106. Sample Board Recommendations and Resolutions

Introduction

The content of this entire section is taken directly from Section 111 of the State Personnel Board’s Personnel Management Policies and Procedures Manual (PMPP).

The Board conducts the majority of its business through the approval or denial of recommendations and resolutions presented to it by staff. These proposals may be initiated by departments, employees and their representatives or Board staff. The majority of the recommendations and resolutions presented to the Board are classification items, which are prepared by DPA and reviewed and approved by Personnel Board staff.

Definitions

Recommendations: A Board recommendation is a proposed action usually presented to the Board by the Staff. Upon adoption by the Board, the recommendation becomes an official act and is binding upon all parties involved. Recommendations are typically used for classification, examination, rule adoption and other Board actions where approval or denial statements are sufficient to sustain the intended action.
Resolutions: Resolutions are used within a recommendation where descriptive language is necessary to explain the Board’s intent in adopting a proposed action or statement. Common uses of a resolution include findings of emergency for rule adoption purposes, the conveyance of an expression of appreciation, the adoption of recommendations which involve employee status changes in conjunction with classification and examination actions, and the adoption of recommendations which involve employee status changes as a matter of equity.

Guidelines and Procedures

General

The recommendations and resolutions section of a Board item is what the Board adopts or denies. Therefore, all items that the Board must act on must be placed in this section. For example, in the body of a memorandum submitted to the Board, it might be stated that a class title is being changed. However, unless you have a recommendation to change the title which the Board can act on, the title will not be changed.

Additionally, if a deep class needs to be established or employees need to be reallocated by Board action, it is necessary to have a recommendation and a resolution which makes an exception to Rule 431 for deep classes or, in the case of a reallocation, describes the movement of the employees for the Board to adopt.

To ensure that intended results are achieved, the format and wording for recommendations and resolutions should be consistent with the samples contained in the Manual section whenever possible. New formats or wording should be considered only when the proposed action is not included in the following list of standard samples. Nearly all actions will require the use of combinations of the examples given. There may also be special situations which are not mentioned in the typical actions listed below. New recommendations or resolutions must be reviewed by the appropriate Affirmative Action and Merit Oversight Division (AAMOD) supervisor and the Policy Consultation Unit.

Recommendations and resolutions are the key instruments used by the SPB. DPA, Controller’s Office, and departmental staff to implement the decisions of the five-Member Board. It is essential that they be written in a manner that provides clear and complete direction to all of these parties. Also, the direction given should be limited to matters still under the Board’s jurisdiction (e.g., status, list usage, and probationary periods) and should not touch on matters that are bargainable (e.g., work week groups, salary step placement). Following the standards outlined below will help meet these objectives:

References to class titles must be complete, including parenthetical designations when they are part of the full, class title.
When different levels within a deep class are to be treated differently (such as in a “split-off” or reallocation), all references to the deep class must include a reference to the specific level(s) affected by the particular action being described.
When giving instructions for position reallocations and associated employee movements, ensure that all classes/levels covered by the action are accounted for, even though some classes or levels may currently be vacant.
When giving instructions for employee reallocations or “split-off” eligibilities, be sure to specify what will happen to all employees who have a right of return to any class which will be abolished.
When classes are being abolished, split, or consolidated, give complete and specific direction on the future use and/or abolishment of any affected employment lists, including reemployment lists. Ensure that staff can determine exactly when such lists are to be abolished.
When specifying time-based requirements, ensure that all possible amounts of time are accounted for; do not leave gaps and do not use language that leaves out the amounts of time used as cut-off points between categories (e.g., using the phrase “less than six months” in conjunction with “more than six months” leaves out employees who have exactly six months of the required services).
Do not refer to alternate ranges that fall under DPA authority (e.g., alternate ranges to provide geographic pay differentials, pay for special qualifications, pay for special working conditions, etc.).
Do not cover other items that are under DPA’s jurisdiction; this includes items such as salary step placement/movement, salary anniversary dates, work week group designation, bargaining unit designations, etc.

Using Recommendations and Resolutions

Recommendations

A Board recommendation is normally used for classification and examination actions. The typical actions in which recommendations are used are:

Establishing a new class.
Abolishing a class.
Revising a class.
Changing a class title.
Changing a probationary period.
Adopting or amending deep class alternate range criteria.
Designating a position to or deleting a position from the CEAcategory.
Adopting examination results obtained through new program consultant process.
Rescinding or amending a prior Board action. (This may also require a resolution.)
Denying a proposal made to the Board by employee organizations, individuals, or other entity.

Resolutions

The following are instances when a Board resolution must be used in addition to a recommendation:

To determine the status and eligibility of employees in classes or on eligible lists affected when a class is established, revised, or abolished.
To indicate the SPB’s policy position on a particular matter.
To make an exception to SPB Rule 431 which provides that the maximum rate of the lowest salary range currently authorized for the class is used for pay comparison purposes.
Note: Without this resolution you have not established a “deep” class.
To convey expressions of appreciation, sympathy, etc.
To state a “finding of emergency” for purposes of emergency rule adoption.
To determine the status of an individual as a matter of equity.

