Rule 111

Examinations

 

 

                   Article I:  Examination Provisions

 

Applicability:        Article I, Rule 111, shall apply to employees in all classes; except the Uniformed Ranks of the Police and Fire Departments, MTA Service-Critical classes, and those represented by the Transport Workers Union, Locals 200 and 250A.

 

                   Article II:  Examination Process

 

Applicability:        Article II, Rule 111, shall apply only to employees in classes represented by the Transport Workers Union, Locals 200 and 250A; excluding MTA Service-Critical classes.

 

                   Article III:  Veterans Preference in Examinations

 

Applicability:        Article III, Rule 111, shall apply to employees in all classes; except the Uniformed Ranks of the Police and Fire Departments, MTA Service-Critical classes, and those represented by the Transport Workers Union, Locals 200 and 250A.

 

Rule 111

Examinations

 

Article I:   Examination Provisions

 

Applicability:        Article I, Rule 111, shall apply to employees in all classes; except the Uniformed Ranks of the Police and Fire Departments, MTA Service-Critical classes, and those represented by the Transport Workers Union, Locals 200 and 250A.

 

Sec. 111.1       Civil Service Commission Equal Employment Opportunity Policy Related to the Conduct of Examinations

 

      111.1.1      It is the policy of the Civil Service Commission that job-related criteria be utilized in establishing minimum qualification requirements and developing examination procedures, without regard to race, sex, sexual orientation, gender identity, political affiliation, age, religion, creed, national origin, disability, ancestry, marital status, parent status, domestic partner status, color, medical condition (cancer-related), ethnicity or the conditions Acquired Immune Deficiency Syndrome (AIDS), HIV, and AIDS-related conditions or other non-merit factors or any other category provided by ordinance.

 

      111.1.2      The Human Resources Director shall make every effort to ensure the representation of women and minorities on examination boards, panels and screening committees.

 

Sec. 111.2       Human Resources Director Empowered to Act

 

                        The Human Resources Director shall rule on all matters concerning the examination program in accordance with these Rules.

 

Sec. 111.3       Requirement to Conduct Examinations

 

      111.3.1      Except for reasons beyond the Human Resources Director's control, the Human Resources Director shall immediately commence to conduct an examination whenever a provisional or near-list appointment is made to a permanent position.

 

1. 1. 2. Except for reasons beyond the Human Resources Director's control, the Human Resources Director will make every attempt, on a priority basis, to commence work required to conduct examinations at least sixty (60) days prior to expiration of an eligible list where there is a demonstrated need for continuing appointments to such class.

 

 

Sec. 111.3       Requirement to Conduct Examinations (cont.)

 

      111.3.3      Where possible, the Human Resources Director, or designee and bargaining representative shall meet in advance to determine which classes require eligible lists on a continuing basis.

 

Sec. 111.4       Requirement for Competitive Examinations

 

                        All applicants for positions in the classified service shall submit to examinations which shall be competitive provided, however, that no examination shall be deemed to be competitive unless three (3) or more persons participate.  However, any such examination may be held for less than three (3) qualified applicants with the approval of the Human Resources Director after a finding that reasonable publicity of the proposed examination has been given.  Notice of such determination by the Human Resources Director will be provided to the employee organization(s) representing employees within the classification.

 

Sec. 111.5       Examinations Without Charge

 

                        Examinations shall be without charge to the applicants.

 

Sec. 111.6       Apprenticeship Positions

 

                        Appropriate rosters of eligibles established by a trade, craft, or occupation joint apprenticeship committee recognized by the State of California Department of Industrial Relations, Division of Apprenticeship Standards, may be utilized to fill apprenticeship positions or as the basis for establishing apprenticeship eligibility lists.

 

Sec. 111.7       Adequacy of Examinations

 

                        Subject to the approval of the Commission, the Human Resources Director, subject to appeal to the Civil Service Commission, shall judge the adequacy of the examination to rate the capacity of the applicants to perform service for the City and County.

 

Sec. 111.8       Establishing Cutoff Scores and Number on Eligible Lists

 

                        For each selection procedure, the Human Resources Director shall establish a cutoff or passing score and shall determine the number of persons who shall constitute the eligible list based on the needs of the Service, equal employment opportunity principles and goals.  Once established, the cutoff score shall not be changed.

