Reduction in Force - SOP

Idaho
Department of
Correction

Standard
Operating
Procedure

Human
Resource
Services
Control Number:
231.07.01.001
Version:
1.6
Page Number:
1 of 7
Adopted:
11-20-2008
Reviewed:
5-13-2011

Title:
Reduction in Force

This document was approved by Terri Tomisser, director of Human Resource
Services, on 5/13/11 (signature on file).
Open to the general public: Yes
BOARD OF CORRECTION IDAPA RULE NUMBER
None
POLICY CONTROL NUMBER 231
Reduction in Force
DEFINITIONS
Appointing Authority: Pursuant to Idaho Code, the director (1) is the appointing authority
for the Idaho Department of Correction (IDOC) and is authorized to hire, dismiss, determine
salary, or significantly impact the employment status of individuals in any department; (2)
delegates appointing authority responsibilities to the following IDOC managers: division
chiefs, wardens, community work center (CWC) managers, district managers, deputy chiefs,
or equivalents; and (3) can also delegate appointing authority responsibilities to deputy
wardens, lieutenants, unit managers, unit supervisors, or district supervisors.
Classified Employee: Any person appointed to or holding a position in any State of Idaho
agency, which position is subject to the provisions of the merit examination, selection,
retention, promotion, and dismissal requirements of Idaho Code.
Incumbent: Any person holding a classified or non-classified position.
Involuntary Transfer: A significant change in work location, shift, and/or organizational unit
made as a result of a management decision (e.g., a reduction in force or a corrective or
disciplinary action) as opposed to an employee’s request or agreement to transfer.
Layoff: The involuntary reduction in hours of work or separation of a classified employee by
either a reduction in force due to a shortage of work or funds, or abolishment of the position.
Layoff Unit: An organizational unit designated by the director of the Idaho Department of
Correction (IDOC) for layoff purposes.
Minimum Qualification Specialty: A minimum qualification required for one or more
positions in a classification that is in addition to the other minimum qualifications required for
all positions in the classification.
Protected Class: Pursuant to federal law, an individual or group protected from
discrimination due to his/their race, color, religion, sex (gender), national origin, age (if 40 or
Control Number:
231.07.01.001
Version:
1.6
Title:
Reduction in Force
Page Number:
2 of 7

older), military veteran status (limited), and physical or mental disabilities. (State of Idaho
and local laws might also provide protections for pregnancy, and/or retaliation.)
Reduction in Force: The necessary elimination of one or more positions as determined by
the director of the Idaho Department of Correction (IDOC) for a variety of reasons.
Underfill: The filling of a position with an employee who does not meet the minimum
requirements of the job into a job class of a lower pay grade to accommodate a training
period to fully meet eligibility, and/or time to acquire required licensure/certification.
PURPOSE
The purpose of this standard operating procedure (SOP) is to establish guidelines for
managing reduction in force situations.
SCOPE
This SOP applies to all Idaho Department of Correction (IDOC) employees.
RESPONSIBILITY
The director of Human Resource Services (HRS) is responsible for:
• Developing reduction in force guidelines
• Administering reduction in force processes when deemed necessary
Table of Contents
General Requirements ......................................................................................................... 3
1. Reduction in Force ......................................................................................................... 3
Conditions for Reduction in Force ............................................................................. 3
Layoff Decisions and Exclusions ............................................................................... 3
Assessment for Adverse Impact ............................................................................... 3
Selective Certification ............................................................................................... 3
Exclusion Requests .................................................................................................. 3
2. Order of Layoff ............................................................................................................... 4
3. Retention Points ............................................................................................................. 4
4. Notification ..................................................................................................................... 5
5. Retention Points Audit .................................................................................................... 5
6. Procedure and Notification ............................................................................................. 5
7. Voluntary Demotion in Lieu of Layoff .............................................................................. 6
8. Layoff Register ............................................................................................................... 6
Temporary, Project Exempt, and Provisional Employees .......................................... 7
References ........................................................................................................................... 7
Control Number:
231.07.01.001
Version:
1.6
Title:
Reduction in Force
Page Number:
3 of 7

