Position allocation guidance steps

Step 2: Determine relevant class specifications

If you are allocating a new position, the manager will likely have a recommended or suggested class or class series.  If you are allocating an existing position, typically you will start with the current and proposed (or requested) class.  You should also consider other classes in the series.  All classes in the Classified Job Listing are available to use.  You are not limited to the current and proposed class or series.

Class specifications

Contain the allocating criteria adopted by OFM State HR.

Define the primary purpose of the job, the duties, and level of responsibility.

Job class specifications are found at: Classified Job Listing.

How do I determine other classes to consider?

You can perform search functions in the Classified Job Listing page such as key words for the work performed by the position.

Example: at the top of the Classified Job Listing page, click on the option “Search in Job Specification.” If you enter “animal” several potential classes will appear including animal technicians and veterinary classes.

You can also select an “Occupational Category” to see similar kinds of work under specific groupings.  This may provide additional considerations for related classes.

Step 3: Understand allocating criteria

You need to understand the allocating criteria of the relevant class specifications.  The Director adopts the allocating criteria at a formal public meeting. The following standards, in order of importance, apply in allocating a position:

1. Class Series Concept – Not all series have one.  If one exists, it is typically found at the entry level of the class series.  This section describes the general duties and responsibilities of the series and how it differs from related series.
2. Definition of the class – All classes at a minimum have this.  It is the primary criterion for determining the appropriate class if there are no Distinguishing Characteristics.
3. Distinguishing Characteristics of the class – These are not required.  This section describes the job duties and responsibilities that separate the class from the previous or next higher level in the series.
4. Allocating factors, instruments or processes for determining allocation provided in supplementary documents developed by the State Human Resource (SHR) (such as specification development guidelines or Glossary of Terms).
5. Explanations on meeting agendas and minutes indicating intent of the Director or Personnel Resources Board (PRB).
6. PRB case precedent (see Personnel Resources Board Appeals).

Other components of a class specification

Typical Work, Knowledge and Abilities, Legal Requirements, and Desirable Qualifications are not allocating criteria and are not adopted by the Director.

Typical work

• Provide examples of work.
• Do not form the basis for an allocation but lend support to the level and scope of work performed.
• Give support to the Definition and Distinguishing Characteristics.
• Employees may think they should be allocated to a class based on a few matching typical work statements.  Explaining the allocating criteria to employees as you conduct a position review will help them understand the allocation process.

Additional tips and considerations

Consult with:

• Your assigned classification analyst at the Office of Financial Management (see Class & Comp Agency Assignments)
• Your supervisor for additional guidance or technical expertise
• Internal HR staff
• Subject matter expert or specialist for general information on the field, profession, or trade
• Other agencies to see which classifications they use for similar work. (Note: This may help you get an idea of how other agencies use a class, particularly if your agency never used that class; however, do not base your allocation decision on this information alone.  See Determine Appropriate Allocation)

Step 4: Understand duties in position description

Review the position description

You will need to thoroughly review the position description (PD) to understand the work performed.

• If the position recently changed, review the current and previous PDs to determine differences.
• Changes may indicate reorganization or program changes affecting responsibilities of the position.
• If new duties were taken from another position, review both positions.

Consider the following to better understand the nature of the employee’s work

• Duties
  • See “Assigned Work Activities” section in PD.
  • Position allocation is based on the majority of work (51%).
  • Focus on major versus minor duties.
    • Major duties are the primary reason the position exists and typically occupy most of the employee’s time.
    • Minor duties occupy a small portion of the time, are not the primary purpose for which the position was established and may include one-time only or temporary duties.
• Level of responsibility
  • What is the extent of independent options, authority, and decision making?
  • Does the employee follow policy, procedures, and/or guidelines?
  • Does the employee make recommendations and influence or alter outcomes?
  • Does the employee make decisions that set precedents?
• Level of supervision or direction given
  • See “Lead Work/Supervisory Responsibilities” section in PD.
  • See Glossary of Classification Terms
  • Review organization charts; clarify differences if PD conflicts.
• Level of supervision received
  • See “Working Relationships” section in PD.
  • See Glossary of Classification Terms.
  • Indication of level of responsibility.
  • Includes extent of latitude the employee has in determining work methods and priorities.
• Interpersonal work relationships
  • What positions does the employee have contact with? Over what issues? What is the purpose or outcome of the contact?
  • Does the employee represent the organization with outside entities?