 

Sec. 111.9       Cheating or Fraud in Examinations

 

                        It is the policy of the Civil Service Commission that examinations shall be conducted in a fair and impartial manner in order to test fairly the relative qualifications, merit, and fitness of applicants.  Any person cheating, attempting to cheat, or assisting other persons in cheating in any phase of the examination process shall be prosecuted to the full extent of the Charter and other laws.  Actions to be taken include elimination from the examination process, dismissal, and ineligibility for future employment.  Cheating shall include the use or attempted use of materials not authorized by the scheduling notice to candidates to report for the examination.  Significant false statements by applicants on the application or during the selection process shall be good cause for the exclusion of such person from the examination and such other appropriate action as may be recommended by the Human Resources Director.

 

      111.9.1      Aid, Hindrance, Fraud and Collusion in Examinations

 

                        No person or officer shall, by himself/herself or in cooperation with other persons, defeat, deceive or obstruct any person in respect to his or her right of examination; or falsely mark, grade, estimate or report upon the examination or proper standing of any person examined hereunder, or aid in so doing; or make any false representations concerning the same, or concerning the person examined; or furnish to any person any special or secret information for the purpose of either improving or injuring the prospects or chances of any person of being appointed, employed or promoted.

 

                        Any eligible securing standing on a list by fraud, concealment of fact or violation of Commission Rules shall be removed from such list and if certified or assigned to a position shall be removed therefrom.

 

Sec. 111.10     Copying of Examination-Related Materials

 

                        The copying or the making of notes or outlines of examination-related materials is prohibited.

 

Sec. 111.11     Rating Keys - Written Examinations Other Than Essay Questions

 

     111.11.1      Written examinations other than essay questions are defined as those tests which present answers that may be available for inspection.  Typical formats of written examinations include multiple-choice, true-false, or fill-in.

Sec. 111.11     Rating Keys - Written Examinations Other Than Essay Questions (cont.)

 

     111.11.2      The examination booklet in written examinations, if not exempted from inspection privileges, shall state the time period where participants in an examination may review the rating key to be used for scoring.  No changes in the rating key shall be made after the passing score has been established.

 

     111.11.3      Inspection of the rating key is for the purpose of determining if any of the questions asked or answers are ambiguous, incorrect, or improper.  Appeals concerning the rating key must be completed in the inspection room on forms supplied by the Department of Human Resources.  Appeals must include substantiating data or authoritative references.  If any appeals have been filed, an additional period for review of appeals and submission of counter-appeals will be provided.  The Human Resources Director shall act on all appeals.  The decision of the Human Resources Director shall be final.

 

     111.11.4      Inspection privileges shall not apply to questions and answers in a continuous or standardized examination.  The Human Resources Director may delete obsolete or erroneous questions or answers from any examination exempted by this Rule for inspection privileges prior to the establishing of a passing mark.

 

Sec. 111.12     Inspection of Rating Keys by Review Committee

 

     111.12.1      The examination announcement may provide for review of questions and answers by a review committee in those examinations where large numbers of appeals might be anticipated on the basis of past experience, or where there is an immediate need for appointees in the class involved.  Such review committee shall be composed of three (3) or more persons expert in the field of subject matter covered by the examination.

 

      111.12.2    The review of the rating key shall begin simultaneously with the holding of the examination and shall be completed in one session. The recommendations of the review committee with respect to questions or answers which they believe to be ambiguous, incorrect, or improper shall be submitted to the Human Resources Director for approval.  The rating key, when approved by the Human Resources Director, shall be made available for review by participants in the examination for a minimum period of two days.  The time allowed for such review may be extended if in the judgment of the Human Resources Director, the number of applicants warrants.  The participants may appeal to the Human Resources Director concerning only those questions or answers where documented claim of significant error is made.  The decision of the Human Resources Director shall be final.  If no appeals are submitted, the approved rating key shall be the official rating key to be used for scoring the examination.

 

 

Sec. 111.13     Inspection of Papers by Unsuccessful Candidates

 

                        Where there are remaining parts of an examination, unsuccessful candidates may inspect their papers during a two (2) day period specified by the notice informing them of their scores.  Such inspection shall be for the sole purpose of determining that the computation of the score has been accurate.

 

Sec. 111.14     Oral Interview and Other Selection Tests - Definition and Appeals

 

                        This Rule section shall govern examination procedures such as oral interviews, performance tests, work sample tests, essay questions, and assessment center exercises.

 

     111.14.1      Procedures and Practices

 

                        1)    The orientation of the raters may include a presentation by the department head or departmental representative which includes a description of the class for which the examination is being held, the setting of the class in the department, the critical elements of personal characteristics needed by employees in the class, and related information.  The department head or representative shall not discuss any candidate with any rater at this time or any other time prior to the completion of the examination.