Examples of More Frequently Used Recommendations

Establishing New Class (Single)
That the class of (title) be established; the proposed specification for the class as shown in this calendar be adopted; and the probationary period be (___________).
Establishing New Classes (More Than One) 1

That the following classes be established; the proposed specifications for these classes as shown in this calendar be adopted; and the probationary periods 2 be as specified below:
Class Probationary Period
Establishing New Deep Class 1
That the deep class of (title) be established; the proposed specification for the class as shown in this calendar be adopted; and the probationary period 2 be ( length of probationary period).

Note: Recommendation Number 16 and a resolution making an exception to Rule 431 must be included when a deep class is established.
Establishing New Class (Single – Series Specification) 1
That the class of (title) be established; the proposed specification for the class appearing in the (use title of series specification) series specification shown in the current calendar be adopted; and the probationary period 2 for the class be (length of probationary period).
Establishing New Classes (More Than One – Series Specification) 1

That the following classes be established; the proposed (series title) series specification including specifications for the classes as shown in the current calendar be adopted; and the probationary period 2 be as specified below:
Class Probationary Period
CEA, Allocating to the Category
That one position in the Department of (department name) assigned the duties of (position of job title), as shown on the attached duty statement, be allocated to the Career Executive Assignment category.
CEA, Deleting From the Category
That the position(s) in the Department of (department name) assigned the duties of [job title(s)] be deleted from the Career Executive Assignment category.
Specification Revision, Single and Multiple Classes and Revised Specification Shown in Calendar)
That the proposed revised specification for the class of (title) as shown in this calendar be adopted.

or

That the proposed revised specifications for the following classes as shown in this calendar be adopted:

(List Titles)
Specification Revision without Specification in Calendar

That the "Definition", "Typical Tasks", "Experience", "Education", "License Requirements", or "Minimum Qualifications” of the specification for the class of (title) be revised as follows:

(Show revisions in strikeout and underline format unless the changes are so extensive as to make strikeout and underline cumbersome, in which case both the current and proposed revised specifications are to be shown as specified in #8.)
Specification Revision, Series Specification
That the proposed revised specification for the class of (title) appearing in the (use series title) series specification shown in the current calendar be adopted.
Title Change and Specification Revision, One Class
That the title of the class (current title) be changed to (proposed title); and the proposed revised specification for the class as shown in this calendar be adopted.
Title Change and Specification Revision, More Than One Class

That the titles of the following classes be changed as indicated; and the proposed revised specification for these classes as shown in this calendar be adopted:
From To
Probationary Period Change (For Existing Classes)
Changes in the length of a classification probationary period are effective the date of Board action and will apply to all probationary periods in progress on that date unless the Recommendation Section says otherwise. Therefore, in order to protect the status of the affected employees, a recommendation and/or a resolution is always necessary when the length of an existing probationary period is changed.
1. Existing class has six months probationary period – new or revised class will have 12 months.
  That all appointments to the class of (title) that require a probationary period and that are effective on or after (date adopted by Board), shall require service of a one-year probationary period before an employee may attain permanent status in the class.
2. Existing class has 12 months probationary period and new or revised class will have six months.
  Requires a resolution when incumbents of the existing class are being split off or reallocated to the revised or new class. (See sample resolution).
3. Existing class has a 12 months probationary period which is being decreased.
  Requires a resolution to protect the status of the current incumbents. (See sample resolution)
Note: The criteria for establishing a probationary period for a new classification may be found in PMPP Section 320.
Rescinding a Prior Board Action
That the action of the SPB as set forth in Item (number) of the minutes of the meeting of (date) relating to (description of Board action) be rescinded.
Amending a Prior Board Action
That the action of the SPB as set forth in Item (number) of the minutes of the meeting of (date) relating to (description of Board action) be modified as follows: (Use strikeout and underline.)
Adopting an Alternate Range Criteria
That the proposed Alternate Range Criteria (insert number) for the class of (title) as shown below be adopted.

Note: If you are adopting an alternate range criteria because you are changing a single class to a deep class, you must also include an exception to Rule 431 resolution. If a new entry level has been added, you also must have a resolution which reallocates current incumbents to the appropriate higher range.
Amending or Adding to an Existing Deep Class Alternate Range Criteria

That Alternate Range Criteria number be amended as follows:

(Use strikeout and underline.)

That Range be added to the deep class of (class title) Alternate Range Criteria (number) as shown below:

Note:If a lower deep class alternate range is being added to an existing deep class alternate range criteria, a resolution must be included to reallocate the employees to the appropriate higher ranges, (e.g., existing alternate range criteria has an A and B, new alternate range will add new criteria for A and move existing A and B criteria to Band C respectively.)
Adopting Resolutions

That the following resolution(s) be adopted: [If more than one resolution, number the resolution, e.g., (a), (b), (c) etc.].

(a) WHEREAS...
RESOLVED,...

(b) WHEREAS...
RESOLVED,...
Preventing Further Appointments and Abolishing the Class When It Becomes Vacant
That Footnote 24 be applied to the class of (title) to prevent further appointments to this class and to designate that it is to be abolished when it becomes vacant.
Abolishing a Class
That the class of (title) be abolished. (If there are one or more incumbents filling positions in the class, a resolution is required regarding their status.)

