections 54950, et seq. Items referred to closed session shall include, but shall not be limited to:

(1) Review of examination results;

(2) Review of complaints, grievances, appeals, and other matters where charges have been filed against an employee;

(c) Participants in Closed Session. Each member of the Commission, legal counsel, City Clerk, and such staff as designated by the Commission shall be present in closed session.

(d) Form and Manner of Notice. All closed session items shall appear on the agenda, which agenda shall be made available to the public, and shall clearly state the date, time, and place of the closed session, along with descriptions of the items to be discussed. Disclosure of information that would harm the Commission, the City, individual persons, or the public interest shall not be disclosed on the face of the agenda.

After adjourning from closed session, legal counsel or such other appropriate staff shall provide an oral report on any action taken in closed session.

(e) Transcription of Closed Session. All closed sessions shall be transcribed by the City Clerk and retained in the archives of the Commission.

(Amended by Resolution CS05-064, 05/19/05)

Rule IV. CLASSIFICATION

Sec. 1. Preparation of plan.

The Personnel Officer, or any agency selected for that purpose, shall ascertain and record the duties and responsibilities of all positions in the classified service and, after consultation with appointing authorities and heads of departments affected, shall recommend a classification plan for such positions. The classification plan shall consist of classes of positions in the classified service defined by class specifications, including title, a description of typical duties and responsibilities of positions in each class, and a statement of minimum qualifications to be required of applicants for positions in each class. The classification plan shall be so developed and maintained that all positions substantially similar with respect to duties, responsibilities, authority, and character of work are included within the same class, and that the same schedule of compensation may be made to apply with equity under like working conditions to all positions in the same class.

(Amended by Resolution CS2016-06-16-1201)

Sec. 2. Adoption of plan.

Before becoming effective, the Classification Plan shall be presented to the Commission, which shall hold public hearings after notice has been posted in accordance with rule II, section 5 of these rules, and shall adopt the plan with such revisions as it shall deem necessary.

(CS07-079, 06/07/07; amended by Resolutions CS2016-06-16-1201)

Sec. 3. Right of appeal.

After the classification plan has been adopted by the Commission, the personnel officer or an agency selected for that purpose shall allocate every position in the competitive service to one of the classes established by the plan. Any employee shall have the right to appeal to the Commission concerning the allocation of his position in accordance with Section 3 of the civil service ordinance.

(Amended by Resolution CS2016-06-16-1201)

Sec. 4. Maintenance of plan.

Whenever a change in organization, functions, or duties of an individual position makes necessary a revision of a class specification, the Personnel Officer, or any agency selected for that purpose, shall recommend to the Commission the new or revised class specification for the rank affected. The Commission shall hold a public hearing on the proposed new class specification or revision and shall incorporate the class specification into the position classification plan.

Reclassification shall not be used for the purpose of avoiding restrictions surrounding demotions and promotions.

(Amended by Resolution CS2016-06-16-1201)

Rule V. EXAMINATIONS AND APPLICATIONS FOR ENTRANCE LEVEL POSITIONS

(Amended by Resolution No. 5184, 11/23/77)

Sec. 1. Announcement of examinations.

(a) Posting. Whenever an examination is to be given for an entrance position in the classified service, the Director of Human Resources shall cause notice of such examination to be published and posted in accordance with rule II, section 5 of these rules.

(b) Content. Announcements shall specify the title and probable rates of pay of the rank, the nature of the work to be performed, the minimum qualifications required for admission to the examination, the methods of making application, and final dates on which applications will be accepted, and other pertinent information consistent with the provisions of these rules.

(c) Qualifications. In addition to the requirements specified in these rules, the applicant at the time must possess the qualifications required by the Charter of the City of Stockton and the employment announcement.

(CS07-079, 06/07/07; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 2. Applications.

(a) Form. No application form shall contain questions or inquiries that in any fashion can operate to discriminate against any individual by reason of color, race, sex, religion or national origin. All questions or inquiries must relate to qualifications necessary to perform duties of the position.

(b) Filing of Applications. No person shall be admitted to an examination for employment unless such person shall have prepared and filed an application for said examination upon a form as deemed necessary by the Commission, which application shall not have been rejected by the Commission or Director for cause in accordance with the provisions of these rules. Applicants must file applications in the Human Resources Department no later than the final filing date prescribed in the examination announcement. The applicant shall certify as to the correctness of all statements made in the application by signature.

(5362, 3/1/79; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 3. Character and fitness.

(a) Age. Applicants for police officer positions must have attained age 20 by application final filing date and age 21 by date of appointment. Applicants for firefighter positions must have attained age 18 by application final filing date.

(b) Education. Applicants for entry police officer and/or firefighter positions must have attained skills, knowledge, and abilities of a level no less than that equivalent to a twelfth grade education, unless otherwise require by law.

(c) Health and Physical Fitness. The Commission shall adopt such medical and physical standards for fire and police classes as to ensure the candidate's abilities to effectively perform the duties of the position. Such medical and physical standards, when adopted, shall be made part of these rules by reference hereto.

(d) Behavioral Fitness. Applicants must have demonstrated appropriate moral and social conduct in previous personal and work activities as such fitness may relate to the fulfillment of duties of the position, as determined by the Commission.

(e) Police Officer—Lateral Entry. To be eligible as a lateral entry Police Officer an applicant must possess a certificate attesting to successful completion of a California P.O.S.T. approved basic academy, one year of experience as a law enforcement officer, must have satisfactorily completed a probationary period for a peace officer classification performing the full range of duties, including patrol, with a California governmental law enforcement agency, and pass an unassembled examination. A lateral entry appointment may be made at a salary step above the first step as determined by the Chief of Police and approved by the Human Resources Director and City Manager.

(f) Fire Fighter—Lateral Entry. To be eligible as a lateral entry Fire Fighter, an applicant must possess a California Class B Restricted driver's license, a current and valid Emergency Medical Technician I Certification, a California State Fire Marshal Fire Fighter I Certification, and 24 months of full-time employment within the last 36 months as a sworn uniformed Fire Fighter classification in any City, county, state, or federal agency comparable to the City of Stockton classification, and pass an unassembled examination. A lateral entry appointment may be made at a salary step above the first step as determined by the Fire Chief and approved by the Human Resources Director and City Manager.

(g) Fire Fighter/Paramedic—Lateral Entry. To be eligible as a lateral entry Fire Fighter/Paramedic, an applicant must possess a California Class B Restricted driver's license; a California State Fire Marshal Fire Fighter I Certification; a current and valid California Emergency Medical Technician/Paramedic (EMT-P) License; must obtain accreditation by the San Joaquin County Emergency Medical Services Agency to operate as a Fire Fighter/Paramedic for the City of Stockton within 90 days from date of hire; 24 months of full-time employment within the last 36 months as a sworn uniformed Fire Fighter classification in any city, county, state, or federal agency comparable to the City of Stockton classification; and must pass a Paramedic written and practical examination administered by the Stockton Fire Department. A lateral entry appointment may be made at a salary step above the first step as determined by the Fire Chief and approved by the Human Resources Director and City Manager.

(CS01-077, 7/19/01; CS04-049, 05/06/04; CS06-020, 01/19/06; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 4. Disqualification.

(a) The Director of Human Resources may refuse to give an examination to an applicant or the Commission may refuse to certify for appointment and remove a name from the eligible list or reemployment list anyone whose name is on the list for substantive reasons including, but not limited to, the following:

(1) Dismissal from employment for delinquency or misconduct.

(2) Mental or physical incompetence for the position for which application is made.

(3) Dishonest, criminal, immoral or willfully improper conduct.

(4) Intentional false statement, deception or fraud in securing the examination, certification or appointment.

(5) Habitual use of intoxicating liquors or use of narcotics.

(6) Failure to pass and/or successfully complete a background investigation, which shall include a polygraph and/or voice stress analysis and psychological examination.

(b) Appealability. The removal of a name from an eligible list or reemployment list due to failure to complete and/or successfully pass a background investigation is not appealable to the Commission.

(c) Disqualification of Previously Discharged Employee. No person discharged from the service of the City for cause pursuant to Section 2522 of Article XXV shall be entitled to again take the examination for any rank from the department from which the individual was discharged without the approval of the appointing authority and the consent of the Commission.

(CS03-064, 09/18/03; CS03-075, 10/16/03; CS05-093, 07/21/05; CS10-021, 08/19/10; CS2013-03-21-701; CS2014-06-19-1102; amended by Resolutions CS2016-06-16-1201)

Sec. 5. Elimination of frivolous applicants.

When the Civil Service Commission of the City of Stockton believes for any reason that an applicant for a position in the Police and/or Fire Departments does not intend to take the position when offered, it may move to call the applicant before the Commission at its next regular or special meeting. Notice shall be given to the applicant.

At the next regular or special meeting, the Commission may ask the applicant if the applicant intends to take the position if it is offered. If the applicant fails to reply in the affirmative, the Commission may, in its discretion:

(a) If the examination has not yet been taken for the position, reject said applicant to take such examination; or

(b) If the examination has been taken but it has not yet been corrected, order the Director of Human Resources not to correct the said examination paper; or

(c) If the applicant has been placed on the eligibility list for the position, order the applicant's name to be stricken from said eligibility list.

(5362, 3/1/79; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 6. Examination procedure.

(a) Content of Examination. To the extent authorized by the Commission, the chief examiner or his or her authorized representatives, may use a combination of valid testing instruments, which may include, but not be limited to, written tests, which shall count 50% of the total passing score, oral examinations, performance examination and agility tests designed to measure individual characteristics necessary to perform the specific duties of the job, for the purpose of obtaining the most qualified employees for the City of Stockton Fire and Police Departments. Methods of ranking and weighing of scores shall be determined by the Commission and will be stated on the examination announcement.

(b) The date fixed for an examination may be stipulated in the job announcement, or candidates shall be given notice at least five working days prior to the date fixed for the examination.

(c) Qualifying Grades in Entrance Examinations. An entrance applicant shall be required to attain a score of not less than 70% in the aggregate or as provided in the employment announcement in order to qualify in an entrance examination. In written tests the percentage used to represent the minimum score need not be the arithmetic percentage of the total possible score, but may be an adjusted score based on a consideration of the difficulty of the test; provided that such adjusted score shall be established by the Director of Human Resources before the identification of applicant's test papers.

(5362, 3/1/79; CS01-089, 8/16/01; CS02-028, 03/07/02; CS06-027, deleting (d), 02/02/06; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 7. Veterans' preference.