 

                        2)    No fraternal rings, organization pins, or insignia of any kind shall be displayed by any rater.

 

                        3)    No rater shall rate a candidate who is related to that person or rate a candidate if any strong personal association exists between that candidate and the rater so that it would be difficult to make an impartial rating.  If possible, the excused rater shall be replaced by an alternate with similar qualifications.

 

                        4)    Raters may only consider relevant documents from candidates that are required by the scheduling notice.

 

                        5)    Uniform standards shall be applied to every candidate in each examination.  The minimum passing rating must be related to a class, not to a single position within a multiple-position class, unless specified by the examination announcement.

 

 

Sec. 111.14     Oral Interview and Other Selection Tests - Definition and Appeals (cont.)

 

     111.14.1      Procedures and Practices (cont.)

 

                        6)    Except as otherwise permitted by law, applicants shall not be questioned regarding their race, sex, sexual orientation, gender identity, political affiliation, age, religion, creed, national origin, disability, ancestry, marital status, parental status, domestic partner status, color, medical condition (cancer-related), ethnicity, or the conditions Acquired Immune Deficiency Syndrome (AIDS), HIV, and AIDS-related conditions or other non-merit factors; nor shall such factors be utilized in establishing minimum qualification requirements and developing examination procedures.

 

                        7)    Recordings of an examination shall be retained until the eligible list is adopted.  A defective recording shall not invalidate the examination unless the Human Resources Director finds the omitted or unintelligible material critically relevant to the examination, in which event the Human Resources Director may order a new examination.

 

                        8)    In the event of an appeal that could invalidate the examination, all other candidates whose standing in the examination may be affected shall be notified of the appeal prior to final action being taken.

 

                        9)    Any violation of the following procedures and practices by candidates may be cause for disqualification:

 

                        -      no fraternal rings, organization pins or insignia of any kind shall be displayed by any candidate;

                        -      no candidate shall discuss her or his candidacy or any relationship thereto with any rater prior to the completion of all parts of the examination and the final adoption of the eligible list; and

                        -      unless expressly directed by the notice to candidates to report for examination, no letters of reference or recommendation, performance evaluations, work samples, work products, awards, certificates, or other materials shall be presented to the raters.

 

Sec. 111.14     Oral Interview and Other Selection Tests - Definition and Appeals (cont.)

 

     111.14.2      Appeals

 

                        1)    An appeal based on personal bias or competence of a rater shall be made by a candidate to the designated representative of the Department of Human Resources present at the examination immediately prior to participation in this phase of the examination.  The candidate shall then proceed with the examination.  If such appeal is sustained, the rating by the challenged person shall not be computed in the final rating of the candidate and the rating of the candidate shall be that of the unchallenged raters.  If more than one-half of the raters are successfully challenged, a new rating board shall be constituted, unless more than one rating board has been convened for the examination, in which case the candidate shall be examined by an alternate rating board of equal number.

 

                        2)    An appeal based on the conduct of the raters must be made in writing and filed with the Human Resources Director not later than the second (2^nd) business day after the examination was held and must be based on a claim of bias, malfeasance, or misfeasance of board members; documented inconsistencies, or any questions propounded by the raters which occur during any examination which require an answer in conflict with any Federal, State or City and County laws, rules, or regulations.  Appeals must state the specific grounds upon which they are based and provide facts which support the allegations.  Failure to state the appeals properly filed under this section shall be resolved in accordance with the appeal provisions of these Rules.

 

                        3)    An appeal based on inconsistencies in examination administration shall be made in writing and filed with the Human Resources Director not later than the (5^th) business day after the examination.

 

                        4)    In acting on appeals, only the applications, records, and questions and answers which constitute the record of the examination shall be considered.  Appeals will only be sustained when the candidate presents evidence that clearly substantiates a charge or charges as to the above listed items.  In the absence of an appeal under this section, later appeals shall be precluded.

Sec. 111.15     Inspection of Ratings by Participants

 

     111.15.1      Composite ratings for examinations administered under this section shall be available for a minimum period of two (2) working days during which period each participant may inspect their own ratings.  The identity of the examiner giving any mark or grade shall not be disclosed.

 

1. 1. 2. Any appeal shall be filed in writing within the inspection period and shall be limited to failure of the raters to apply uniform standards.  Appeals must state the specific grounds upon which they are based and provide facts which support the allegations.  Failure to state the specific grounds for the appeal and provide facts shall nullify the appeal.