Note: If there are no incumbents in the class, but there are persons who have mandatory reinstatement rights to the class, consideration must be made as to what will happen to those persons should they need to exercise their right of return.

1 If incumbent(s) are to be reallocated to a new class, a status resolution will also be necessary.

2 Where probationary periods exceed six months.

Resolutions

The “WHEREAS” section of a resolution tells the story of why the resolution is necessary and the circumstances surrounding the action. The “RESOLVED” section of a resolution describes the action to be taken.

The sequence or order in which classification and status actions are presented in recommendations and resolutions is important so that the events are placed in logical order. For example, if a class is being abolished after incumbents are reallocated to another class, then the recommendation to abolish the class must take place after the recommendation and resolution which reallocates the employees.

Examples

STATUS RESOLUTIONS
These resolutions are used to determine the status of individuals affected by changes to the classification plan which are adopted by the Board. Basically, there are the following eight types of status resolutions:
1. REALLOCATION WITH “SPLIT-OFF” ELIGIBILITY (TRANSACTION CODE A 21 “SPLIT-OFF”)
  The following resolutions are used when either (1) an existing class is divided into two or more classes; or (2) a portion of the duties are extracted from an existing class to establish one or more new classes; and
  
  The Board grants only those incumbents who, on the date of Board action, are performing the duties of the new class(es) status in the new class(es) effective the date of Board action; and the Board grants “split-off” eligibility for a specific time period (usually one year, but may be from three months to four years) to those incumbents who remain in the old class.
  1. One Class Only
    1. This resolution is used when all incumbents who remain in the class from which “split-off” is occurring are going to be given “split-off” eligibility and, if needed, all persons on eligible lists for the old class are also given “split-off” eligibility. All other incumbents are reallocated to the new class effective the date of Board action by virtue of their performing the duties of the new class on that date. Note: The old class is not being abolished.
      
      WHEREAS the State Personnel Board on (date) established the class of (title) and the duties and responsibilities of this class are substantially included in the existing class of (old title); and
      
      WHEREAS the knowledge and abilities required for the class of (new class) were substantially tested for in the examination for the class of (old class); therefore be it
      
      RESOLVED, That any person with civil service status in the class of (old title) on holding a position or who, within a period of (specific period of time) from the date of Board action accepts a position which is classified in the class of (old title) shall be deemed to have the same civil service status in that class without further examination; and be it further
      
      (The following should be included only when employment or reemployment lists exist or there is an examination in process.)
      
      RESOLVED, That any existing employment lists other than reemployment lists established for the class of (old title) shall be used to certify to fill vacancies in the class of (new title) until such lists are abolished, exhausted, or superseded by lists for the class of (new title), and any persons on existing reemployment lists for the class of (old class) shall also be placed on reemployment lists for the class of (new class) until the expiration of their eligibility on the reemployment lists for the class of (old class).
    2. This resolution is used when “split-off” eligibility is to be given to some but not all of the incumbents who remain in the class from which “split-off” is occurring. Typically, in these cases “split-off” eligibility is limited to those incumbents who remain in the class in the limited organizational units [e.g., department(s) , division(s) or unit(s) where employees are performing duties of the new class and, if needed, to those employees on a departmental eligible list for the old class]. Those performing the duties of the new class on the date of Board action are reallocated effective that date. The old class is not being abolished.
      
      WHEREAS the State Personnel Board on (date) established the class of (class) and the duties and responsibilities of this class are substantially included in the existing class of (old title); and
      
      WHEREAS the knowledge and abilities required for the class of (new class) were substantially tested for in the examination for the class of (old class); therefore be it
      
      RESOLVED, That any person with civil service status at (department name) in the class of (old title) on, holding a position or who, within a period of (specify a period of time) from the date of Board action, accepts a position which is classified in the class of (new title) shall be deemed to have the same civil service status in that class without further examination; and be it further
      
      (The following should be included only when a promotional list for the specific department exists or there is a departmental promotional examination in process. The department must be named or the information below should not be included because it would provide eligibility for employees on eligible lists and would not provide eligibility for experienced persons already in the class in other departments.)
      
      RESOLVED, That any promotional list for the (department name) established for the class of (old title) shall be used to certify to fill vacancies in the class of (new class) until such lists are abolished, exhausted, or superseded by lists for the class of (new title).
  2. More Than One Class and/or Ranges of a Deep Class
    This “resolution” is used when all incumbents who remain in the class from which “split-off” is occurring are going to be given “split-off” eligibility and, if needed, all persons on eligible lists for the old class are also given “split-off” eligibility. All other incumbents are reallocated to the new class effective the date of Board action by virtue of their performing the duties of the new class on that date. Note: The old class(es) is/are not being abolished.
    
    WHEREAS the State Personnel Board on (date) established the class(es) indicated below in Column II; and the duties and responsibilities of this/these class(es) were substantially included in the existing class(es) indicated below in Column I; and
    
    WHEREAS the knowledge and abilities required for the class(es) indicated in Column II were substantially tested for in the examination(s) held for the corresponding class(es) indicated in Column I: Therefore be it
    
    RESOLVED, That any person with civil service status in the class(es) indicated below in Column I on (date), holding a position or who within a period of (specify period of time) from the date of Board action accepts a position which is classified as performing the duties of one of the corresponding classes indicated in Column II shall be deemed to have the same civil service status in such class without further examination; and be it further
    
    (The following should be included only when employment or reemployment lists exist or there is an examination in process.)
    
