Position Allocation and Appointments 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, and the Personnel Officer, depending on structure.
On behalf of the CalHR, this delegation agreement will be signed by the Program Manager and each department’s Personnel Management Division (PMD) Consultant.
Delegation Agreement for Position Allocation and Appointments 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. CalHR also works in partnership with the State
Personnel Board (SPB) to administer and oversee appointing authority statewide. To provide departments greater
flexibility while improving efficiency and maintaining accountability, CalHR chooses to administer its Position
Allocation and Appointments responsibility via this Delegation Agreement with the [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
to simplify the personnel management system for Position Allocation and Appointments and to optimize its
effectiveness. 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. Fundamental Principles for Position Allocation and Appointments Delegation
The [Department Name] understands and agrees to abide by these fundamental principles of position allocation
and appointments:
The [Department Name] accepts responsibility to foster a good working relationship with CalHR based on mutual
cooperation and open communication.
POSITION ALLOCATION
Under Government Code section 18800, the State Personnel Board (SPB), pursuant to its constitutional
jurisdiction and authority to administer the state civil service merit system, is charged with establishing the
State’s 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 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 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’s Personnel Classification Plan.
Government Code section 19818.14 also provides that CalHR may designate an appointing power to allocate
positions to the State’s 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 and order corrective
action.
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’s
Personnel Classification Plan and must be avoided altogether or corrected as soon as possible.
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. Exceptional Allocations should be made discriminately and used only when no other alternatives are
available, such as another classification or alternative work arrangement.
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.
Additional guidance regarding justification memoranda is available on the CalHR Delegation Exceptional
Allocation Guide webpage.
The following list provides allocation factors that should be used when making Position Allocation
determinations and decisions:
- Nature of the work itself
- Work being performed
- Purpose of position (i.e. why position exists)
- Job Requirements
- 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 a Position
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
APPOINTMENTS
Departments should be processing all appointment transactions timely and accurately to ensure minimal impact
to their employees. Any of the following changes to an existing employment record or backdating a record for
more than 180 days of the following types of transactions are considered backdating an appointment:
- Appointment transaction code changes
- Effective date of appointment (changing the effective date of any appointment transaction)
- Alternative range of a deep class (any placement or movement of a status range of a deep class)
- Tenure (changing the tenure of an appointment to another tenure)
- Probationary Period (changing the probationary code to another probationary code)
- Time-base (changing the time-base to another time-base)
- Separation transaction code changes unless they are being changed by order of SPB or CalHR or are effective the same date such as a S70V/S71 or S71V/S70
B. Delegation of Personnel Management Authority
POSITION ALLOCATION
This delegation is based on the [Department Name]’s acceptance of responsibility to ensure the integrity and
proper use of the State’s Classification and Pay Plan through proper allocation of all its positions, including but
not limited to the establishment of truly Exceptional Allocations or allocations into formerly restricted
classifications.
In accepting delegated authority for Exceptional Allocations, the [Department Name] is under an obligation 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.
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. Please see the Exceptional Position Allocations Requiring Form STD. 625 website for specific
information on formerly restricted classifications.
APPOINTMENTS
This delegation is also based on the [Department Name]’s acceptance of responsibility to ensure the timely
keying of all appointment transactions in accordance with the principles outlined in this delegation agreement.
The [Department Name] is delegated to backdate and/or correct appointment transactions to the effective date
of the appointment.
C. Department Responsibilities and Restrictions
POSITION ALLOCATION
The [Department Name] shall comply with all CalHR orders for corrective action. Under its delegated authority,
the [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 potential employee.
- Use a class with Safety or Peace Officer-Firefighter retirement in a capacity not already approved CalHR.
- Make any Additional Appointments without prior approval from 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 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.
- An understanding of the allocation factors used by the State to evaluate, compare, and allocate civil service positions sufficient to apply these factors effectively.
- An understanding of the position’s work requirements sufficiently to effectively apply classification concepts, specifications, allocation guidelines, and allocation factors needed for a proper position allocation.
- Sufficient conviction in the approval such that the approving person can justify the allocation of the position.
When the [Department Name] has difficulty identifying the perfect state classification for the unique needs of a
position, it must perform an in-depth analysis to identify the closest fit amongst existing state classifications. This
analysis should compare and contrast the position’s duties and type of work being performed against existing
classifications’ allocation guidelines/factors and classification specifications components as a means to justify the
Exceptional Allocation.
The findings of the analysis must be documented in a departmental memorandum of justification. The
memorandum must:
- Clearly articulate the findings of the analysis,
- Cite documentation (e.g., department’s duty statements, allocation guidelines and factors, classification specification components) as needed to justify the Exceptional Allocation,
- Address the consequences if an Exceptional Allocation is not approved,
- Explain why a particular classification is the best fit,
- Explain why similar classifications and/or alternatives to using an exceptionally allocated position not viable options, and
- Explain why a lower-level classification could not be used.
The [Department Name] agrees to keep such memoranda internally with the Exceptional Allocation package to
support decisions for audit purposes.
