State of California Library/1998015.pdf · 2012. 6. 5. · 0 State Personnel Board Page 3 INTENT OF...

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State of California

. M E M O R A N D U M

DATE : April 15, 1998TO :

PERSONNEL MANAGEMENT LIAISONS REFERENCE CODE : 98-015

THIS MEMORANDUM SHOULD BE DISTRIBUTED TO:

Personnel Officers

FROM :

Department bf Personnel AdministrationClassification and Compensation Division

SUBJECT : Managerial Consolidation Project

CONTACT : Margie Imai, Personnel Management Analyst(916) 324-9405, CALNET 454-9405FAX : (916) 327-1886OFFICE VISION : DPA(MXIMAI)INTERNET : MXIMAI@DPA .CA .GOV

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Attached for your review and comment is the second draft of theManagerial Broadband Demonstration Project . Several changes tothe structure and features of the Managerial Broadband classeshave been made by the Managerial Consolidation Project (MCP)Team in response to input and comments received on the originalproposal.

The recommended changes include:

• An increase in the number of broadband classes from fiveto nine.

• Two levels of pay for the Managerial Broadband (General)class.

• A requirement for departments to establish salary rangesfor each position within the broadband.

• A more flexible "exceptional recognition pay ."• Departmental identification of functional area for

downsizing and reemployment.

Also attached to this memorandum is a Managerial BroadbandAllocation and Salary Setting Guidelines package, a listing ofthe most frequently asked questions and answers regarding theproposal, and a proposed managerial broadband skill sets andassessment form.

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PML 98-015April 15, 1998

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We wish to thank everyone who provided input on the original proposaland ask that you review the revised package and let us know if yourdepartment wishes to participate in the Managerial BroadbandDemonstration Project and explore new alternatives with us.

Members of the MCP Team will be available to meet and discuss thespecifics of this proposal . A final proposal will be developed andwill be scheduled for a hearing at the August 4-5, 1998 StatePersonnel Board meeting . If your department decides to participateor you have any questions or comments regarding the attachedproposal, please contact Margie Imai at (916) 324-9405, CALNET454-9405, or by writing to her at 1515 "S" Street, North Building,Suite 400, Sacramento, CA 95814, no later than June 15, 1998.

/J"414-Sadako FujiwaraProgram Manager

Attachment(s)

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TO:

STATE PERSONNEL BOARD

FROM :

Managerial Consolidation Project Team

REVIEWED BY:

Sadako Fujiwara, Team SponsorClassification and Compensation Division

SUBJECT :

The Department of Personnel Administration (DPA), with the support ofthe State agencies listed on Attachment A, proposes : (1) adoption of ademonstration project to consolidate managerial classes into broadbandclassification structures; (2) establishment of nine broadband classes;(3) establishment of a 24-month probationary period for each of thebroadband classes ; (4) appointment to the broadband classes by meritprocesses open to all persons meeting specific minimum qualificationscited in the class specification and cited by individual departments in theposition description established for the individual position or group ofpositions ; (5) reallocation of current incumbents into specific broadbandclasses; (6) waiver of relevant government codes which will be set inabeyance in order to implement the demonstration project ; and(7) adoption of regulations which will allow the implementation of thedemonstration project.

SUMMARY OF PROPOSAL

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The DPA and the State Personnel Board (Board), in conjunction with 26 State departments,proposes the establishment of a demonstration project as allowed by Government CodeSections 19600 through 19607. The intent of the demonstration project is to : (1) consolidateexisting managerial-designated classes into nine broadband classes entitled ManagerialBroadband (Corrections), Managerial Broadband (Education), Managerial Broadband(Engineering and Architecture), Managerial Broadband (Fire Protection), ManagerialBroadband (General), Managerial Broadband (Law Enforcement), Managerial Broadband(Legal), Managerial Broadband (Medical), and Managerial Broadband (Scientific) ; and(2) explore alternatives to traditional methods of examining, selecting, compensating, anddownsizing of employees in managerial classes . Specific criteria relative to establishment ofa demonstration project are discussed in detail below.

CONSULTED WITH

A consortium of departments participating as team members in the Managerial ConsolidationProject as shown on Attachment A.

Copies of the demonstration project proposal have been shared with Personnel Officersthroughout State service, have been placed on the OPA Web Page, and copies have beendistributed to all current managerial incumbents in departments participating in the ManagerialBroadband Demonstration Project whose classes are cited on Attachment B.

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Additionally, copies of the proposal have been sent to all excluded employee organizationsidentified on Attachment C .

State Personnel BoardPage 2

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AUTHORITY

Government Code Sections 19600 through 19607 grant the Board authority to determinewhether a specified change in personnel management policy or procedure will result inimproved State personnel management . This proposal meets the conceptual intent of thestatutes as it will result in a reduction of managerial classifications, expedite the selectionprocess for appointments to these classes, provide greater executive flexibility in makingjob/person matches, and setting salaries based upon managerial performance.

BACKGROUND

Multiple forces have come to the forefront during the past three years, which have focusedattention on reengineering governmental structures and processes . In the human resourcesarena, the Little Hoover Commission Report, the Govemor's Competitive Government Report,and the Constitutional Revision Commission recommendations have pointed to the need toreview, revise, and make more efficient, the procedures and processes which governpersonnel management within California State Government . To this end, the DPA developeda number of strategic goals and objectives to streamline the nonmerit aspects of personnelmanagement and provide an atmosphere in which line managers across State Governmentare encouraged to develop the ability to make personnel management-related decisionswithout prior review and approval of service agency or departmental personnel staff . Amongthe strategic goals established by DPA and the Board, are ones which attempt to reduce theoverall number of classes within civil service in order to simplify the classification structurewithin State Government, and afford other efficiencies.

In addition, DPA conducted focus groups with departmental executive management to solicitopinions and views regarding the current personnel management system. The groupsresponded that: (1) the current examination and selection processes need to be streamlinedand provide more flexibility ; (2) a more flexible salary program is needed ; and (3) the currentdownsizing process is too rigid. With these concerns in mind, the Managerial ConsolidationProject Team worked to streamline and simplify the current classification structure andprovided greater flexibility to meet the challenges departments are faced with.

Twenty-six State departments have worked together over the past year and a half in thepreparation of this proposal. Teams representing the various participating departments haveconducted topical literature reviews, surveyed other State Governments for classification andbroadband information, conducted focus group discussions with executive managers, reviewedminimum qualifications of all existing managerial classes, assessed various salary structurespertinent to broadband structures, reviewed and assessed information from a validatedFederal study of managerial tasks and competencies, and developed the specific structuralcomponents discussed in this presentation .

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INTENT OF PROPOSAL

This proposal addresses the need to develop and implement methods for consolidatingmanagerial classes in California State Government and to provide for an alternative selection,compensation, and reduction in force process . The intent of this proposal is to develop aflexible classification and pay structure for managers, which will be more efficient and reducethe number of classifications within State service . At the present time there are326 managerial classes with 1,872 incumbents eligible for transition to Managerial Broadbandclasses. The proposed alternative selection process is to provide greater flexibility in makingbetter job/person matches and to expedite the hiring process. It is proposed that uponimplementation, the Managerial Broadband Demonstration Project will proceed for a period offive years, with periodic evaluations to be conducted on an annual basis, and reports ofperformance presented to the Board.

MAJOR PROVISIONS OF PROPOSAL

CLASSIFICATION CONSIDERATIONS:

Structure of the New Class Series

Participating departments agree that the proposed Managerial Broadband classes shouldinclude only those existing classes which clearly meet the intent of Government CodeSection 3513 (e) . Government Code Section 3513 (e) defines a managerial employee as "anyemployee having significant responsibilities for formulating or administering agency ordepartmental policies and programs, or administering an agency or department ." Civil serviceCEA classes, although designated as managerial, will not be placed in the broadbands . Theclass concepts are defined within the CEA category descriptions, which differ somewhat fromcivil service managerial classes . CEAs should have been addressed during the CEAconversion assessment conducted by the DPA and the Board during 1996 and 1997 . Exemptpositions are also excluded from the Managerial Broadbands.

