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Exceptional Allocation Delegation Agreement Template

​Exceptional Allocation Delegation Agreement Template

This delegation agreement will be signed by each department's Director, or an executive level designee. Having the highest level of department management sign the Delegation Agreement reflects the California Department of Human Resources (CalHR’s) expectation that human resources staff will have executive support on difficult or unpopular allocation decisions when those decisions reflect an effort to adhere to sound allocation principles. In addition to the department's Director, this delegation agreement will also be signed by each department's Chief of Administration, Chief of Human Resources, and the Personnel Officer, depending on structure.

 

On behalf of the CalHR, this delegation agreement will be signed by the Delegation Project Manager and each department's Personnel Management Division (PMD) Consultant.

 

DELEGATION AGREEMENT FOR EXCEPTIONAL ALLOCATIONS BETWEEN [DEPARTMENT NAME] AND THE CALIFORNIA DEPARTMENT OF HUMAN RESOURCES

Pursuant to Government Code section 19818.6, the California Department of Human Resources (CalHR) administers the Classification and Pay Plan of California and is responsible for the proper allocation of every position within State service to the most appropriate classification. In order to provide departments greater flexibility while improving efficiency and maintaining accountability, CalHR chooses to administer its exceptional allocation responsibility via this Exceptional Allocation Delegation Agreement with [Department Name].

The [Department Name] agrees to work in partnership with the CalHR Personnel Management Division (PMD) to implement the delegation plan outlined in this Agreement. This Delegation Agreement is developed in accordance with CalHR’s objective of encouraging partnerships between departmental human resources offices in order to simplify and optimize the effectiveness of the personnel management system for establishment of truly exceptional allocations and allocations into formerly restricted classifications. This Delegation Agreement is intended to provide the [Department Name] with the authority and responsibility for reviewing and acting on the personnel management program elements identified for delegation.

 

A. GENERAL TERMS AND CONDITIONS

Both parties agree to these fundamental principles of position allocation and compensation:

Under Government Code section 18800, the State Personnel Board, pursuant to its constitutional jurisdiction and authority to administer the state civil service merit system, is charged with establishing the Personnel Classification Plan for the State of California. This classification plan is required to include a descriptive title and definition outlining the scope of the duties and responsibilities for each class of positions. This state classification plan is also a system for grouping state civil service positions based on like duties and responsibilities so that employees may receive like pay for like work within the state civil service.

Each classification is distinguished by the State Personnel Board (SPB) class specification – a legal document approved by both the SPB 5-member Board and CalHR that describes the duties, responsibilities, typical tasks and minimum qualifications standards for each state classification.

Careful and thoughtful position allocation is the main mechanism available to the [Department Name] for ensuring that state civil service merit system principles, pay equity, and like pay for like work are achieved.

Subject to Article VII of the California Constitution and pursuant to Government Code sections 19818 and 19818.6, CalHR is vested with the duties, purposes, responsibilities, and jurisdiction of the SPB with regard to the administration of the state Personnel Classification Plan. Government Code section 19818.14 also provides that CalHR may designate an appointing power to allocate positions to the state Personnel Classification Plan in accordance with Government Code section 19818.6 and CalHR rules, allowing CalHR to delegate allocation authority to the [Department Name]. CalHR maintains the final decision-making authority on position allocations, and CalHR may audit position allocations so delegated and order corrective action.

If CalHR discovers significant misallocations, by law CalHR may revoke the [Department Name]’s Delegation Agreement, authority to allocate any positions, and may void otherwise lawful appointments if they do not meet allocation standards.

A misallocation is defined as duties of a position that are not consistent with the scope of duties and responsibilities listed in the SPB classification specification. Misallocated positions erode efficacy of the state Personnel Classification Plan and must be avoided altogether or corrected as soon as possible.