    RESOLVED, That any existing employment lists other than reemployment lists established for the class(es) indicated in Column 1 shall be used to certify to fill vacancies in the class(es) indicated in Column 11 until such lists are abolished, exhausted, or superseded by lists for the class(es) indicated in Column II, and persons on any existing reemployment lists for class(es} indicated in Column I shall also be placed on reemployment lists for the class(es} indicated in Column II until expiration of their eligibility on the reemployment lists for the class(es} indicated in Column I.
    
    Column I
    
    Column II
    
    [old title(s) and, if deep class, ranges]
    
    [new title(s) and, if deep class, ranges]
    
    This resolution is used when “split-off” eligibility is to be given to some but not all of the incumbents who remain in the class from which “split-off” is occurring. Typically, in these cases, “split-off” eligibility is limited to those incumbents who remain in the class in the limited organizational units (e.g., department(s), division(s), or unit(s) where employees are performing duties of the new class and, if needed, to those employees on a departmental eligible list for the old class. Those performing the duties of the new class on the date of Board action are reallocated effective that date. The old class is not being abolished.
    
    WHEREAS the State Personnel Board on (date) established the classes indicated below in Column II; and the duties and responsibilities of these classes were substantially included in the existing class(es) indicated below in Column I; and
    
    WHEREAS the knowledge and abilities required for the classes indicated in Column II were substantially tested for in the examinations for the corresponding class(es) indicated in Column I: Therefore be it
    
    RESOLVED, That any person with civil service status at the Department of (department name) in the class(es) indicated below in Column I on (date), holding a position or who within a period of (specify time period) from the date of Board action accepts a position which is classified as performing the duties of one of the corresponding classes indicated in Column II shall be deemed to have the same civil service status in such class without further examination; and be it further (include this only if the following “RESOLVED” is also included).
    
    (The following can only be included when promotional lists for the class(es) in Column I for the specific department exist or there is a departmental promotional examination in process. The specific department must be included in the “RESOLVED".)
    
    RESOLVED, That any promotional list for the Department of (department name) established for the class(es) in Column I shall be used to certify to fill vacancies in the class(es) in Column II until such lists are abolished, exhausted, or superseded by lists for the class(es) in Column II.
    
    Column I
    
    Column II
    
    [old title(s) and, if deep class, ranges]
    
    [new title(s) and, if deep class, ranges]
2. “SPLIT-OFF” – REALLOCATION WITH NO “SPLIT-OFF” ELIGIBILITY (TRANSACTION CODE A 20 – REALLOCATION)
  The Board grants incumbents in the old class(es) status in the newly established class(es) without further examination.
  
  This resolution would be used only when the employees of a specific unit, division, or entire department are being reallocated to a new class and those incumbents remaining in the old class and/or persons on eligible lists are not being given “split-off” eligibility for the new class. The old class(es) is/are not being abolished.
  
  WHEREAS the State Personnel Board on (date) established the class(es) indicated below in Column II; and the duties and responsibilities of this/these class(es) were substantially included in the existing class(es) indicated below in Column I; and
  
  WHEREAS the knowledge and abilities required for the class(es) indicated below in Column II were substantially tested for in the examination(s) for the corresponding class(es) indicated in Column I: Therefore be it
  
  RESOLVED, That any person in the (department) (division or unit) with civil service status in one of the classes indicated in Column I on (date) shall be reallocated to the appropriate class as indicated in Column II and hereby granted the same civil service status in that class without further examination.
  
  Column I
  
  Column II
  
  [old title(s)]
  
  [new title(s)]
3. REALLOCATION OF ALL INCUMBENTS – NO “SPLIT-OFF” (TRANSACTION CODE A20 – REALLOCATION)
  The following resolutions are used when substantially all of the duties and responsibilities of all of the incumbents of existing classes will be included in the concept(s) of one or more new or revised classes which will result in all of the incumbents; being reallocated and the existing (old) class(es) being abolished.
  1. Movement of all incumbents from one class to another by reallocation and the old class will be abolished.
    This resolution is used when all of the incumbents of one class are being reallocated to a single new class.
    
    WHEREAS the State Personnel Board on (date) established the class of (new title); and the duties and responsibilities of this class are substantially included in the previously existing class of (old title); and
    
    WHEREAS the knowledge and abilities required for the (new title) were substantially tested for in the examination held for the class of (old class): Therefore be it
    
    RESOLVED, That each person with civil service status in the class of (old title) on (date) shall be reallocated to, and hereby granted, the same civil service status without further examination in the class of (new title); and be it further
    
    (The following should be included only when employment or reemployment lists exist or there is an examination in process.)
    
