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​Delegation Project Frequently Asked Questions

​General Delegation

 

 

​Career Executive Assignment (CEA)

 

 

06. How long will PMD allow an inactive or vacant CEA concept to count toward the department’s CEA salary cap?06. How long will PMD allow an inactive or vacant CEA concept to count toward the department’s CEA salary cap?<p>​PMD considers a CEA concept to be “inactive” if it remains unfilled for six months or more. Inactive CEA concepts continue to count toward the CEA salary cap for up to five years. When a CEA concept has been unfilled for five years, CalHR considers the CEA concept “abolished” by default and will no longer count that CEA concept toward the department’s CEA salary cap. </p>
07. How can a CEA be vacant for five years when Government Code 12439 sweeps vacancies after six months? 07. How can a CEA be vacant for five years when Government Code 12439 sweeps vacancies after six months? <p>​Government Code 12439 applies to positions. The “CEA concept” is distinct from the position. The CEA concept comprises the body of duties and scope of policy responsibility that the State Personnel Board (SPB) approved as meeting the CEA category definition. A CEA concept itself is not tied to a particular position at the time of its establishment by the five-member board. If a department loses the funding for a vacant CEA position after six months, that sweep of funds does not remove the authority SPB granted the department to have a person in the CEA classification perform that specific body of work. In other words, the concept survives even if funding changes.</p>
08. If a department converts a CEA position to an Exempt, how should that be handled on the monthly report to CalHR and how does that impact the CEA salary cap?08. If a department converts a CEA position to an Exempt, how should that be handled on the monthly report to CalHR and how does that impact the CEA salary cap?<p>​When a CEA position is converted to an Exempt, PMD may issue an addendum that lowers the department’s overall salary cap by removing the converted CEA concept. The department should not use the salary cap dollars associated with that converted CEA concept to enable increases for the other remaining CEAs. Contact the department’s assigned PMD consultant for further instruction.</p>
09. May a delegated department pay a CEA above its level?09. May a delegated department pay a CEA above its level?<p>​Yes. A delegated department may pay a CEA above the max of its level if the department can accommodate the increase without exceeding its PMD-established salary cap. The department must justify and document its internal approval of the salary exception using the CalHR 881 form for its records and in case of an audit. Departments must manage their own CEA salary program responsibly within their salary cap. Per the CEA Delegation Agreement, CEA salary adjustments made under delegated authority shall not result in increases to the department’s budget or to the department’s overall CEA salary cap.</p>
10. May a delegated department pay a CEA above the max of Level C even if it is not an attorney, engineer or physician?10. May a delegated department pay a CEA above the max of Level C even if it is not an attorney, engineer or physician?<p>​Yes. A delegated department may pay a CEA that is not an attorney, engineer or physician above the max of Level C (into what has historically been considered the “restricted zone”) if the department can accommodate the increase without exceeding its PMD-established salary cap. (As of June 9, 2015, the maximum of the CEA pay range is $14,058 per month. This may be adjusted in the future as a result of general salary increases.) The department must justify and document its internal approval of the salary exception using the CalHR 881 form for its records and in case of an audit. Departments must manage their own CEA salary program responsibly within their salary cap. Per the CEA Delegation Agreement, CEA salary adjustments made under delegated authority shall not result in increases to the department’s budget or to the department’s overall CEA salary cap.</p>