 

1. 1. 3. All appeals properly filed under this section shall be resolved in accordance with the appeal provisions of these Rules.  Appeals shall not be considered merely because candidates believe they are entitled to a higher score.  Neither the Commission nor the Human Resources Director shall substitute their judgment for the judgment of the raters.  Ratings of less than the minimum passing score shall not be raised to more than the minimum passing score.

 

      111.15.4    No evidence or documents shall be presented, which were not presented to the raters, unless the candidate was denied the opportunity to do so.

 

      111.15.5    In the absence of an appeal under this section, later appeals shall be precluded.

 

Sec. 111.16     Authorization for Flexible Staffing Program

 

                        The Human Resources Director is authorized to establish flexible staffing programs to promote permanent civil service employees past the probationary period to higher classes within an occupational series or to another series by methods other than traditional selection procedures.  In establishing a flexible staffing program, the Human Resources Director shall consider, among other factors, length of permanent service, performance appraisal ratings, availability of positions, budgetary restrictions, and equal employment opportunity.  The specific procedures and qualifications established shall be listed in the flexible staffing examination announcement for the class(es) involved.

 

Sec. 111.17     Authorization for Exempt to Permanent Status Program

 

Pursuant to the Forty-Eighth Supplement to the Mayoral Emergency Declaration, the Human Resources Director is authorized to establish programs giving exempt employees the opportunity to transition to permanent status. The exempt employee must have successfully served in

Sec. 111.17     Authorization for Exempt to Permanent Status Program (cont.)

 

an exempt status for a minimum of one (1) year. In establishing the program, the Human Resources Director shall consider, among other factors, active holdover rosters where qualified eligibles exist, availability of positions, budgetary restrictions, equal employment opportunity and Office of Racial Equity goals.

 

The specific procedures and qualifications established shall be listed in the examination announcement for the classifications involved. Eligibles processed in this manner will be placed on an eligible list. This rule shall only apply to Exempt Category 18: Special Projects and Professional Services. The certification rule for all eligible lists established under this program shall be Rule of the List. Determination of the appropriate eligible list from which to make appointments if there is an active eligible list in the job classification is at the discretion of the Human Resources Director subject to criteria submitted to and approved by the Civil Service Commission.

 

Decisions by the Human Resources Director shall be subject to appeal to the Civil Service Commission whose decision shall be final. In view of the urgency and time limitations, an expedited report and hearing process utilizing special meetings of the Commission where a quorum is present may be considered.

 

The Human Resources Director shall submit monthly reports to the Civil Service Commission on the progress of the temporary program.

 

Inquiries and complaints on this program submitted to the Civil Service Commission office under its Charter authorizes Inspection Services and shall continue to be investigated and resolved.

 

                        Consistent with the provisions of the Forty-Eighth Supplement to the Mayoral Emergency Declaration, this Rule shall expire December 15, 2022, unless terminated earlier by the Mayor or the Board of Supervisors.

Rule 111

Examinations

 

Article II:  Examination Process

 

Applicability:        Article II, Rule 111, shall apply only to employees in classes represented by the Transport Workers Union, Locals 200 and 250A; excluding MTA Service-Critical classes.

 

Sec.111.18      Charter Authority

 

                        The examination program shall be in accordance with the provisions of the Charter.  The Human Resources Director shall rule on all matters concerning the examination program as provided elsewhere in these Rules.

 

Sec. 111.19     Announcement

 

                        The examination announcement shall provide the qualifications, dates, duration of eligible lists, and other particulars regarding the examinations thereon announced.  Applicants must be guided solely by the announcement of the examination(s) for which they apply.

 

Sec.111.20      Protests of Examination Announcements

 

                        Appeals concerning the provisions of an announcement must be received by the Department of Human Resources within seven (7) business days from the issuance date.  The Human Resources Director will rule upon appeals and notify petitioners in writing.  This decision is subject to appeal to the Commission as provided elsewhere in these Rules.

 

Sec.111.21      Reissuance of Examination Announcements

 

                        After considering appeals submitted in accordance with this Rule, the Human Resources Director may reissue the announcement.  When reissued, an examination announcement is not subject to the appeal procedure.

 

Sec.111.22      Official Time Periods

 

                        Examination announcements shall set forth time limits for determination of the qualifications of applicants.

 

 

 

Sec.111.23      Promotional Applicants

 

     111.23.1      Applicants for promotional examinations shall meet the requirements of the examination announcement under which they apply and be eligible to participate in examinations on a promotive basis as defined by this Rule.

