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Exceptional Allocation Guide

Exceptional Allocation Guide

To determine if an exceptional allocation to a classification is appropriate, a comprehensive analysis must be performed to assess many factors as discussed in detail below. Further, the inherent complex nature of an exceptional allocation requires that each analysis be customized as the factors vary depending on the type of work to be performed; the existing classifications available; and the minimum qualifications, skills, and abilities required to perform the job.

 

As a basis, all analyses must clearly articulate that there are no established classifications available that perfectly fit the need, and must identify the classifications that are closely related based on the primary functions of the classifications as described in the class specifications, allocation guides (HR Net access required) found on HR NET, and any other supporting documents.

 

The proposed duty statement must be reviewed, and class specifications that provide for similar functions as those in the duty statement must be thoroughly analyzed. The following factors must be assessed to begin to identify the most appropriate existing classification that most accurately reflects the work of the proposed position:

 

  • characteristics

  • typical tasks

  • minimum qualifications

  • knowledge and abilities

  • degree of difficulty, complexity, and level of independence

 

If the department determines that no existing classifications can adequately support the duties of the proposed position, a justification to substantiate an exceptional allocation must be prepared. The justification must clearly articulate the findings of the analysis and cite allocation information found in the class specifications, allocation guidelines, and duty statements.

 

The following questions must also be addressed in advance of deciding to exceptionally allocate a position, and the rationale of the decision must be documented in the justification.

 

  • Can the duties be allocated to a lower level? If no, why not?

  • What is the consequence if an exceptional allocation is not approved?

  • Can another position or supervisor perform the duties? Can the work be redistributed or reconfigured to avoid the need for the exceptional allocation?

 

The justification should also include some or all of the following:

 

  • Background information on the mission of the division, branch, and/or section;

  • Impact of this exceptional allocation on other positions; and

  • How the position will be filled (limited term, incumbent only, permanent, etc.).

 

Exceptional Allocation Guide Checklist

The following checklist will help delegated departments ensure that they are approving exceptional allocations in harmony with what CalHR would have approved prior to delegation.

 

  1. Identify program need and the purpose of the proposed position. Identify the actual body of work that needs to be done. Identify the following for the position:

  2.  

    • 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

     

     

  3. Develop a draft duty statement for the position.

  4.  

  5. Identify a handful of classifications that could be a potential “fit” for the work.

  6.  

  7. Become familiar with the distinctions between the selected handful of class specifications. Understand their distinguishing characteristics as defined by the following:

  8.  

    • typical tasks

    • minimum qualifications

    • knowledge and abilities

    • vartiety and scope of responsibility

    • complexity of work

    • decision-making authority and level of independence

    • consequence of error

    • sensitivity

     

     

  9. Compare the distinguishing characteristics of the proposed position to the potential classifications. Identify the best-fit classification. Make sure the duties meet the concept of the classification selected as the best fit. Look at the:

  10.  

    • Nature of the work itself

    • Work context

    • Intent of position

    • Requirements of the job

     

     

  11. Identify the differences between the proposed position and the actual classification. Determine:

  12.  

    • What is the intended use of the classification?

    • How does the proposed position deviate from the intended use of the classification?

    • What are the specific similarities?

    • What are the specific differences?

    • Is the exceptional allocation justified based on the allocation factors?

    • How is the variety and scope of responsibility of the position the same or different from the class specification?

    • How is the complexity of the work the same or higher than the class specification?

    • How is the decision-making authority of the position the same or higher than the class specification?

    • How is the consequence of error of the position the same or higher than the class specification?

    • How is the sensitivity of the position the same or higher than the class specification?

    • Is the work level of the best-fit classification appropriate for the dutes of the proposed position? Work levels include:

    • Working level

    • Journey level

    • Advanced journey

    • First-level supervisor

     

     

  13. Identify why the proposed exceptional allocation is the only viable solution to the program need:

  14.  

    • Why can the duties not be allocated to a lower level?

    • What is the consequence if the exceptional allocation is not approved?

    • Can the work be redistributed or reconfigured to avoid the need for the exceptional allocation?

     

     

  15. Prepare a justification memo that clearly communicates how the program need and uniqueness of the proposed position’s duties translate into an acceptable exceptional allocation in terms of the main allocation factors reviewed above.

  16.  

  17. Do not use the following to “justify” an exceptional allocation:

  18.  

    • Workload

    • Funding/budget

    • Comparisons to others

    • Unsubstantiated opinions

    • Lack of a list for other more appropriate classification

    • Retention

    • Incumbent performance/seniority

     

 

Consult with CalHR when questions arise about the appropriateness of a proposed exceptional allocation.

  Updated: 5/8/2014
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