2602 - State Restriction of Appointments (SROA)

Category

Layoffs

Audience List

  • Human Resources Chiefs
  • Labor Relations Officers
  • Personnel Officers

Synopsis

The policy:

  • Identifies the roles and responsibilities of all affected parties.
  • Contains general administrative information.
  • Outlines the amended Super SROA process.

Introduction

The State Restriction of Appointment (SROA) process is used as a mitigation effort to reduce the impact of a layoff.  It gives the California Department of Human Resources (CalHR) the authority to restrict the methods of appointment available to appointing powers in order to give employees impacted by layoffs an opportunity to retain state employment.

This policy contains a description of the SROA/Super SROA/Surplus process and the rights and responsibilities of all affected parties.  It is important that departments adhere to the processes as outlined in the SROA/Super SROA/Surplus Program.  Personnel Offices should refer to the SROA Manual (DPA 2004) on CalHR's website for detailed guidance.

Statement

Roles and Responsibilities

CalHR administers the SROA/Super SROA/Surplus program and has the following responsibilities:

  • Develops and maintains the SROA/Super SROA/Surplus rules and policies;
  • Makes the determination and approves that a department has employees who are eligible to participate in the SROA/Super SROA/Surplus program;
  • Exercises control over the number of employees placed on SROA/Super SROA lists;
  • Places employees names on the SROA/Super SROA certification lists;
  • Posts classifications on the Surplus listing on the CalHR website;
  • Maintains and issues SROA/Super SROA employment lists;
  • Reviews and makes decisions on requests for exemptions to the SROA/Super SROA/Surplus process;
  • Audits appointments to ensure compliance with SROA/Super SROA/Surplus policy; and
  • Determines appropriate corrective action for SROA/Super SROA/Surplus policy violations.

Layoff departments have the following responsibilities:

  • Informs employees impacted by layoff of their rights and obligations;
  • Provides employees with SROA/Super SROA/Surplus resource materials;
  • Provides employees with SROA/Super SROA/Surplus letters; and
  • Conducts the initial investigation into SROA/Super SROA/Surplus complaints of potential violations and forwards those with merit to CalHR.

Hiring departments have the following responsibilities:

  • Contacts SROA/Super SROA eligible employees (by requesting a certification list for the vacant position and following California Code of Regulations, title 2, section 250; for contact requirements), unless the appointment is a mandatory reinstatement or is specifically excluded per Section VI of the SROA Manual;
  • Notifies CalHR’s Personnel Services Branch (PSB) if a SROA/Super SROA/Surplus candidate declines a valid job offer;
  • Codes the certification lists as an AW (Active Waiver) if SROA/Super SROA do not reply to employment inquiries;
  • Requests CalHR/PSB review if it is determined that a SROA/Super SROA/Surplus employee does not have the required professional license and/or credentials for the job vacancy before proceeding with the recruitment;
  • Instructs hiring supervisors of the rights and obligations of SROA/Super SROA/Surplus designated employees; and
  • Cooperates with CalHR and layoff departments in the investigation of potential violations of SROA/Super SROA/Surplus.

Employees on SROA/Super SROA/Surplus have the following responsibilities:

  • Indicates on the Standard State Application (STD 678) that they have been designated as SROA/Super SROA/Surplus (attach a copy of their SROA/Super SROA/Surplus certification letter);
  • Meets transfer eligibility requirements like any other applicant (pursuant to California Code of Regulations, title 2, section 250);
  • Complies with the filing instructions outlined in job vacancy bulletins and employment inquiry letters.  For example: If the job vacancy bulletin and employment inquiry letter indicate that the applicant must return a completed STD. 678 and a completed supplemental questionnaire to be considered for the position, all applicants (including SROA/Super SROA/Surplus employees) must comply with the instructions to be considered for the position;
  • Accepts a valid job offer for a vacant position; and
  • Are not required to return an employment inquiry if they are not interested in a job vacancy; they have unlimited waivers.

General Information

  • SROA/Surplus employees that apply for a job vacancy in a class other than the class that they are currently in (including department-specific classes) must be given priority consideration for the vacant position.
  • All exemptions from SROA/Surplus must be approved by CalHR’s PSB (unless the exemption is specifically excluded per Section VI of the SROA Manual). Special exemption requests are to be submitted in writing to CalHR’s PSB. Note: In May 2003, CalHR rescinded delegation to departments to determine whether or not employees possess the requisite knowledge, skills, and abilities for appointment to any class. In the 2004 SROA Manual, Section V, page 16, the first “F” on the page was printed in error. Because delegation was rescinded, this paragraph F should have been deleted.  If a department feels an SROA or Surplus employee does not possess the requisite knowledge, skills, and abilities the department must submit an exemption request in writing to CalHR’s PSB.
  • Surplus status will end at the point in time an appointing power (1) notices the employee that he/she is no longer Surplus and (2) the appointing power requests that the CalHR remove the employee’s Surplus status.  If a job offer is made with a specific start date and an employee accepts it prior to an appointing power completing both of these steps, the employee is still considered to be on Surplus status.
  • Extension of SROA Eligibility – The initial SROA eligibility is granted for up to 120 days.  Extensions are not routinely granted and are subject to review and approval by CalHR.  Per California Code of Regulations, title 2, section 599.854.1 an SROA extension may be granted for an additional 120 days, but cannot be extended beyond the maximum of 240 days.  SROA employees will automatically be removed from SROA as their list eligibility expires.

Super SROA

The SROA Program, Super SROA process was amended pursuant to PML 2011-051. See Application section for amended procedures.

Application

Super SROA

The Memoranda of Understanding between the state and Bargaining units (BUs) 2, 9, and 18 contain a clause which is referred to as “Super SROA" and provides that departments filling vacancies shall offer positions to employees facing layoff, demotion in lieu of layoff, or mandatory geographic transfer, who meet the minimum qualifications (MQs) for the vacancy being filled, provided the vacancy is equivalent in salary and responsibility and in the same geographic area and bargaining unit.

An employee in BU 2, 9, and 18 who has been designated as having Super SROA status for purposes of a particular layoff qualifies for Super SROA.

Super SROA employees must also meet the following three criteria:

  1. Work in a county touching the county in which the job vacancy exists;
  2. Currently serve in a class eligible to transfer to the position being filled (meet transfer eligibility requirements); and
  3. Meet the minimum qualifications (MQs) of the position being filled. Only those requirements specifically included in the MQs on the class specification, such as particular types of professional licenses or credentials, may be relied upon to request exclusion of an applicant from consideration.

Role of Departments Laying Off Super SROA Employees

In addition to providing employees SROA status, departments have unique obligations for Super SROA employees to help them locate jobs:

  1. Issue Super SROA/Surplus certification letter (sample linked under Resources) to the affected employee(s);
  2. Super SROA Worksheet form:
    1. Send the Super SROA employee a Super SROA Worksheet form (sample linked under Resources) to complete and return to the department’s human resource contact.
    2. Review the returned form and contact the employee to discuss their eligibility for the classes listed. If changes to the form are made, send a copy back to the employee for their records.
    3. Educate the employee on how to identify employment opportunities utilizing CalHR’s Jobs.CA.Gov website;
  3. Search for employment opportunities on the Jobs.CA.Gov website;
  4. Verify receipt of job vacancy bulletins from the hiring departments. Notify CalHR’s PSB of any job vacancies bulletins that you did not receive a notification from the hiring department;
  5. Upon receipt of job vacancy bulletins personally and expeditiously contact each Super SROA employee by email, telephone, or via their supervisors or managers to notify them of the job vacancies;
  6. Immediately follow this initial contact by providing copies of the job vacancy bulletins to each Super SROA employee;
  7. Instruct each Super SROA employee that meets the MQs for the class of the position to apply for the jobs he/she is interested in within five calendar days of receipt of the job vacancy bulletin. In addition, remind the Super SROA employee to follow the filing instructions on the job vacancy bulletin when applying for the job and to indicate that they are Super SROA on their application; and
  8. Super SROA status ends in the same way SROA status ends for all designated employees.