The Commission shall provide for the award of five points in favor of all applicants for appointment or employment under Civil Service, who have served on active duty in any branch of the United States Armed Forces, including the National Guard and the United States Coast Guard, for at least 181 consecutive days and have been honorably discharged. These credits shall apply to entrance examinations only.

(5711, 9/18/80; CS04-056, 05/20/04; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 8. Inspection of open examinations.

(a) Rights of Inspection. With the approval of the Civil Service Commission, and during the inspection period, participants on a written examination may inspect a copy of the examination in the presence of a designated representative of the Director of Human Resources. This privilege does not extend to examinations used on a continuous testing basis, standardized examinations, copyrighted examinations, to those examinations obtained through a testing agency where contractual provisions prohibit the exposure of content or when in the judgment of the Commission, this exposure would damage the examination's reliability or validity.

(b) Inspection Period. The inspection period is that period beginning the first work day immediately following the administration of the written examination and ending five work days later. The duration of any examination inspection shall not exceed one hour. Only one inspection shall be allowed. This period may be extended if, in the judgment of the Director of Human Resources, the number of requests of participants for inspection exceeds the work time available for such inspection.

(c) Protest Period. The protest period is that period beginning the first work day immediately following the administration of the written examination and ending 10 working days later. During this period any participant may file with the Director a written protest, on the form prescribed, setting forth the question number and reason and/or authority in support of the protest. Such protests shall be deemed the only proper and legal reference to specific test items and their general content, and as such, shall not be a violation of Section 10(b).

(d) Submission of Protests. The Director of Human Resources shall submit such protests to the agency that developed the examination for prompt evaluation and recommendation. The results shall be submitted to the Commission at its regular meeting following their receipt.

(e) Public Hearing. The Commission shall schedule a public hearing to vote upon the protests. The examination will then be scored under a method determined by the Commission.

(CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 9. Notice of examination results and inspection of scoring.

(a) Each candidate shall be given notice of relative standing on the eligible list by mail or by posting in accordance with Rule II, Section 5 of these rules. Each candidate who fails to obtain a place on the eligibility list shall be given notice in accordance with Rule II, Section 5 of these rules.

(b) During the five working days immediately following the date of notice or posting of relative standing, any participant shall be entitled to inspect his or her written test papers in the Human Resources Department during regular office hours and in the presence of the Director's designee.

(c) Upon the request of a candidate, the candidate shall be granted a consultation with the Director and/or designee to discuss the correction of any item or errors in the computation of the candidate's total score, and to review the reasons for the score. The consultation may include discussion of the written, performance, oral or other rating devices.

(d) The inspection of a test paper shall include only the candidate's own answer sheet and scoring answer sheet. The duration of this inspection shall not exceed 15 minutes per candidate.

(e) If an error in the marking or grading of an examination is raised by the candidate, the Civil Service Commission shall be informed at the next regular meeting. The Commission shall consider the request from the candidate and the report from the Director concerning such alleged error(s). The Commission shall determine the need for correction and, if necessary, shall instruct the Director to republish the eligible list as corrected by the Commission. Such correction(s) shall not invalidate any certification or employment previously made.

(5362, 3/1/79; CS07-079, 06/07/07; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

(a) Every participant's markings, and answer sheets and scores, shall be subject to inspection by the Chief of the Police Department or Chief of the Fire Department and the appointive officer of the City and shall also be open to public inspection at the discretion of the Civil Service Commission.

(b) Examination booklets and other documents and their contents are the confidential property of the examining contract agency and/or commission. Any effort by any person to duplicate, reconstruct, take notes of, or in other ways reproduce the content or structure of said examination(s), except as expressly provided for in Section 8(c), shall be cause for civil action on the part of the City and/or disciplinary action, including dismissal as defined in these Civil Service Rules and Regulations.

(CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

(a) Establishment. From the return and report of the Chief Examiner or examiners based on tests and other factors to be considered as provided in Section 2507(b) of Article XXV of the City Charter, the Civil Service Commission shall establish a list of eligibles for each grade of the persons who shall attain such minimum score or scores as may be fixed by the rules of the Commission and who may be lawfully appointed. Such persons shall take rank upon the list in the order of their relative performance as determined by the tests and other factors, without reference to priority of time of tests.

(1) Lateral Entry—Candidates who have passed an unassembled examination as set forth in these rules shall be placed on the lateral entry list after completion of all tests and shall be certified in addition to the list of eligibles who successfully passed all assembled examinations.

(2) Academy Graduates—After completion of all tests, candidates shall be placed on a separate eligible list and shall be certified in addition to the list of other eligibles. Candidates shall be ranked based on the standard P.O.S.T. final examination score, which is administered at the Police Academy.

(b) Tied Score. In the event of identical ratings, ties shall be broken first by removing Veterans' Preference, second, if Veterans' Preference does not apply, written test score, and third, by lot.

(c) Duration of Lists. The period of eligibility for appointment shall be at the discretion of the Commission, but will in no case exceed three years from the date of entering the names on the eligible list, providing such applicant's name is not removed for reasons contained elsewhere in these rules. Upon the recommendation of the appointing authority and with the approval of the Commission, an eligible list may be abolished prior to the expiration of three years for reasons of inadequacy or other reasons consistent with the principles of merit and good personnel administration.

(d) Removal of Names. Names of eligibles for original appointment may be removed by the Director of Human Resources from the list and notice given to the Commission when the records of the director show:

(1) That the eligible has not passed a satisfactory physical or medical examination as shown by the report of the examining physician;

(2) That the eligible has refused or neglected to accept appointment when the same has been tendered to him or her;

(3) In the case of promotional eligibility lists, that the eligible has been demoted, discharged, retired or has resigned or died;

(4) That the eligible has requested in writing that his or her name be removed;

(5) That the eligible has refused or neglected to respond to first class correspondence within a reasonable length of time;

(6) That the eligible has been appointed to the position for which the list was established;

(7) That the eligible has passed the maximum age provided for appointment to the position for which the eligible qualified.

(e) Eligible List; Integration of Eligible List. Existing eligible lists shall be integrated with the eligible list established as a result of subsequent examinations given for the same position. Candidates appearing on an existing eligible list established by the continuous examination process shall be notified of a subsequent examination for the same position, shall be permitted to compete in said examination, and shall be integrated in the new list of eligibles at their highest rating.

Candidates appearing on an eligible list established through a continuous examination process shall be permitted to compete not more than three times in any one year from the date of their first examination for the same position and shall be integrated in the eligible list at their highest score.

(f) Selective Certification Firefighter/Paramedic. If the Fire Chief determines that a paramedic license or emergency medical technician certification, and specific experience is needed for a vacant firefighter position, the Fire Chief may request that the Civil Service Commission certify a list of firefighter eligibles who possess such licenses and certificates and specific experience, who are available for appointment, and whose scores, at the time of certification, represent the three highest scores on the firefighter eligible list.

(g) Reinstatement of an Expired Eligible List. Within 90 days of the expiration of an eligible list, such list may be reinstated for good cause, at the discretion of the Civil Service Commission, if the list is less than three years old.

Good cause for reinstatement may include, but is not limited to, any or all of the following reasons:

(1) Eligibles have been certified, but there remains an insufficient number of candidates to fill the existing vacancies;

(2) The reinstatement of the eligible list would assist the City in meeting its Affirmative Action goals for the class;

(3) Unforeseen circumstances arise whereby the immediate needs of the City require taking such action.

(CS87-27, 3/19/87; paragraph (e) added by Resolution CS89-86, 10/5/89; paragraph (f) added by Resolution CS91-066, 5/16/91; paragraph (g) added by Resolution CS94-112, 12/15/94; CS97-057, 5/17/97; CS98-074, 10/1/98; CS04-079, 07/15/04; CS05-056, 04/21/05; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

(a) An eligible who successfully completes the written, oral examination process, and any required physical agility testing, whose name appears on the entry-level, academy graduate, or lateral-entry eligible list established by the Commission, may be granted a temporary waiver of the pre-employment background process upon giving written reasons satisfactory to the Commission. Such a waiver shall be for a period specified in the written request and not to exceed the life of the eligible list.

(b) In the event the eligible list is exhausted prior to its expiration, upon approval of the Commission, an eligible with a temporary waiver may be given the opportunity to complete the background process.

(c) A second waiver shall not be granted.

(Original rule repealed by Resolution CS01-077, 7/19/01; added by Resolution CS 04-071, 07/01/04; CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Rule VI. PROMOTIONAL EXAMINATIONS

(Amended by Resolution No. 6217, 12/6/84)

Sec. 1. Police department ranks and general promotional provisions.

This entire section does not apply to the positions of Chief of Police and Deputy Chief of Police.

No member shall be promoted from one rank to another without first having passed a promotional examination.

All promotions shall be made to the next higher rank in the service and no rank shall be skipped.

All promotions shall be based on merit and standing as determined by competitive examination.

The Police Department of the City of Stockton is hereby divided into the following promotional ranks:

Promotions to Ranks III, IV, and V above shall be made through the entry level probationary Police Officer positions in accordance with the following eligibility criteria.

(a) Eligibility for Promotion in Stockton Police Department.

(1) All members of the Police Department with not less than 18 months service shall be considered eligible for the rank of Police Officer;

(2) All members of the Police Department with not less than five years service are eligible for the rank of Police Sergeant;

(3) All members of the Police Department who have held the rank of Sergeant for at least two years last past continuously up to the date of the examination are eligible for the rank of Police Lieutenant;

(4) All members of the Police Department who hold the regular status rank of Lieutenant are eligible for the rank of Police Captain.

(b) Service Credit for Military Service. If any regular member of the Police Department is inducted into the Army, Navy, Marine Corps, Air Force or other branch of the military service of the United States, then the period of military service of such member shall count the same as actual service in the grade of rank he/she occupies in the Police Department, insofar as qualifying the member for eligibility for examination or promotion to the next higher grade or rank.

(c) Standing in Lower Rank. An employee who has passed a promotional examination and received his/her promotional appointment shall lose his/her standing in the lower rank except as provided for demotion of promotional appointees on probation, or for voluntary demotion of employees after notice of layoff, found elsewhere in these rules and regulations.

(d) Special Assignments.

(1) These positions are assignable at the discretion of the Chief of Police.

(2) Assignment to and removal from assignment from said position may be based on qualifying departmental tests, length of service and other considerations consistent with the principles of merit and good personnel administration.

