320. Classification and/or Certification Action Request (Form 625)

Introduction

Form 625 is a request for position allocation approval and certification, which is used to hire an employee. It serves as documentation and basis for the requested action.

The following requests must be forwarded to DPA for approval:

  • All allocations for positions designated MCR 0.
  • Initial allocations of positions to classes designated in the Pay Scales as MCR 2; refill of vacant positions designated in the Pay Scales as MCR 2 whenever there has been a change in the duties or reporting relationship since the latest or most recent allocation.
  • When there are significant changes in the duties or reporting relationship of a filled position designated MCR 2 or MCR 0.
  • When the requested effective date for the position allocation is backdated more than 60 calendar days, regardless of MCR designation.

A Form 625 need NOT be submitted to DPA for allocations for which the appointing department has delegated authority or for the following specific allocations:

  • Initial allocation of positions designated in the Pay Scales as MCR 1; or refill of MCR 2 positions with no change in duties.
  • Emergency Appointments. GC Section 19888.1 provides the basic authority for making these types of appointments for up to 60 calendar days in accordance with SPB Rules 300 through 304.
  • Voluntary Experience. Volunteers do not hold positions within the State civil service, and they are not considered “employees.” Because of this, they may not receive civil service appointments for their volunteer service.

Required Form 625 Package

All Forms 625 submitted to DPA for review and approval must be part of a package including:

  • a current duty statement
  • a proposed duty statement
  • a current organization chart
  • a proposed organization chart
  • a memorandum of justification

Under MCR or other delegated authority, the department must maintain copies of the duty statements, organization charts, and justification memoranda in an orderly and systematic manner and keep them on file for program review. The department is required to justify all actions taken, whether by making a statement describing the change that occurred and the basis for the change or simply completing the appropriate boxes in the 625 Form.

Duty Statement

Duty statements must describe the current duties of the position and include percentages of time and/or frequency breakdowns (if the work varies cyclically). When several positions perform essentially the same duties, differentiate them by describing the specific area of responsibility for each position.

When a position is being refilled with no changes in duties, a single duty statement is sufficient. However, if the duties of the position have changed due to a new function, or the position is upgraded or downgraded in place, “current” and “proposed” duty statements are required.

If it is not possible to avoid ambiguous words such as complex, coordinates, analyzes, reviews, monitors, etc., define them clearly (show the factors that contribute to complexity; give the anticipated result or purpose of the analysis, review, coordination, etc.). Whenever possible, quantify relevant factors to the position (e.g., size of budget, revenues, number of clients).

Many allocation guides and class specifications contain specific criteria which positions must meet. Address the applicable criteria in the duty statement.

Organization Chart

Organization charts must include all changes proposed, and they need to be signed and dated by executive-level management or a designee. The positions should include all actual budgeted (not future) positions, with full civil service titles, time bases, and an indication of whether positions are filled or vacant. Ensure that reporting relationships are displayed and that unit and section names (e.g., Budget Support, Fiscal Systems, etc.) are indicated. Clearly identify the position to be allocated (reflecting assigned position number).

One chart is sufficient if:

  • a position is being refilled with no change in duties
  • the position is assigned to a new function
  • a position is being upgraded or downgraded in place

If the organizational structure is proposed for change, two charts are required: a current chart showing the reporting relationships of the position prior to reclassification, and a proposed chart showing the reporting relationships of the position subsequent to reclassification.

When reviewing an allocation request, look at the entire organization, not just the proposed position. Occasionally, a position may appear to support a requested allocation when viewed in isolation, but when the organization is viewed as a whole, the responsibilities and reporting relationships of other positions may be affected by or have an effect on the proposed new allocation.

Memorandum of Justification

The justification memo clarifies and amplifies the duty statement and organization chart. When writing the memo, provide relevant background information and describe how the proposed position classification satisfies the specification and allocation standards for the class. Describe how the duties fit into the role of the unit or the mission of the department. For position reclassification or establishment, provide an explanation of “what has changed” (organizational mission, workload, structure, etc.). For servicewide classes, include comparisons with other departments or units having similar organizational structure, size, or sensitivity.

Number of Copies/Distribution

Send the original Form 625 and one copy with all attachments to DPA. Upon approval of the requested action, DPA staff will sign and date both forms, retain the original for DPA files, and return the copy to the department.

Effective Date

DPA staff will endeavor to make classification decisions in a timely manner. The time frame for approval will vary depending on the complexity of the allocation request. The effective date of the classification typically will be the date of DPA staff approval. Please submit requests requiring both the Form 607 and Form 625 to both DPA and the Department of Finance simultaneously.

Backdated Effective Date

Requested effective dates which are more than three weeks prior to the date DPA receives the request are considered exceptions. Therefore, backdates of between three weeks and 60 calendar days for classes designated as MCR 2 (initial allocation or with a change of duties) or MCR 0 require departments to certify in writing (using the Memorandum of Justification) that the following standards were satisfied as of the requested effective date:

  • The duties existed and were consistent with the requested class.
  • The incumbent was performing the duties of the requested class and would have been reachable on the eligible list or had other eligibility for appointment to the class.
  • DOF had approved the funding for the subject position.
  • SPB had adopted the requested class.