11. May a delegated department increase the pay of a CEA more than five percent annually?11. May a delegated department increase the pay of a CEA more than five percent annually?<p>​Yes. A delegated department may provide a CEA an increase of greater than five percent if the department can accommodate the increase without exceeding its PMD-established salary cap. However, a five percent increase is a best practice that helps departments maintain equity and enables departments to consider future CEA salary movement needs while remaining within the established salary cap. The department must justify and document its internal approval of the salary exception using the CalHR 881 form for its records and in case of an audit. Departments must manage their own CEA salary program responsibly within their salary cap. Per the CEA Delegation Agreement, CEA salary adjustments made under delegated authority shall not result in increases to the department’s budget or to the department’s overall CEA salary cap.</p>
12. May a delegated department negotiate pay for a new CEA candidate other than as defined in California Code of Regulations (CCR), title 2, Section 599.991?12. May a delegated department negotiate pay for a new CEA candidate other than as defined in California Code of Regulations (CCR), title 2, Section 599.991?<p>​Yes. A delegated department may negotiate pay upon appointment of a CEA in excess of what is described in CCR 599.991 if the department can accommodate the increase without exceeding its PMD-established salary cap. The department must justify and document its internal approval of the salary exception using the CalHR 881 form for its records and in case of an audit. Departments must manage their own CEA salary program responsibly within their salary cap. Per the CEA Delegation Agreement, CEA salary adjustments made under delegated authority shall not result in increases to the department’s budget or to the department’s overall CEA salary cap.</p>
13. When a new CEA is established, is the department’s CEA salary cap adjusted?13. When a new CEA is established, is the department’s CEA salary cap adjusted?<p>​Yes. PMD will issue an addendum to the delegation agreement, amending the salary cap to accommodate the new CEA. Departments must complete the CalHR 881 form, including the proposed level and salary, and submit the new CEA request package to the assigned PMD consultant to establish a new CEA. Once the new CEA is approved, the department will receive a salary cap addendum.</p>
14. Does the CEA salary cap include “comma CEAs” or pay differentials?14. Does the CEA salary cap include “comma CEAs” or pay differentials?<p>​No. The CEA salary cap is limited to classification code 7500 CEAs and does not include any pay differentials received by the CEAs. Pay differentials are not counted for or against the CEA salary cap.</p>
15. If there is overlap between an outgoing CEA and his/her replacement, does this impact the salary cap?15. If there is overlap between an outgoing CEA and his/her replacement, does this impact the salary cap?<p>​To address the critical need for succession planning, departments may allow an overlap of employees in a CEA concept while the outgoing incumbent orients and mentors the new appointee. Per PML 2007-026, the duration of the overlap for such knowledge transfer may last up to four months. During the overlap period, departments should put the new appointee’s name in the incumbent column of the monthly CEA reporting worksheet, and put the outgoing CEA incumbent’s name in the comments column of the report, with a note indicating the overlap is due to knowledge transfer. Only the new appointee’s salary will be counted against the department’s cap during that period.</p>
16. May a department hire a retired annuitant into the CEA classification if that retired annuitant was a CEA prior to retirement?16. May a department hire a retired annuitant into the CEA classification if that retired annuitant was a CEA prior to retirement?<p>​A retired annuitant should only be appointed to a class that is appropriate for the duties to be performed. Per the Classification and Pay Guide, Section 400, a retired annuitant may only be appointed to a CEA position if the position’s concept has been established by the State Personnel Board and the retired annuitant is to perform the specific approved duties of that CEA concept. A retired annuitant must have reinstatement eligibility for any classification to which he or she is appointed, as outlined under Government Code 19144. PMD recommends making any such appointment as brief in duration as possible to meet organizational needs.</p>

​Exceptional Allocations

 

 

17. How is a “truly exceptional allocation” different from a misallocation?17. How is a “truly exceptional allocation” different from a misallocation?<p>​A “truly exceptional allocation” exists when there is some unique aspect to the duties and responsibilities of a position that make its classification the “best possible fit” but not a “perfect fit” for the work normally performed in that classification. A misallocation exists when a different classification in state service better fits the duties of the position.</p>
18. Should a department include known “misallocations” on its monthly exceptional allocation reporting worksheet?18. Should a department include known “misallocations” on its monthly exceptional allocation reporting worksheet?<p>​No. Delegated departments should not list known “misallocations” on the monthly exceptional allocation reporting worksheet. A misallocation is not the same as an exceptional allocation. If a department knows it has a misallocated, filled position, the department must contact its PMD consultant to discuss corrective options.</p>
19. Is the use of the Staff Services Manager I (SSM I) classification in a specialist (non-supervisory) capacity an exceptional allocation that should be reported to PMD as a requirement of the delegation agreement?19. Is the use of the Staff Services Manager I (SSM I) classification in a specialist (non-supervisory) capacity an exceptional allocation that should be reported to PMD as a requirement of the delegation agreement?<p>​Yes. Although the SSM I classification specification does mention a non-supervisory concept, the primary use of the classification is as a supervisor, with the specialist being used rarely and as an exception to the standard, intended use of the classification. Therefore, delegated departments using the SSM I class in a specialist capacity must write a justification memo for the allocation, obtain internal departmental personnel officer approval of the truly exceptional allocation using the STD. 625 form, and must report the exceptional allocation to PMD on the monthly reporting worksheet. The same applies to the SSM II classification used as a specialist. Refer to Pay Scale Section 2 for more information on the appropriate collective bargaining identifier for a supervisory classification used as a specialist.</p>
20. Does delegation allow departments to exceed the Attorney IV allocation ratios found in the Bargaining Unit 2 Memorandum of Understanding (MOU)?20. Does delegation allow departments to exceed the Attorney IV allocation ratios found in the Bargaining Unit 2 Memorandum of Understanding (MOU)?<p>​Yes. The Bargaining Unit 2 MOU permits PMD to approve Attorney IV positions in excess of the allocation ratios. Prior to delegation, departments submitted requests for such positions to PMD using form STD. 625 because Attorney IV positions in excess of the allocation ratios found in the MOU are considered exceptional allocations. Authority to approve exceptional allocations is now delegated to departments that have valid, signed delegation agreements. If a department uses an Attorney IV as an exceptional allocation, the department must justify and document the allocation, and report it to PMD on the monthly reporting worksheet.</p>
21. If a department previously received PMD approval via form STD. 625 for use of a class that was restricted under PML 2007-026 or by its Modified Classification Review (MCR) code, do these positions have to be reported on the monthly exceptional allocat21. If a department previously received PMD approval via form STD. 625 for use of a class that was restricted under PML 2007-026 or by its Modified Classification Review (MCR) code, do these positions have to be reported on the monthly exceptional allocat<p>​Delegated departments must report all truly exceptional allocations to PMD, even if original approval to use the exceptional allocation came from PMD prior to delegation. If a department uses a class that was formerly restricted either by PML 2007-026 or by its MCR code in a way that meets the typical allocation standards, that position is not considered a truly exceptional allocation and should not be reported on the monthly worksheet.</p>
22. If a department has signed a delegation agreement, under what circumstances would it still have to submit a form STD. 625 and justification to PMD?22. If a department has signed a delegation agreement, under what circumstances would it still have to submit a form STD. 625 and justification to PMD?<p>​Circumstances in which a delegated department must still submit a STD. 625 form to PMD include, but may not be limited to, the following:<br> <br>To request an exception to the 180-day retired annuitant waiting period, per PML 13-001.<br>To request use of another department’s department-specific classification.<br>To use a Peace Officer/Firefighter (POFF) or Safety retirement classification in a new or different way from what PMD previously approved.<br>To comply with a PMD consultant’s request to “spot-audit” the documentation justifying any reported exceptional allocation.</p>
23. If a department routinely uses another department’s classification, does it have to treat each one as an exceptional allocation?23. If a department routinely uses another department’s classification, does it have to treat each one as an exceptional allocation?<p>​Yes. PMD considers each position use to be an exceptional allocation because the borrowed classification was designed and created for use in the “owning” department. Any use outside of the owning department is considered exceptional. Delegated departments must document each use of another department’s classification as an exceptional allocation, which includes reporting them to PMD on the monthly exceptional allocation reporting worksheet. This information will assist PMD in determining whether department-specific classifications may be more appropriately broadened to a service-wide classification. PMD may make exceptions to this requirement on a case-by-case basis to ensure efficiency.</p>
24. If a department realizes a position has been a long-time exceptional allocation, but cannot find records that PMD approved it prior to delegation, should the department still report this on its monthly reporting worksheet?24. If a department realizes a position has been a long-time exceptional allocation, but cannot find records that PMD approved it prior to delegation, should the department still report this on its monthly reporting worksheet?<p>​Yes. If a department has no documentation that PMD previously approved an exceptionally allocated position, the department must still report the position on the monthly reporting worksheet, with an approximate date of its original approval. In addition, to be compliant with PMD expectations for delegation audit purposes, the department must internally generate a new justification package to properly document the exceptional allocation. Once the new justification package is completed, the approval date by the personnel officer will be the date approved under delegated authority.</p>
25. Is the new Attorney V classification considered an exceptional allocation?25. Is the new Attorney V classification considered an exceptional allocation?<p>​No. Uses of the Attorney V classification for positions that meet the classification specification and allocation guidelines (HR NET access required) are not considered exceptional allocations and do not have to be reported on the monthly reporting worksheet.</p>

​Unlawful Appointments

 

 

26. If a delegated department discovers an unlawful appointment that is beyond the one-year statute, does it still have to investigate and send notification letters to the employee?26. If a delegated department discovers an unlawful appointment that is beyond the one-year statute, does it still have to investigate and send notification letters to the employee?<p>​Yes. Once a delegated department has discovered a potential unlawful appointment, even if it is more than one year old, the department has a responsibility to investigate and resolve the potential unlawful appointment. This is the same standard that PMD and SPB upheld prior to delegation. The one-year statute of limitations on unlawful appointments found in Government Code 19257.5 applies only to appointments made and accepted in good faith. Therefore, an investigation must still be conducted to determine whether good faith existed when the appointment was made and accepted. If the appointment was not made and accepted in good faith, the one-year statute of limitations does not apply and the appointment must be voided under California Code of Regulations, Title 2, Section 266.</p>
27. If a delegated department discovers a potential unlawful appointment before it has been keyed but after the employee has begun working, should the department knowingly key the unlawful appointment?27. If a delegated department discovers a potential unlawful appointment before it has been keyed but after the employee has begun working, should the department knowingly key the unlawful appointment?<p>​If the employee is new to state service, yes, the department may have to key the unlawful appointment in order to pay the employee for the work already performed. If the employee is already a state employee, the department may be able to use alternative means, such as an out-of-class assignment, to pay the employee for the work performed rather than knowingly keying an unlawful appointment. If a department has other means to pay the employee but knowingly keys the unlawful appointment anyway, the appointment will likely be considered to have been made in bad faith by the department.</p>
28. Government Code 19757 states that CalHR “may” void an unlawful appointment if action is taken within a year from the appointment. Does the word “may” imply that delegated departments have the discretion not to void an unlawful appointment?28. Government Code 19757 states that CalHR “may” void an unlawful appointment if action is taken within a year from the appointment. Does the word “may” imply that delegated departments have the discretion not to void an unlawful appointment?<p>​No. Delegated departments do not have the discretion to “ignore” an unlawful appointment when they become aware of it. By signing the Unlawful Appointment Investigation Delegation Agreement, delegated departments agree to “comply with the laws and rules governing equitable administration of the civil service merit system.” CalHR’s training website provides more information on the merit system.</p>
29. Does an unlawful appointment have to be voided before the one-year statute elapses?29. Does an unlawful appointment have to be voided before the one-year statute elapses?<p>​No. The “action” referred to in Government Code 19257.5 means that the final determination letter must be dated and mailed one day before the one-year anniversary of the unlawful appointment effective date. PMD recommends mailing unlawful appointment determination letters with a certified “return receipt.”</p>
30. When an unlawful appointment is voided, may the employee still use the experience gained in the unlawful appointment to apply for other examinations or to count toward movement to a higher alternate range?30. When an unlawful appointment is voided, may the employee still use the experience gained in the unlawful appointment to apply for other examinations or to count toward movement to a higher alternate range?<p>​No. When voided, the unlawful appointment is treated as if it never occurred for all aspects of the appointment except what is defined as “compensation” by California Code of Regulations, Title 2, Section 9. “Compensation” as used in Government Code Section 19257 does not include tenure in a position, seniority credits, permissive reinstatement, eligibility, mandatory reinstatement rights, eligibility to take promotional examinations, career credits, permanent or probationary status and service toward completion of the probationary period; nor continuity of service when used to determine the employee's right to or eligibility for any of the foregoing.</p>
31. Does a delegated department have to contact the State Controller’s Office when an unlawful appointment will stand?31. Does a delegated department have to contact the State Controller’s Office when an unlawful appointment will stand?<p>​No. As no action needs to be taken on the employee’s work history, the final determination letter does not need to be sent to the State Controller’s Office.</p>
32. If a delegated department discovers a potential unlawful appointment of its current or potential employee that occurred at another department in the past, how should that investigation be handled?32. If a delegated department discovers a potential unlawful appointment of its current or potential employee that occurred at another department in the past, how should that investigation be handled?<p>​Delegated departments do not have authority to investigate other departments’ unlawful appointments. The discovering department should inform its PMD consultant and PMD will refer the matter to the appropriate department for investigation.</p>
33. If a delegated department discovers a potential unlawful appointment of an employee into a limited-term position, should the department simply terminate the limited-term appointment?33. If a delegated department discovers a potential unlawful appointment of an employee into a limited-term position, should the department simply terminate the limited-term appointment?<p>​No. The department must investigate the potential unlawful appointment and then take action as it would for any other unlawful appointment. Terminating the limited-term appointment alone does not void the appointment and could inappropriately enable the employee to use the limited-term unlawful appointment experience to qualify for promotional examination and appointments. </p>

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