When the [Department Name] seeks to use a department-specific classification, the justification memorandum
will be included as part of a package when requesting CalHR approval.
The [Department Name], in partnership with CalHR, will consult with its PMD Consultant regarding the use of a
classification outside of its established scope.
APPOINTMENTS
If an appointment needs to be backdated and/or corrected beyond 180 days, the [Department Name] must
report the transaction(s) changed in the Backdated and/or Appointment Corrections Beyond 180 Days Reporting
Worksheet.
Under its delegated authority, the [Department Name] shall not backdate and/or correct appointments beyond
180 days without documenting the action on the Backdated and/or Appointment Corrections Beyond 180 Days
Reporting Worksheet.
The [Department Name] shall take steps to reduce the incidence of backdated and/or corrected appointments by:
- Ensuring that staff responsible for appointment transactions are well-trained on appointment eligibility issues and understand the importance of timely keying (e.g., transfers, appropriate list clearance and certification process, minimum qualifications, short duration appointments, and deep class status range changes).
- Identifying and correcting flaws in the department’s hiring process workflow that may be causing delays in appointment transactions including deep class status range changes.
- Directing staff responsible for appointment transactions to take the time and steps necessary to verify appointment eligibility and alternate range placement and movement, including review of the applicable alternate range criteria, laws, regulations, and relevant CalHR Human Resources Manual and SPB’s Merit Selections Manual sections before a job offer is made, upon a hire being made, and future range changes.
- Auditing appointment transactions on a periodic basis to ensure compliance with eligibility requirements as set forth in the applicable laws and regulations.
- Training all hiring managers regularly about best practices for lawful hiring.
RECORDS AND REPORTING
The [Department Name] will submit reports (Exceptional Allocation Reporting Worksheet and Backdated and/or
Corrected Appointments Beyond 180 Days Worksheet) to its PMD Consultant on a quarterly basis. The standard
quarterly report due dates are:
- March 10th: December through February information
- June 10th: March through May information
- September 10th: June through August information
- December 10th: September through November information
The [Department Name] will submit department-wide organizational charts to its PMD Consultant by January 1st
annually. Organizational charts must contain full position numbers, incumbent first/last name, class codes, class
titles, and be signed by the responsible party (such as an appropriate executive or designee). The organizational
charts must be submitted as a single PDF document with Optical Character Recognition conducted prior to
submittal to ensure the document is text searchable. The organizational charts must also clearly identify reporting
relationships.
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, which must include the departmental analysis. Access to
these documents will be made available to CalHR within five (5) working days of CalHR request.
The [Department Name] will maintain up-to-date records on each backdated and/or corrected appointment
transaction beyond 180 days including but not limited to, STD. 625 (if applicable), Request for Personnel Action,
current duty statement (if applicable), current organization chart (if applicable), proposed duty statement,
proposed organization chart, memorandum of justification, salary determination worksheet, employee
application, signed alternate range criteria approval (if applicable), employment history, certification list (if
applicable), job advertisement (if applicable), explanation of how the employee met the alternate range criteria
(if applicable), transfer eligibility worksheet (if applicable), and documentation that the duties and employee’s
eligibility existed at time of appointment (if applicable).
The [Department Name] will maintain a personnel action tracking system to control and monitor its exceptionally allocated positions and backdated and/or corrected appointments beyond 180 days.
D. CalHR Responsibilities and Rights
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. When
applicable, 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 require the [Department Name] to submit proposed major departmental
reorganizations to CalHR for review prior to implementation per Government Code Section 19818.12.
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.
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.
CalHR will conduct internal monitoring of the reports submitted by the [Department Name]. If there are
discrepancies in these reports, other allocation issues, or continued failure to key appointment transactions
timely, CalHR will conduct a more in-depth review. The [Department Name] must be prepared to provide
package documentation at the request of CalHR as part of its delegated responsibilities.
E. Participation Agreement
The [Department Name] agrees to participate in this Delegation Agreement for two years effective July 1, 2023
through June 30, 2025. 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, and agrees to abide by the Fundamental Principles for Position Allocation and Appointments
Delegation.
By signing this Agreement, CalHR agrees to delegate the establishment of truly Exceptional Allocations and
allocations into formerly restricted classifications to the [Department Name], as well as authority to backdate
and/or correct appointment transactions to the effective date of the appointment, but reserves the right and
responsibility to exercise any of the specified actions described above at any time at its discretion.
The [Department Name] reserves the right to request revisions or to cancel this Agreement if it deems such
action is appropriate.
_____________________________________________________
/s/ Personnel Officer
Personnel Officer
[DEPARTMENT NAME]
_____________________________________________________
/s/ Chief of Administration
Chief of Administration
[DEPARTMENT NAME]
_____________________________________________________
/s/ Director
Director
[DEPARTMENT NAME]
_____________________________________________________
/s/ Program Manager
Program Manager
California Department of Human Resources
_____________________________________________________
/s/ Personnel Management Consultant
Personnel Management Consultant
California Department of Human Resources
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