In order to appropriately align the managerial concepts, subordinate supervisory and rank-and-file classification structure, minimum qualifications, salary structure, and community of interestamong existing managerial classes, it is proposed that nine Managerial Broadbands beestablished. These parenthetical broadband classes include:

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Managerial Broadband (Corrections)Managerial Broadband (Education)Managerial Broadband (Engineering and Architecture)Managerial Broadband (Fire Protection)Managerial Broadband (General)Managerial Broadband (Law Enforcement)Managerial Broadband (Legal)Managerial Broadband (Medical)Managerial Broadband (Scientific)

Bargaining Unit 06Bargaining Units 03, 21Bargaining Unit 09Bargaining Unit 08Bargaining Units 01, 12, 18, 19Bargaining Unit 07Bargaining Unit 02Bargaining Unit 16Bargaining Unit 10


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The establishment of broadband classes will simplify the classification plan by significantlyreducing the number of existing classes; provide for a more flexible recruitment and selectionprocess ; provide greater salary setting alternatives ; and create a broader candidate pool forvacant managerial positions.

Skill Sets or Competencies

Skill sets are the descriptions of skills that are required of employees for successfulperformance in the broadband . There are seven basic skills or competencies that areapplicable to all of the Managerial Broadband classes . They include : (1) CommunicationSkills ; (2) Leadership Skills ; (3) Program Planning and Organization; (4) Problem-SolvingSkills ; (5) Human Resources ; (6) Organizational Awareness ; and (7) Technical Competence.If the skill sets do not reflect all of the skills necessary to perform the work, additional skill setsmay be added . Departments are encouraged to develop a more detailed description of thespecific skills that are applicable to each work setting.

Minimum Qualifications

In order to accommodate the variety of existing minimum qualifications pattems, all proposedbroadbands allow using departments to cite position-specific education, experience, licensing,or certification requirements in the individual position description and job bulletin for eachposition . As the majority of existing managerial classes have well defined areas ofresponsibility, and department-specific promotional paths, departments may determine theamount and type of promotional experience deemed most appropriate for the specific positionconcept. As such, substitution patterns have been developed that departments may use totailor their department-specific promotional paths.

The minimum qualifications for the broadband classes are:

Five years of increasingly responsible administrative, technical, or analytical experiencein the occupational discipline described in the individual position description, two yearsof which must have been in a supervisory or managerial capacity . (A doctorate degreein a related field may be substituted for two years of the required experience and amaster's degree in a related field may be substituted for one year of the requiredexperience.) (Advanced journey or high-level technical specialist experience may besubstituted for the required supervisory or managerial experience on a year-for-yearbasis.) and

Equivalent to graduation from college. (Additional qualifying experience may besubstituted for the required education on a year-for-year basis .)

Departments will also be allowed to develop "Additional Desirable Qualifications" such aspossession of advanced degrees, certifications, or specific experience beyond that describedin the individual position's "Minimum Qualifications ."

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State Personnel Board•

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PAY CONSIDERATIONS:

Each Managerial Broadband class has a different minimum and maximum salary . Depending on thebroadband class the salaries range from 24% to 31% between the minimum and maximum salary ofthe classes . The one exception to this structure is the Managerial Broadband (General) which hastwo levels within the broadband class. The salary structures are derived from existing rates formanagerial classes . The salary structure for the broadbands are as indicated:

Managerial Broadband (Corrections) $5398-6711Managerial Broadband (Education) $4811-6274Managerial Broadband (Engineering and Architecture) $5408-6869Managerial Broadband (Fire Protection) $4799-6125Managerial Broadband (General) $4811 - 6109 Level 1

$6110 - 6715 Level 2Managerial Broadband (Law Enforcement) $4799-6281Managerial Broadband (Legal) $6379-8166Managerial Broadband (Medical) $7229-9175Managerial Broadband (Scientific) $5150-6553

Incumbents in the Managerial Broadband are assigned a flat rate and salary movement will be.

based on successful performance . This replaces the traditional Merit Salary Adjustment. Inaddition to the base rate of pay, there are two additional pay provisions which allowmanagement to pay an employee for enhanced assignments for a limited time period and arecognition pay for exceptional performance . The limited duration pay and the exceptionalrecognition pay are provided as a pay differential and do not confer status onto employees.

MERIT ISSUE CONSIDERATIONS:

Status Considerations/Probationary Period

A is proposed that all new appointees to Managerial Broadband classes serve a 24-monthprobationary period, with evaluations to be presented at six-month intervals . This is a one timeprobationary period in the broadband. If you are appointed to a higher level position in thebroadband under the same appointing power, you do not serve another probationary period.Positions allocated to the Managerial Broadband classes are responsible for evaluatingprograms and making changes, developing new programs, responsible for planning activities,and directing work and performance of others . These are long-term work assignments and inorder to ensure adequate time to fully evaluate the employee, a 24-month probationary periodis being proposed.

Upon successful completion of the probationary period, incumbents will be deemed to havegained "permanent status" in the broadband. All current managerial incumbents will bereallocated with the same status that they now enjoy . Current managerial incumbents who

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have completed the probationary period for their civil service class will not be required to servean additional period of probation . Probationary incumbents in existing managerial classes willbe required to complete the original period of probation before attaining status in thebroadband to which they are reallocated.


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Departments will continue to have the option of requiring an employee to serve a probationaryperiod when an employee is being appointed in the same class in which the employee hascompleted the probationary period but under a different appointing power.

Current incumbents in managerial classes will be reallocated into the appropriate broadbandclass with no increase in salary with the exception of a few incumbents that will receive a slightincrease in salary upon movement into the broadband in order to bring their current salaryrates to the minimum salary rate of the applicable broadband . Once the incumbent gainsstatus in the broadband class, the individual cannot have a salary reduction taken againsthim/her or be demoted either within or outside the broadband unless adverse action is takenagainst the employee using either Government Code Sections 19590 through 19593 or 19570at seq., whichever would apply to the individual.

Incumbents will be reallocated to the appropriate Managerial Broadband and no furtherappointments will be made within departments participating in this demonstration project toclasses listed on Attachment B until such time as the demonstration project is terminated or thedepartment opts out of the demonstration project.

Recruitment and Examination Plan

Examinations may be administered for specific single-function broadband positions . All

.examinations will be a competitive process based on job-related criteria, and no eligible listsneed be developed for single-function positions . Departments with multiple broadbandpositions performing the same function may develop a pool of qualified candidates for thesepositions. Departments may establish "continuous filing" procedures for pool candidates.Departments may develop their own unique examination plans that must be based on merit asascertained in a competitive examination that is based on job-related criteria . Transfer ofeligibility for "pool" candidates is not necessary because of the availability of continuous filingprivileges ; therefore no transfer of eligibility will be allowed for "pool" candidates . Exams maybe conducted on an "open" or "promotional" basis following evaluation of the needs of thedepartment and the competitive pool of candidates . If an open exam is given, the departmentwill conduct focused recruitment to solicit the best-qualified candidates and to ensure that thecandidate group is manageable . Current State employees meeting the minimum qualificationsstated on examination bulletins may compete in an examination administered on either anopen or promotional basis.

All appointments to broadband positions will be as a result of a competitive exam process(A01 transactions), but "transfers" (A02 transactions) will be allowed from one position in thebroadband to another at the same salary range or salary level and between broadbands ifcandidates meet all of the additional licensing or certification requirements for appointment tothe new band . Each position will have a salary range . The maximum rate of the salary rangeof a position is used to make salary comparisons for transferability. Active lists will remain inexistence until they expire for the purpose of allowing employees on those lists to transfer theireligibility to other departments.


Layoff/Reemployment

Consolidation of existing managerial classes into nine broadbands will streamline theclassification structure ; however, we recognize that there are distinct program areas, eachrequiring managers to possess unique skills and professional requirements in each broadband.In the event that there is a need for a department to downsize in a particular program, thelayoff/reemployment process must ensure that other program areas can continue with qualifiedmanagers. As such, departments may request functional or program-based (subdivisional)downsizing and total State service of broadband incumbents will determine the order of layoffor demotion in lieu of layoff within the functional subdivision . We have asked each departmentto identify and list their functional subdivision for layoff and reemployment purposes (seeAttachment D) . As organizations change, functional areas may be revised to reflect changesin skills and professional requirements necessary to meet program needs.

The functional area will also help identify the employee's personal history and will determinedemotional pattem(s) and reemployment eligibility . Additionally, the functional area will identifypositions to which an employee will have mandatory rights to.

Existing managerial incumbents transitioning into the broadband that are in existingmanagerial classification structures which encompass more that one managerial class

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[e.g., Staff Services Manager III and Staff Services Manager II (Managerial) and DataProcessing

Newly appointed

Manager IV and

broadband

Data

incumbents

Processing

with prior

Manager

State

III] will

service

be

will be

allowed to

demoted in

demote downthrough the corresponding salary level of the lower level civil service class based on lieu ofseniority.If

layoff to

sufficient

their

seniority

previous

exists to remain

nonbroadband

at the

class,

lower

unless there

broadband

are

level,

multiple

incumbents

managerial

may remainwithin the broadband . If sufficient seniority does not exist, incumbents will be demoted in lieuof layoff to their previous nonbroadband class .

positions inthe area of layoff, then the least senior employee will be demoted in lieu of layoff . Broadbandincumbents with no prior State service will be laid off, unless there are multiple managerialpositions in the area of layoff and the incumbents have sufficient seniority to remain in theband. Broadband incumbents with no prior State service will be allowed to exercise permissiverights to other civil service classes.

If incumbents are demoted in lieu of layoff to their previous nonbroadband class, but theirprevious class is no longer being used or the incumbents do not have sufficient seniority toretain a position in that class, then they will demote down through the levels based on thedemotional patterns as they do now.

Broadband incumbents who are laid off or demoted in lieu of layoff will receive onlydepartmental reemployment rights . The occupational disciplines are so varied that having ageneral reemployment list would create appointment problems for the hiring departmentbecause the individuals would not have the relevant experience necessary to perform the job.State Restriction of Appointment (SROA) eligibility will not be available to incumbents of theManagerial Broadbands for the same reason ; however, surplus status will be offered to allincumbents of Managerial Broadband classes faced with layoff or demotion in lieu of layoff.Surplus status provides employees the opportunity to seek job vacancies to which they would


be competitive . Departments participating in the Managerial Broadband will not be generatinggeneral reemployment or SROA lists ; therefore will not be required to clear these lists nor willthey be required to clear existing lists . Departments will be required to continue considerationof surplus employees.

Managerial incumbents impacted by downsizing will be subject to an evaluation ofperformance . Managerial incumbents subject to layoff or demotion in lieu of layoff will have24 months deducted from their total State service score if their performance is deemed notsatisfactory.

Appeal Rights

The Managerial Consolidation Project does not propose changes to individual or group appealrights. Incumbents in Managerial Broadband classes may appeal to the Board regarding merit-related issues under existing Government Code Sections . The burden of proof rests with theincumbent of the Managerial Broadband if Government Code Sections 19590 through 19593apply to the individual . This is the same as it is currently.

Protection of Merit Princi ples

The merit principle, which stipulates that civil servants shall be appointed and promoted on the

•basis of qualifications, was established in 1934. This proposal to establish ManagerialBroadbands adheres to this principle in that all incumbents must meet specified minimumqualifications, including the possession of any required license or certificate ; must participate ina bonafide, competitive examination that is based on job-related criteria and open to all thosequalified to apply prior to appointment; will be evaluated during a probationary period prior toattaining any rights granted by permanent status ; and may be rejected or disciplined for lack ofdemonstrated performance.

Government Code Sections

Government Code Sections that need to be waived to implement this demonstration projectand the reasons for the requested waivers:

Section 18523 – defines "class" as a group of positions sufficiently similar with respect toduties and responsibilities that the same title may reasonably and fairly be used to designateeach position allocated to the class and that substantially the same test for fitness may beused and that substantially the same minimum qualifications may be required and that thesame schedule of compensation may be applied with equity.

A waiver of this Section is requested to allow for the establishment of classes in the broadbandcategories because these do not meet the definition of "class" as specified.

Section 18900 – requires that lists shall be established as a result of competitive examinations.

A waiver of this Section will allow the department to conduct examinations without having to

•establish a list .


Section 18901 (b) and (c) — provides that earlier eligible lists take precedence over latereligible lists and requires an examination announcement to include a statement that theresultant eligible list will expire in one to four years.

A waiver of this Section will enable the department to make appointments as a result of analternative position by position selection process that does not require the establishment of anemployment list and may not be used to fill more than one position.

Section 18903 — requires that for each class there shall be a general reemployment listconsisting of the names of all persons who have been appointed to the class and have beenlaid off or demoted in lieu of layoff.

A waiver of this Section is needed so that a general reemployment list may not be establishedfor a broadband class even if persons have been laid off or demoted in lieu of layoff.

Section 18930 .5 — provides that the Board may delegate to departments the authority toconduct examinations and create lists as a result of competitive examinations.

A waiver of this Section is requested to allow the participating departments to conductexaminations without having to establish a list.

Section 18933 — requires the announcement of examinations for the establishment of eligiblelists.

A waiver of this Section is requested to allow participating departments to announceexaminations without the establishment of eligible lists.

Section 18936 — requires the determination of a final earned rating of each person competingin an examination.

A waiver of this Section will allow the participating departments to conduct examinations withinthe demonstration project without assigning a score to the competitors.

Section 18938 .5 — specifies that the competitor shall be notified of the results of anexamination when the employment list resulting from examination has been established.

A waiver of this Section is requested to allow for the establishment of notification ofexamination results procedures for the demonstration project even though there is no listestablished.

Section 18950 — requires that appointments to vacant positions be made from employmentlists.

A waiver of this Section will allow appointments to vacant positions within the demonstrationproject without establishing a list or obtaining a certification list.

Section 19052 — requires that vacancies that are not filled by transfer, demotion, orreinstatement shall be filled by requesting a certification of persons eligible for appointment .


A waiver of this Section is requested to allow appointment to positions within thedemonstration project without using or establishing a certification list.

Section 19054 – specifies the order of preference in certifying eligibles from existing eligiblelists.

A waiver of this Section is requested to allow those departments participating in thisdemonstration project to evaluate an alternative to ranked promotional and eligible lists.

Section 19054.1 – provides that when an examination for a managerial position is conductedon an open and promotional basis, the names of eligibles shall be placed on one list, ranked inrelative order of the examination score received and for purposes of preference in certifyingeligibles, the list shall be considered an eligible list.

A waiver of this Section is requested to allow examinations in the managerial classes includedin this demonstration project to be held without assigning a score or establishing an eligible list.

Section 19057.1 – provides for the certification of open eligible lists to be Rule of Three Ranks.

A waiver of this Section will allow for the appointment of an eligible to the managerial classesincluded in this demonstration project without assigning a score or establishing an eligible list.

Section 19057.2 – provides for the scoring and ranking of eligibles for managerial classes.

A waiver of this Section is requested to allow for the examination of candidates for themanagerial classes included in the demonstration project without assigning a score or rankingto the candidate.

Section 19170 – requires the Board to establish a probationary period for each class that doesnot exceed 12 months.

A waiver of this Section is requested to allow the Board to establish a probationary period of24 months for each broadband class.

Section 19818.6 – defines "class" as a group of positions sufficiently similar with respect toduties and responsibilities that the same title may be used for them, the same test for fitnessmay be used, the same minimum qualifications may be required, and the same schedule ofcompensation may be applied.

A waiver of this Section is requested to allow for the establishment of classes in the broadbandcategories because these do not meet the definition of "class" as specified.

Section 19818.16 – provides that employees may file and be reimbursed for approved claimsof out-of-classification work.

0A waiver of this Section is requested because the new broadband classifications do not meetthe definition of "class" as described.


Section 19826 — provides that DPA shall establish and adjust salary ranges for each class ofposition.

A waiver of this Section is requested because the broadband classes to be established will notmeet the "salary ranges" as described, nor include tradition salary ranges.

Section 19829 — provides that DPA shall establish minimum and maximum salary ranges foreach class and establish intermediate steps which govern the amount of salary adjustments anemployee may receive at any one time.

A waiver of this Section is requested to allow for the creation of a performance compensationprogram within the broadband managerial classes that do not meet the definition of salaryranges nor provide for automatic salary increases or include time frames to dictate whenincreases may occur.

Section 19832 — provides that employees shall receive annual salary adjustments if funds areavailable.

A waiver of this Section is requested to eliminate automatic salary increases ; salary increasesshall be based exclusively on performance.

Section 19835 — provides that employees have the right to cumulative pay increases, not toexceed two years, if funds were not available earlier for the automatic salary adjustments.

A waiver of this Section is requested to eliminate automatic salary increases ; salary increasesshall be based exclusively on performance.

Section 19836 — provides that, with the approval of DPA, the department may appoint personsinto State service above the minimum salary step in order to meet recruitment problems, toobtain persons with extraordinary qualifications or to provide equity.

A waiver of this Section is requested to enable departments, without requiring DPA approval,to provide salary increases based on work performance, recruitment incentives, or workassignments.

Section 19997 .11 — requires that the names of employees to be laid off or demoted shall beplaced on the reemployment list for the subdivision, if so designated, on the departmentalreemployment list, and the general reemployment list for the class from which the employeeswere laid off or demoted.

A waiver of this Section is needed so that a general reemployment list may not be establishedfor a broadband class even if persons have been laid off or demoted in lieu of layoff.

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RECOMMENDATIONS

That the State Personnel Board approve the proposed demonstration project formanagerial broadbanding and selection as described in this calendar item.

2.

That staff be authorized to provide the Legislature with the final version of theproposal 90 days prior to the date of implementation as required in GovernmentCode Section 19602 (e).

3. That the Managerial Broadbanding and Selection Demonstration Project be authorized tobegin 90 days after the plan is transmitted to the Legislature and to continue for a periodof up to five years.

4.

That the following Government Code Sections be waived to allow for the implementationof this demonstration project:

Government Code Sections 18523 ; 18900; 18901 ; 18903; 18930 .5; 18933;18936; 18938 .5 ; 18950; 19052; 19054; 19054.1 ; 19057.1 ; 19057 .2; 19170;19818.6; 19818.16; 19826; 19829; 19832; 19835; 19836 ; and 19997 .11.

5.

That the following regulations be adopted and reflected in Title 2, Division 1, Chapter 1,Subchapter 4:

Article 5 - Demonstration Project – Managerial Selection and ManagerialClassification Consolidation and Broadbanding – Servicewide byDepartmental Option

549.60 - Class and Establishment of Minimum Qualifications ; ManagerialClassification Consolidation and Broadbanding

For the demonstration project of Managerial Selection and ManagerialClassification Consolidation and Broadbanding implemented pursuant toSections 19600 et seq . of the Government Code "class" means a broadbandclass for which the same general title may be used to designate each positionallocated to the class and which may include more than one specialty areawithin the general field of work.

In addition to the general minimum qualifications for each "class", otherjob-related qualifications will be required for particular positions within the class.The other job-related qualifications shall be described in the individual positiondescriptions established for each position within the class.

(NOTE: OTHER PROPOSED REGULATIONS WILL BE DEVELOPED TOIMPLEMENT THIS DEMONSTRATION PROJECT PRIOR TO THE BOARDADOPTION OF THE PROJECT .)

State Personnel Board

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Page 13

6. That the following classes be established ; the proposed specifications for these classesas shown in this calendar be adopted ; and the probationary periods be as specifiedbelow:

Class

Probationary Period

Managerial Broadband (Corrections) 24 monthsManagerial Broadband (Education) 24 monthsManagerial Broadband (Engineering and Architecture) 24 monthsManagerial Broadband (Fire Protection) 24 monthsManagerial Broadband (General) 24 monthsManagerial Broadband (Law Enforcement) 24 monthsManagerial Broadband (Legal) 24 monthsManagerial Broadband (Medical) 24 monthsManagerial Broadband (Scientific) 24 months

7.

That all appointments to the following classes that require a probationary period and thatare effective on or after the effective date of the start of this demonstration project, shallrequire service of a two-year probationary period before an employee may attainpermanent status in the class:

Managerial Broadband (Corrections)Managerial Broadband (Education)Managerial Broadband (Engineering and Architecture)Managerial Broadband (Fire Protection)Managerial Broadband (General)Managerial Broadband (Law Enforcement)Managerial Broadband (Legal)Managerial Broadband (Medical)Managerial Broadband (Scientific)

8.

That the following resolution be adopted:

WHEREAS the State Personnel Board on

established the broadbandclasses as shown below in Column I ; and the duties and responsibilities of these classesare substantially included in the previously existing classes as shown in attachmentsidentified in Column II and included in this item ; and

WHEREAS the knowledge, skills, abilities, and competencies required for the newbroadband classes identified in Column I were substantially tested for in theexaminations held for the classes shown in the corresponding attachment identified inColumn II : Therefore be it

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RESOLVED, That any person with civil service status at the department and in theclasses identified in Attachment B on the date this demonstration project becomeseffective shall be reallocated to, and is hereby granted, the same civil service statuswithout further examination in the appropriate broadband class identified in Column I atthe salary level the individual is currently making, but no lower than the minimum of theappropriate broadband class.

Column I

Column II

See Attachment B

See Attachment B

9. That departments may join the Managerial Broadbanding and Selection DemonstrationProject at a later date or opt out before the five-year period.

10. That no further appointments will be made within departments participating in thisdemonstration project to classes listed on Attachment B until such time as thedemonstration project is terminated or the department opts out of the demonstrationproject.

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ATTACHMENT A

MANAGERIAL CONSOLIDATION PROJECT TEAM MEMBERS

Team Leaders: Margie Imai, Department of Personnel AdministrationMarie Powell, Department of Housing and Community Development

Sub-Team Leaders:

Barbara Armstrong, Office of Criminal Justice Planning

Mary Carrillo, Department of Corrections

Gabriella Green, Franchise Tax Board

Walt Harris, Department of Industrial Relations

Gail Rauscher, Secretary of State

Marion Rutkauskas, State Personnel Board

Estella Simoneau, Board of Equalization

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Karen Vierra, Department of Corrections

Team Members:

Gerard Anderson, State Controller's Office

Jeannie Beatty, Department of Consumer Affairs

Linda Bittner, Department of Finance

Denise Caesar, Department of Motor Vehicles

George Carazo, Public Utilities Commission

Debbie Chambliss, Department of Finance

Karen Cohen, State Personnel Board

Staci Donnachie, Air Resources Board

Jo Ann Frierson, Department of Parks and Recreation

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Jennifer Geraghty, Department of Housing and Community Development

Attachment.APage 2

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Glen Goddard, State Personnel Board

Holly Hollingsworth, Department of Insurance

John Jackson, State Personnel Board

Ed Jimenez, Department of Motor Vehicles

Cynde Jones, California Integrated Waste Management Board

Sally Lim, State Controller's Office

Cindy Liondakis, Department of Developmental Services

Susan Lorenz, Department of Mental Health

Daisy McKenzie, State Personnel Board

Maud Miller, Department of Insurance

Carol Pennington, Teale Data Center

Alison Raymer, Legislative Counsel Bureau

Terry Robinson, California Highway Patrol

Mary Sayre, Department of Justice

Rosemary Schmidt, Department of Food and Agriculture

Carol Scott, State Lands Commission

Denise Sims, Department of the Youth Authority

Richard Sneed, Department of Corrections

Lynn Wilkerson, Air Resources Board

Martha Wilson, Department of Developmental Services

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ATTACHMENT B

(PENDING)

0

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ATTACHMENT C

MANAGERIAL INTEREST GROUPS

Ron Alexander, PresidentCorrections Ancillary Staff Supervisors Organization

Elwood K . Allshouse, PresidentCDF Firefighters

Tim Behrens, PresidentAssociation of California State Supervisors

Peter Cannon, PresidentMotor Vehicles Managers and Supervisors Association

Reese Dixon, PresidentCoalition of Communications Supervisors

Jim D. Eddington, PresidentCalifornia Association of Public Health Managers and Supervisors

Wayne Heine, President•

California State Managers and Supervisors Association

Stephen D. Johnson, PresidentState Park Peace Officers Association of California

Robert F . Katz, PresidentAssociation of California State Attorneys and Administrative Law Judges

Tim Landrus, PresidentAssociation of Supervising Special Investigators

Dennis Mayhew, PresidentCalifornia Association of Professional Scientists

Donald Novey, PresidentCalifornia Correctional Peace Officers Association

Jerry Oliver, PresidentDepartment of Transportation Supervisors

Mike Rastegar, PresidentProfessional Engineers in California Government

Roger Smith, Acting PresidentUnion of PERB Employees (UPE)

Attachment CPage 2

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Ron Snider, PresidentCalifornia Association of Highway Patrolmen

Richard L. Tatum, PresidentCalifornia Correctional Supervisors Organization, Inc.

Randy Trefry, PresidentCalifornia State Supervisors Peace Officer Association

L. L. Mike VanBuskirk, PresidentMotor Carrier Supervisors' Benefits Committee

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0

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ATTACHMENT D

(PENDING)

9

CALIFORNIA STATE PERSONNEL BOARD

•

SPECIFICATIONSchematic Code : ZZ80Class Code : 7795Established:Revised :

--Title Changed :

--

MANAGERIAL BROADBAND (CORRECTIONS)

DEFINITION

with broad discretion, incumbents work in a wide variety ofcorrectional institution-related program functions withresponsibilities for program and policy development andimplementation.

Positions in this broadband meet the managerial concepts stated inGovernment Code 3513 (e), which defines a managerial employee as"any employee having significant responsibilities for formulating oradministering agency or departmental policies and programs oradministering an agency or department ." Three functions which

•

identify an employee assigned to such a position are (1) admin-istering an agency or department ; (2) formulating agency ordepartmental policies and programs ; or (3) administering agency ordepartmental policies and programs.

TYPICAL TASKS

Incumbents in this broadband resolve problems and reach workablesolutions ; involve relevant people in decision-making ; model highstandards of honesty and integrity; maintain a high level ofprofessional expertise ; clarify programmatic issues ; encourage thehighest professional standards ; encourage open communication andinput from staff and others ; adjust to meet changing priorities;promote teamwork within the organization ; take corrective action whenproblems arise ; create an environment of employee fairness ; empowerstaff with authority to make decisions ; exercise the final review andapproval of work output ; ensure activities and services reflectmanagement policies ; establish program goals and objectives ; developbudgetary plans and authorize expenditure of funds ; evaluate programperformance and effectiveness ; conduct briefings and other meetings;provide opportunities for a diverse workforce ; promote safety in theworkplace ; and perform other related tasks and exhibit other relatedcompetencies.

Departments may cite additional "Typical Tasks" necessary to describeindividual managerial positions .

Managerial Broadband .(Corrections)

-2-

0 1MINIMUM QUALIFICATIONS

Five years of increasingly responsible administrative, technical, oranalytical experience in the occupational discipline described in theindividual position description(s), two years of which must have beenin a supervisory or managerial capacity . (A doctorate degree in arelated field may be substituted for two years of the requiredexperience and a master's degree in a related field may besubstituted for one year of the required experience .) (Advancedjourney or high-level technical specialist experience may besubstituted for the required supervisory or managerial experience ona year-for-year basis .) and

Equivalent to graduation from college . (Additional qualifyingexperience may be substituted for the required education on ayear-for-year basis .)

Each position allocated to this class has specific qualificationsthat have been developed to recognize the unique experience and/oreducation requirements necessary for entry into the position.Specific program experience, education, licensing, or certifica-tion requirements of a specific position will be described in theindividual position description for each position.

KNOWLEDGE, SKILLS, ABILITIES AND COMPETENCIES

0Knowledge of : Administrative and program laws, .rules, andregulations ; and technical aspects of the discipline.

Skill in : Identifying and analyzing problems and trends ; buildingtrust ; negotiating for mutually acceptable solutions ; and impartingorganizational vision to others.

Ability to : Express succinct, well-organized facts and ideas ; makelogical judgments ; effectively deal with pressure and ambiguity inthe workplace ; find solutions to complex problems ; encourage andfacilitate cooperation, teamwork, and pride ; manage and resolveconflicts ; coordinate within the organization to accomplish goals;and anticipate potential challenges or opportunities.

Competencies : Models high standards of honesty, integrity, andtrust ; demonstrates openness to change and new information ; exhibitscommitment to improving services and effectiveness ; recognizes ownstrengths and weaknesses ; considers and responds to the needs andfeelings of others ; facilitates an open exchange of ideas ; issensitive to cultural diversity in the workplace ; and adaptsleadership style to a variety of situations.

Departments may cite additional "Knowledge, Skills, Abilities, andCompetencies" necessary to describe individual managerial positions .

Managerial Broadband (Corrections)

-3-

0SPECIAL PERSONAL OR PHYSICAL CHARACTERISTICS

Some positions within this broadband may require "Special Personalor Physical Characteristics" to be determined by the examiningdepartment .

TRAINING REQUIREMENT

Some positions within this broadband may require that under theprovisions of Penal Code Section 832, successful completion of atraining course in laws of arrest, search and seizure, and infirearms and chemical agents is a requirement for permanent status ina specific position .

FELONY DISQUALIFICATION

Some positions within this broadband may require that GovernmentCode 1029 provides that persons convicted of a felony aredisqualified from employment as peace officers . Such persons are noteligible to compete for, or be appointed to, specific positions inthis broadband.

•

BACKGROUND INVESTIGATION AND PSYCHOLOGICAL SCREENING

Some-positions within this broadband may require the following:

Government Code 1029 .1 requires that a thorough background investi-gation be completed prior to appointment date . Persons unsuccessfulin the investigation cannot be appointed as a peace officer in thisbroadband.

Government Code Section 1031 (c) provides that a candidate for apeace officer position be fingerprinted for search of local, State,and national fingerprint files to disclose any criminal record.

Government Code Section 1031 (f) provides that any physical andpsychological suitability examinations administered be completedprior to appointment date . Persons who are not successful in theseexaminations cannot be appointed as a peace officer.

Any person prohibited by State or Federal law from possessing, using,or having in his/her custody or control, any firearm, firearm device,or other weapon or device authorized for use by the CaliforniaDepartment of Corrections is not eligible to compete for, beappointed to, or continue employment in specific positions in thisbroadband.

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Managerial Broadband (Corrections)

_g-

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CITIZENSHIP REQUIREMENT

Some positions within this broadband may require that pursuant toGovernment Code Section 1031 (a), in order to be appointed to a peaceofficer position, a person must be either a United States citizen orbe a permanent resident alien who is eligible for and has applied forUnited States citizenship . Any permanent resident alien who isemployed as a peace officer shall be disqualified from holding thatposition if his/her application for citizenship is denied.

DRUG TESTING REQUIREMENT

Some positions within this broadband may require that applicants arerequired to pass a drug screening test . (The drug screening testwill be waived for employees who are currently in a designated"Sensitive" position or class for which drug testing is requiredunder State Personnel Board Rule 213 .)

AGE LIMITATION

Some positions within this broadband may require specific age limita-tions, for which the applicant's birth date must be stated on theapplication for examination .

•

ADDITIONAL DESIRABLE QUALIFICATIONS

Some positions within this broadband may have "Additional DesirableQualifications" such as possession of advanced degrees,certifications, or specific experience beyond that described in theindividual position's "Minimum Qualifications ."

ccd/sks

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--Title Changed :

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MANAGERIAL BROADBAND (EDUCATION)

DEFINITION

With broad discretion, incumbents work in a wide variety of educationprogram functions with responsibilities for program and policydevelopment and implementation.

Positions in this broadband meet the managerial concepts stated inGovernment Code 3513 (e), which defines a managerial employee as "anyemployee having significant responsibilities for formulating oradministering agency or departmental policies and programs oradministering an agency or department ." Three functions whichidentify an employee assigned to such a position are (1) admin-istering an agency or department ; (2) formulating agency or depart-mental policies and programs ; or (3) administering agency ordepartmental policies and programs.

TYPICAL TASKS

Incumbents in this broadband resolve problems and reach workablesolutions ; involve relevant people in decision-making ; model highstandards of honesty and integrity ; maintain a high level ofprofessional expertise ; clarify programmatic issues ; encourage thehighest professional standards ; encourage open communication andinput from staff and others ; adjust to meet changing priorities;promote teamwork within the organization ; take corrective action whenproblems arise ; create an environment of employee fairness ; empowerstaff with authority to make decisions ; exercise the final reviewand approval of work output ; ensure activities and services reflectmanagement policies ; establish program goals and objectives ; developbudgetary plans and authorize expenditure of funds ; evaluate programperformance and effectiveness ; conduct briefings and other meetings;provide opportunities for a diverse workforce ; promote safety in theworkplace ; perform other related tasks and exhibit other relatedcompetencies.

Departments may cite additional "Typical Tasks" necessary to describeindividual managerial positions.

0

Managerial Broadband (Education)

-2-

IS .

MINIMUM QUALIFICATIONS

Some positions within this broadband may require possession of avalid Commission on Teacher Credentialing General AdministrationCredential ; Secondary School Administration Credential ; SecondarySchool Administration Credential in Trade or Industrial Education;Administrative Services Credential ; Standard Administrative Creden-tial or Supervisory Credential ; or a credential or life diploma ofequivalent authorization.

Five years of increasingly responsible administrative, technical, oranalytical experience in the occupational discipline described in theindividual position description(s), two years of which must have beenin a supervisory or managerial capacity . (A doctorate degree in arelated field may be substituted for two years of the requiredexperience and a master's degree in a related field may be substi-tuted for one year of the required experience .) (Advanced journey orhigh-level technical specialist experience may be substituted for therequired supervisory or managerial experience on a year-for-yearbasis .) and


isEach position allocated to this class has specific qualificationsthat have been developed to recognize the unique experience and/oreducation requirements necessary for entry into the position.Specific program experience, education, licensing, or certifica-tion requirements of a specific position will be described in theindividual position description for each position.

KNOWLEDGE, SKILLS, ABILITIES, AND COMPETENCIES

Knowledge of :

Administrative and program laws, rules, andregulations ; and technical aspects of the discipline.


Ability to ; Express succinct, well-organized facts and ideas ; makelogical judgments ; effectively deal with pressure and ambiguity inthe workplace ; find solutions to complex problems ; encourage andfacilitate cooperation, teamwork, and pride ; manage and resolveconflicts ; coordinate within the organization to accomplish goals;and anticipate potential challenges or opportunities .

0

Managerial Broadband (Education)

-3-


Departments may cite additional "Knowledge, Skills, Abilities, andCompetencies" necessary to describe individual managerial positions.

SPECIAL PERSONAL CHARACTERISTICS

Some positions within this broadband may require "Special PersonalCharacteristics" to be determined by the examining department.

ADDITIONAL DESIRABLE OUALIFICATIONS

Some positions within this broadband may have "Additional DesirableQualifications" such as possession of advanced degrees, certifica-tions, or specific experience beyond that described in the individual

•

position's "Minimum Qualifications ."

•

0

ccd/sks


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--Title Changed :

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MANAGERIAL BROADBAND (ENGINEERING AND ARCHITECTURE)

DEFINITION

With broad discretion, incumbents work in a wide variety of engineer-ing and architectural line program functions with responsibilitiesfor program and policy development and implementation.

Positions in this broadband meet the managerial concepts stated inGovernment Code 3513 (e), which defines a managerial employee as"any employee having significant responsibilities for formulatingor administering agency or departmental policies and programs oradministering an agency or department ." Three functions whichidentify an employee assigned to such a position are (1) admin-istering an agency or department ; (2) formulating agency or

.

departmental policies and programs ; or (3) administering agencyor departmental policies and programs.

TYPICAL TASKS

Incumbents in this broadband resolve problems and reach workablesolutions ; involve relevant people in decision-making ; model highstandards of honesty and integrity ; maintain a high level ofprofessional expertise ; clarify programmatic issues ; encourage thehighest professional standards ; encourage open communication andinput from staff and others ; adjust to meet changing priorities;promote teamwork within the organization ; take corrective actionwhen problems arise ; create an environment of employee fairness;empower staff with authority to make decisions ; exercise the finalreview and approval of work output ; ensure activities and servicesreflect management policies ; establish program goals and objectives;develop budgetary plans and authorize expenditure of funds ; evaluateprogram performance and effectiveness ; conduct briefings and othermeetings ; provide opportunities for a diverse workforce ; promotesafety in the workplace ; and perform other related tasks and exhibitother related competencies.


Managerial Broadband (Engineering and Architecture)

-2-


Engineer positions within this broadband may require possession of avalid certificate of registration as a civil, electrical, or mechani-cal engineer issued by the California State Board of Registration forProfessional Engineers.

Architect positions within this broadband may require possession ofa valid certificate of registration as an architect issued by theCalifornia State Board of Architectural Examiners.

Landscape architect positions within this broadband may requirepossession of a valid certificate of registration as a landscapearchitect issued by the California Board of Landscape Architects.

Land surveyor positions within this broadband may require possessionof a valid California Land Surveyor's license . (A Certificate ofRegistration as a Civil Engineer issued by the California State Boardof Registration for Professional Engineers and Land Surveyors priorto January 1, 1982 satisfies this requirement .)

Five years of increasingly responsible administrative or technicalexperience in the occupational discipline described in the individualposition description(s), two years of which must have been in a

•supervisory or managerial capacity . (A doctorate degree in a relatedfield may be substituted for two years of the required experience anda master's degree in a related field may be substituted for one yearof the required experience .) (Advanced journey or high-level tech-nical specialist experience may be substituted for the requiredsupervisory or managerial experience on a year-for-year basis .) and




Knowledge of: Administrative and program laws, rules, and regula-tions ; and technical aspects of the discipline.

Skill in : Identifying and analyzing problems and trends ; buildingtrust ; negotiating for mutually acceptable solutions ; and impartingorganizational vision to others .

0

Managerial Broadband (Engineering and Architecture)

-3-

Ability to : Express succinct; well-organized facts and ideas ; makelogical judgments ; effectively deal with pressure and ambiguity inthe workplace ; find solutions to complex problems ; encourage andfacilitate cooperation, teamwork, and pride ; manage and resolveconflicts ; coordinate within the organization to accomplish goals;and anticipate potential challenges or opportunities.

Competencies : Models high standards of honesty, integrity, andtrust ; demonstrates openness to change and new information ; exhibitscommitment to improving services and effectiveness ; recognizes ownstrengths and weaknesses ; considers and responds to the needs andfeelings of others ; facilitates an open exchange of ideas ; is sensi-tive to cultural diversity in the workplace ; and adapts leadershipstyle to a variety of situations.




,. •


Some positions within this broadband may have "Additional DesirableQualifications" such as possession of advanced degrees, certifica-tions, or specific experience beyond that described in the individualposition's "Minimum Qualifications ."