 

     111.23.2      The following employees who are otherwise qualified are entitled to participate in examinations on a promotive basis if they meet the service requirements specified below:

 

                        1)    Employees with permanent status who have completed the probationary period;

 

                        2)    Employees with permanent civil service, probationary, or certified temporary status currently on authorized leave of absence;

 

                        3)    Employees with holdover rights;

 

                        4)    Employees serving a probationary period in a different class but who were last employed in a next lower rank class as a certified temporary, probationary, or permanent employee past the probationary period;

 

                        5)    Appointees from a regular adopted eligible list to a non-permanent position other than a "near list" appointment;

 

                        6)    Employees serving a probationary period.

 

   111.23.3       All employees entitled to participate in promotive examinations as outlined above shall meet the following requirements:

 

                        1)    A period of six (6) months of service in the class or for the period provided in the examination announcement in any status; AND

 

                        2)    Certification by the appointing officer(s) of satisfactory job performance for the period of the required service on the forms and in the manner prescribed by the Human Resources Director.

 

Sec.111.24      Means of Identification

 

   111.24.1       The Human Resources Director shall determine the method of candidate identification to be used in written and performance examinations.

Sec.111.24      Means of Identification (cont.)

 

     111.24.2      When the sealed identification method is used, candidates are prohibited from making identifying marks on their examination papers.  The examination papers of a candidate who makes identifying marks may be canceled.  Sealed identification sheets of successful candidates may not be opened until all ratings and the passing mark are final.

 

     111.24.3      Where a number of candidates have competed in two (2) or more examinations in a series and at least one candidate has passed one and failed one of the examinations, the identification sheets of the candidates who have failed one examination may be opened prior to the qualifications appraisal interview but only for the purpose of determining which candidates should participate in the qualifications appraisal interview.  Under no circumstance may the score on the examination passed be divulged by the Department of Human Resources prior to the posting of the tentative eligible list.

 

Sec.111.25      Cheating or Fraud in Examinations

 

                        It is the policy of the Civil Service Commission that examinations shall be conducted in a fair and impartial manner in order to test fairly the relative qualifications, merit, and fitness of applicants.  Any person cheating, attempting to cheat, or assisting other persons in cheating in any phase of the examination process shall be prosecuted to the full extent of the Charter and other laws.  Actions to be taken include elimination from the examination process, dismissal, and ineligibility for future employment.  Cheating shall include the use or attempted use of materials not authorized by the scheduling notice to candidates to report for the examination.  Significant false statements by applicants on the application or during the selection process shall be good cause for the exclusion of such person from the examination and such other appropriate action as may be recommended by the Human Resources Director.

 

     111.25.1      Aid, Hindrance, Fraud and Collusion in Examinations

 

                        No person or officer shall, by himself/herself or in cooperation with other persons, defeat, deceive or obstruct any person in respect to his or her right of examination; or falsely mark, grade, estimate or report upon the examination or proper standing of any person examined hereunder, or aid in so doing; or make any false representations concerning the same, or concerning the person examined; or furnish to any person any special or secret information for the purpose of either improving or injuring the prospects or chances of any person of being appointed, employed or promoted.

 

Sec.111.25      Cheating or Fraud in Examinations (cont.)

 

     111.25.1      Aid, Hindrance, Fraud and Collusion in Examinations (cont.)

 

                        Any eligible securing standing on a list by fraud, concealment of fact or violation of Commission Rules shall be removed from such list and if certified or assigned to a position shall be removed therefrom.

 

Sec.111.26      Copying of Examination Questions

 

                        The copying of examination questions or the making of notes or outlines regarding an examination is prohibited.

 

Sec.111.27      Rating Keys

 

     111.27.1      The examination booklet in examinations not exempted from inspection privileges shall provide the time period wherein participants in an examination may review the rating key to be used for scoring.  Participants in an examination shall be allowed only one review of the rating key unless otherwise ordered by the Human Resources Director.  No changes in the rating key shall be made after the identification sheets of any participants have been opened.

 

     111.27.2      Inspection of the rating key is for the purpose of correcting errors in the key or determining if any of the questions asked are ambiguous or incorrectly phrased.  Protests concerning the rating key must be filled out in the inspection room on forms supplied by the Department of Human Resources.  Petitions must included substantiating date or authoritative references.  If any protest have been filed, an additional period for review of protests and submission of counter-protests will be provided

 

Sec. 111.28     Rating Keys - Continuous Examination

 

     111.28.1      Inspection privileges shall not apply to questions and answers on any continuous or standardized entrance or concurrent entrance and promotive written examination.  This includes examinations under the continuous testing program.

 

     111.28.2      The Human Resources Director may order obsolete or erroneous questions deleted from any examination exempted by this Rule from inspection privileges.