In addition to the above justification, departments are required to provide the following information for all backdates beyond 60 calendar days for position allocation, regardless of the MCR designation:

  • The circumstances which resulted in the delay of the Form 625 to DPA.
  • How the employee was notified of the assignment in question (i.e., was the employee given a specific appointment date in writing; did the employee sign and date documents relating to the appointment, etc.).

The 60 calendar days timeframe is also in accordance with SPB’s policy on backdating appointments.

Backdated Promotions

Do not assign higher-level duties to an employee until it is known that the employee is eligible and reachable on the promotional list. Document the specific date of assignment. Obtain authorization to promote an employee from either DPA or the department’s personnel office, as appropriate, prior to the assignment of higher-level duties. Failure to adhere to the backdating guidelines could result in denial of backdated promotions and out-of-class (OOC) situations.

Backdated CEA Level Changes

Backdates which precede either the incumbent’s list eligibility or the date DOF authorized funding for the subject position cannot be approved.

Changes in the level for existing CEA positions may not be made on a retroactive basis except: backdates of up to 60 working days may be approved if the department can clearly demonstrate that the incumbent was performing the higher-level duties on the date requested; for instance, an organizational change which elevated the CEA position to a higher reporting relationship within the department.

Backdates for CEA positions cannot be approved when the duties changed gradually over time and there was no point or event that could clearly be identified as impacting the level of the position.

Appointment Tenure

The Form 625 must indicate whether the position will be filled by a permanent, Limited Term (LT), temporary (TAU) appointment, or a Training and Development (T&D) Assignment.

LT appointments are the result of reinstatement, transfer, or certification from civil service employment lists to meet various LT staffing needs. Departments are delegated (in accordance to MCR criteria) the responsibility to make one-year LT appointments and may extend them to two years when the statutory requirements clearly have been met (the two-year maximum may be extended by departments as outlined in SPB pinkie dated June 15, 1995. LT appointments are described in GC Sections 19080 to 19083 and SPB rules 281 and 282).

TAU appointments are made in the absence of an employment list and cannot be in effect for more than nine months in any 12 consecutive months. DPA’s responsibility is to review the appropriateness of the position allocation. When proposing TAU appointments, departments must adhere to specific GCs and SPB rules and delegation procedures as instructed by SPB.

T&D Assignments are used to formalize temporary changes of assignment where the change is intended for training and developmental purposes. The temporary change of assignment may be within a department or to a different department. The purpose must be clearly articulated in the agreement; it should serve to broaden the employee’s skills and abilities, prepare him/her for career change, or improve advancement opportunity. Both the releasing manager and the hiring manager must agree to the T&D Assignment, as both are obligated to its provisions.

NOTE: If a temporary loan or assignment change results in an employee continuing to perform the duties and responsibilities of his or her assigned classification, it should not be recorded as or considered a T&D assignment. If a department records the change this way, it is obligated to provide the employee the right to terminate the assignment and a right of return to his or her former position/assignment.

The period of training, temporary loan, or personnel exchange cannot exceed two years for each assignment.

T&D Assignments typically are made laterally except where a desired occupational change to a higher-paying class simply cannot be accomplished without a T&D Assignment. In this case, however, the T&D class cannot be in the same class series as the employee’s present class and cannot be used to circumvent a promotional eligible list.

Normal MCR and delegation criteria apply to T&Ds. For example, if the T&D class is designated MCR 0 or MCR 2 (initial allocation or with a change in duties), DPA staff must approve the allocation.

Other 625 Actions

Special Consultant Appointment

This is a nontesting class used for TAU appointments. Use Special Consultants only to meet short-term needs for highly specialized services where the regular civil service structure cannot accommodate the needs. Special Consultants require additional documentation; see Section 340.

New Programs Consultant

This class is used for initial TAU appointments to long-term positions pending the establishment of a permanent classification. See Section 125 for additional information on New Programs Consultants.

Retired Annuitant Appointment

This is an appointment of a retired person using his/her reinstatement eligibility. Base the proposed position classification on the nature of the assigned duties and responsibilities; it will determine the need for submitting the Form 625 to DPA. Authority and requirements for retired annuitant appointments are set forth in the Government Code. Employment of a retired annuitant as a CEA is permitted only when filling established existing CEA position allocations.

Changes in Employee Benefits due to Reclassification Actions

Notify DPA’s Benefits Division in writing of all reclassification actions where an employee’s benefits will be affected. For instance, reallocation of an employee from a management designated class to a supervisory class. See Section 155 for additional information.

Business Service Officer Series/Related Classes – Special Requirements

Departments must complete the “Business Service Position Allocation Worksheet” for all new allocations and changes in duties and responsibilities for existing allocations in the series and related classes. Allocation guidelines and instructions to complete the forms are provided in Personnel Management Liaison Memorandum Reference #89-06, April 17, 1989 (see attachment 2).