1208 - Promotions in Place

Category

Appointments

Audience List

• Labor Relations Officers
• Personnel Officers
• Transactions Supervisors
• Administrative Chiefs

Synopsis

This policy provides:

• The conditions for promotions-in-place.
• The documentation process for promotions-in-place.

Introduction

This policy section provides information on the purpose of promotions in place, the conditions that must be met to promote an employee in place, the process that departments must follow and the required documentation.

Statement

Pursuant to Government Code section 18951, each state agency should encourage promotional advancement to employees who demonstrate a willingness and ability to competently perform assigned job tasks. 

A promotion in place provides the opportunity for an employee ready to assume a role of greater responsibility and more complex duties to advance by upgrading their current position. 

Standards

Definitions
California Code of Regulations, title 2, section 83 et. seq. provides the following definitions related to promotions in place:
 

“From” or “Current” Class
The “from” or “current” class refers to the classification that the employee currently holds. 
 

“To” Class
The “to” class refers to the classification to which the employee may or will be appointed. 
 

Unit
“Unit” means the unit in which the employee routinely and regularly works. 
 

True Vacancy
For purposes of a promotion in place, a “true vacancy” means a vacant position in the employee's unit that is in the employee's “from” or “to” class for which the department is actively recruiting. 
 

Vacant Position
 “Vacant Position” means an unfilled or unoccupied position. 

Authorized Use 

In order to promote an employee in place, departments must first identify and demonstrate a need for the position to perform higher-level duties. This ensures that the position is properly allocated to the appropriate classification.

After a department fulfills this requirement, the department may then consider a promotion in place, in accordance with this policy, to provide an opportunity for an employee ready to assume a role of greater responsibility and more complex duties in order to support promotional advancement.

According to California Code of Regulations, title 2, section 242, an employee may receive a promotion in place where all of the following apply:

1. The employee has permanent civil service status in their current position regardless of their current position’s time base.
2. The employee has demonstrated satisfactory or higher job performance in their current position and shown the ability and willingness to succeed at the higher-level classification.
3. The position currently occupied by the employee is reallocated to the “to” class without a change of unit or location. 
4. The employee’s “from” class has the same job functions as the “to” class but at a higher level and the department documents how the promotion in place meets this criteria.
5. The employee competed in and passed an examination for the “to” class and is currently placed on the employment list for that examination in one of the top three ranks or has reinstatement eligibility for the “to” class in accordance with Government Code section 19140.
6. The promotion in place is not from a rank and file classification to a supervisory or managerial classification.
7. The promotion in place is not from a supervisory classification to a managerial classification.

Finally, promotions in place shall not be made across multiple units. For example, an Information Technology Division (ITD) containing three (3) units has an operational need for a higher-level position and wants to do a promotion-in-place within their Customer Service Unit. Eligible employees in the other units within ITD shall not be considered for this promotion in place; rather, only those employees within the Customer Service unit would be considered. If the department wants to consider employees in other units within ITD, they would be required to hold an open recruitment.

Promotions in Place to “Specialist” Classifications

Employees may promote in place from a rank and file or supervisory classification to a higher-level classification utilized in a non-supervisory specialist capacity as long as all elements of the standards above are met, regardless of whether the specialist classification is designated as supervisory or managerial. 

State Bar Provisional Licensure Program Exemption

Law school graduates currently enrolled in the State Bar Provisional Licensure Program in accordance with California Supreme Court administrative orders 9.49 and/or 9.49.1 may promote in place without acquiring permanent or probationary status in their current position where all other elements of the standards above are met.

Application

Application

Procedures

Identifying Eligible Employees

Before promoting an employee in place, departments must consider the eligibility of other employees that serve in the same unit as the employee selected for promotion in place. 

As defined in California Code of Regulations, title 2, section 242, an eligible employee is any person, within a unit, who satisfies the minimum qualifications to examine for the “to” class being considered for promotion in place and, when applicable, meets the criteria set forth in sections 233, 234, 235, and 237.

In order to determine which employees in the unit are “eligible”, the department’s Human Resources Office shall identify those employees who have already taken the examination and are in one of the top three ranks on the employment list. The department’s Human Resources Office shall also identify those employees who satisfy the minimum qualifications and any other requirements outlined in Board rules to examine for the “to” classification, but who have not yet taken the examination. Additionally, the department’s Human Resources Office shall identify those employees who possess reinstatement eligibility for the “to” class. All types of employees outlined above are considered eligible under Board rule when making promotions in place and should be treated as eligibles according to the process outlined in this policy and current regulations. 

As a best practice, hiring supervisors should routinely meet with their subordinate employees to discuss performance objectives and career goals and to communicate those open or promotional examinations that the employee is eligible to take in order to support career advancement. This way, all interested eligible employees most likely will have already examined for the “to” classification, and it will be easier for the department’s Human Resources Office to determine who is eligible.

Notifying and Meeting with Eligible(s) Not Selected
The department, generally via the hiring unit supervisor or a Human Resources Office representative, shall notify and meet with all identified eligible employees in the unit who were not selected for the promotion in place.  It is recommended that the in-person meeting shall be held prior to the announcement of the promotion in place or within 30 days of the effective date of the promotion in place. 

The purpose of the in-person meeting is to explain to the employee the reasons why they were not selected for the promotion in place. Part of this explanation should also include a discussion of any applicable competencies and training opportunities needed for the unselected eligible employee’s future success. The reasons why an employee is not selected for a promotion in place shall be provided to the employee in writing.  However, the written documentation shall not be placed in the employee’s official personnel file.

