When making an appointment to a vacant position from an employment list, a precedence, or order of employment lists exists, which must be followed to ensure that a legal appointment occurs.

The order of eligibility lists was established by the State Personnel Board (SPB). Eligible lists shall be established as a result of free competitive examinations, open to persons who lawfully may be appointed to any position within the classification for which these examinations are held, and who meet the minimum qualifications requisite to the performance of duties of that position, as prescribed by the specifications for the class or by Board rule. These lists may include:

  • Sub-divisional promotional list
  • Departmental promotional list
  • Multi-departmental promotional list
  • Service-wide promotional list
  • Departmental open list
  • Open list

Reemployment lists may be established due to layoff, or medical reasons, which may add to the order of eligibility lists to be cleared for an appointment to occur. These lists may include:

  • NextSTEP
  • Sub-divisional reemployment list
  • Departmental reemployment list
  • General reemployment list
  • State Restrictions of Appointment (SROA)

The order of eligibility lists when making appointment shall be the following:

  1. NextSTEP
  2. Sub-divisional reemployment list
  3. Departmental reemployment list
  4. General reemployment list
  5. State Restrictions of Appointment (SROA) list, which also includes surplus candidates
  6. Sub-divisional promotional list
  7. Departmental promotional list
  8. Multi-departmental promotional list
  9. Service-wide promotional list
  10. Departmental open list
  11. Open list

One or all of the above lists may exist for a particular classification. Therefore, if the list exists, each list must be "cleared" down to the list from which you want to make an appointment. If a candidate from a preceding list is interested and qualified, that candidate must be hired (see procedure's section regarding waivers or exceptions).

The following is an explanation of the lists depicted above and who is responsible for the establishment and maintenance of the lists.

  1. NextSTEP applies only to employees in Bargaining Units 1, 4, 15, 18, and 20 who have suffered qualifying industrial injuries and illnesses and who are unable to perform the duties of their current classes. The NextSTEP Program is described in PML 95-054. NextSTEP employees will be placed on up to six SROA lists and may remain on the lists for up to 15 months. They have hiring preference over all appointments except mandatory reinstatements, and they do not have the option of waiving appropriate job offers. Their names will appear at the tops of SROA lists and will be noted as NextSTEP. The NextSTEP program is managed by DPA's Workers' Compensation and Safety Program. The SROA system is used to assist in the placement of these employees so that it is not necessary to develop a separate, parallel system. Rule of the List applies. (Refer to PML 2000-003.)

    Note: Injured State Worker Assistance Program (ISWAP) is intended to identify employees who are injured and need to be placed in other than their regular jobs. 

    The SROA process is used as a vehicle to make the names of ISWAP participants known to prospective employers. ISWAP employees receive no preferential hiring rights; that is, their names are published for information only. If, however, an employer wishes to make an appointment of an ISWAP participant, it is not necessary to clear SROA or surplus.

    An employee whose medical condition is "permanent and stationary" and is unable to perform his/her normal job may be placed on a maximum of six ISWAP lists and will appear after the names of NextSTEP and SROA employees. ISWAP names may remain on lists for a maximum of one year. The form to participate in this program can be found in the SROA Manual.
  2. Reemployment lists are established when an employee is laid off, or medically demoted. If the employee is laid off, the Classification and Pay (C&P) Analyst shall submit DPA-016 "Establishing Reemployment Lists" form to the SPB for establishment of the appropriate list(s). If the employee is medically demoted in accordance to Government Code Section 19253.5 or CalHR Rule 599.766, the C&P Analyst shall notify the Certification Specialist to establish the appropriate list(s).

    Note: A medically demoted employee may also qualify for a red circle salary rate. Sub-divisional and Departmental reemployment lists take precedence over SROA. The individual standing highest on the sub-divisional reemployment list must be appointed (Rule of One Name). If there is no sub-divisional reemployment list, the individual standing highest on the departmental reemployment list must be appointed (Rule of One Name).

    If there is no sub-divisional or departmental reemployment list, appointment may be made from one of the three persons highest on the general reemployment list (Rule of Three Names). If fewer than three names are on a general reemployment list, an appointing power may make an appointment of a person on the general reemployment list or go to the SROA list and make an appointment of anyone on the SROA list, since it is Rule of the List. In such a case, the appointing power could also appoint an employee designated surplus who is not on any list.
  3. SROA: Appointment may be made from anyone on an SROA list (Rule of the List - CalHR Rule 599.854.2[f]). You may not move to the next employment list (usually promotional) without an exception as long as there is at least one name on the SROA list or on surplus status, unless they all waive and/or do not meet the requirements for the position.

    Exception: If it is believed that the SROA candidate does not meet the requirements for the position an exception to hire the candidate must be obtained. All exceptions to Staff Services Manager I and above positions must be approved by CalHR. Employees may remain on an SROA list up to a maximum of 120 days (this includes the time as a surplus designated employee).

    Note: Employees not on SROA lists who have been designated surplus by CalHR have status equal to employees on SROA lists. Surplus employees may be appointed even if an SROA list exists.
  4. Sub-divsional promotional lists are usually established and maintained by the administering department. The SPB has authority for these lists. Eligibility may be from one to four years.
  5. Departmental promotional lists are usually established and maintained by the administering department. The SPB has authority for these lists. Eligibility may be from one to four years.
  6. Multi-departmental promotional lists may be established and maintained by the SPB or one department out of a few to several wishing to decrease expenses for the administration of an examination for a class utilized by all departments participating. The SPB has authority for these lists. Eligibility may be from one to four years.
  7. Service-wide promotional lists are established and maintained by the SPB. SPB may require "buy in" for a department to utilize the list or may offer the list free. Eligibility may be from one to four years.
  8. Departmental open lists are usually established and maintained by the administering department. The SPB has authority for these lists. Eligibility may be from one to four years.
  9. Open lists may be established and maintained by a department or the SPB. The SPB has authority for these lists. Eligibility may be from one to four years.

Resources

Responsible Control Agency

  • State Personnel Board

Laws and Regulations

  • Government Code section 18532-537, 18900-906, 19054
  • SPB Rule 252-254

Other Resource Materials