(e) Holding Rank during Probationary Period. Promotional appointees on probation in the Police Department shall not be deemed to hold the rank to which they have been promoted until after successful completion of the 12-month probationary period; except that, probationary employees promoted to the rank of Deputy Police Chief or Police Chief shall receive credit toward the promotional probationary period for the lower rank while serving in the higher appointive rank.

(f) Service Requirement Dates. The service requirement date for eligibility to take a promotional examination shall be the later date of the expiration, exhaustion, or abolishment of the previous list, or the date of the new examination.

(CS04-117; CS04-118, 10/21/04; CS10-021, 08/19/10; CS2016-06-16-1201; amended by Resolutions CS2016-08-18-1201)

Sec. 2. Fire department ranks and general promotional provisions.

This entire section does not apply to the positions of Fire Chief or Deputy Fire Chief.

No member shall be promoted from one rank to another without first having passed a promotional examination.

All promotions shall be made to the next higher rank in the service and no rank shall be skipped.

All promotions shall be based on merit and standing as determined by competitive examination.

The Fire Department of the City of Stockton is hereby divided into the following ranks:

(a) Eligibility for Promotion in Stockton Fire Department.

(1) All members of the Fire Department with not less than five years of service are eligible for promotion to the rank of Fire Captain;

(2) All members of the Fire Department who have held the rank of Fire Captain for at least three years continuously prior to the examination filing deadline are eligible for promotion to the rank of Fire Battalion Chief;

(3) All members of the Fire Department who have held the rank of Fire Battalion Chief, regardless of time of service in said rank, are eligible for promotion to Assistant Fire Chief.

(b) Service Credit for Military Service. Promotions shall be based on ascertained merit and standing upon examination provided that if any regular members of the Fire Department be inducted in the Army, Navy, Marine Corps, Air Force, or any other branch of the military service of the United States, then, the period of military service of such member shall count the same as actual service in the grade or rank he or she occupies in the Fire Department, so far as qualifying the member for eligibility for examination or promotion to the next higher rank.

(c) Standing in Lower Rank. An employee who has passed a promotional examination and received his or her promotional appointment shall lose his or her standing in lower rank.

(d) Special Assignments.

(e) Service Requirement Dates. The service requirement date for eligibility to take a promotional examination shall be the later date of the expiration, exhaustion, or abolishment of the previous list, or the date of the new examination.

(CS04-118, 10/21/04; CS2013-02-21-701; CS2016-06-16-1201; amended by Resolutions CS2016-08-18-1201)

Sec. 3. Promotional examinations.

(a) Examination Weights. In examining and ranking applicants for a promotional examination in the Fire and Police Departments, to the extent authorized by resolution of the Civil Service Commission, the Chief Examiner may permit an oral examination or the oral portion of an assessment center to count not more than 30% of the aggregate score of an applicant for the rank of Sergeant in the Police Department and for the rank of Captain in the Fire Department and 35% of the aggregate score of an applicant for ranks above Sergeant in the Police Department and above Captain in the Fire Department.

(b) Fire Department Promotional Examinations. The written portion of promotional examinations for Fire Captain, Battalion Chief, and Assistant Chief, shall be a custom examination unique to the City of Stockton Fire Department. No custom examination shall be given more than once. All questions in such examination shall be generated from resources available within the Stockton Fire Department's library and/or Fire Department's designated resources within the San Joaquin County Central Library at the time the examination is developed.

(c) Seniority Points.

(1) Discretion of Commission. The Commission shall have discretion to authorize the award of seniority points, in accordance with section 2507(c) of the City Charter. Upon authorization of the Commission, the Chief Examiner shall award eligible candidates seniority points, in accordance with subsection (3), below.

(2) Eligibility for Seniority Points. Only those candidates who have received a "passing score" (as defined in subsection (f) of this section) on each individual portion of the promotional examination shall be eligible to receive seniority points.

(3) Determination and Calculation of Seniority Points. The number of seniority points that may be awarded shall be based on the applicants' dates of hire into the sworn service of the Police or Fire Department ("time-ingrade") or upon the date of promotion into a higher rank ("time-in-rank"), as set forth in the written policy adopted by the Commission. In computing the number of points to be added, the applicants' total years of sworn service and any fractions thereof, up to a maximum of 20 years, shall be multiplied by 0.25, resulting in an award that shall not, under any circumstances, exceed a maximum of five seniority points. Said points shall be added to eligible applicants' final scores after the applicants' scores on each portion of the examination have been weighed and average overall scores have been computed.

(d) Duration of Weights and Seniority Points. The weights established by subsection (a) and the seniority points established by subsection (c) of this section shall apply to all examinations given for that rank in the affected department for at least one year after adoption by the Commission.

(e) Notice of Promotional Examinations. Satisfactory notice of promotional examinations, open only to City employees, is evident when a copy of the notice is posted in accordance with rule II, section 5 of these rules.

(f) Scoring Method. Unless the Chief Examiner specifies otherwise in the examination announcement, an applicant for a promotional examination shall be required to attain a minimum score of not less than 70% on each portion of the examination in order for his or her score on that portion to be considered "passing." In written tests, the percentage used to represent the minimum passing score may be other than the arithmetic percentage of the total possible score. Such score may be an adjusted score based on a consideration of the difficulty of the test and other merit factors deemed pertinent by the Chief Examiner, provided that such adjusted score shall be established by the chief examiner before the identification of applicants' test papers.

(g) Exception to Scoring Method. Where the examination announcement specifies a scoring method other than that described in this section, the scoring procedure specified in the examination announcement shall be utilized to determine the minimum passing score.

(h) Average Score. Only those applicants who obtain a passing score on all portions of the examinations shall qualify to have an average score calculated for the purpose of determining their rank on the eligibility list. In arriving at the average score, the Chief Examiner shall take into account the weight assigned to each portion of the examination as approved by the Commission and specified in the examination announcement. A candidate who fails to obtain a passing score on any portion of the examination shall be considered ineligible for the promotional position.

(Paragraph 3(a) amended by Resolutions 6255, 3/7/85; paragraph 3(d) amended by Resolution 6310, 8/15/85; CS90-081, 9/6/90; CS90-101, 11/1/90; CS93 032, 5/6/93 ; CS93-033, 5/6/93; CS07-079, 06/07/07; CS07-131, 10/04/07; amended by Resolutions CS2016-06-16-1201)

Sec. 4. Announcement of promotional examinations.

(a) Chief Examiner. The Commission may designates the Director of Human Resources or his or her designee, to act as Chief Examiner and to develop and conduct all examinations in the Classified Service.

(b) Content of Job Announcement. The scope and content of the examination requirements, the weight of each portion of the examination, and whether seniority points will be allowed for the examination will be announced in the job announcement as authorized by resolution of the Civil Service Commission. The date fixed for an examination may also be stated on the job announcement, or candidates shall be given notice as provided in rule II, section 5 of these rules.

(c) Filing of Applications. Applicants must file applications in the Human Resources Department no later than the final filing date prescribed in the examination announcement. The applicant shall certify as to the correctness of all statements made in the application by signature.

(CS07-079, 06/07/07; CS07-131, 10/04/07; amended by Resolutions CS2016-06-16-1201)

Sec. 5. Inspection and protest of promotional examinations.

(a) Rights of Inspection. With the approval of the Civil Service Commission, and during the inspection period, participants on a written examination may inspect a copy of the examination in the presence of a designated representative of the Director of Human Resources. This privilege does not extend to examinations used on a continuous testing basis, standardized examinations, copyrighted examinations, or to those examinations obtained through a testing agency where contractual provisions prohibit the exposure of content or when in the judgment of the Commission, this exposure would damage the examination's reliability or validity.

(b) Inspection Period. The inspection period is that period beginning the first working day immediately following the administration of the written examination and ending five working days later. The duration of any examination inspection shall not exceed one hour. Only one inspection shall be allowed. This period may be extended if, in the judgment of the Director of Human Resources, the number of requests of participants for inspection exceeds the work time available for such inspection.

(c) Posting of Written Test Results. The results of the written examination with the percentage applicable for those persons successfully passing the written examination shall be posted with the opportunity of the applicant to review the written score prior to the interview or assessment center. This will give an opportunity for reviewing the written test and the handling of protested scoring. Those failing to pass the written examination shall be permitted to review their papers in the usual manner but posting of their scores is not required.

(d) Protest Period. The protest period is that period beginning the first working day immediately following the administration of the written examination and ending 10 working days later. During this period any participant may file with the Director a written protest, on the form prescribed, setting forth the question number and reason and/or authority in support of the protest. Such protest shall be deemed the only proper and legal reference to specific test items and their general content, and such, shall not be a violation of any part of these rules.

(e) Submission of Protests. The Director of Human Resources shall submit such protests to the agency that developed the examination for prompt evaluation and recommendation. The recommendations shall be submitted to the Commission at the public hearing for protests.

(f) Resolution of Protests. The Commission shall schedule a public hearing to hear and vote upon the protests. The examination will then be scored under a method determined by the Commission.

(CS2013-03-21-701; amended by Resolutions CS2016-06-16-1201)

Sec. 6. Notice of examination results and inspection of scoring.

(a) Notice of Standing on Eligible List. Each candidate shall be given notice of relative standing on the eligible list by mail or by posting in accordance with rule II, section 5 of these rules. Each candidate who fails to obtain a place on the eligibility list shall be given notice in accordance with rule II, section 5 of these rules.

(b) Inspection of Written Test Papers.

(1) During the five working days immediately following the date of notice or posting of relative standing, any participant shall be entitled to inspect his or her written test papers in the Personnel Department during regular office hours and in the presence of the Director's designee.

(2) The inspection of a test paper shall include only the candidate's own answer sheet, scoring answer sheet and the candidate's written assessment work products. The duration of this inspection shall not exceed 15 minutes per candidate. This time period maybe extended for inspection of assessment written exercises.

(c) Errors in Computation of Scores. Upon the request of a candidate, the candidate shall be granted a consultation with the Director and/or his or her designee to discuss the correction of any item or errors in the computation of the candidate's total score, and to review the reasons for the score. The consultation may include discussion of the written performance, oral or other rating devices.

(d) Errors in Marking or Grading. If an error in the marking or grading of an examination is raised by the candidate, the Civil Service Commission shall be informed at the next regular meeting. The Commission shall consider the request from the candidate and report from the Director concerning such alleged error(s). The Commission shall determine the need for correction and, if necessary, shall instruct the Director to republish the eligible list as corrected by the Commission. Such correction(s) shall not invalidate any certification or employment previously made.