    RESOLVED, That any existing employment lists other than reemployment lists established for the class of (old title) shall be used to certify to fill vacancies in the class of (new title) until such lists are abolished, exhausted, or superseded by lists for the class of (new title), and persons on any existing reemployment lists for (old title) shall also be placed on reemployment lists for the class of (new title) until expiration of their eligibility on reemployment lists for the class of (old class title).
    
    Column 1
    
    Column II
    
    (old class)
    
    (new class)
    
    The actual proposal to abolish the class in question must be presented as a separate recommendation after the recommendation to adopt the status resolution moving the employees.
  2. Consolidation and Movement by Reallocation, Two or More Classes.
    1. This resolution is used where two or more classes are being consolidated into one single class and the old classes are being abolished.
      
      WHEREAS the State Personnel Board on (date) revised (or established) the class indicated in Column II; and the duties and responsibilities of this class were substantially included in the previously existing classes as indicated in Column I; and
      
      WHEREAS the knowledge and abilities required for the class indicated in Column II were substantially tested for in the examinations held for the classes listed in Column I: Therefore be it
      
      RESOLVED, That each person with civil service status in the classes in Column I on , be reallocated to, and hereby granted the same civil service status without further examination in the class in Column II; and be it further
      
      (The following should be included only when employment or reemployment lists exist or there is an examination in process.)
      
      RESOLVED, That any existing employment lists other than reemployment lists established for the classes indicated in Column I shall be used to certify to fill vacancies in the class in Column II as directed by the Executive Officer of the State Personnel Board until such lists are abolished, exhausted, or superseded by lists for the class in Column II and any persons on existing reemployment lists for classes in Column I shall also be placed on a reemployment list for the class in Column II until expiration of their eligibility on reemployment lists for the classes in Column I.
      
      Column I
      
      Column II
      
      Existing Class
      
      New Class
      
      (title)
      
      (title) one class
      
      (title)
      
      (title)
      
      Note: In instances of consolidation, two or more eligible lists may be in existence for the classes consolidated. The above provisions permit the agency, subject to approval by the Board analyst, to decide each time there is a vacancy to be filled, in which order the lists will be used. This decision is usually based upon which list would have been used for the given position prior to the consolidation.
      
      A separate recommendation to abolish the old classes must follow this resolution.
    2. This resolution is used where two or more classes are being consolidated into a deep class by revising one of the classes to include the duties and responsibilities of the other classes.
      
      WHEREAS the State Personnel Board on (date) revised the class indicated in Column II; and the duties and responsibilities of this class were substantially included in the previously existing classes as indicated in Column I; and
      
      WHEREAS the knowledge and abilities required for the class indicated in Column II were substantially tested for in the examinations held for the classes listed in Column I: Therefore be it
      
      RESOLVED, That each person with civil service status in the classes in Column I on (date), be reallocated to, and hereby granted, the same civil service status without further examination in the class and appropriate range as indicated below in Column II; and be it further
      
      [If there are existing employment lists or there is an examination in process, you must also include the language of the second (2nd) Resolved as shown under 2 a. above.]
      
      Column I
      
      Column II
      
      Existing Class
      
      New Class
      
      (title)
      
      (title and ranges)
      
      (title)
      
      (title)
      
      A separate recommendation to abolish the old classes excluding the one class title which is being revised to a deep class must follow this resolution.
    3. This resolution is used where the incumbents of a single class are being reallocated to an alternate range other than Range A of the same class that is being revised to a deep class which includes lower alternate range levels, [e.g., adding a currently non-existent entry and first working level (Range A and Range B) to an existing journey-level class.]
      
      WHEREAS the State Personnel Board on (date) revised the class of (old class) to establish deep class alternate range levels as indicated in Column II; and the duties and responsibilities of Alternate Range (level) of the deep class indicated in Column II were substantially included in the previously existing class specification as indicated in Column I; and
      
      WHEREAS the knowledge and abilities required for Range (level) of the class indicated in Column II were substantially tested for in the examination for the class listed in Column I: Therefore be it
      
      RESOLVED, That each person with civil service status in the class in Column I on (date) be reallocated to and hereby granted the same civil service status in the appropriate alternate range as indicated below in Column II.
      
      Column I
      
      Column II
      
      (Old single class title)
      
      Same class title plus appropriate alternate range
    4. This resolution is used where the incumbents of two or more classes are being reallocated to two or more classes.
      
      WHEREAS the State Personnel Board on (date) established the classes indicated in Column II; and the duties and responsibilities of these classes were substantially included in the previously existing classes as indicated in Column I; and
      
      WHEREAS the knowledge and abilities required for the classes indicated in Column II were substantially tested for in the examination held for the classes listed in Column I: Therefore be it
      
      RESOLVED, That any person with civil service status in the classes indicated in Column I on (date) shall be reallocated to the corresponding class as indicated in Column II and hereby granted the same civil service status in that class without further examination; and be it further
      
      (The following should be included only when employment or reemployment lists exist or there is an examination in process.)
      
      RESOLVED, That any existing employment lists other than reemployment lists established for the classes indicated in Column 1 shall be used to certify to fill vacancies in the classes indicated in Column 11 as directed by the Executive Officer of the State Personnel Board until such lists are abolished, exhausted, or superseded by lists for the classes in Column 11 and any persons on existing reemployment lists for classes in Column 1 shall also be placed on reemployment lists for classes in Column II until expiration of their eligibility on reemployment lists for classes in Column I.
      
      Column I
      
      Column II
      
      (Old classes)
      
      (new classes)
    5. This resolution is used where the incumbents of two or more classes or ranges of a deep class are being reallocated to a newly established deep class.
      
      WHEREAS the State Personnel Board on (date) established the deep class with alternate range levels as indicated below in Column II; and the duties and responsibilities of the corresponding alternate range levels of the deep class were substantially included in the previously existing classes (or alternate ranges of the deep class) as indicated in Column I; and
      
      WHEREAS the knowledge and abilities required for the deep class alternate range levels indicated in Column II were substantially tested for in the examination held for the class(es) listed in Column I: Therefore be it
      
      RESOLVED, That any person with civil service status in the classes (or alternate range of the deep class) indicated in Column I on (date) shall be reallocated to the corresponding alternate range of the deep class as indicated in Column II and hereby granted the same civil service status in that class without further examination.
      
      (The following should be included only when employment or reemployment lists exist or there is an examination in process.)
      
      RESOLVED, That any existing employment lists other than reemployment lists established for the class(es) indicated in Column I shall be used to certify to fill vacancies in the deep class indicated in Column II as directed by the Executive Officer of the State Personnel Board until such lists are abolished, exhausted, or superseded by lists for the class indicated in Column II and any persons on existing reemployment lists for classes in Column I shall also be placed on reemployment lists for the class in Column II until expiration of their eligibility on reemployment lists for classes in Column I.
      
      Column I
      
      Column II
      
      (old classes including range number if a deep class)
      
      (new deep class including range numbers)
4. REALLOCATION OF EMPLOYEES TO A CLASS WHERE ADDITIONAL MINIMUM QUALIFICATIONS ARE REQUIRED
  The following sample resolution may be used when the new class includes an essential qualification requirement such as a license or certificate which did not apply in the old class but which can be met on the date of the Board action.
  
  RESOLVED, That positions in the class of (new title) may be filled by reallocation of employees in the class of (old title) who meet the additional qualification(s) of (special conditions).
5. DEEP CLASS RESOLUTION (EXCEPTION TO REGULATION 431)
  The purpose of a deep class resolution is to allow incumbents to move by transfer to or from a deep class under the same eligibility that would apply if each range of the deep class were, itself, a separate class. Without this resolution, incumbents cannot gain transfer, demotion in lieu of layoff, or reinstatement (both mandatory and permissive) eligibility above the Range A of the deep class, regardless of what range in the class they reach. This resolution cannot be used for movement to classes which have alternate ranges which are under the jurisdiction of the DPA such as those established for (1) a special skill such as Range B of Alternate Range Criteria 045 which provides extra pay for State Traffic Sergeants who are assigned full time as flight observers in the flight program of the California Highway Patrol; or (2) a geographic location such as Range B of Alternate Range Criteria 005 which allows extra pay for an Officer Services Supervisor I (Typing) who is head- quartered in Chicago, Illinois, or New York City, New York.
  
  The language of this resolution is standard language which should be used every time a deep class is established. The resolution contains five or six paragraphs, three or four “WHEREAS” paragraphs and two “RESOLVED” paragraphs. The second “WHEREAS” paragraph is the only paragraph which may very some what in the language because this paragraph describes what the new deep class was derived from.
  
  WHEREAS Title 2, California Code of Regulation Section 431 states “Unless otherwise provided by resolution of the board, the maximum rate of the lowest salary range currently authorized for a class is used to make salary comparison"; and
  
  Choose one of the following for paragraph 2.
  1. If a new deep class is being established because of new work and not from revising existing classes and DQ current employees are being reallocated, omit this “WHEREAS” paragraph.
  2. Two or more existing classes are converted to a single deep class and the old classes are being abolished.
    WHEREAS alternate ranges within the new class of (title) are being established to replace those of the previously existing classes of (title), (title), and (title); and
  3. Replace one or more existing classes and add a new entry level. Existing classes will be abolished.
    WHEREAS alternate ranges within the new class of (title) are being established to add a new entry level and to replace the previously existing class(es) of (old class) and (old class); and
  4. New deep class is “split-off” from one or more existing classes and the existing classes are not being abolished.
    WHEREAS alternate ranges within the new class of (title) are being established parallel to the existing classes of (existing class) and (existing class); and
  5. An existing single class is being converted to a deep class by adding one or more new lower levels.
    WHEREAS alternate ranges within the class of (title) are being established to add a new entry and first working level and to identify the level of the existing class of (title); and
    
    Note: A recommendation to establish the alternate range criteria must precede this resolution in the same Board item.
  WHEREAS placement in each alternate range of the class of (new class) represents recognition of a higher level of knowledge, skill, ability, experience, or eligibility which each appointee can acquire through experience in the class of (new class) or comparable or higher level classes; and
  
  WHEREAS as the result of a permanent appointment to each alternate range, an appointee gains status in the range to which he/she is appointed as though each range is a separate class by qualifying for placement in that range through transfer, reinstatement, demotion, or satisfying the alternate range criteria: Therefore be it
  
  RESOLVED, That salary Ranges A, B, and __ for the class of (new class) may be used individually as if each represents the salary range of a separate class to make salary comparisons for discretionary actions between the class of (new class) and other classes; and be it further
  
  RESOLVED, That for the class of (new class) the maximum currently authorized for Range (highest range) of the class shall be the salary range used to make salary comparisons for mandatory actions.
6. CHANGE IN LENGTH OF PROBATIONARY PERIOD
  1. The following resolution must follow a reallocation resolution when the new or revised class to which incumbents are being reallocated has a probationary period less than the class from which the incumbents are being reallocated.
    
