Definition

An exceptional allocation occurs when the duties of a position fall outside the typical or intended use of the classification specification but are closely related to the classification scope and purpose, or may not meet allocation standards (e.g., insufficient subordinate staff for a supervisor). The request for an exceptional allocation is to be made conscientiously and to be used only when no viable alternatives are available.

Key Terms

Allocation

Allocation is defined authorization for a position that is utilized by a state department or agency and must meet the criteria outlined in Government Code Section 19818.6. This code also gives the California Department of Human Resources (CalHR) the authority to administer the Classification Plan and ensure that every position is appropriately allocated.

Classification Plan

The Classification Plan is defined as a system under which positions are grouped into classifications on the basis of their current duties and responsibilities. Each classification is distinguished by the classification (class) specification, which is a legal document approved by the State Personnel Board (SPB) and CalHR that describes the definition, responsibilities, typical tasks, and minimum qualification standards for that classification or class series.

Misallocation

A misallocation is defined as duties of a position that are inconsistent with the scope of duties and responsibilities listed in the SPB classification specification. Causes of misallocations may include program changes, increases or decreases in duties and responsibilities, restructures, allocation changes, or organizational changes. Misallocations can be discovered by the department, CalHR, or SPB and must be corrected and documented with a Corrective Action Plan (CAP). Please reference the Personnel Operations Manual – Misallocations for more information.

Authority

Government Code Section 19818.14 gives CalHR the authority to delegate responsibility for position allocation to departments. It also gives CalHR authority to audit position allocations and order corrective actions. Delegation is granted through an Exceptional Allocation Delegation Agreement between the department’s executive management and CalHR. This Exceptional Allocation Delegation Agreement defines the reporting requirements, responsibilities, obligations, and expectations of the department.

DGS has delegated authority from CalHR to approve exceptional allocations, except when requesting the use of a department-specific classification. DGS does not have delegated authority for the use of department-specific classifications belonging to other departments without prior approval from CalHR.

Government Code Section 18500 states classifications provide a uniform structure for the State’s compensation plan and examining process. Positions involving comparable duties and responsibilities are similarly classified and compensated. Appointments are based upon merit and fitness ascertained through practical and competitive examination.

Policy

It is the policy of the Department of General Services (DGS) to comply with the laws, rules, and regulations governing exceptional allocations as set forth by CalHR.

Process

The process begins when a program identifies a need for a position to perform duties that fall outside of the scope of an existing classification. To determine if an exceptional allocation is appropriate, a comprehensive analysis must be performed to assess and identify the most appropriate existing classification that most accurately reflects the work of the proposed position.

The key factors to be identified in the analysis are as follows:

• Characteristics
• Typical Tasks
• Minimum Qualifications
• Knowledge and Abilities
• Degree of Difficulty, Complexity, and Level of Independence

If it is determined that no existing classification 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, duty statements, and organizational charts.

Before deciding to exceptionally allocate a position, the following should be considered and addressed:

• Can the duties be allocated to a lower level? If not, 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 following cannot be used to justify an exceptional allocation:

• Workload
• Funding/budget Comparison to others
• Unsubstantiated opinions
• Lack of a list for other, more appropriate classification(s)
• Retention
• Incumbent performance/seniority

The Office of Human Resources (OHR) Classification and Pay (C&P) Unit is responsible for analyzing the Request for Personnel Action (RPA) package, including the justification described above, duty statements, organizational charts, and any other supporting documentation. If it is determined the position would need to be exceptionally allocated, the C&P Unit prepares the exceptional allocation request, the Classification and/or Certification Action Request STD. 625 (625) and obtains the appropriate approvals and signature from DGS’ Personnel Officer or client agency’s designated representative. Exceptionally allocated positions are evaluated and follow the Exceptional Allocation request process each time the positions become vacant.

OHR is responsible for compiling and maintaining a list of all its current exceptional allocations by position. Departments are responsible for notifying CalHR of changes to their exceptional allocations by submitting a Quarterly Exceptional Allocation Reporting Worksheet via email to their Personnel Management Division Analyst. DGS performs human resources services for other agencies, departments, and commissions; therefore, DGS must maintain a separate Quarterly Exceptional Allocation Reporting Worksheet for each appointing authority.

CalHR may request that departments provide select exceptional allocation packages to CalHR for random review at any time during the delegation period.

Examples of Exceptional Allocations 

Example 1

The use of the Staff Services Manager (SSM) I classification as a specialist, without direct reports, would be considered an SSM I Specialist and would require an exceptional allocation request. The typical use of the SSM I classification is in a supervisory role; however, there are cases where the classification is requested to be utilized as a specialist, without direct reports, for difficult and sensitive program development, policy, or coordination.

Example 2

A Conservancy Project Development Manager classification is a department-specific classification designed only for use by State Coastal Conservancy. Any other department wanting to use this classification would have to obtain written permission from the department that owns the classification and CalHR by following the Exceptional Allocation request process. DGS has delegated authority from CalHR to approve exceptional allocations, except when requesting the use of a department-specific classification. The use of a department-specific classification requires prior CalHR approval.

Procedure

The following chart outlines the procedure for requesting an exceptional allocation:

The following outlines the procedure for utilizing another department’s classification: