180. Allocation Guides (Development of)

Introduction

Definition

Allocation Guides are work requirements/characteristics which can be compared in order to measure the similarities/differences in evaluating the level of jobs.

Purpose

To supplement and clarify the class specification, as needed.
To differentiate between the various working levels in a class series.
To assure the consistency of how a particular class or classes are allocated and used in various State departments.

Allocation Factors

Depending on the nature of the classification or class series, a combination of different allocation factors can be used to develop a set of allocation guidelines. Through the use of allocation factors, a position can be broken down into its component parts to be examined in order to determine the appropriate level/classification.

Allocation factors can give precision to general and ambiguous terms in the specification, such as: “assist,” “prepare,” “supervise,” “review,” “complex,” etc. General terms such as these serve a useful purpose in the categorizing of jobs but, when taken alone, they are not, as a rule, reliable guides for classifying a position.

Determinations of the degree of difficulty or complexity of the duties and the weight of the responsibilities of a position are conclusions drawn from facts showing the nature of the duties performed, the methods of work involved, the authority exercised, and a variety of other circumstances under which the work is performed.

Below is a discussion of fundamental classification factors which may cover a variety of positions encountered in State service. Analysts must use careful judgment when determining which factors should be applied in developing a set of allocation guidelines. The following allocation factors are not meant to be all inclusive; staff should feel free to develop other factors which may be job-specific (e.g., “number of funds and appropriations” as an allocation factor for accounting classes).

Variety and Scope of Responsibility

The number of tasks which make up a position. Variety and scope become relatively unimportant factors where each task or problem is itself of a limited degree of difficulty (e.g., some clerical positions, janitors, etc.). As the level of difficulty of the tasks making up the combination increases, variety may become more significant.

Supervision and Guidelines Received

A measurement of the extent to which tasks performed, actions taken, and decisions made are controlled or limited by supervision or by established law, policy, procedures, guidelines, or technical practices. Refer to Section 170 for the meaning of terms like “Under supervision,” “Under general supervision,” “Under direction,” etc.

Supervision Exercised

A measurement of the nature and extent of the position’s authority and responsibility for supervision of the other employees’ work. This is reflected by the scope and variety of activities covered, the amount of planning, organizing, directing, assigning work, instructing, training, and disciplining of employees required. The number of employees supervised may be used as a guide to differentiate between different supervisory levels. Refer to Section 170 for different terms to describe this factor, such as: “to have technical supervision,” “to supervise,” “to direct,” “to plan, organize, and direct,” etc.

Complexity of Work

This is often a critical allocation factor, especially when attempting to distinguish between full-journey and super-journey levels (i.e., Associate and Staff Specialist). Some elements to consider when determining the complexity of work are:

status of work or state of development of problem when first presented to employee;
selection of assignments for employee;
analytical and problem solving requirements;
the extent to which plans or actions must be initiated, developed, or decided upon by the employee;
variety and scope of work (e.g., audits of individuals vs. audits of large corporations).

It should be noted that it is very useful to indicate typical tasks associated with the various levels of complexity ascribed to different classes within a series.

Knowledge and Abilities Required

A measurement of the knowledge, skills, and abilities which the individual must bring to the job. The subject matter of the work and the nature of the problems to be solved will indicate the educational background and the degree of mentality, skill, and analytical ability needed.

Responsibility for Decisions and Actions

A measurement of the nature and extent of the position’s authority and responsibility for recommendations, decisions, commitments, or actions. Subject matter, nature of review, and result of error are considered in evaluating positions in this factor.

Personal Contacts/Relationships

This measures types of contact required (employee’s own supervisor vs. department director or outside public officials); scope of the subject matter dealt with in the contacts (explaining straightforward procedures vs. negotiating procedures and policies); and the tact, poise, persuasiveness, skill required in the contact.

Working Conditions/Environment

This refers to the physical characteristics/surroundings of the job that make specific demands upon a worker’s capacity. These may include work location (inside, outside, or both); machines, tools, equipment required to operate; special physical demands (climbing, lifting, etc.); noise and/or vibration; special hazards or dangers; and other atmospheric conditions.

Consequence of Error

This evaluates the significance of an error, omission, or wrong decision in the carrying out of job duties. The following should be considered:

impact of the error (e.g., time, inconvenience, inefficiency, money, equipment, health, or life and death);
scope of the error (e.g., is the error strictly internal or does it affect other units, the public, or both?);
probability for error to occur (e.g., is there frequent and/or detailed review of work?);
degree of difficulty in correcting or reversing the error.

Area of Responsibility

This refers to the geographic or program area over which the position has responsibility. For example, does the position have statewide or regional responsibility for a given program; or is the position in a headquarters setting with departmentwide responsibility vs. in an institutional setting?

Administrative Responsibility

This measures the extent to which the position is involved in administrative tasks such as developing and monitoring program goals and objectives; developing and monitoring program budget; and performing personnel, contracts, and business services related activities.

Format and Procedures for Allocation Standards

Format

Existing allocation standards indicate that a variety of formats are acceptable and effective.

The different types of formats include:

Straightforward narrative (e.g., Machine Operator standards).
Matrix (e.g., Labor Relations series), the most common and easiest to read and apply.
Complex (Data Processing classes), the standards of which require the department to complete forms for additional information.

Procedures

Time Frames

Development of effective allocation standards can be a lengthy process. For servicewide classes, developing allocation standards can take anywhere from five months to a year.

Historical Research

Prior to starting a project, research available historical information such as Board Items establishing/revising the classes; prior studies; previous 625s, etc. It may be helpful to review existing allocation standards for other similar classes or class series when selecting the format and factors to be used.

Use of Subject Matter Experts

Use pertinent personnel and program staff for their expertise and input. Consider establishing task forces and/or developing questionnaires in order to gather valuable information from these sources.

Job Description Forms

Sometimes it is necessary to have a sample of incumbents fill out job description forms in order to gain more detailed information with respect to the allocation factors.

Meet with State Human Resources Groups

If the project involves a servicewide class, the CCD analyst will typically meet with the State Human Resources groups (AdHoc, Classification Supervisors Forum, and SPIN), to facilitate the cooperation needed for project or study success.

Inclusion of Allocation Guidelines Statement in Class Specifications

The following statement is to be included as a footnote on all new and revised class specifications for which current allocation guidelines exist in a separate document. The footnote indicator (*) should appear on the “Definition” heading for single classification specification and the “Definition of Levels” heading for series specification.

Additional information regarding functions performed, complexity factors, and scope of responsibility is contained in a separate document titled "Allocation Guidelines."