    WHEREAS incumbents who have been reallocated from the class of (old class) were serving a l2 month probationary period; and
    
    WHEREAS the new class of (new class) has a six month probationary period; and
    
    WHEREAS it has been determined that the duties and responsibilities that have been performed by incumbents in the class of (old class) are appropriate for reallocation to the new class of (new class): therefore be it
    
    RESOLVED, That all incumbents in the class of (old class) who on have the equivalent of six months of experience in the class of (old class) shall be given permanent status in the class of (new class); and be it further
    
    RESOLVED, That those incumbents of the class of (old class) that on have the equivalent of less than six months of probationary status shall complete their probation when they have served the equivalent of six months of combined experience in the class of (old class) and the class of (new class).
    
    Note: If the probationary period of the new or revised class is more than the class from which incumbents are being reallocated, Recommendation #13a, shown above must be included in the item.
  2. The following resolution should be used when the length of a probationary period for an existing class, which is not being revised, is being decreased.
    
    WHEREAS the State Personnel Board on (date) decreased the probationary period for the class of (class) from 12 months to six months; and
    
    WHEREAS those employees who were appointed to the class of (class) prior to (date) were placed on a probationary period of 12 months; and
    
    RESOLVED, That those incumbents holding probationary positions in the class of (title) on (date) that have the equivalent of six months of experience in the class shall be given permanent status in the class of (title); and be it further
    
    RESOLVED, That those incumbents holding probationary positions in the class of (class) on (date), that have less than six months of probationary status shall complete their probation when they have completed six months of satisfactory experience in the class instead of the 12 months that was assigned to their original appointment.
7. EQUITY RESOLUTION (TRANSACTION CODE A 22)
  Equity resolutions are very rare and are only to be presented when an individual’s circumstances warrant special consideration by the Board.
  
  This type of resolution is used to give status to individuals when something unusual has happened that has created a hardship to the individual and it is in the best interest of the State to correct the inequity.
  
  An equity resolution is provided to the Board as a separate Board item. The Board item must include a summary of issues; discussion; staff recommendation; and the resolution.
  
  Sample 1
  WHEREAS the State Personnel Board on (date) revised the class of (title) to encompass functions performed in the (section) of the (unit) of the (Department) and the duties and responsibilities of the class are substantially included in the existing class of (from class); and
  
  WHEREAS (number of) incumbents in the class of (old class) in the (department and section) of the (unit) were inadvertently not reallocated by Board resolution to the class of (title) when it was established on (date) because it was assumed that they could voluntarily transfer to the new class; and
  
  WHEREAS these (number of) incumbents cannot voluntarily transfer to the class of (new class) because they previously transferred into the class of (old class) and a consecutive transfer in this case is prohibited; and
  
  WHEREAS these incumbents have been performing the duties of the class of (new class) the same as the other (number of) employees in the unit for a long period of time: Therefore be it
  
  RESOLVED, That the following (number of) employees in the (department), (section/division), (unit) in the class of (old class) be reallocated to the class of (new class) and hereby granted civil service status in that class without further examination:
  1. (Name of employee)
  2. (Name of employee)
  Sample 2
  
  WHEREAS John Smith interviewed for a position in San Diego at the Department of New Hope as a Staff Services Analyst on November 10, 1986; and
  
  WHEREAS John Smith was offered and accepted a transfer on November 15, 1986, with a starting date of January 3, 1987; and
  
  WHEREAS Mr. Smith sold his home in Redding and bought another home in San Diego and moved his family to San Diego in time to report for work on January 3, 1987; and
  
  WHEREAS on January 3, 1987, he reported to work and was informed that he would have to return to his former Department and classification in Redding because, with the implementation of the new pay program effective January 1, 1987, the Staff Services Analyst class was no longer within transfer range of his former classification; and
  
  WHEREAS if Mr. Smith’s appointment to Staff Services Analyst in San Diego is not accomplished, he and his family will suffer a substantial hardship: Therefore be it
  
  RESOLVED, That as a matter of equity, John Smith shall be appointed to Staff Services Analyst at the Department of New Hope in San Diego effective January 3, 1987.
8. RESOLUTION TO TRANSFER LOCAL OR FEDERAL GOVERNMENT EMPLOYEES INTO STATE CIVIL SERVICE (REGULATION 275)
  Title 2, Division 1, Chapter 1, California Code of Regulation Section 275 provides that the Board by resolution shall permit local or Federal Government employees who have been performing work that is being assumed by the State of California to qualify in State civil service in their positions upon allocation of their positions to an appropriate class in the State classification plan.
  