(e) Inspection of Papers by Chiefs of the Department. Every participant's markings, and answer sheets and scores, shall be subject to inspection by the Chief of the Police Department or Chief of the Fire Department and the appointive officer of the City and shall also be open to public inspection at the discretion of the Civil Service Commission.

(CS07-079, 06/07/07; amended by Resolutions CS2016-06-16-1201)

Sec. 7. Examination confidentiality and conduct of candidates during the promotional examination process.

(a) Confidentiality of Examination Materials. Examination booklets and other documents and their contents are the confidential property of the examining contract agency and/or commission. Any effort by any person to duplicate, reconstruct, take notes of, or in other ways reproduce the content of structure of said examination(s), except as expressly provided for in the protest section of these rules, shall be cause for civil action on the part of the City and/or disciplinary action, including dismissal.

(b) Conduct of Promotional Candidates. Police and fire promotional candidates are expected to conduct themselves during their preparation for and participation in the examination process so as to maintain the strictest level of confidentiality and the highest level of professional integrity and test security as warranted by the positions they hold and aspire to. The Commission shall establish positive guidelines to ensure that employees have standards of ethical conduct for promotional examinations, which, when implemented by management, will ensure the accomplishment of these objectives. Such guidelines shall be updated as warranted.

(Amended by Resolution CS2016-06-16-1201)

Sec. 8. Police and fire oral/assessment examinations.

In selecting an oral board or assessment center panel for promotional examinations in the Police and Fire Departments, upon approval of the Commission, the Chief Examiner shall retain an outside consulting agency to select the members of the oral board or assessment center panel.

(a) Restrictions on Rater Choices. The outside consulting agency shall select as a member of the interview or assessment center board only:

(1) Sworn individuals of equivalent or higher rank than the position being examined for;

(2) Persons who are or have been, at any previous time, an appointed or elected peace officer who does or did hold civil service status in his or her existing or former rank;

(3) Individual raters who reside and work outside of San Joaquin County; and are from metropolitan agencies comparable in population, level of service, and/or departmental organization;

(4) Persons who are not a member of the judiciary;

(b) Structured Oral/Assessment. The oral examination and assessment center shall be structured based on a thorough job analysis; that is, a qualitative analysis of the traits, skills and behaviors will form the basis for a series of standardized interview questions and exercises to be presented to each candidate.

(c) Rating/Assessment Forms/Assessment Rating Sheets. During the rating of the applicants, pencil can be used on the rating sheet to facilitate changes; but upon completion of all the interviews, the interviewers must turn in rating sheets with all score marks and ratings in ink. In case of changes of ink ratings by the interview board, the changes shall be initialed in ink by the interviewer.

(d) Rater Comments. Each oral board/ assessment rater shall be required to explain his/her evaluation on the rating sheet using statements related to the characteristics and behaviors necessary to successfully perform the job.

(e) Rater Identification. Names and ranks of individual raters shall be posted at the location of the oral or assessment examination on the date of its administration.

(f) Order of Interview/Assessment. Order of interview will be by lottery of all candidates.

(g) Written examination scores of the applicant shall not be given or disclosed to the interview board.

(h) The results of the written examination with the percentage applicable for those persons successfully passing the written examination shall be posted with the opportunity of the applicant to review the written score prior to the interview or assessment center. This will give an opportunity for reviewing the written test and the handling of protested scoring. Those failing to pass the written examination shall be permitted to review their papers in the usual manner but posting of their scores is not required.

(i) It shall be the policy of the Commission that individual employees, the I.A.F.F., or department management may request Commission exclusion of any specific city, county, district, or individual and such requests for exclusion shall be submitted, in writing, to the Commission prior to approval of the conduct of such examinations and shall include reasons therefor. The Commission shall consider such requests at a regular public meeting.

(CS05-078, 06/16/05; amended by Resolutions CS2016-06-16-1201)

Sec. 9. Fire oral examinations.

(Section deleted by Resolution CS05-078, 06/16/05)

(a) The period of eligibility for appointment from eligible lists established by promotional examinations in the Fire Department or Police Department shall be at the discretion of the Commission but will in no case exceed three years from the date entering the names of successful candidates on said list. Upon the recommendation of the appointing authority and with the approval of the Commission an eligible list may be abolished prior to the expiration of three years for reasons of inadequacy or other reasons consistent with the principles of merit and good personnel administration.

(b) Military Service Eligibility. Each City employee who takes or has taken a leave of absence to go into the armed forces shall have the right upon his or her return to take a promotional examination to get upon an eligibility list for which he or she would have been eligible had he or she not entered the armed forces. Upon the return to active duty of this employee, no permanent appointment can be made from said eligible list until said employee has been given the opportunity to exercise this right. If desired by this employee, a waiting period of not less than 60 days nor more than 90 days shall be granted by the Commission after return to active duty for the purpose of review and preparation for the examination. However, a refusal by said employee to exercise this right at the time offered him or her by the Commission shall be considered a rejection of said right. A promotional examination given under these circumstances shall be open only to those employees returned from military leave and not having previously rejected said right. Such persons shall take rank upon the list in the order of their relative excellence as determined by the tests and other factors named elsewhere in these rules, without reference to priority of time of tests.

(c) Identical Scores, Tie Breaking. In the event of identical ratings, names shall be arranged in order of seniority in the department and if the seniority is the same, then arranged in the order appearing on the original entrance eligible list. This procedure applies only in promotional examinations.

(Amended by Resolution CS2016-06-16-1201)

(a) Time of New Examination. In all cases where no reemployment list exists, and a police or fire promotional eligible list containing eligibles is due to expire, or the eligible list has been exhausted, or the Commission desires to abolish the eligible list, the timing of the new examination shall be determined by resolution of the Civil Service Commission upon request of the Personnel Officer.

(b) Service Requirement Dates. The service requirement date for eligibility to take a promotional examination shall be as set forth in sections 1 and 2 of this rule.

(CS04-118, 10/21/04; CS10-021, 08/19/10; amended by Resolutions CS2016-06-16-1201)

(a) Authority. The Civil Service Commission has the exclusive power and authority to hear and decide all appeals of promotional examinations. The Commission appoints the Chief Examiner to administer all examinations and to review and determine whether all appeals filed under this section meet the standards for further review by the Commission. The final decision of the Chief Examiner shall be subject to review by the full Commission upon a valid appeal filed by the applicant or candidate in accordance with this section.

(b) Scope of Review by Chief Examiner. The Chief Examiner shall have the power and authority to consider appeals on any issue regarding the scoring and ranking of all promotional examinations, including oral examinations, practical examinations, manipulative examinations, assessment centers, and any other component comprising the non-written portions of promotional examinations.

(c) Right of Appeal. Any applicant for a promotional examination in the Classified Service shall have a right to appeal to the Chief Examiner any non-written portion of a promotional examination upon a showing of a significant irregularity in the examination process; discrimination, as defined under federal or state law; or a violation of these rules that adversely affected the examination process.

A significant irregularity in the examination process occurs when the examination is not administered in accordance with the examination plan adopted by the Commission or the examination method was not applied fairly to all competitors.

A violation of the rules occurs when any participant or administrator violates any part of the Rules and Regulations of the Civil Service Commission.

The filing of an appeal with the Chief Examiner shall not cause the promotional examination process to cease.

(d) Non-Appealable Actions. The Civil Service Commission has determined that the following subjects are not subject to appeal:

(1) Weights of Examination Components

(2) An objection to ratings or rankings based solely on the applicant's or candidate's belief that he or she is entitled to a higher or passing score.

(3) Process and development of examinations, including, but not limited to, subjects covered in the examination.

(e) Procedures.

(1) Time and Place of Filing. Appeals shall be filed in writing with the Human Resources Department within 10 City work days of the administration of the examination component giving rise to the appeal. However, an applicant or candidate must bring to the attention of the designated Human Resources representative present at the examination site any alleged irregularity in the examination process that significantly interferes with the applicant's or candidate's performance by 5:00 p.m. of the following City work day. Such irregularities include, but are not limited to, an alleged equipment malfunction or ambiguous examination instructions. No appeals shall be accepted unless filed in accordance with this section.

(2) Format of Appeal. The appeal must be in writing and upon the form designated by the Director of Human Resources and approved by the Civil Service Commission. For each appeal, the applicant or candidate must:

State the specific grounds upon which the appeal is based;

Cite the specific Civil Service Rule, if any, that was violated;

Provide facts, including documents, to support the appeal;

Demonstrate a rational relationship between the grounds of the appeal and the alleged harm suffered.

(3) Investigation by Chief Examiner. The Chief Examiner shall investigate the basis of the appeal and shall not unreasonably deny the appeal, but shall grant the appeal and correct the exam defect, if appropriate. The Chief Examiner and/or the test consultant shall submit a written report to the Commission detailing the final decision and the steps taken to correct or cure the exam defect or detailing the reasons for a denial of the appeal.

The Chief Examiner shall deny the appeal if it is found that:

a. The appeal is untimely.

b. The subject matter is not appealable under this section.

c. The appeal does not meet the standards contained in this section, including, but not limited to, the format and contents of the appeal.

d. The appeal relates solely to an internal right of management, as defined in section 5 of City Council Resolution No. 32,538.

(4) Appeal to the Commission. If the candidate is not satisfied with the final decision of the Chief Examiner, he or she may file with the Civil Service Commission an appeal within five City work days of issuance of the final written decision of the Chief Examiner. The candidate shall file such appeal in writing with the Secretary of the Commission (City Clerk of the City of Stockton) in the same format and in accordance with the same standards set forth in subsection (e) of this section. The Secretary shall immediately forward a copy of the appeal to the Chief Examiner and shall place the appeal on the agenda for the next regular meeting of the Commission noticing the filing of the appeal.

The Commission may, upon its own motion, grant an appeal hearing to review or modify any action or decision of the Chief Examiner.

(5) Burden of Proof. The candidate shall bear the burden of proof in all appeals of promotional examinations.

(6) Effect of Appeal to Commission. The Commission may, in its discretion, certify the results of the promotional examination; provided, however, that valid appointments shall not be affected by any subsequent decision of the Commission; or the Commission may certify the results of the promotional examination but make no regular appointments from the eligibility list established thereby; or the Commission may stop the entire promotional process until such time as the appeal filed hereunder is adjudicated.

