6524 CERTIFICATION OF CONFORMANCE AND AVAILABILITY OF FUNDS (DPA FORM 137)
(Revised 2/98)
Before DPA will consider any classification, pay, or settlement action for which funding is not provided in Budget Act salary increase items, it requires a Certification of Conformance and Availability of Funds form, DPA 137, from each agency affected by the proposed transactions. When a change is under consideration which involves more than one department, the staff of DPA will inform each department that they will need to prepare a DPA 137. Examples of the types of actions for which a DPA 137 is required are:
- Establishment of a new class.
- Revision of a class resulting in a salary increase for one or more individuals.
- Pay differential (such as night-shift, recruitment, education, etc.).
- Hiring above minimum.
- Temporary authorization to pay cash compensation for overtime. Certification of funding need only be made for the period of authorization.
- Changes to alternate range criteria.
- Allocation of classes to work week groups which authorize cash payment for overtime.
- Unfair labor practice settlements.
- Grievance/arbitration settlements.
- Legal settlements.
The procedures set forth in this section are to be used by each agency to certify conformance and availability of funds for all actions to be considered by DPA with proposed effective dates on or after July 1, 1996.
The DPA 137 is used by each department affected by a proposed DPA action to indicate when proposals fall within the limits of approved programs or funding criteria. Action on proposals to be considered by DPA can be taken without referral to the budget staff of DOF when they meet all of the following criteria:
- 1. Consistent with approved programs and organization, with legislative intent, and with the Administration policy; does not provide for new or expanded or exploratory programs in this or any subsequent fiscal year. See certification number 1 on DPA 137.
- Does not require supplemental funding in the current fiscal year. This is the fiscal year in which DPA action is effective. See certification number 2 on DPA 137.
- Cumulative cost estimate for the budget year attributable to salary actions of the DPA which require use of the DPA Form 137 does not exceed one percent of the salaries and wages amount available in the current fiscal year or $100,000, whichever is less. See certification number 3 on DPA 137.
When an agency is unable to meet the criteria for the current or budget year certification, it should request advance approval directly from DOF by cover memo with DPA 137 attached. The cover memo should show the budget year salary cost estimate in detail and explain the methodology used in preparing the estimate. Attach a list of any previous classification or salary actions of DPA that would add salary costs in the budget year together with the amounts of the added costs and three copies of DPA 137 with certifications 1 and 2 completed, if possible. Two copies of DPA 137 will be returned to the originating agency to provide a copy for their record and an action copy for DPA. The third copy will be retained by DOF.
The DOF will review the request and determine what, if anything, should be done about a funding problem in the current year and determine whether the increased costs will require supplemental funding in the budget year. If the DOF determines that supplemental funding is required in the budget year, it will notify the Legislature. No sooner than 30 days after notification of the Legislature, DOF may approve DPA 137 by signature of the appropriate Program Budget Manager in the space provided on the form and return it to the originating agency. After receiving approval of the DOF, the agency can mark paragraph 4 on the form and forward a signed copy to DPA for attachment to the proposed action.
