Exemption of Positions from the State of Colorado Personnel System
INTRODUCTION
Pursuant to Colorado law, the President of the University of Colorado (University) has authority to determine which positions at the University are exempt from the state personnel system. Through the Administrative Policy Statement on Exemptions from the State Personnel System, the President provides guidance for determining which positions shall be exempted, and designates campus Chancellors to determine such exemptions for their respective campuses. Positions that meet the criteria for exemption from the state personnel system (professional exempt) shall be deemed as such by the Boulder campus Chancellor.
The following Policy is implemented for the University of Colorado, Boulder campus effective September 26, 2005. The Office of Human Resources, Employment Services shall interpret this Policy.
POLICY STATEMENT
In order to designate a position as professional exempt, the position must meet the exemption criteria listed below. Review of positions will be based on actual duties and responsibilities and handled on a position-by-position basis, rather than by job title or series.
- New positions will be reviewed at the request of the appointing authority. If a newly created position meets the criteria for exemption from the state personnel system, the position will be designated as professional exempt.
- Vacant classified staff positions will be reviewed at the request of the appointing authority. If a vacant classified staff position meets the criteria for exemption from the state personnel system, the position will be designated as professional exempt.
- Occupied classified staff positions will be reviewed at the request of the incumbent. The incumbent must agree to waive appeal rights and accept at-will employment by submitting a signed “Employee Agreement to Exempt Occupied Position from the State Personnel System” Form (See Appendix A) to Human Resources at the time of the request. The incumbent must also submit a current Position Description that has been certified as accurate by the appointing authority. If an occupied classified staff position meets the criteria for exemption from the state personnel system, the position will be designated as professional exempt.
Grant-funded research faculty positions will be evaluated for exemption at the request of the Vice Chancellor for Research/Dean of the Graduate School. Review of grant-funded occupied classified staff positions shall follow the protocol outlined above for occupied classified staff positions.
Criteria for Exemption from the State Personnel System: The following positions, with appropriately commensurate duties and responsibilities, shall be exempt from the state personnel system:
- Officers;
- Executive assistants to officers;
- Individuals in grant-funded positions where funding is limited by a known expiration date of the research project or grant, for the duration of their initial appointment;
- Employees in professional positions*, including:
- Deans, directors, chairpersons, and professionals in academic and academic support positions;
- Heads of administrative or academic departments or divisions and their principal professional subordinates; and
- Professional employees of the Board of Regents.
- Heads of functions supported primarily by student fees and charges, including heads of residence halls, and their professional staff;
- Heads and professional staff of departments of intercollegiate athletics; and
- Heads of and professional staff involved in research and grant projects.
Procedures
There are several types of professional exempt position requests. Guidelines on information required to process a request are as follows:Creating a New Professional Exempt Position: Upon approval by the appointing authority, the department submits a request to their respective Chancellor/Vice Chancellor liaison (liaison). The request must include a current job description that defines the duties performed, percentage of time for each and the minimum qualifications. The duties should incorporate the level of discretion exercised by the position and whether the position supervises others and has the authority to hire and terminate staff. Additionally, anticipated salary range and a current organizational chart must also be provided.
Re-exemption of an Existing Professional Exempt Position due to:
Change in Job Duties: The department submits a request form to their respective liaison. The request must include a current job description and previous job description that defines the duties performed, percentage of time for each and minimum qualifications. The duties should incorporate the level of discretion exercised by the position and whether the position supervises others and has the authority to hire and terminate staff. Additionally, anticipated salary range and a current organizational chart must also be provided.
Job Title Change Only: The department submits a request form to their respective liaison. The request must include a copy of the original exemption letter that approved the position as exempt (this could be from the Department of Personnel and Administration or UCB Employment Services depending on when the request was originally approved.)
Reporting Relationship Change: The department submits a request form to their respective liaison. The request must include a copy of the current organizational chart as well as a copy of the organizational chart submitted with the original request.
Re-consideration of Previously Denied Exemption Request: If the department wishes to have a request re-considered due to denial of the initial request, they must submit additional information to their respective liaison that clearly substantiates that the criteria for exemption are met.
Upon receipt of the completed request, the liaison submits the information to Employment Services for review. Employment Services reviews the request to ensure the position meets the criteria for exemption and determines whether the position is eligible for overtime (FLSA status). If one or more of the criteria is met, Employment Services approves the request and notifies the liaison. Alternatively, if none of the criteria is met and the request is denied, the liaison is notified. The liaison communicates the results to the requesting department.
Glossary*
The terms “Employees in Professional Positions,” “Professionals,” “Professional Subordinates,” “Professional Employees,” and “Professional Staff” all refer to University employees who occupy positions that are, or meet the criteria for being exempted from the state personnel system primarily because of their status as “professional positions.”
A “Professional Position” means a position that meets allthe following requirements (in addition to other duties and responsibilities of the position):
- Requires knowledge in a field of learning customarily and characteristically acquired through education or training that meets the requirements of a bachelor’s or higher degree, or equivalent specialized experience;
- Requires the creative and conceptual application of theories, methods, principles, and practices of the recognized professional field, as well as management program objectives, law and regulations, general systems and guidelines to generate original, creative and/or novel work-product or solutions as circumstances warrant.
- Performs duties and responsibilities that are predominantly intellectual and varied in nature, requiring creative, analytical, evaluative, interpretive, or critical thinking in the context of the identifiable professional field (or field of learning)
- Requires exercise of discretion and independent judgment, requiring only general supervision in performing normal day-to-day work (the full ranges of professional tasks).
REPORTING
Pursuant to state law, Employment Services shall prepare an annual report listing all positions that have been exempted in accordance with this policy on behalf of the University of Colorado, Boulder campus. This report shall be submitted to the State Personnel Director not later than December 31 of each year.
Appendix A:
Employee Agreement to Exempt Occupied Position for the State Personnal SystemDate: September 26, 2005
Approved by: Interim Chancellor Philip DiStefano
Authors: Paul Tabolt, Vice Chancellor for Administration and Zan
Johns, Director of Human Resources