(7) Request for Public Hearing. The Commission shall review the written appeal document and the report of the Chief Examiner to determine if there is a basis for an appeal. No oral testimony will be allowed at this point; except that the appellant shall be allowed to answer any questions or provide any information requested by the Commission. The Commission shall set the matter for an appeal only if it determines (1) that the request contains a basis for appeal under subsection 12(c); (2) the matter is not subject to exclusion pursuant to subsection (d); and (3) the applicant or candidate has complied with the procedural requirements of subsection 12(e). The appearance, either personally or through legal counsel or unit representation, of the candidate Section VI, making the appeal shall be required at the request for public hearing.

(8) Public Hearing and Decision. The Commission shall consider the testimony and evidence presented at the public hearing and determine whether the applicant or candidate has established by a preponderance of the evidence any of the grounds specified in subsection (c), above ("Right of Appeal"). In the alternative, the Commission, on its own motion or on motion of a party, may summarily dispose of an appeal on any of the following grounds:

a. That the appeal exceeds the scope of section 12(c) or is excluded by section 12(d) of this rule.

b. That the appeal has not been made in the required manner or within the prescribed period of time.

c. That the appeal has become moot.

d. That the applicant or candidate or representative has failed to appear at the time fixed for the hearing.

(Added by Resolution CS07-033, 03/01/07; amended by Resolution CS2016-06-16-1201)

Rule VII. CERTIFICATION AND APPOINTMENT

Sec. 1. Preparation for appointment.

Insofar as practicable, vacancies should be anticipated sufficiently in advance to permit the Commission to determine who may be available for appointment, whether or not the position involved is properly classified, and, if necessary, to prepare a class specification and to proceed to establish a list of eligibles, provided that no reemployment list exists.

(Amended by Resolution CS10-021, 08/19/10)

Sec. 2. Types of appointment.

(a) All vacancies in the classified service shall be filled first by reemployment, and then by any of the following: reinstatement, promotion, original, or conditional appointment. Emergency or provisional appointments may be made as provided in Article XXV, Section 2512 of the City Charter.

(b) No time spent under provisional, or emergency 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 Act and these rules.

(CS87-26, 3/19/87; CS98-074, 10/1/98; CS02-099, 9/19/02; CS04-051, 5-06-04; amended by Resolutions CS10-021, 08/19/10)

Sec. 3. Method of appointment.

In the event of a vacancy, persons on the reemployment list shall be given preference. If no persons are available for reemployment, the Commission approved and certified eligible list shall be used to make appointments after successful completion of a background and medical investigation. Lateral entry and academy graduate persons shall be certified in addition to and in the same manner as persons on the original eligible list.

(CS87-26, 3/19/87; CS02-099, 9/19/02; amended by Resolutions CS10-021, 08/19/10; CS2017-03-16-1201)

Sec. 4. Layoff and reemployment list.

(a) 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 lay-off.

(b) Except as otherwise provided in subsection (c), below, the Commission shall cause the name of each employee laid off in accordance with these rules to be placed on the reemployment list for the appropriate class for reemployment within two years thereafter when vacancies occur.

(c) An employee who receives a notice of layoff and exercises the option to demote to a previously held lower classification shall be placed on the reemployment list for the position from which they demoted, as provided for in subsection (b), above, and remain on the list either until the employee is appointed to the position or the employee declines appointment to the position. The reemployment rights granted by this subsection are applicable only to employees who demote to a previously held lower classification after receiving a notice of layoff.

(d) The reemployment list for any class shall be established by Civil Service resolution as needed.

(e) In filling vacancies, eligibles on the reemployment lists take precedence over eligibles on eligible lists for the same rank in the department for which the lists apply.

(CS09-026, 5/05/09; amended by Resolutions CS10-021, 08/19/10)

Sec. 5. Certification for appointment.

At the time that the Civil Service Commission approves an eligible list, the Commission shall also certify all of the names on the list for appointment, in rank order, to any current or future vacancy. For each promotional appointment vacancy to be filled, one certified name from the eligible list will be provided, in rank order, to the appointing authority. For all other vacancy appointments, the appointing authority will be provided with two more names, in rank order, than the number of vacancies to be filled.

(5762, 1/15/81; CS87-26, 3/19/87; CS97-057, 5/17/97; CS01-077 7/19/01; CS02-099, 9/19/02; CS05-056, 4/21/05; CS05-155, 11/17/05; CS06-030, 2/09/06; amended by Resolutions CS07-011, 2-01-07; CS2015-04-16-1101; CS2017-03-16-1201)

Sec. 6. Promotion.

In the event the appointing authority desires to fill a vacancy by promotion and no valid eligible list exists, the examination shall be given to those eligible employees holding positions in the lower class, and the examination shall be conducted in accordance with Rule VI, of these rules and regulations.

In the event the next eligible on the eligible list has joined the Armed Forces of the United States and has left his office or position as described in Section 2513 of Article XXV of the City Charter, a temporary appointment can be made as provided in Article XXV, Section 2513 of the City Charter.

(Amended by Resolution CS98-074, 10/1/98)

Sec. 7. Reinstatement, transfer, and voluntary demotion of probationary employees.

(a) Reinstatement After Resignation. A regular employee who has resigned in good standing may, with the recommendation of the Chief of the department and the City Manager, and the consent of the Civil Service Commission, be reinstated to a vacant position of the same class as his or her previous position within a period of one year from the effective date of resignation.

(b) Transfer, Reinstatement, or Voluntary Demotion to Miscellaneous Classified Service. A regular status employee or a probationary employee who has successfully completed six months of probation may be transferred, reinstated, or voluntarily demoted to a position in the Miscellaneous Classified Service upon the recommendation of the affected department heads and approval of the employee, 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/she is qualified for the transfer.

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

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

(e) Appeal. 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 reinstatement or transfer or 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.

(Amended by CS05-065, 5/19/05, adding (a,b,c,d,e))

Sec. 8. Appointment.

The appointing authority shall make the appointment in rank order from those persons listed on the Commission approved and certified eligible list. The Director of Human Resources, or designee, will notify the person appointed. If an appointee does not report for duty within the time prescribed by the appointing authority, he or she shall be deemed to have refused appointment.

(Amended by Resolution CS2017-03-16-1201)

Sec. 9. 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 as provided in Article XXV, Section 2512 of the City Charter. Such appointments shall not exceed 30 days, nor shall successive emergency appointments be made. Emergency appointments shall be reported promptly to the Commission.

(Amended by Resolution CS98-074, 10/1/98)

(a) Conditional Appointment. If the appointing authority desires to fill a temporary vacancy in the upper ranks of the Police or Fire Department caused when a regularly appointed classified employee is unable to perform assigned duties as set forth in subsection (b) below, a conditional promotional appointment may be made first from a reemployment list and then from a Commission approved and certified eligible list in accordance with Sec. 5 (Certification for Appointment) as outlined above.

(b) Use of Conditional Appointment.

(1) Military Leave. When a regularly appointed employee in the upper ranks of the Police or Fire Department is called to active military duty, a conditional appointment may be made as set forth in this Rule for an indefinite period of time or until the previous holder of the position returns to regular duty.

(2) Extended Illness or Injury. When the declaration of the City Physician shows that the illness or injury of a regularly appointed employee will incapacitate such employee from performing normal work for 30 days or more, a conditional appointment may be made as set forth in this Rule for an indefinite period of time or until the previous holder of the position is able to return to regular duty.

(3) Special Assignments and Other Extended Leaves. When a regularly appointed employee in the upper ranks is unable to perform assigned duties for 60 days or more due to any type of special assignment or other approved leave, a conditional appointment may be made as set forth in this Rule; except that, no person shall serve more than four months in any one fiscal year under this subsection.

(c) Restrictions. Except as otherwise provided in this Rule, conditional appointments are subject to the return of previous holders of regular positions. Eligibles appointed to fill temporary vacancies pursuant to this Rule shall be placed back into their previously held positions upon the return to duty of previous holders of regular positions. Eligibles shall be placed back into their previously held positions based on inverse order of conditional appointment.

No service credit shall be allowed for service rendered under a conditional appointment in accordance with City Charter Article XXV, Section 2507(d).

(d) Effect of Conditional Appointment. Acceptance or refusal of a conditional appointment shall not affect the standing of any person on a reemployment list or current and active eligible list for regular appointment. Regular appointments shall be made in accordance with these Rules, except that, the Commission shall first certify persons in conditional appointments to fill regular vacancies, in accordance with the conditional appointee's rank order on the reemployment list of eligible list from which the employee received conditional appointment, even if expired.

(Amended by Resolutions CS01-077, 07/19/01; repealed by Commission on 4/03/03; CS04-051, 05/06/04; CS05-046, 3/17/05; amended by Resolutions CS10-021, 08/19/10; CS2017-03-16-1201)

Any person whose name appears upon an eligible list after being certified for appointment may be granted a waiver of appointment upon giving reasons satisfactory to the Commission in writing. Such a waiver shall be for a period of time stated in the written request to the Commission, not to exceed the life of the list. In the event the list of eligibles is exhausted prior to the expiration date for said list, an eligible with a waiver shall be afforded the opportunity to accept appointment to the next vacant position or have his or her name dropped from the eligible list in accordance with Rule V, Section 16 of these Rules and Regulations. A second waiver shall not be granted. This rule shall not apply to temporary appointments nor shall it apply to waivers granted for military service.

(4877, 12/4/75; amended by Resolutions CS10-021, 08/19/10)

Sec. 1. Guidelines for implementation.

(a) Duration of Probation. All original entrance appointments, including appointments made from the lateral entry list and academy graduate list, shall be tentative and subject to a probationary period of 18 months.

(b) Police Officer Trainee/Police Officer Recruit/Fire Fighter Trainee. The probationary period for original entrance Police Officers or a Fire Fighter Trainee shall commence on the date the employee is hired as a Police Officer Trainee or a Police Officer Recruit or Fire Fighter Trainee and shall continue and be completed after the employee is certified as a sworn probationary Police Officer or Fire Fighter.

(c) Purpose. The probationary period shall be regarded as an intrinsic part of the examination process and shall be utilized for closely observing the employee's work, for securing the most effective adjustment of a new employee to the position, and for eliminating any probationary employee whose performance does not meet the required standards of work.

(1) Extension of Probation. The probationary period shall not be extended for entry-level positions.

(2) Continuance of Probation. In the event of injury, illness, or other authorized leaves of absence in excess of 30 days or 216 hours, excluding absences for regularly scheduled vacations, the probationary period for entrylevel positions shall be continued for the same number of days or hours the employee is excessively absent from his or her regularly assigned duties. "Excessively absent" shall be defined as an accumulated absence of 14 work days or 96 work hours in a 30-day or 216-hour work period. For example, if an employee accumulates an additional 14 days or 96 hours of absences after a continued absence of 30 days or 216 hours, then such employee shall have his or her probationary period continued for not less than 14 days or 96 hours.