 

Sec. 111.29     Inspection of Rating Keys by Review Committee

 

     111.29.1      Notwithstanding any other provision of these Rules, the examination announcement may provide for review of questions and answers thereto by a review committee in those examinations wherein large numbers of protests on key answers might be anticipated on the basis of past experience, or where there is an immediate need for appointees in the class involved.  Such review committee shall be composed of three (3) or more persons expert in the field of subject matter covered by the examination. 

 

     111.29.2      The review of the rating key shall begin simultaneously with the holding of the examination and shall be completed in one session.  The recommendations of the review committee with respect to questions or answers which they believe to be ambiguous, incorrect, or improper shall be submitted to the Human Resources Director for approval.  Such rating key when approved by the Human Resources Director shall be made available for review by participants in the examination for a period of two (2) days.  The time allowed for such review may be extended if, in the judgment of the Human Resources Director, the number of applicants warrants.  The participants may appeal to the Commission concerning only those questions or answers wherein documented claim of significant error is made.  If any appeals have been filed, an additional period for submission of counter-arguments will be provided.  If no appeals are submitted, the approved rating key shall be the official rating key to be used for scoring the examination.

 

Sec.111.30      Examination Passing Mark

 

     111.30.1      For each examination, the Human Resources Director shall establish a passing mark or shall determine the total number of persons to be included on the list of eligibles based on the needs of the service.

 

     111.30.2      No changes in the passing mark shall be made after the identification sheets have been opened.

 

Sec.111.31      Inspection of Papers by Unsuccessful Candidates

 

                        Where there are remaining parts of an examination, and where the examination is not exempted from inspection under these Rules, unsuccessful candidates may inspect their papers during a two (2) day period specified by the notice informing them of their scores.  Such inspection shall be for the sole purpose of determining that the scoring has been accurate.

 

Sec.111.32      Veterans Preference in Examinations

 

     111.32.1      Veterans preference in examinations completed on or after July 7, 1976, shall be administered in accordance with these Rules.

 

     111.32.2      The following definitions apply to the administration of this section:

 

                        1)    Completion date of an examination: The date the eligible list is adopted or on which all competitive parts of the examination have been administered and the passing mark set.

 

                        2)    Time for filing claim:  Applicants must claim preference on the original application form or pre-application form, whichever is filed first.  All such claims or withdrawals of claims must be made prior to participation in the first part of the test to be administered.

 

                        3)    First entitlement to claim preference:  The date upon which the applicant was first separated from active duty service, including separations for re-enlistment purposes, and such service would have qualified the applicant to claim preference under the then-current requirements.

 

Sec.111.33      Qualifications Appraisal Interview - Procedures and Appeals

 

     111.33.1      Procedures and Practices

 

                        1)    The orientation of the qualifications appraisal board may include a presentation by the department head or departmental representative which includes a description of the class for which the examination is being held, the setting of the class in the department, the critical elements of personal characteristics needed by employees in this class, and related information.  The department head or representative shall not discuss any candidate with any member or members of the qualifications appraisal board at this time or any other time prior to the completion of the examination.

 

                        2)    No fraternal rings, organization pins, or insignia of any kind shall be displayed by the board members in any qualifications appraisal interview nor shall such rings, pins, or insignia be worn by any candidate who appears before such a board.

 

                        3)    No board member shall rate a candidate who is related to that person or rate a candidate if any strong personal association exists between that candidate and the board member so that it would be difficult to make an impartial rating.

 

 

 

Sec.111.33      Qualifications Appraisal Interview - Procedures and Appeals (cont.)

 

     111.33.1      Procedures and Practices (cont.)

 

                        4)    No candidate shall discuss her/his candidacy or any relationship thereto with the qualifications appraisal board members prior to the completion of all parts of the examination(s) and the final adoption of the list(s) of eligibles resulting therefrom.

 

                        5)    No letters of reference or recommendation shall be presented to the qualifications appraisal board.

 

                        6)    The board may consider relevant documents such as specified in examination announcements.

 

                        7)    In all qualifications appraisal interviews, the same standards shall apply to all candidates who appear for the same class.

 

                        8)    The minimum passing or qualifying rating must be related to a class, not to a single position within a multiple position class.

 

                        9)    No applicant for public employment shall be questioned as to political views, religious beliefs, labor affiliations, or racial extraction.

 

                        10) Recordings of qualifications appraisal interviews shall be retained only until all ratings become final and any timely litigation based thereon has been resolved.  A defective recording shall not invalidate the interview unless the Human Resources Director finds the omitted or unintelligible material critically relevant to the case, in which event the Human Resources Director may authorize a second interview or order a new examination.