Role of Departments Hiring Employees in BU 2, 9, and 18

In addition to following the SROA procedures when filling a job vacancy, departments also have unique obligations to help Super SROA employees locate jobs:

  1. Order a certification list for the job vacancy and contact (such as sending employment inquiry letters) each Super SROA employee listed;
  2. Widely advertise employment opportunities including posting them on the Jobs.CA.Gov website and posting them in your department;
  3. Contact the SROA Coordinator for each of the departments listed on CalHR’s SROA website who have Super SROA employees in the Super SROA BU of the position vacancy being advertised. Notify the layoff department of the classification and duties of the job vacancy, number of vacancies, geographic location, and salary of the position(s) to be filled;
  4. Follow up the contact by sending each SROA Coordinator and CalHR’s PSB a job vacancy bulletin for each position to be filled;
  5. Departments MUST fill each vacant position with an employee who meets the Super SROA criteria, if one applies. There are NO EXEMPTIONS to Super SROA requirements;
    Note: Hiring departments that have determined a Super SROA employee does not have the required professional license and/or credentials for the job vacancy are required to contact CalHR’s PSB for review of the determination before proceeding with the recruitment.
  6. If no Super SROA employee, who is qualified for the job vacancy, applies for the job follow the provisions of the regular SROA Program;
  7. Complete a Super SROA Compliance Audit form (sample linked under Resources) for each Super SROA job vacancy filled and send it and the required documents to CalHR’s PSB; and
  8. Keep recruitment and hiring process documentation on file for audit purposes.

Role of Surplus/SROA Employees in BU 2, 9 and 18 Classes

  1. Determine if you meet the eligibility criteria for Super SROA;
  2. Review and sign the Super SROA Worksheet and return to the department contact person;
  3. Respond to job bulletins forwarded to you from your department’s SROA or Layoff Coordinator within five calendar days of their receipt; and
  4. Seek and apply for BU 2, 9, or 18 positions under the provisions of the regular SROA Program if you do not meet the Super SROA criteria.

Role of CalHR

  1. Maintain the listing of all departments with surplus BU 2, 9, and 18 employees in one particular section of the CalHR Web site, for easy reference by hiring departments;
  2. Ensure that a BU 2, 9, or 18 employee who does not meet the Super SROA criteria is afforded the right to be considered for positions under the provisions of the regular SROA Program; and
  3. Maintain and review hiring data provided by the State Controller’s Office to ensure that the provisions of both the Super SROA process and the regular SROA Program are being complied with.

Authorities

Resources

FAQs

Forms

PML

  • PML 1991-074: PML 1991-074 - 11/19/1991 - SROA Update #4
  • PML 1999-007: PML 1999-007 - 2/3/1999 - Staffing Reduction Policy and Procedure Manual, Revision #2 and Revision to PML Memorandum 96-018
  • PML 2002-071: New Edition of the California State Restriction of Appointments (SROA) Policy and Procedure Manual.
  • PML 2004-034: PML 2004-034 - 7/30/2004 - Super State Restriction of Appointments Process
  • PML 2004-051: PML 2004-051 - 9/24/2004 - SROA and Layoff Programs
  • PML 2009-026: PML 2009-026 - 6/3/2009 - Active Waivers for SROA
  • PML 2010-001: PML 2010-001 - 1/5/2010 - Clarification on Completing the State Restrictions of Appointments
  • PML 2011-051: PML 2011-051 - 12/20/2011 - State Restriction of Appointments (SROA/Surplus) Updates

Related Policies

Web Pages

Contact Person

Personnel Management Division
Personnel Program Consultant, Personnel Management Division
Phone: 916-324-9381
Fax: 916-327-1886
Email: pmd@calhr.ca.gov

Authorized By

Melissa Russell
Chief, Personnel Management Division

History

View History

Table of Contents

1000 - Equal Employment Opportunity

1100 - Selection

1200 - Appointments

1300 - Exempt Employees

1400 - Benefits and Insurance

1500 - Work Schedules

1600 - Third Party Pre-Tax Parking

1700 - Compensation

1800 - Savings Plus

1900 - Bona Fide Associations

2000 - Collective Bargaining

2100 - Leave

2200 - Travel/Relocation

2300 - State Owned Housing

2400 - Employee Recognition

2500 - Discipline

2600 - Layoffs

2700 - Retirement

2800 - Training

2900 - Workforce Planning

3000 - Examination and Hiring

3100 - Drug-Free Workplace