  PMPP Section 317 discusses the alternative approaches to permitting individuals to qualify. The RESOLVES used will vary depending on the qualifying method determined to be most appropriate for each individual.
  
  A typical format is provided below:
  
  That the following resolution be adopted:
  
  WHEREAS State Personnel Board Rule 275 states, “When it is necessary for the State of California to assume work previously performed by a county, city, federal department or agency or public district, the board by resolution shall permit the employees who previously performed the work to qualify in State service in their positions upon allocation of their position to an appropriate class in the State classification plan and in accordance with standards and procedures established by the executive officer."; and
  
  WHEREAS effective (Board date), the California Department of (department name) will assume the functions of the (non-state agency name): Therefore be it
  
  RESOLVED, That effective (date), the civil service employees now employed by the (Unit or District) of the (council, city. etc.) be transferred to equivalent State classifications as determined by the Department of Personnel Administration as shown below without examination; and be it further
  
  RESOLVED, That all persons holding (Unit or District) positions for one year or more immediately preceding the effective date of such action shall continue to hold their positions as permanent civil service employees in the equivalent State classifications; and be it further
  
  RESOLVED, That all persons holding (Unit or District) positions for less than one year immediately preceding the effective date of such action shall continue to hold their positions subject to the probationary period established for the State classification to which assigned; and be it further
  
  RESOLVED, That all persons who have previously held (Unit or District) positions that are now to be under the Department of (department name) shall have all civil service rights that would have accrued if such former service had been under State civil service.
  
  Column I
  
  Column II
POLICY MATTER RESOLUTIONS
Note: In this example, the Board is directing the Executive Officer to carry out its policy regarding open recruitment. Generally, each policy resolution will be different. The paragraphs beginning with “WHEREAS” should state the issue or subject and the primary basis for the Board’s position; the “RESOLVED” paragraphs provide direction, a solution, or some other conclusive statement.

That the following resolution be adopted:

WHEREAS the State Personnel Board endeavors to provide highly qualified individuals for consideration by appointing powers for filling positions: Therefore be it

RESOLVED, That the Executive Officer be instructed to encourage the use of servicewide promotional examinations in the State service when they are in the best interest of the State; and be it further

RESOLVED, That in encouraging the wider utilization of service wide examinations, the Executive Officer should solicit the assistance of the management of State agencies generally, and specifically the organizations of Deputy Directors, Personnel Officers, and Training Officers.
EXPRESSIONS OF APPRECIATION

That the following resolution be adopted:

WHEREAS (name) has served the State of California for more than 30 years, all but eight months of which time has been spent in the California State Personnel Board; and

WHEREAS (name) selfless dedication to serving the State’s agencies in the placement of job applicants has earned her the devoted friendship of many hundreds of persons and the esteem and admiration of fellow employees and of agencies’ staff alike; and

WHEREAS (name) devotion to her job has caused her to measure her success in terms of the positive results achieved rather than the hours spent; and

WHEREAS (name) kindly disposition has provided an inspiration to the many colleagues with whom she has worked throughout the years and her strength of character has provided a support to fellow workers in times of stress; and

WHEREAS (name) is now entering into a well-deserved retirement from her State duties: Therefore be it

RESOLVED, By the State Personnel Board in regular meeting on (month, year) that the Board tender (name) its deepest appreciation for her years of devoted service and its most sincere good wishes for her continued good health, planned travels, and enjoyment of her leisure hours.
FINDING OF EMERGENCY RESOLUTION
The Administrative Procedures Act normally requires that 45 days’ advance notice be given for any rule-making action. However, when a true emergency exists, State agencies are allowed to adopt, change, or repeal regulations on an emergency basis without the advance notice. Such action requires that a “Finding of Emergency” be submitted to the Office of Administrative Law (OAL); the Board would make such a finding through adoption of the type of resolution shown below.

In preparing this kind of resolution, it is important to note that the situation being described must constitute a genuine threat to public peace, health, safety, etc. A showing of administrative inconvenience, inefficiency, or inequity is generally not a sufficient basis for emergency rule action. OAL can provide further guidance in this area.

OAL regulations also require that a “Finding of Emergency” include the following:
1. Specific facts which describe the threat to the public peace health and safety, or general welfare;
2. An explanation of how the proposed regulation treats the threat to the public peace, health and safety, or general welfare;
3. An explanation of why there has not been sufficient time to comply with the normal regulatory adoption procedures.
Further guidance on emergency rule promulgation is contained in the “OAL Training Handbook".

Following is a sample of “Finding of Emergency” resolutions:

WHEREAS a recent shipping accident has caused severe water quality problems that are endangering the health of residents of Contra Costa County; and

WHEREAS the Department of Health Services must immediately appoint additional staff to correct these problems; and

WHEREAS current civil service rules do not provide a timely process for hiring such additional employees: Therefore be it

RESOLVED, That rule (rule) as shown in this calendar is adopted on an emergency basis to establish special procedures for the immediate appointment of the needed staff.

Note: This is a relatively short resolution that is intended simply to illustrate proper format; an actual resolution of this sort should usually contain more specific facts in order to meet OAL review standards.