(3) The probationary period will also be continued for the same length of time a probationary employee is assigned to modified or light duty, unless during the modified or light duty assignment, the employee performs substantially all of the regularly assigned duties of the position to which the employee was hired.

(4) An employee who is laid off during his or her probationary period and who is placed on a reemployment list must complete the probationary period upon appointment to the position from which the employee was laid off.

(d) Acceptance of Probationer. The Chief of the department shall notify the City Manager two weeks prior to the termination of any probationary period as to the satisfactory or unsatisfactory service of the original entrance probationary employees; then the appointing authority shall have discretion to file with the Commission a statement in writing to such effect and stating that the retention of such employee in the service is desired or is not desired.

(e) Rejection of Probationer. During the probationary period an employee may be rejected at any time by the appointing authority for any cause without the right of review of any kind; except that a probationary Miscellaneous employee appointed to any entry-level sworn position in the Police or Fire Department in accordance with these Rules, who has successfully completed at least six months of probation in a Miscellaneous class, in lieu of being released from probation, may be reinstated to the Miscellaneous class previously held upon recommendation of the affected department heads and a written request to and approval by the Commission.

Employees reinstated pursuant to this provision shall be subject to a new probationary period designated for that class beginning on the first day of reinstatement.

This provision shall not be effective unless there is a vacancy in the Miscellaneous class and the Personnel Officer approves the filling of such vacancy.

(5795, 3/19/81; CS87-26, 3/19/87; CS01-077 7/19/01; CS04-078, 07/15/04; CS04-092, 09/02/04; CS05-065, 05/19/05; CS05-155, 11/17/05; CS06-030, 02/09/06; CS06-091, 08/03/06; CS07-071, 05/17/07; CS07-126, 09/20/07; amended by Resolutions CS10-021, 08/19/10)

Promotional appointments in the Fire Department are permanent appointments not subject to a probationary period.

Promotional police appointments, except Police Chief and Deputy Chief of Police, are probationary for a period of 12 months. The basis for and procedures of rejection of a promotional probationer police appointee shall be according to Article XXV, Section 2508 of the City Charter.

A promotional probationary period for the Police Department is regarded as an intrinsic part of the examination process and the same is utilized for closely observing the promotional appointee's work, for securing the most effective adjustment of a probationer's qualifications to the higher rank and for the purpose of eliminating any promotional probationer from attaining permanent status in said higher rank whose work performance does not meet the required standards of duties and responsibilities.

No formal test or tests, however devised and conducted, will prove infallible. The final test is actual performance. For this reason the new promotional appointee shall be carefully supervised and critical observation shall be made of his work during the working test period. For this evaluation of the promotional probationary period, the Civil Service Commission shall adopt a suitable rating sheet containing, but not limited to, the following traits: volume of work, quality of work, work habits, dependability in carrying out assignments, attitude toward public, relationship with fellow workers, learning ability, knowledge of work, attitude toward work, personal fitness, supervisory and administrative ability and such other traits the Commission shall from time to time deem advisable to include in the promotional probationary performance rating sheet.

Wherever practical and possible, the promotional probationary appointee shall be rated by his immediate supervisor, division supervisor, and the Chief of the Police Department.

Only items found below standard in work performance shall be brought to the attention of the promotional probationary appointee immediately upon completion of his promotional probationary performance rating sheet. Such promotional probationary performance rating sheets shall be completed at least once per month or as otherwise determined by the Civil Service Commission. A copy of the promotional probationary performance rating sheet will be filed in the personal folder of each promotional probationer.

(5795, 3/19/81; amended by Resolutions CS98-074, 10/1/98)

Any promotional probationary police appointee who is appointed to the rank of Chief of Police or Deputy Chief of Police shall receive credit toward the promotional probationary period for the lower rank while serving in the higher appointive rank.

(Resolution CS04-117, 10/21/04)

Sec. 4. Retention/rejection of probationary fire employees.

Any employee rejected during the probationary period following a promotional appointment, shall be reinstated to the position from which promoted unless charges are filed and the employee is discharged in the manner provided in the respective Memorandum of Understanding the Charter of the City of Stockton, and Civil Service Rules.

If an employee is rejected from his or her probationary period, the employee shall receive the salary at the same step prior to promotion.

(Added by Resolution CS2013-02-21-701)

Sec. 1. Vacation.

All employees in the competitive service who have completed 12 consecutive months in the service of the City of Stockton shall be entitled to 10 working days annual vacation leave with pay. On January 1, employees with less than one year of continuous service shall be credited a prorated portion pending completion of one year of continuous service.

For members of the Fire Department, commencing with January 1 following two years of continuous service, each employee shall be credited with 15 working days of vacation; following 10 years, 20 working days; and following 20 years, 25 working days.

For member of the Police Department, commencing with January 1 following two years of continuous service, each employee shall be credited with 15 working days of vacation; following 10 years, 20 working days; and following 20 years, 25 working days.

If an employee does not receive pay for 10 or more working days during a calendar year, vacation credits shall be prorated.

An employee who has resigned in good standing and is subsequently reinstated within one year from the date of his resignation shall have his prior service counted in determining eligibility for increased vacation benefits, but the time between the date of resignation and the date of reinstatement shall not be counted in determining such eligibility.

Upon written approval of the Chief of the department, any eligible employee may defer a limited number of working days of his annual vacation to the succeeding calendar year which, when combined with January 1 credits, will not exceed 10 days more than earned. The times during a calendar year at which an employee may take his vacation shall be determined by the Fire Chief or Police Chief.

Notwithstanding other provisions of this section, employees with one or more years of service who terminate employment shall be paid in a lump sum for all accrued vacation leave earned prior to the effective date of termination, provided, further, that employees unable to take earned vacation time due to a leave occasioned by a serviceconnected, compensated disability shall be paid for said vacation time in excess of earning limit upon retirement. In the event said employee returns to duty, he shall be required to take said excess earned vacation time prior to the 1st day of January next preceding.

(a) Sick leave with pay shall be granted by the appointing authority at the rate of one and one-fourth (1 1/4) work days for each month of service. Sick leave not taken may be accumulated from year to year, and said unused, earned sick leave shall be unlimited. Legal holidays authorized by the City Manager for each respective department and falling within an employee's sick leave shall not be regarded as expended sick leave but as expended holiday leave. No member of either of said departments who shall be off duty with pay, on account of sickness or disability, shall, in any case, be granted a leave of absence for a period exceeding 60 days, without special written permission of the appointing authority.

(b) Sick leave shall not be considered as a privilege which an employee may use at his discretion, but shall be allowed only in case of actual sickness or disability. Earned sick leave shall be credited to the nearest day.

(c) No sick leave shall be earned during leave of absence without pay.

(d) In order to receive compensation while absent on sick leave, the officer or member shall notify his immediate superior or the Chief of the department prior to the time set for beginning his daily duties or as may be specified by the Chief of his department. When absence from duties on account of sickness or disability is for more than five days, said officer or member shall file with the Chief of his department and transmit to the personnel officer a certificate from a regularly certified physician, clearly specifying the character and nature of such sickness or disability, and probable duration of such sickness or disability. When absence from duties on account of sickness or disability is for more than four hours the Chief may require the filing of said medical certificate for each day of sickness or disability. These medical certificates must be filed as often as required by the Chief of his department during the continuance of such sickness or disability, but in any event must be filed once each five days. Upon approval of the Chief of their respective departments, a personal affidavit may be accepted in lieu of a physician's certificate.

A refusal to submit a physician's certificate as herein required shall constitute good and sufficient cause for suspension, demotion or dismissal of said employee from the classified service of the City of Stockton.

If investigation by the appointing authority discloses that the employee was absent from his said duties because of personal reasons, or for any reason not connected with or arising from the actual illness or physical disability of said employee, then the unauthorized absence of such employee or the action of the employee in filing said physician's certificate or in filing his said personal affidavit, in order to claim or to receive such leave, shall, in either or any of said events, constitute good and sufficient cause for the employee's suspension, demotion, or dismissal from the classified service of the City of Stockton.

The decision of the City Manager on the matter of suspension, demotion or dismissal may be appealed to the Civil Service Commission as provided elsewhere in these rules.

Any employee who is a member of the Armed Forces of the United States or a member of the reserve corps or force of the military, naval, or marine service, including the Coast Guard and National Guard, and is required to perform active military service, shall be granted leave of absence in accordance with applicable federal and state law. If City policy or the applicable memorandum of understanding is more generous than federal or state law, then military leave shall be governed by the regulation that provides the better benefit; EXCEPT THAT, a probationary employee who is called to active duty shall be required to complete the probationary period in accordance with the provisions of rule VIII of these rules and/or the applicable memorandum of understanding.

(Amended by Resolution CS07-126, 09/20/07)

An appointing authority may grant a permanent employee leave of absence without pay for a period not to exceed one year, except as provided in Section 3 of this rule. Leave without pay shall be granted only upon written request of the employee. Whenever granted, such leave shall be in writing and approved by the Chief of the department and the City Manager. Failure on the part of an employee on leave to report promptly at its expiration, or within a reasonable time after notice of return to duty shall be deemed a resignation.

(Amended by Resolution CS10-021, 08/19/10)

Any eligible or laid-off employee or employee on leave of absence whose entrance examination required a physical examination shall be required to report to the examining physician of the Civil Service Commission for physical examination prior to reporting for duty. Such examining physician shall file with the Commission his certificate of examination, which certificate shall show that the eligible or employee is in satisfactory health and physical condition. An unsatisfactory physical medical report as provided elsewhere in these rules may be cause for rejection of eligible or employee.

(a) Fire Department. The basic working time required of officers and members of the Fire Department shall be as provided in Section 2527 of Article XXV of the Charter of the City of Stockton.

(b) Police Department. The officers and members of the Police Department shall work in shifts of eight hours each, except in cases of emergency, during which time they shall work as directed by the Chief of the department. The officers and members of the Police Department shall be allowed days off at the rate of six days for every 21 days of work or any variation or equivalent without loss of pay.

These provisions appearing in (a) and (b) shall not in any case interfere with essential services to be rendered by either department; alternate schedules of work may be prepared by the Chief of the department and approved by the City Manager. Any changes other than of an emergency nature from a normal work week for employees of the City must receive prior approval by the City Manager.