•

0

ccd/sks

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0


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--Title Changed :

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MANAGERIAL BROADBAND (FIRE PROTECTION)

DEFINITION

With broad discretion, incumbents work in a wide variety of fireprotection or resource management program functions with responsi-bilities for program and policy development and implementation.

Positions in this broadband meet the managerial concepts stated inGovernment Code 3513 (e), which defines a managerial employee as"any employee having significant responsibilities for formulating oradministering agency or departmental policies and programs oradministering an agency or department ." Three functions whichidentify an employee assigned to such a position are (1) admin-istering an agency or department ; (2) formulating agency ordepartmental policies and programs ; or (3) administering agency ordepartmental policies and programs.

TYPICAL TASKS

Incumbents in this broadband resolve problems and reach workablesolutions ; involve relevant people in decision-making ; model highstandards of honesty and integrity ; maintain a high level ofprofessional expertise ; clarify programmatic issues ; encourage thehighest professional standards ; encourage open communication andinput from staff and others ; adjust to meet changing priorities;promote teamwork within the organization ; take corrective action whenproblems arise ; create an environment of employee fairness ; empowerstaff with authority to make decisions ; exercise the final review andapproval of work output ; ensure activities and services reflectmanagement policies ; establish program goals and objectives ; developbudgetary plans and authorize expenditure of funds ; evaluate programperformance and effectiveness ; conduct briefings and other meetings;provide opportunities for a diverse workforce ; promote safety in theworkplace ; and perform other related tasks and exhibit other relatedcompetencies.


40

Managerial Broadband (Fire Protection)

-2-

0MINIMUM QUALIFICATIONS





•

Knowledge of: Administrative and program laws, rules, andregulations ; and technical aspects of the discipline.


Ability to : Express succinct, well-organized facts and ideas ; makelogical judgments ; effectively deal with pressure and ambiguity inthe workplace ; find solutions to complex problems ; encourage andfacilitate cooperation, teamwork, and pride ; manage and resolveconflicts ; coordinate within the organization to accomplish goals;and anticipate potential challenges or opportunities ..


Departments may cite additional "Knowledge, Skills, Abilities, and

•Competencies" necessary to describe individual managerial positions .

Managerial Broadband (Fire Protection)

-3-

0SPECIAL PERSONAL'OR PHYSICAL CHARACTERISTICS



Some positions within this broadband may require that GovernmentCode 1029 provides that persons convicted of a felony are disquali-fied from employment as peace officers . Such persons are noteligible to compete for, or be appointed to, specific positions inthis broadband .


Some positions within this broadband require that pursuant to Govern-ment Code Section 1031 (a), in order to be appointed to a peaceofficer position, a person must be either a United States citizen orbe a permanent resident alien who is eligible for and has applied forUnited States citizenship . Any permanent resident alien who is

•

employed as a peace officer shall be disqualified from holding thatposition if his/her application for citizenship is denied.



is

ccd/sks

•

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0

1

. .


.

SPECIFICATION

Schematic Code : ZZ84Class Code : 7799Established:Revised :

--Title Changed :

--

MANAGERIAL BROADBAND (GENERAL)

DEFINITION

With broad discretion, incumbents work in a wide variety ofadministrative and line program functions with responsibilitiesfor program and policy development and implementation.


TYPICAL TASKS



0

Managerial Broadband .(General) .

-2-

0 -MINIMUM QUALIFICATIONS



Each position allocated to this class has specific qualificationsthat have been developed to recognize the unique experience and/oreducation requirements necessary for entry into the position.Specific program experience, education, licensing, or certifica-tion requirements of a specific position will be described in theindividual position description for each position .

•KNOWLEDGE, SKILLS, ABILITIES, AND COMPETENCIES

Knowledge of :






•Competencies" necessary to describe individual managerial positions .

•

0

Managerial Broadband (General)

-3-





cad/sks

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1

♦ 1

0

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SPECIFICATION

Schematic Code:Class Code:Established:Revised:Title Changed:

MANAGERIAL BROADBAND (LAW ENFORCEMENT)

DEFINITION

With broad discretion, incumbents work in a wide variety of lawenforcement-related line program functions with responsibilities forprogram and policy development and implementation.


TYPICAL TASKS



ZZ857800

Managerial Broadband (Law Enforcement)

-2-






•





Departments may cite additional "Knowledge, Skills, Abilities, andCompetencies" necessary to describe individual managerial positions .

is

,'

l

V


-3-

SPECIAL PERSONAL'OR PHYSICAL CHARACTERISTICS


TRAINING REQUIREMENT

Some positions within this broadband may require that under theprovisions of Penal Code Section 832, successful completion of atraining course in laws of arrest, search and seizure, and infirearms and chemical agents is a requirement for permanent status ina specific position .


Some positions within this broadband may require that GovernmentCode 1029 provides that persons convicted of a felony are disquali-fied from employment as peace officers . Such persons are noteligible to compete for, or be appointed to, specific positions inthis broadband.

•BACKGROUND INVESTIGATION AND PSYCHOLOGICAL SCREENING

.Some positions within this broadband may require the following:

Government Code 1029 .1 requires that a thorough background investi-gation be completed prior to appointment date . Persons unsuccessfulin the investigation cannot be appointed as a peace officer in thisbroadband.

Government Code Section 1031 (c) provides that a candidate for apeace officer position be fingerprinted for search of local, State,and national fingerprint files to disclose any criminal record.

Government Code Section 1031 (f) provides that any physical andpsychological suitability examinations administered be completedprior to appointment date . Persons who are not successful in theseexaminations cannot be appointed as a peace officer.

Any person prohibited by State or Federal law from possessing, using,or having in his/her custody or control, any firearm, firearm device,or other weapon or device authorized for use by the CaliforniaDepartment of Corrections is not eligible to compete for, beappointed to, or continue employment in specific positions in thisbroadband.

•


-4-

•


Some positions within this broadband may require that pursuant toGovernment Code Section 1031 (a), in order to be appointed to a peaceofficer position, a person must be either a United States citizen orbe a permanent resident alien who is eligible for and has applied forUnited States citizenship . Any permanent resident alien who isemployed as a peace officer shall be disqualified from holding thatposition if his/her application for citizenship is denied.

DRUG TESTING REQUIREMENT

Some positions within this broadband may require that applicants arerequired to pass a drug screening test . (The drug screening testwill be waived for employees who are currently in a designated"Sensitive" position or class for which drug testing is requiredunder State Personnel Board Rule 213 .)

AGE LIMITATION

Some positions within this broadband may require specific age limita-tions, for which the applicant's birth date must be stated on the

•application for examination.



0ccd/sks


0

SPECIFICATION


--Title Changed :

--

MANAGERIAL BROADBAND (LEGAL

DEFINITION

With broad discretion, incumbents work in a wide variety of legalfunctions with responsibilities for program and policy developmentand implementation.

Positions in this broadband meet the managerial concepts stated inGovernment Code 3513 (e), which defines a managerial employee as„ any employee having significant responsibilities for formulating oradministering agency or departmental policies and programs oradministering an agency or department .” Three functions whichidentify an employee assigned to such a position are (1) admin-istering an agency or department ; (2) formulating agency or depart-mental policies and programs ; or (3) administering agency ordepartmental policies and programs.

TYPICAL TASKS



0

Managerial Broadband (Legal)

-2-


The majority of positions in this broadband require active membershipin the State Bar of California or Bar Associations of other states asa requirement of eligibility for appointment . The individualposition description will state this requirement if necessary foreligibility for appointment.

Five years of increasingly responsible legal experience in theoccupational discipline described in the individual positiondescription(s), two years of which must have been in a supervisoryor managerial capacity.

Each position allocated to this class has specific qualificationsthat have been developed to recognize the unique experience and/oreducation requirements necessary for entry into the position.Specific program experience', education, licensing, or certificationrequirements of a specific position will be described in the indi-vidual position description for each position.





Competencies : Models high standards of honesty, integrity, andtrust ; demonstrates openness to change and new information ; exhibitscommitment to improving services and effectiveness ; recognizes ownstrengths and weaknesses ; considers and responds to the needs andfeelings of others ; facilitates an open exchange of ideas ; issensitive to cultural diversity in the workplace ; and adapts leader-ship style to a variety of situations.