GENERAL REQUIREMENTS
1. Reduction in Force
Conditions for Reduction in Force
The director of the IDOC has the authority to initiate a reduction in force whenever
necessary due to:
• A shortage of funds or work
• A reorganization
• The end of a limited-service appointment
• An employee’s failure to successfully complete the interagency promotional
probationary period (when demotion options are not available)
• The abolishment of one or more positions. (Idaho Administrative Procedure Act
[IDAPA] 15.04.01, section 066.)
An involuntary reduction in the number of hours worked for a selected position shall
constitute a layoff unless there is an equal reduction of hours worked for all positions in
the same classification within the layoff unit or IDOC, for a limited period of time, such as
a furlough.
A material change in duties of one or more positions resulting in an employee’s
reclassification to a class more than one pay grade lower shall constitute a layoff, unless
the change of duties is disciplinary.
Layoff Decisions and Exclusions
Layoff decisions shall not be based on race, color, national origin, gender, age, religion,
disability, or political affiliation.
Assessment for Adverse Impact
In planning and conducting a reduction in force, the director of the IDOC shall consider
the effect layoff units and positions to be eliminated may have on the composition of the
IDOC work force. When layoff units or exclusions are established, adverse impact of
protected classes shall be assessed. The director shall administer the reduction in force
consistent with state and federal laws, rules, and guidelines governing adverse impact.
Selective Certification
A reduction in force may be limited to or specifically exclude employees appointed in
accordance with IDAPA 15.04.01, section 112, for bona fide occupational qualifications
or appointed to a classification with a minimum qualification specialty. Inclusions or
exclusions shall include or exclude all incumbents of the class appointed under similar
selective certification, or the same option or minimum qualification specialty and shall be
approved in advance by the administrator of the State of Idaho Division of Human
Resources (DHR).
Exclusion Requests
The director of the IDOC may petition the DHR to exclude an individual from a reduction
in force whose retention may be required to meet IDOC mission critical needs. Requests
shall provide a documented rationale, and exclusions shall be approved in advance.
Control Number:
231.07.01.001
Version:
1.6
Title:
Reduction in Force
Page Number:
4 of 7

2. Order of Layoff
Layoffs shall be accomplished in a systematic manner with equity for the rights of classified
employees and shall not do away with an employee’s right to problem solving, or appeal if
the layoff is in fact a dismissal.
The order of layoff shall be by type of appointment in classified service based first by job
class within judicial districts and as designated by the director of the IDOC. Layoff units shall
be district 1, district 2, districts 3 and 4 (including Central Office), district 5, district 6, and
district 7.
The order of reduction in force shall be by type of appointment held by the employee in the
affected classification in the following order:
• Temporary positions
• Limited-service positions
• Entrance probationary appointees
• Permanent appointees (including those serving a promotional or voluntary probation)
Reduction in force for employees in limited-service appointments shall be limited to the
program or function for which the appointments were made. There are no displacement
rights or reappointment rights.
3. Retention Points
There shall be an evaluation of all employees in the layoff unit affected by the reduction in
force based on a retention point system. The retention point system calculates points based
on classified credited state years of service and from experience derived from performance
evaluation. Qualified veterans shall be given preference through additional retention points
as described below.
Retention points shall be calculated for all employees assigned to the classification of
position including those serving in under-filled positions.
Employees shall be identified for layoff by position class in their layoff unit in the order of
retention points, beginning with the employee with the least number of retention points.
When two (2) or more employees have the same combined total of retention points,
retention shall be determined in the following sequence:
• The employee with the highest total retention points for the past 36 months; and then
• Random selection
The director of HRS shall be responsible for providing for and conducting an impartial
assessment of evaluations to assign points as follows:
Control Number:
231.07.01.001
Version:
1.6
Title:
Reduction in Force
Page Number:
5 of 7

Level of Performance Rating Retention Points Earned Per
Hour of Credited State Service
EX--Exemplary performance .100
SS--Solid sustained performance .075
APS--Achieves performance
standards .050
DNA--Does not achieve
performance standards .000
All credited state service for which there is no performance evaluation shall receive seventy-
five-thousandths (.075) of a point, per hour. No employee shall be placed at a disadvantage
due to a failure to document performance in a timely manner.
Veterans, as defined in Idaho Code, section 65-502(14), shall receive a bonus of 312
retention points, which is equivalent to three (3) years at the ‘achieves performance
standards’ level of performance rating.
No points shall be calculated for the 60-day period immediately preceding a reduction in
force.
Retention points need not be calculated where layoff involves a single-incumbent class.
4. Notification
Each employee affected by a reduction in force shall be notified in writing of the layoff and
the rationale for the decision at least 15 calendar days prior to the effective date of layoff.
Each affected employee shall be provided with a copy of the IDOC’s layoff procedure. If a
computation of retention points was conducted, a copy shall be provided to the affected
employee(s).
5. Retention Points Audit
Each employee shall be entitled to an audit of retention points by an independent auditor
designated by the DHR administrator in cases of dispute between the appointing authority
and the employee.
The request for an audit shall be filed with HRS within five (5) calendar days of the
employee’s notification of layoff.
The decision of the independent auditor shall be binding on both the IDOC and employee,
unless an appeal is filed within 35 days from the date of the auditor’s notification to the
affected parties.
6. Procedure and Notification
Functional Roles and
Responsibilities Step Tasks
Leadership Team 1
• Identify the class of position(s) to be affected by a
layoff; and
• Assess units and exclusion requests for adverse
impact for protected classes.
Control Number:
231.07.01.001
Version:
1.6
Title:
Reduction in Force
Page Number:
6 of 7