When existing state classifications do not present a perfect or good match to the unique duties of a position, the [Department Name] must perform an analysis to substantiate the need for an Exceptional Allocation. Each Exceptional Allocation requires an analysis of the type of work to be performed, and a review of the existing classifications available with the established minimum qualifications, skills and abilities associated with the classification. The justification must clearly articulate the findings of the analysis and cite allocation information found in the SPB class specifications, CalHR allocation guidelines, and [Department Name] duty statements.

An Exceptional Allocation exists where the position allocation is non-standard in some way, but the classification is still the best available fit and no other existing classification is more appropriate for the work performed by the position. An Exceptional Allocation should be relatively rare and should not be the "default" first solution explored.

An Exceptional Allocation is distinct from a misallocation because there is documented evidence that there is no better fitting classification available. A misallocation exists when there is clearly another more appropriate class for the work and no valid justification exists for use of the current class instead.

The following are considered valid allocation factors:

  • Nature of the work itself
  • Work context
  • Intent of position
  • Requirements of the job
  • Typical tasks
  • Minimum qualifications
  • Knowledge and abilities
  • Variety and scope of responsibility
  • Complexity of work
  • Decision-making authority and level of independence
  • Consequence of error
  • Sensitivity
  • Supervision exercised or received

The following factors have no relevance to position allocation and should never be used to justify an Exceptional Allocation:

  • Workload
  • Funding/budget
  • Comparisons to other questionably allocated positions
  • Unsubstantiated opinions
  • Lack of a usable appropriate or certification list for other more appropriate classifications
  • Retention
  • Performance/seniority/favoritism or nepotism

 

B. DELEGATION OF PERSONNEL MANAGEMENT ELEMENTS

The [Department Name] will submit reports (Exceptional Allocation Reporting Worksheet) to its PMD Consultant on a quarterly basis.

The [Department Name] will submit department-wide organizational charts to its PMD Consultant by January 1st annually. Organizational charts must contain position numbers, incumbent names, class codes, class titles, and be signed by the responsible party (such as an appropriate executive or designee.)


The [Department Name] will maintain up-to-date records on each exceptionally allocated position as the position is established including the Form 625 Classification and/or Certification Action Request (STD. 625), current duty statement (if applicable), current organization chart (if applicable), proposed duty statement, proposed organization chart, and memorandum of justification. Access to these documents will be made available to CalHR within five (5) working days of CalHR request.


The [Department Name] will maintain a personnel action tracking system to control and monitor its exceptionally allocated positions.


CalHR will conduct internal monitoring of the reports submitted by the [Department Name]. If there are discrepancies in these reports, or other allocation issues, CalHR will conduct a more in-depth review.


In accordance with Government Code 19818.14, CalHR reserves the right to review any allocation made by the [Department Name] and to order corrective action be taken if the position is found to be a misallocation. The [Department Name] will comply with all CalHR orders for corrective action. If the allocation authority is revoked, the Department of Finance has the right to transfer positions from the [Department Name] to CalHR to perform the previously delegated work.


CalHR reserves the right to revise, cancel, or impose additional restrictions relative to the terms of this Delegation Agreement agreed to by the [Department Name]. Including but not limited to requiring departmental employees to attend additional training for failure to adhere to the terms of this Delegation Agreement’s requirements. The [Department Name] also reserves the right to request revisions to or to cancel this Agreement if it deems such action is appropriate.


This delegation is based on the [Department Name]’s acceptance of responsibility to ensure the integrity of the State’s Personnel Classification Plan through the proper allocation of all of its positions, including but not limited to the establishment of truly exceptional allocations or allocations into formerly restricted classifications. Exceptional allocations should be rare, made discriminately and used only when no other alternatives are available, such as another classification or alternative work arrangement.


Under its Delegated Authority, the [Department Name] may establish truly Exceptional Allocations and allocations into formerly restricted classifications in accordance with the principles outlined in this Delegation Agreement.


Under its delegated authority, [Department Name] shall not:

  • Use a department-specific classification belonging to other departments without prior approval from CalHR. These position allocation requests must continue to come to CalHR via form STD. 625. PMD approval to use a department-specific classification does not constitute approval for use of another department’s examination or list.
  • Intentionally misallocate a position just to achieve a desired higher level of salary for an employee or potential employee.
  • Use a class with Safety or Peace Officer-Firefighter retirement in a capacity not already approved by CalHR.

The [Department Name] will ensure approval of truly exceptional allocations and allocations into formerly restricted classifications is made by a classification analyst or supervisor who possesses familiarity with and an understanding of the concept, intent, and requirements of the classification to which the position is being allocated. This knowledge must be of a degree that the approving person knows why allocation to this classification is better than to any other classification in State service.


The [Department Name] will ensure approval of truly exceptional allocations and allocations into formerly restricted classifications is made by a classification analyst or supervisor who possesses an understanding of the allocation factors used by the State to evaluate, compare, and allocate civil service positions sufficient to apply these factors effectively.


The [Department Name] will ensure approval of truly exceptional allocations and allocations into formerly restricted classifications is made by a classification analyst or supervisor who possesses an understanding of the position’s work requirements sufficient to effectively apply classification concepts, specifications, allocation guidelines, and allocation factors needed for a proper position allocation.


The [Department Name] will ensure approval of truly exceptional allocations and allocations into formerly restricted classifications is made by a classification analyst or supervisor who possesses sufficient conviction in the approval such that the approving person can justify the allocation in any audit of the position.


The [Department Name], in partnership with CalHR, will consult with its PMD Consultant regarding the use of a classification outside of its established scope.


In accepting delegated authority for exceptional allocations, the [Department Name] is under an obligation by law to uphold the state’s Personnel Classification Plan, which includes but is not limited to, ensuring that Exceptional Allocations are made conscientiously, with discrimination, and used only when no other viable alternatives are available.

 

C. VALUES AND ETHICS STATEMENT

We believe that we can make the state's classification plan and state government better, and each of us accepts responsibility to do his or her part to accomplish these goals. We are committed to:

  • Maintaining a state classification plan that is consistent with the standards and guidelines for the administration of the state's merit civil service personnel management system.
  • Maintaining working relationships that promote discussion of resolution of issues that can be solved through classification actions. Such discussions should take place prior to recommending solutions to the [Department Name]'s operations and programs.
  • Fostering good working relationships where there is trust, cooperation, and open communication to facilitate the resolution and avoidance of potential classification or compensation problems.

 

PARTICIPATION AGREEMENT

The [Department Name] agrees to participate in this Delegation Agreement for two years effective July 1, 2021 through June 30, 2023. This Agreement will be reviewed and evaluated by CalHR at the end of the two-year period and may be extended, with or without modifications. The terms of the Delegation Agreement may also be reviewed at the request of the [Department Name] or CalHR prior to the expiration of the two-year period.


By signing this Delegation Agreement, the [Department Name] agrees to all of the specified conditions described above, agrees to abide by the provisions of the Values and Ethics Statement, and agrees there will be no increase to [Department Name] salary and wages budget as a result of this Agreement.


By signing this Agreement, CalHR agrees to delegate to [Department Name], the establishment of truly exceptional allocations and allocations into formerly restricted classifications. But reserves the right and responsibility to exercise any of the specified rights, actions, or options described above at any time at its discretion.

 

_____________________________________________________
/s/ Personnel Officer / Date

Personnel Officer
[DEPARTMENT NAME]

 

_____________________________________________________
/s/ Chief of Administration / Date

Chief of Administration
[DEPARTMENT NAME]

 

_____________________________________________________
/s/ Director / Date

Director
[DEPARTMENT NAME]

 

_____________________________________________________
/s/ Program Manager / Date

Program Manager
California Department of Human Resources

 

_____________________________________________________
/s/ Personnel Management Consultant / Date

Personnel Management Consultant
California Department of Human Resources

  Updated: 10/6/2021
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