 

                        11) In the event of any challenge of an examiner or of any ratings in qualifications appraisal interviews, all other candidates whose standing in the examination may be affected shall be notified of the challenge.

 

     111.33.2      Challenge of Board Members

 

                        1)    A board member may excuse herself or himself from rating any candidate when, in the judgment of the board member, it would be difficult to rate the candidate impartially.  If possible, the excused board member shall be replaced by an alternate with the same qualifications.

 

Sec.111.33      Qualifications Appraisal Interview - Procedures and Appeals (cont.)

 

     111.33.2      Challenge of Board Members (cont.)

 

                        2)    Any challenge as to personal bias or competence of a person serving as an examiner in a qualifications appraisal interview based upon prior knowledge of or acquaintance with a board member shall be made by a candidate to the representative of the Department of Human Resources or authorized representative immediately prior to participation in this phase of the examination.  The candidate shall then proceed with the interview.  If such challenge is sustained by action of the Commission following denial by the Human Resources Director, the rating by the challenged person shall not be computed in the final rating of the candidate and the rating of the candidate shall be that of the unchallenged members of the examining board.  If more than one-half of the board members are successfully challenged, then the Human Resources Director shall cancel this session and a new board shall be constituted, unless more than one panel of examiners has been convened for the examination, in which case the candidate shall be examined by an alternate panel of equal number.

 

                        3)    Any appeal or challenge of the conduct of the qualifications appraisal board based on a claim of bias, malfeasance, or misfeasance of board members must be made in writing and presented to the representative of the Examination Unit not later than the second (2^nd) business day on which the qualifications appraisal interview was held.  Challenges based on bias, malfeasance, or misfeasance not filed in this two (2) day period cannot be considered.  Such challenges must state the grounds upon which the challenge is based.  Failure to state the specific grounds for the challenge shall nullify the challenge.  All challenges properly filed under this section shall be resolved in accordance with the provisions of these Rules before the identification sheets of those admitted to the oral examination are opened and scores of the participants are known.

 

                        4)    The Commission, in acting on a challenge or appeal of the conduct of the qualification appraisal board, shall consider only the applications, records, and questions and answers which constitute the record of the qualifications appraisal interview.  The Commission will sustain protests only when the candidate presents evidence that clearly substantiates a charge of bias, malfeasance, or misfeasance.

 

                        5)    The decision of the Civil Service Commission on this subject shall be final.

 

                        6)    In the absence of a challenge under this section or upon a decision by the Commission under this section, later challenges shall be precluded.

 

 

Sec.111.32      Qualifications Appraisal Interview - Procedures and Appeals (cont.)

 

     111.33.3      Inspection of Ratings in Qualifications Appraisal Interviews by Participants

 

                        1)    After the qualifications appraisal interviews for an examination are computed, such composite ratings shall be available for a minimum period of two (2) working days following the completion of the computations for all participants or for some other two (2) day period set by the Human Resources Director, provided that the candidates are advised of the dates, during which period each participant may inspect their own ratings.  The identity of the examiner giving any mark or grade in a qualification appraisal interview shall not be disclosed.

 

                        2)    Any challenges shall be filed in writing within the inspection period and shall be limited to: 

 

                        -     failure of the qualifications appraisal board to apply uniform standards; and

 

                        -     any questions propounded by the panel of examiners which occur during a qualifications appraisal interview which require an answer in conflict with any Federal, State, or City and County laws, rules, or regulations which apply to the government of the City and County of San Francisco, the Department of Human Resources, and/or the Civil Service Commission.

 

                        3)    All challenges properly filed under this section shall be resolved in accordance with the provisions of these Rules.  The Human Resources Director shall not consider challenges merely because candidates believe they are entitled to a higher score.  The Human Resources Director will not substitute her/his judgment for the judgment of the qualifications appraisal interviewers.  Ratings by a qualifications appraisal board of less than the minimum passing score shall not be raised to more than the minimum passing score.

 

                        4)    No evidence or documents supportive of qualifications shall be presented to the Human Resources Director which were not presented to the qualifications appraisal board unless the candidate was denied the opportunity to do so.

 

                        5)    The decision of the Human Resources Director on this subject shall be final.

 

                        6)    In the absence of a challenge under this section or upon a decision by the Human Resources Director under this section, later challenges shall be precluded.

 

Sec.111.34      Requirement to Conduct Examinations

 

     111.34.1      Except for reasons beyond the Human Resources Director's control, the Department of Human Resources shall immediately commence to conduct an examination whenever a provisional or near-list appointment is made to a permanent position.

 

     111.34.2      Except for reasons beyond the Human Resources Director's control, the Department of Human Resources will make every attempt, on a priority basis, to commence to conduct examinations at least sixty (60) days prior to expiration of an eligible list where there is a demonstrated need for continuing appointments to such class.

 

     111.34.3      Where possible, the Human Resources Director or designee and bargaining representative shall meet in advance to determine which classes require eligible lists on a continuing basis.

 

Sec.111.35      Examination of Applicants

 

Incorporating former Charter Section 8.321 into the Civil Service Commission Rules

pursuant to former Charter Section 8.320-1 Incorporating Former Charter Provision

(Proposition C - November 5, 1991 Election)

 

     111.35.1      Requirement for Competitive Examinations

 

                        All applicants for positions in the classified service shall submit to examinations which shall be competitive provided, however, that no examination shall be deemed to be competitive unless three (3) or more persons shall participate.  However, any such examination may be held for less than three (3) qualified applicants with the approval of the Human Resources Director, after a finding that reasonable publicity of the proposed examination has been given.

 

     111.35.2      Examination without Charge

 

                        Such examinations shall be without charge to the applicants. 

 

     111.35.3      Examination Control and Employment of Examiners

 

                        The Human Resources Director shall control all examinations and may employ suitable persons in or out of the public service to act as examiners.

Sec.111.35      Examination of Applicants (cont.)

 

     111.35.4      Type of Examinations

 

                        The examinations used shall measure the relative capacities of the persons examined to perform the functions, duties, and responsibilities of the class to which they seek appointment.  Examinations shall consist of selection techniques which will test fairly the relative qualifications, merit and fitness of the applicants for the position to be filled.  Examinations may include written tests to determine job-related aptitude, knowledge, or achievements; and oral tests by qualifications appraisal boards. 

 

     111.35.5      Rules Governing Qualification Appraisal Boards

 

                        The Human Resources Director shall establish rules governing the size and composition of qualification appraisal board.  Qualification appraisal boards may consider, in the case of employees of the City and County of San Francisco, all prior performance evaluations completed on Department of Human Resources forms and, in the case of all applicants, may consider prior work experience, assessment center evaluations, and work samples as part of their evaluation of candidates for employment to any position. 

 

     111.35.6      Apprenticeship Positions

 

                        Appropriate rosters of eligibles established by a trade, craft or occupation joint apprenticeship committee recognized by the State of California Department of Industrial Relations, Division of Apprenticeship Standards, may be utilized to fill apprenticeship positions or as the basis for establishing apprenticeship eligibility lists. 

 

     111.35.7      Adequacy of Examinations

 

                        Subject to the approval of the Commission, the Human Resources Director shall judge the adequacy of the tests to rate the capacity of the applicants to perform service for the City and County. 

 

     111.35.8      Establishment of Passing Mark and Number of List

 

                        The Human Resources Director may, for each examination, establish a passing mark or may determine the total number of persons who shall constitute the list of eligibles.

Sec.111.35      Examination of Applicants (cont.)

 

     111.35.9      Preparation and Order of Eligible List

 

                        The Human Resources Director shall prepare the eligible list from the returns of the examiners, arranged in order of relative performance. 

 

     111.35.10    Confidentiality of Applicant Information

 

                        Applicant information, including names of applicants on eligible lists shall not be made public unless required by law.

 

     111.35.11    Prohibition of Political, Religious or Fraternal Questions

 

                        No question submitted to applicants shall refer to political or religious opinions or fraternal affiliations.

 

Sec. 111.36     Protest of Written Questions and Answers

 

Incorporating former Charter Section 8.322 into the Civil Service Commission Rules

pursuant to former Charter Section 8.320-1 Incorporating Former Charter Provision

(Proposition C - November 5, 1991 Election)

 

     111.36.1      Review Period by Participants in Written Examinations

 

                        After the written portion of a civil service examination has been held, the questions used and the answers thereto shall be available for review by the participants. 

 

     111.36.2      Exclusion from Review of Continuous or Standardized Tests

 

                        This review period shall not apply to questions and answers on any continuous or standardized entrance or concurrent entrance and promotive written tests.

 

     111.36.3      Opportunity to Protest Questions and Answers

 

                        During the review period, participants shall have an opportunity to protest questions or answers they believe to be incorrect or improper. 

 

     111.36.4      Changes in Rating Key

 

                        After all protested items have been acted on and after the official rating key has been adopted and the identification sheets have been opened, further changes in the rating key shall not be made.