Additional tips and considerations

• Review other PDs in the employee’s work unit, including the supervisor’s, to help determine how the position fits, level of responsibility, and to ensure consistency between positions.
• If you are conducting a position review based on an employee’s request, similar considerations/questions may be used for the Position Review Request form.  This is an employee form and contains similar components as the PD.  In addition, the Position Review Request – Supervisor Portion clarifies the information submitted by the employee.

Step 5: Conduct desk audit

From your review of the Position Description (PD), you likely identified areas that are unclear.  To allocate the position properly, the most effective way to get additional information is through a desk audit.

What is a desk audit?

It’s an interview with the incumbent to obtain information about his/her duties and responsibilities.  You should conduct a separate interview with the employee and the supervisor.

Benefits of a desk audit:

• Verify and clarify information in the PD and other documentation.
• Get examples of work performed.
• Provide a personal way to connect with employees and demonstrate understanding of the employee’s work.

Prepare for the audit

The extent of your questions will differ based on how well the PD is written and the classifications involved.  The following questions and considerations will help you prepare for the audit:

• Is the PD signed by the supervisor, the appointing authority, and the employee?  Is there agreement with the duties cited?
• What are the relevant classes and key differences?  Consider questions which focus on distinctions between classes in relationship to the employee’s duties.
• Does the PD cut-and-paste from the class specification?
• What duties are questionable and why?  You likely will need to clarify specific tasks the employee performs and how the work is performed.
• Does the PD “double count” duties?  There may be numerous and unrelated duties listed under a large percentage of time.  Get clarification for a better understanding of the key responsibilities and time spent.
• Are there confusing jargon, terminology, or acronyms in the PD?
• In addition to the above, see below sample questions.

Conduct the audit

Conduct the audit in a manner that will help you obtain the best information to make your allocation decision. Additional pointers:

• If the employee requests someone to be present (a supervisor, union representative, another employee, etc.) you may allow this.  However, you are auditing the employee; others may observe, but the employee is the one who knows his/her duties.
• Ask for examples; verbal explanations and physical examples may be helpful.
• Ask simple, clear questions.  In most cases you will want to ask more than a “yes/no” question.
• Keep an open mind.
• Probe important points until you have a clear understanding of the job.
• Take good notes as a few days may lapse before you write your decision.
• At the end of the audit, allow the employee to add information or ask questions.
• Let the employee know you will be in contact if you have other questions or need to clarify any of the discussion.

Things to avoid

• Avoid making statements such as, “Is that all you do?”  While you may feel you are clarifying, the employee may view this as a judgment of his/her importance.
• Don’t cast doubt on what the employee has said.
• Don’t apologize for needing clarification.
• Don’t do most of the talking.
• Don’t let the employee take the audit off track with unrelated information.

Additional tips and considerations

• Refer to any internal policies and/or procedures for guidance.
• For represented employees, the Classification article in the applicable CBA should be consulted.
• Do not make any statements regarding the allocation during the audit. If asked, state you won’t be making a determination until you have had a chance to review all the information.

Sample desk audit questions

Desk audits will vary from one position to the next.  The following sample questions may be useful as you prepare for the desk audit:

• Please give a brief overview of the …(name of employee’s department).
• What are the key functions of your unit?
• How long have you been in this position?
• How long have you been performing these duties?
• Have the duties changed since you’ve been in this position?  If yes, please describe how and approximately when this occurred.
• What is the main purpose/goal of your job?
• Your PD states you … (state what it is that needs clarification such as “direct,” “control,” “are responsible for,” “process,” “maintain,” etc.).  Please explain more about this and what your level of responsibility is.  Do you need to check with someone else for approval or direction?  Do you follow policies, procedures, or guidelines in doing this?  (Please describe)
• Your PD states you are the expert for….  Please explain what this means and what your role is.  What kinds of problems do you independently resolve?
• What are some of the most complex problems or situations you deal with?  How often does this occur?  Do you work with others to resolve the problem?
• Who (what position) do you go to if you have a situation you can’t resolve?  Please give an example from the last six months.
• Give examples of decisions you make without your supervisor’s approval.
• Your PD states you represent your supervisor at meetings or in her absence.  Please give examples and describe the extent of your authority.  How often does this occur?
• Please describe the nature, frequency, and detail of supervision you receive.
• Your PD shows you supervise one position, but the organization chart doesn’t show a position reporting to you.  Please clarify.
• Please explain your level of responsibility for:
  • Selecting staff
  • Training and development
  • Planning and assigning work
  • Evaluating performance
  • Resolving grievances
  • Taking corrective action
• What specific duties and/or functions do you feel are not within your current job class?  Please explain why you feel these are out of scope of the … class.
• Is there anything you would like to add that we haven’t discussed?

Step 6: Determine appropriate allocation

To make an appropriate allocation:

• Compare the duties of the position with the relevant class specifications.
• Use the allocating criteria of the classes.
• Allocate based on the majority (51%) of work assigned to a position and performed by the incumbent.

Sometimes you may need to allocate when the duties are not a perfect fit to any of the classes in the class plan. You will need to decide which class specification best describes the majority of duties and level of responsibility assigned to the position.

Do not consider:

• Volume of work
• Desired salary
• Comparisons of other employees’ positions (except in terms of determining level of authority of incumbent’s position, supervisory/lead responsibility, etc.)
• Expertise and training (unless a legal requirement)
• Performance or ability to perform higher-level or different work
• Seniority

Once you determine the appropriate class you are ready to write your decision.

Additional tips and considerations

• WAC 357-13-050
• Refer to any internal policies and/or procedures for guidance.
• Avoid allocating to a generic (broad) class when the position’s duties and responsibilities are clearly described by a more specific classification.

Step 7: Write your decision

In many cases, the Human Resource (HR) Consultant writes the position review decision for the HR Manager’s approval and signature.

A quality position review write-up:

• Helps the employee know your decision was based on a thorough analysis.
• Uses simple, clear, and concise language so the employee understands the decision.
• Provides documentation if a request for a director’s review is filed.
  • Form: Request for Director’s Review

If a request is granted

If a request to reallocate a position is granted, the review letter will likely be shorter than if the request is denied.  The employee’s letter will include:

• New job class
• Effective date of action
• Incumbent status
• Right to request a director’s review

If a request is denied

If a request to reallocate a position is denied, or you determine a different class than what was requested, key points for the decision letter include:

• Determination decision — a brief statement of your allocation decision.  Include steps taken in the review process and a list of related classes that were examined.
• Effect on employee — statement of any class, salary, and Periodic Increment Date changes (if applicable) and the effective dates.
• Purpose of a position review — to determine the class which best describes the overall duties and responsibilities of a position.
• Employee’s duties — with percentages of time taken from the current position description and Position Review Request form.
• Analysis/rationale:
  • Comparison of duties and analysis of class specifications considered that don’t match the position.
  • Comparison of duties and analysis of class specification that best matches the position.
    • State in detail why you believe the classification is the correct allocation; stick to the facts you have on record and write the decision in a neutral tone; back statements up with specific references to the class specification.
    • Use links if necessary to the Glossary of Classification Terms.
    • State the decision is not intended to be an evaluation of the incumbent’s capabilities, an assessment of performance, etc.
• Right to request director’s review — include the right to request a review and timelines.

Additional tips and considerations

• See the following:
  • WAC 357-13-060
  • WAC 357-13-065
  • WAC 357-13-070
  • WAC 357-13-075
  • WAC 357-13-080
  • WAC 357-13-085
  • WAC 357-13-090
• For represented employees the classification article in the applicable CBA should be consulted.
• Sample position review decisions:
  • Reallocation Upward
  • Reallocation to Different Class than Requested
  • Reallocation Denied
• Ensure the manager/supervisor understands the impact of a reallocation.
• For rule questions, contact SHR rules staff at Rules@ofm.wa.gov.