Please note that in-person meetings may be conducted virtually or by phone upon agreement with the department and the eligible employee.

Departments shall document the date and time and any relevant information regarding the meeting with the eligible employee(s). This documentation shall be retained for five years and is subject to review by the Board’s Compliance Review Division upon request.

Eligible Employee(s) on Leave of Absence
If an eligible employee within a unit is on an approved leave of absence (LOA), they also should be notified of a promotion in place opportunity and be treated the same as any other eligible employee. 

Departments shall attempt to contact employees on a LOA and conduct an in-person meeting. If they are unable to schedule an in-person meeting, the department shall document its attempts to contact the employee. In all cases involving employees on LOA, the department should consult with their designated CalHR PMD analyst to determine the best course of action. 

Written Explanation 
It is recommended that the department provide the employee a written explanation at, or prior to, the in-person meeting. The written explanation or document shall outline any applicable competencies and training opportunities (such as work assignments or classroom/desk training) for the unselected employee’s future success. 

Departments may use the STD. 637 Individual Development Plan or a comparable form or internal document to provide feedback to unselected employees on how to accomplish their performance objectives. 

In cases where the employee has had an annual performance appraisal within the last 12 months, there is no need to provide the employee with further documentation regarding employee development or competencies. However, the notification and in-person meeting must still occur.

Verify Selected Employee is in One of the Top Three Ranks on Employment List
The department’s Human Resources Office shall verify that the employee selected for promotion in place is in one of the top three ranks of the employment list. If the selected employee is not in one of the top three ranks, then the department shall not send employment inquiries to candidates ranked higher than the employee in order to clear ranks on the employment list.  The selected employee must wait until they are reachable in the top three ranks either by natural attrition or re-examination in order to be promoted in place.

Reasons for Selecting Employee for Promotion in Place
The department shall document the reasons why the selected employee was promoted in place. The manner of documentation is up to the department, but the reasons shall be made in writing. This documentation shall be retained for five years and is subject to review by the Board’s Compliance Review Division upon request. 

SROA and Reemployment Lists
When verifying if the selected employee is in one of the top three ranks on a certification list, State Restriction of Appointment (SROA) and reemployment candidates shall not be considered, since the promotion in place is an appointment to a classification to which the employee’s position has been reclassified, rather than an appointment to a vacant position.  In cases where there is a true vacancy in the unit, the department may still promote the employee in place before filling the true vacancy when the criteria outlined in Board rule and this policy are met.  SROA and reemployment do not apply to the promotion in place because the true vacancy isn’t being filled; rather the filled position is being reclassified.  If the appointing authority simultaneously or subsequently decides to fill the true vacancy, then SROA and reemployment would apply to that recruitment. 

Promotions in Place to High-Level Specialist Classifications
In cases of promotions in place to high-level specialist classifications, the department may choose, but is not required, to conduct a modified, internal, informal competitive process when it is determined that a competitive process might be necessary to evaluate potential candidates and/or to sustain positive staff morale within the applicable unit.

Promotions in Place to a Different Series
Departments may promote in place employees to a different series provided that the criteria outlined in the regulations are met and that the analysis or justification shows that the duties in the “to” class are of greater responsibility, more complex, and are an extension of their current duties in the “from” class.

Documentation

Departments shall retain the following documentation related to promotions in place in order to demonstrate compliance with this policy and Board rules:

1. Documents showing that selected employee demonstrated satisfactory or higher job performance in their current position such as prior performance appraisals; 
2. The ordered employment list showing the selected employee was in one of the top three ranks at time of appointment; 
3. If there are other eligible(s) within the unit, documents demonstrating that the unselected eligible(s) received written notification of the promotion in place and a scheduled in-person meeting to discuss the reasons why they were not selected; 
4. If there are other eligible(s) within the unit, documents showing that the department met with all unselected eligible(s) in-person to explain the reasons;
5. If there are other eligible(s) within unit, all copies of written explanation(s) given to unselected employees as to why they were not selected for promotion in place, if requested; 
6. Organizational charts showing the “from” and “to” positions;
7. Duty statements of “from” and “to” positions; and,
8. Written documentation explaining the reasons why the employee was selected for promotion in place.

Pursuant to California Code of Regulations, title 2, section 26, documentation shall be retained by the department(s) for up to five years subject to review by the Board’s Compliance Review Division upon request. 

Authorities

• California Code of Regulations, title 2, section 26
• California Code of Regulations, title 2, section 83.1
• California Code of Regulations, title 2, section 83.2
• California Code of Regulations, title 2, section 83.3
• California Code of Regulations, title 2, section 242
• California Code of Regulations, title 2, section 233
• California Code of Regulations, title 2, section 234
• California Code of Regulations, title 2, section 235
• California Code of Regulations, title 2, section 237
• California Code of Regulations, title 2, section 83
• California Supreme Court Administrative Order 9.49
• California Supreme Court Administrative Order 9.49.1
• Government Code section 19140, Reinstatement
• Government Code section 19818.8

Resources

FAQs

• Rule 242 FAQ: Promotion in Place FAQ

Authorized By

Melissa Russell
Chief, Personnel Management Division

Michelle La Grandeur
Chief, Policy Division, State Personnel Board

Contact Person

Personnel Management Division
Personnel Program Consultant , Personnel Management Division
Phone: 916-909-3709
Fax: 916-327-1886
Email: pmd@calhr.ca.gov

Superseded Policies

History

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