Functional Roles and
Responsibilities Step Tasks
HRS 2
• Notify the DHR of the reduction in force 15 days prior
to implementation;
• Calculate retention points for all employees assigned
to the class of position (including those serving in
underfilled or acting appointments), and submit to
the DHR;
• Compile a list of affected employees in order of
retention points and notify affected employees at
least 15 calendar days prior to the effective date with
copy to the DHR; and
• Provide the affected employees a copy of this SOP
and the computation of retention points worksheet (if
conducted).
Employee 3
Consider options as noted in this SOP (e.g., voluntary
demotion, resignation, and retirement) and provide
notification of decision to facility head/manager and HRS.
HRS 4 Process appropriate personnel actions.

Note: The Leadership Team consists of the director of the IDOC, division chiefs, and the
director’s administrative support manager.
7. Voluntary Demotion in Lieu of Layoff
Within their layoff unit, any employee with permanent status may, in lieu of layoff, elect
voluntary demotion to a class or, if deleted, its successor, in which the employee has held
permanent status in the IDOC. The employee must meet the minimum qualification specialty
for the classification (see SOP 202.07.01.001, Compensation Plan). Such demotion shall
not be permitted if it causes the layoff of an employee with greater retention points.
An employee who elects a voluntary demotion in lieu of layoff shall have the right of re-
employment in the class formerly occupied prior to the demotion, before any other person
may be promoted, transferred, reinstated, or hired for such class by the appointing authority
enforcing the layoff. This right to re-employment shall exist for one year from the effective
date of the demotion or until the employee declines three separate offers of re-employment
without justifiable cause.
8. Layoff Register
The name of an employee laid off by an appointing authority shall be placed on a Layoff
Register in accordance with IDAPA 15.04.01, section 140. The employee shall remain on
the Layoff Register for a period of one year from the effective date of the layoff or until the
employee declines three separate offers of re-employment without good cause.
Note: For the purpose of this SOP only, the term ‘good cause’ shall mean the conduct of a
reasonable person in the same or similar circumstances.
An employee who has been laid off or accepted a demotion in lieu of a layoff shall be placed
on their classification’s register with re-employment preference in unranked order.
Control Number:
231.07.01.001
Version:
1.6
Title:
Reduction in Force
Page Number:
7 of 7

When attempting to fill vacancies for a classification where a layoff occurred, the IDOC shall
provide an opportunity to interview and shall make a hiring selection from the individuals on
the Layoff Register of that classification.
An employee on a Layoff Register shall be offered re-employment to a position in the class
from which laid off before any other person may be promoted, transferred, reinstated, or
hired for such class by the appointing authority enforcing the layoff.
Temporary, Project Exempt, and Provisional Employees
Employees serving temporary, project exempt, student or provisional appointments, and
who have neither probationary nor permanent status in a class affected by a layoff, and
employees serving in limited-service appointments have no preference under this rule
for re-employment; their names shall not appear on a Layoff Register.
REFERENCES
Idaho Code, Title 65, Chapter 5, Rights and Privileges of Veterans
Idaho Code, Title 65, Chapter 5, Section 65-502, Definitions
Idaho Code, Title 67, Chapter 53, Personnel System
Idaho Code, Title 67, Chapter 53, Section 67-5302, Definitions
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 066, Abolishment of Positions
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 112, Selective Certification
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 140, Reduction in Force
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 141, Calculation of Retention Points
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 142, Credited State Service
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 143, Reduction in Force Determination and Notification
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 144, Placement on Register with Reemployment Preference
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 145, Use of Registers with Reemployment Preference
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 146, Interviews for Prospective Layoffs
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 147, Voluntary Demotion in Lieu of Layoff
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 201, Appeal Procedure
Standard Operating Procedure 202.07.01.001, Compensation Plan
– End of Document –