(Amended by Resolution CS98-074, 10/1/98)

Every employee in the classified service of the City of Stockton shall be in regular attendance at his work of assigned duties for the City at the time prescribed by or for the department in which he is employed during his normal or regular days of employment each week, in accordance with the rules regarding hours of work, holidays, and sick leave.

The Chiefs of both departments shall cause to be kept attendance records of the employees in the classified service which shall be reported to the Personnel Officer in the form and on the dates he shall specify.

Modification of the rules and regulations contained in rule IX shall be permitted if made in accordance with the provisions of a negotiated memorandum of understanding entered into pursuant to the Employer-Employee Relations Resolution of the City of Stockton and any amendments thereto.

(Added by Resolution CS02-080, 08/01/02)

Rule X. EMPLOYEE MORALE AND WELFARE

Sec. 1. Powers of the commission.

The Commission may make investigations concerning and report upon all matters touching the enforcement and effect of the provisions of the Civil Service Act and rules and regulations prescribed herein; inspect all institutions, departments, offices, places, positions and employments affected by the Civil Service Act and ascertain whether such Act and all such rules and regulations are being obeyed. Such investigation may be made by the Commission or by any Commission designated by the Commission for that purpose. Not only must these investigations be made by the Commission as aforesaid, but the Commission must make like investigations upon petition of a citizen who is an elector of the City of Stockton, duly verified, stating that irregularities or abuses exist or setting forth in concise language in writing the necessity for such investigation. In the course of all investigations or hearings before the Commission, the Commission or designated commissioner or chief examiner shall have the power to administer oaths, subpoena, and require the attendance of witnesses and production by them of books, papers, documents and accounts appertaining to the investigation or hearing and also to cause the deposition of witnesses residing within or without the state to be taken in the manner prescribed by law for like depositions in civil actions in the Superior Court of the State of California and the oaths administered hereunder and the subpoenas issued hereunder shall have the same force and effect as the oaths administered by a Superior Court Judge of California in his judicial capacity; and failure upon the part of any person so subpoenaed to comply with the provisions of this section shall be deemed a violation of the Civil Service Act and punishable as such.

Sec. 1. Responsibility for training.

Responsibility for developing training programs for employees shall be assumed jointly by the Commission, the personnel officer and the Chiefs of each department. Such training programs may include lectures, courses, demonstrations, assignment of reading matter, or such other devices as may be available for the purpose of improving the efficiency and broadening the knowledge of municipal officers and employees in the performance of their respective duties.

Employees who enroll in and successfully complete extension, correspondence, or other special training courses may report to the personnel officer their actions and progress, and the personnel officer may offer such advice and assistance as may be within his or her power. The successful completion of specialized training courses may be noted in the employee's human resources and/or departmental personnel file(s).

(Amended by Resolution CS2014-04-17-1101)

Rule XII. DISCIPLINARY ACTIONS

No person in the classified service who shall have been permanently appointed or inducted into Civil Service under the provisions of the Civil Service Act, excepting the Chief and Deputy Chief of the Police Department, shall be demoted, except for cause, and only upon the written accusations of the appointing officer and upon the written recommendation of the Chief and Deputy Chief of the department under whose jurisdiction the person is employed, a written statement of the accusation shall be served upon the accused.

Any person so demoted, excepting the Chief and Deputy Chief of the Police Department, may, within 10 days from the time of his demotion, file with the Commission a written demand for an investigation, whereupon the Commission shall conduct such investigation. The investigation shall be confined to the determination of the question of whether such demotion was or was not made for political or religious reasons and was or was not made in good faith for cause. After such investigation the Commission may affirm the demotion or, if it shall find that the demotion was made for political or religious reasons or was not made in good faith for cause, shall order the immediate reinstatement of such person in the office, place, or position or employment from which such person was demoted, which reinstatement shall, if the Commission so provides, in its discretion, be retroactive and entitle such person to such pay or compensation as he would have received had he not been demoted. The Commission, upon such investigation in lieu of affirming the demotion, may modify the order of demotion by directing a suspension without pay for a given period and subsequent restoration to his grade prior to demotion. The findings of the Commission shall be certified in writing to the appointing power and shall be forthwith enforced by such officer.

All investigations made by the Commission pursuant to the provisions of this section shall be by public hearing after reasonable notice to the accused of the time and place of such hearing, at which hearing the accused shall be afforded an opportunity of appearing in person and by counsel and presenting his defense and may for said purpose have subpoenas issued and require the attendance of witnesses to present his defense. Appeal from such findings and decision may be taken by the employee to the Superior Court of San Joaquin County.

(Amended by Resolution CS2014-09-18-1101)

No person in the classified service who shall have been permanently appointed or inducted into Civil Service under the provisions of the Civil Service Act shall be dismissed, removed or discharged except for cause and only upon written accusation of the appointing officer or any taxpayer in the City of Stockton, and upon the written recommendation of the Chief of the department under whose jurisdiction the person is employed, a written statement of the accusation shall be served upon the accused.

Any person so removed or discharged may, within 10 days from the time of his removal or discharge, file with the Commission a written demand for an investigation, whereupon the Commission shall conduct such investigation. The investigation shall be confined to the determination of the question of whether such removal or discharge was or was not made for political or religious reasons and was or was not made in good faith for cause. After such investigation the Commission may affirm the removal or discharge was made for political or religious reasons or was not made in good faith for cause, shall order the immediate reinstatement or reemployment of such person in the office, position or employment from which such person was removed or discharged, which reinstatement shall, if the Commission so provides, in its discretion, be retroactive and entitle such person to pay or compensation from the time of such removal or discharge. The Commission, upon such investigation, in lieu of affirming the removal or discharge, may modify the removal or discharge by directing a suspension without pay for a given period and subsequent restoration to duty or demotion in classification, grade or pay. The findings of the Commission shall be certified in writing to the appointing power and shall be forthwith enforced by such officer.

All investigations made by the Commission pursuant to the provisions of this section shall be by public hearing, after reasonable notice to the accused of the time and place of such hearing, at which hearing the accused shall be afforded an opportunity of appearing in person and by counsel and presenting his defense and may for said purpose have subpoenas issued and require the attendance of witnesses to present his defense. If the accused is dissatisfied with the judgment or order made by the Commission or a majority thereof, the said accused may appeal therefrom to the Superior Court of the State of California, in and for the County of San Joaquin.

This section shall not be applicable to the removal by demotion of the Chief or Deputy Chief of the Police Department.

(Amended by Resolution CS2014-09-18-1101)

The appointing authority may suspend any member of the Fire Department or Police Department of the City of Stockton, for cause, for a reasonable period, not exceeding 60 work days at any one time, with loss of salary or other compensation. The appointing authority shall not be authorized to suspend the same person for a total of more than 90 work days during any one fiscal year. No such suspension shall be made except upon written charges made by the appointing officer and served upon the accused, with the privilege to the accused of serving upon the appointing authority a written answer and explanation of such charges.

Any person so suspended may, within 10 days from the time of his suspension, file with the Commission a written demand for an investigation, whereupon the Commission shall conduct such investigation. The investigation shall be confined to the determination of whether such suspension was or was not made for political or religious reasons and was or was not made in good faith for cause.

The hearing under this section shall be conducted by the Commission in the same manner as the hearing upon demotion set forth in Section 32-18 of the Civil Service Act and the Commission, upon such hearing and investigation, may affirm said suspension or if it shall find that the suspension was made for political or religious reasons or was not made in good faith for cause, shall order that the suspension be revoked and set aside. The decision of the Commission shall be final and there shall be no appeal therefrom. The findings of the Commission shall be certified in writing to the appointing power and shall be forthwith enforced by such officer.

(Amended by Resolution CS2014-09-18-1101)

(Repealed by Resolution CS09-026, 5/05/09)

Rule XIIA. APPEALS FOR FIRE EMPLOYEES

(Added by Resolution No. CS88-062, 8/4/88)

Note: Pertains to Fire employees only.

Sec. 1. Complaints.

(a) Any applicant or employee in the competitive service shall have the right to appeal to the Commission relative to any violations of the Civil Service Rules and Regulations, acts of discrimination, non-merit employment actions, conditions of employment or employment status, except in instances where the right of appeal is prohibited by the Civil Service Act or these rules.

(b) It shall be the duty of the Director of Human Resources to inform each Commission member and the appointing authority or other persons complained against of the filing of the complaint or request.

(c) Such appeal must be filed with the City Clerk within 10 work days of the alleged violation.

(Amended by Resolution CSC 05-005, 01/06/05)

A permanent employee, if discharged, demoted, or reduced in pay, may submit a written appeal to the Commission following receipt of the written notice of discharge, demotion, or reduction in pay. Such appeal must be filed within 10 days of receipt of such notice. It shall be the duty of the Personnel Officer to inform each Commission member and the appointing authority of such appeal.

Sec. 3. Investigation and hearing.

When the employee is entitled to a hearing, the Commission shall schedule a hearing on the action pursuant to the procedures set forth in these rules and regulations.

(a) The Civil Service Commission shall set a time and place for the hearing. Notice shall be served personally or by registered or certified mail on the parties to the appeal not less than 30 days before the hearing. Appearance at the hearing waives the right to notice.

(b) The employee shall be entitled to appear personally, by counsel or a designated representative; to produce evidence; to present and cross examine witnesses; to testify under oath or affirmation; and to argue the case. The appointing authority or complainant shall be entitled to the same privileges.

(c) The appeal shall be heard by the Civil Service Commission, a designated commissioner, or upon agreement of the parties and a majority of the Commission, a hearing officer appointed by the Commission.

(d) If a hearing officer is to hear the appeal, the Commission shall request from the State Conciliation and Mediation Service a list of five qualified hearing officers. The list shall be submitted to the employee and the City. Each may reject or disqualify one name by filing with the Commission the rejection or disqualification, in writing, within five days. The Commission shall appoint a hearing officer from those names remaining.

(a) Appellant shall identify the issues raised on appeal and shall provide a list of these issues to the Civil Service Commission or hearing officer and the City's representative at the time the appeal is filed.

(b) Either party shall have the right to demand in writing that the other party provide a list of witnesses it intends to call, designating which witnesses will be called as expert witnesses, and list of documents it intends to introduce at the hearing. Such demand shall be served personally or by registered or certified mail on the opposing party no less than 20 days prior to the date of hearing. Copies shall be filed with the Civil Service Commission or the hearing officer.

(c) Each party shall serve such respective lists on the other party personally or by registered or certified mail no less than 10 days prior to the date of the hearing. Copies shall be filed with the Civil Service Commission or the hearing officer.

(d) Listed documents shall be made available for inspection and copying at reasonable times and places prior to the hearing.

(e) Time limits provided herein may be waived by mutual agreement of the parties.

(f) The failure to list a witness or a document shall not bar the testimony of an unlisted witness or the introduction of an undesignated document at the hearing, provided that good cause for omission from the requirements of paragraphs (b) and (c) is shown, as determined by the Civil Service Commission or the hearing officer.

(g) Before the hearing has commenced, the chairperson or the hearing officer shall issue subpoenas and subpoenas duces tecum at the request of any party for attendance or production of documents at the hearing. Compliance with the provisions of Section 1985 of the Code of Civil Procedure shall be a condition precedent to the issuance of the subpoena duces tecum. After the hearing has commenced, the chairperson or the hearing officer may issue subpoenas and subpoenas duces tecum.

(a) If the Civil Service Commission hears the appeal, it may utilize the services of its counsel in ruling on the admission or exclusion of evidence and on questions of hearing procedure, and shall exercise all powers relating to the conduct of the hearing.

(b) If a hearing officer is appointed by the Civil Service Commission, the hearing officer shall rule on the admission and exclusion of evidence and on questions of hearing procedure, and shall exercise all powers relating to the conduct of the hearing except as otherwise provided by this rule.

(c) The personal presence of the employee shall be required at all hearings except when excused by the Civil Service Commission or the hearing officer upon good cause shown. Unexcused absence may be deemed a withdrawal of the appeal and consent to the action or ruling from which the appeal was taken.

(d) The parties to the hearing are entitled to be heard, to present evidence and to examine and cross-examine witnesses appearing at the hearing. The testimony of witnesses shall be given under oath or affirmation.

(e) The hearing shall be formal, but need not be conducted according to technical rules relating to evidence and witnesses. Only relevant evidence shall be admitted and only if it is the type of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs.

Hearsay evidence may be admitted for any purpose but shall not be sufficient in itself to support a finding unless it would be admissible over objections as in civil actions. Irrelevant and repetitious evidence shall be excluded. Oral evidence shall be taken only under oath or affirmation.

Exhibits shall be marked and numbered. Exhibits, when offered by either party, may be received in evidence by the chairperson or hearing officer. The names of all witnesses and exhibits in order received shall be made a part of the record.

(f) If the Civil Service Commission or the hearing officer intends to base a decision upon information not obtained at the hearing, the information shall be disclosed to all parties to the hearing and the parties shall have an opportunity to respond to it.

(g) Members of the Civil Service Commission or the hearing officer may ask questions of witnesses to the hearing. However, representatives of each party or parties to the hearing are limited to one further round of examination and cross-examination in response to such questions. Questioning shall be strictly limited to specific matters asked by members of the Civil Service Commission or the hearing officer.

(h) In hearings on disciplinary matters the City shall present its case first and shall present its closing arguments last. There shall be no rebuttal. In other hearings or investigations, the order of presentation shall be determined at the discretion of the Civil Service Commission or hearing officer.

(i) In disciplinary hearings, the burden of proof shall be on the appointing authority.

(j) The Civil Service Commission or the hearing officer may, in the exercise of discretion and upon request of either party, exclude witnesses not presently under examination except parties, the designated representative, the appointing authority, the Director of Personnel or a designated representative and legal counsel.

(k) The Civil Service Commission or the hearing officer may, on request of a party or on its own motion, for good cause shown, exercise its discretion to grant reasonable continuances.

(a) If the matter is heard by the Commission, the Commission shall affirm, modify, or vacate, in whole or in part, the challenged action to the extent permitted by the Charter.

(b) If the matter is heard by a hearing officer, the hearing officer shall, within 10 days of the close of the hearing, prepare Findings of Fact and Recommendations to the Commission to affirm, modify, or vacate, in whole or in part, the challenged action as permitted by the Charter in such form that it may be used by the Commission in reaching its decision in the case. A copy of the Findings of Fact and Recommendations shall be filed by the Commission as a public record and furnished to each party within 10 days after filing by the Commission. The Commission shall affirm, modify, or vacate, in whole or in part, the challenged action to the extent permitted by the Charter.

(c) In arriving at a decision on the propriety of the penalty imposed, the Commission or the hearing officer may consider the records of any relevant prior proceedings against the employee in which a personnel action was ultimately sustained and any records contained in the employee's official personnel files, providing such proceedings and records were introduced into evidence at the hearing.

(d) The final decision of the Commission shall be in writing and shall contain findings of fact and the personnel action approved, if any. The findings may be stated in the language of the pleadings or by reference thereto.

(e) The final decision of the Commission shall be filed with the City Clerk as a public record and served personally or by registered or certified mail upon the parties within 10 days of the conclusion of the hearing, if heard by the Commission, or within 10 days of the Commission's action on the hearing officer's Findings of Facts and Recommendations.

(f) The final decision of the Civil Service Commission shall be certified to the appointing authority from whose action the appeal was taken and shall forthwith be enforced and followed by the appointing authority.

Sec. 1.

(a) Good Standing. An employee wishing to leave the classified service of the City in good standing shall file with the Chief of his department and the personnel officer, at least two weeks before leaving, a written resignation stating the date it shall become effective and the reason for leaving. Failure to comply with this rule shall be entered on the service record of the employee and may be a ground for considering him as having resigned not in good standing.

(b) Voluntary Resignation. Every employee in the classified service of the City of Stockton who shall absent himself from his daily work or assigned duties for the City without a leave of absence from the personnel officer for a period of five consecutive work days, shall be deemed by such action to have voluntarily and permanently resigned from his position in the classified service of the City of Stockton, and shall be deemed to have voluntarily and permanently severed and separated himself from his position in the classified service of the City, and from the benefits of the Civil Service of the City of Stockton.

Every such employee by his unauthorized absence as herein specified shall be deemed to have voluntarily and permanently withdrawn from the Civil Service System of the City of Stockton, and to have forfeited his position and classification therein, and the position he occupied shall be deemed vacant.

(c) Every employee in the classified service of the City of Stockton who shall absent himself from his daily work or assigned duties for the City without a leave of absence from the personnel officer or the Chief of his department, unless physical incapacity or other circumstances render it impossible or not reasonably practicable to notify the personnel officer or his department, shall be deemed guilty of misconduct, insubordination and disobedience in the discharge of his duties for the City.

Sec. 1. Reemployment lists.

(Repealed by CS09-026, 5/05/09)

Sec. 2. Indefinite period of sickness.

(Amended by Resolution CS03-005, 1/16/03; repealed by Resolution CS04-051, 5/06/04)

Sec. 3. Physical fitness.

Any employee in the Fire and Police Departments of the City of Stockton may be required to take a physical examination from the City Physician when. in the opinion of the City Manager, such examination is necessary. Upon warning by the City Physician, it shall be the duty of the employee to correct remediable physical deficiencies or conditions within a reasonable time or incur disciplinary action. If the physical examination discloses that the employee is no longer fit for duty, such employee shall be removed from the department subject, of course, to disability retirement payments if eligible thereto. In the event the City Physician finds either that the employee has a remediable physical deficiency or condition or that the employee is no longer fit for duty, the employee shall have recourse, if he or she so desires, to the Civil Service Commission, provided that the employee must request a hearing from the Commission in writing within 15 days of the time that written notice of the finding above mentioned is served upon the employee. The Civil Service Commission shall receive medical evidence from the City Physician and from physicians chosen by the employee and from such other physicians as desired by the Commission. The Civil Service Commission shall make a full inquiry into the accuracy of the finding above mentioned and shall make its own findings and decisions thereon. Appeal from such findings and decisions may be taken by the employee to the Superior Court of San Joaquin County.

(Amended by Resolution CS02-019 2/07/02)

No person in the classified service or seeking admission thereto shall be appointed, promoted, demoted, suspended or discharged, or in any way favored or discriminated against because of political opinions or affiliations, or because of religious belief. No person holding any office, place, position or employment subject to Civil Service is under any obligation to contribute to any political fund or to render any political service to any person or party whatsoever, and no person shall be removed, reduced in grade or salary or otherwise prejudiced for refusing so to do. No public officer, whether elected or appointed, shall discharge, promote, demote or in any manner change the official rank, employment or compensation of any person under Civil Service or promise or threaten so to do, for giving or withholding or neglecting to make any contributions of money or service or any other thing of value for any political purpose.

No person employed under Civil Service or registered on the eligible list of the classified service, coming under the provisions of the Civil Service Act and these rules and regulations, shall be a candidate for popular election to any public office, unless such person shall immediately resign from the office, place, position or employment which he then holds under Civil Service, or in the case of persons on the eligible list of the classified service, unless such persons shall immediately have their names stricken from such eligible list. Any person who shall be a candidate for popular election to any public office, contrary to the provisions of this section, shall forfeit all right to the office, place, position or employment which he then holds under Civil Service or may have on the eligible list of the classified service.

Sec. 1. Roster cards.

The personnel officer shall maintain a service or roster card for each employee in the service of the City showing the name, title of position held, the department to which assigned, changes in employment status, and such other information as may be considered pertinent.

Sec. 2. Change of status report.

Every appointment, transfer, promotion, demotion, change of salary rate, and any other temporary or permanent change in status of employees shall be reported to the personnel officer in such manner as he may prescribe and receive his prior approval, before final action is taken.

Roster cards shall be kept permanently. All examination papers concerning which there are no legal proceedings commenced or pending, may be destroyed by the Chief Examiner or personnel officer of the City of Stockton, one year or more after such examination is held, provided that the personnel officer shall retain on file one sample examination paper from such examination for a period of five years, and upon the expiration of said period of five years, each of said sample examination papers may be destroyed. All other records relating to personnel, including correspondence, applications and reports may be destroyed after five years pursuant to the Government Code of the State of California.

The Commission shall investigate and report annually to the legislative body of the City concerning the administrative needs of the service, the personnel, the positions in the service and the compensation provided therefor, the examinations held by the Commission, the appointments made, service ratings and removals in the Civil Service, the operation of the rules of the Commission and recommendations for promoting efficiency and economy in the service, with details of expenditure and progress of work. The legislative body of the City may require a report from said Commission at any time respecting any matter within the scope of its duties hereunder. The records of the Commission shall be open to public inspection by any citizen under reasonable supervision.