Experience in the "practice of law" or "performing legal duties" or"legal experience" is defined as only that legal experienceacquired after admission to The Bar . Some positions may allowexperience acquired after admission to Bar Associations of other

•states .

•

Managerial Broadband (Legal)

-3-






0

ccd/sks

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•

0

0

•


SPECIFICATION

Schematic Code:Class Code:Established:Revised:Title Changed:

MANAGERIAL BROADBAND (MEDICAL)

DEFINITION

With broad discretion, incumbents work in a wide variety ofmedically-related line program functions with responsibilitiesfor program and policy development and implementation.


TYPICAL TASKS



ZZ877802

0

Managerial Broadband (Medical) .

-2-

0 -MINIMUM QUALIFICATIONS

Possession of the legal requirements for the practice of the specificmedical or dental discipline as determined by the Medical Board ofCalifornia, the California Board of Osteopathic Examiners, or theCalifornia Board of Dental Examiners . (Applicants may be admitted tothe examination prior to meeting these requirements, but must meetthe requirements before being eligible for appointment .) and

Five years of increasingly responsible administrative or medicalexperience in the occupational discipline described in the individualposition description(s), two years of which must have been in asupervisory or managerial capacity . (A doctorate degree in a relatedfield may be substituted for two years of the required experience anda master's degree in a related field may be substituted for one yearof the required experience .)



•

Knowledge of : Administrative and program laws, rules, andregulations ; and technical aspects of the discipline.



Competencies : Models high standards of honesty, integrity, andtrust ; demonstrates openness to change and new information ; exhibitscommitment to improving services and effectiveness ; recognizes ownstrengths and weaknesses ; considers and responds to the needs andfeelings of others ; facilitates an open exchange of ideas ; issensitive to cultural diversity in the workplace ; and adapts leader-ship style to a variety of situations.


.Competencies" necessary to describe individual managerial positions .

•

•

Managerial Broadband (Medical)

-3-

SPECIAL PERSONAL OR PHYSICAL CHARACTERISTICS

Some positions within this broadband may require "Special Personal orPhysical Characteristics" to be determined by the examiningdepartment .

DRUG TESTING REQUIREMENTS

Some positions within this broadband require that applicants berequired to pass a drug screening test . Testing of current employeeswho are applicants in an examination is permitted only if the persondoes not have a current appointment to a class for which drug testingis a requirement .


Some positions within the broadband may have "Additional DesirableQualifications" such as possession of advanced degrees, certifica-tions, or specific experience beyond that described in the individualposition's "Minimum Qualifications ."

0

ccd/sks


0

SPECIFICATION


--Title Changed :

--

MANAGERIAL BROADBAND (SCIENTIFIC)

DEFINITION

With broad discretion, incumbents work in a wide variety of scienti-fic line program functions with responsibilities for program andpolicy development and implementation.


TYPICAL TASKS



0

Managerial Broadband (Scientific)

- 2


Some positions within this broadband may require possession of avalid license issued by the Board of Examiners in VeterinaryMedicine.

Some positions within this broadband may require possession of avalid certificate in Health Physics issued by the Board of HealthPhysics or in Radiologic Health Physics issued by the American Boardof Radiology.

Some positions within this broadband may require possession of acertificate in the Comprehensive Practice of Industrial Hygieneissued by the American Board of Industrial Hygiene.

Five years of increasingly responsible administrative, technical, oranalytical experience in the occupational discipline described in theindividual position description(s), two years of which must have beenin a supervisory or managerial capacity . (A doctorate degree in arelated field may be substituted for two years of the requiredexperience and a master's degree in a related field may be substi-tuted for one year of the required experience .) (Advanced journey orhigh-level technical specialist experience may be substituted for therequired supervisory or managerial experience on a year-for-year

•basis .) and




Knowledge of :



Ability to : Express succinct, well-organized facts and ideas ; makelogical judgments ; effectively deal with pressure and ambiguity inthe workplace ; find solutions to complex problems ; encourage andfacilitate cooperation, teamwork, and pride ; manage and resolveconflicts ; coordinate within the organization to accomplish goals;and anticipate potential challenges or opportunities .

'

4

.

Managerial Broadband (Scientific)

-3-






Some . positions within this broadband may have "Additional DesirableQualifications" such as possession of advanced degrees, certifica-tions, or specific experience beyond that described in the individualposition's "Minimum Qualifications ."

•

ccd/sks

9

L

9

MANAGERIAL BROADBAND DEMONSTRATION PROJECT

QUESTIONS AND ANSWERS

Q.

What is the proposed broadband structure and who will be covered under thisstructure?

A.

The proposed broadband structure consists of nine broadband classes . Classes, whichclearly meet the managerial concept, stated in Government Code Section 3513(e) areincluded in the broadband. Civil service Career Executive Assignment classes will notbe placed in the broadband due to their distinct class concept . Exempt positions arealso excluded from the managerial broadbands . Classes that do not meet the definitionwill remain singular civil service classes as they are now.

The following list the nine broadband classes, proposed salaries, and identifies theCollective Bargaining Identifier of the classes that will be consolidated in that particularband :

Managerial Broadband (Corrections) M06Managerial Broadband (Education) M03, 21Managerial Broadband (Engineering and Architecture) M09Managerial Broadband (Fire Protection) MOBManagerial Broadband (General) M01, 12, 18, 19

Level 1Level 2

Managerial Broadband (Law Enforcement) M07•

Managerial Broadband (Legal) MO2Managerial Broadband (Medical) M16Managerial Broadband (Scientific) M10

$5398-6711$4811-6274$5408-6869$4799-6125$4811-6109$6110-6715$4799-6281$6379-8166$7229-9175$5150-6553

Q.

What is the nature of the probationary period In the broadband?

A.

All new appointees into the broadbands will be required to serve a 24-monthprobationary period, with evaluations to be presented at six-month intervals . Uponsuccessful completion of the probationary period, incumbents will gain "status" in thebroadband class. This is a one time probationary period in the broadband . Currentemployees who move into the broadbands will not be required to serve new or longerprobationary periods . Departments will continue to have the option of requiring anemployee to serve a probationary period when an employee is being appointed in thesame class but under a different appointing power.

Q.

How does a department determine the salary level of a position in the broadband?

A.

Departments can establish an appropriate salary range for each broadband positionbased upon the skills of the incumbent, perceived impact of the position within theorganizational structure, and available funding . Departments should continue toconsider internal reporting relationships to subordinate and supervisory classes,

•

comparison to related positions, changes that have occurred in the organization, etc.While the Managerial Broadband provides flexibility to determine the salary level of aposition, departments will beheld fiscally responsible . There will be no additionalfunding available to provide salary increases .

•

J

Managerial Broadband Demonstration .Project, .

-2-Questions and Answers

Q.

How will current employees' pay be affected?

A.

Current incumbents will be reallocated to the appropriate broadband at their currentsalary rate with the exception of a few incumbents that will receive a slight increase insalary upon movement to the broadband in order to bring their current salary rates tothe minimum salary rate of the applicable broadband . Incumbents will obtain status atthat salary level . Once in the broadband, salary increases may occur on any schedule,but performance evaluations must be given at least annually . Salary increases maytotal no more than 5 percent during a 12-month period to the maximum rate of therange for the position . General salary increases are determined by pay forperformance.

Q.

How will the Limited Duration Pay and Exceptional Recognition Pay affect theemployee?

A .

The limited duration pay and the exceptional recognition pay are provided as a paydifferential and do not confer status onto employees . These special pay features shallbe terminated without fault at the end of the assigned period. The two-pay differentialswill not be subject to PERS or STRS, deduction and will not count towards retirement.

Q.

What salary do we use for positions in the broadband to determine transferability?

A .

The departments will establish salary ranges within the broadband for each position.The maximum rate of the salary range of a position is used to make salary comparisonsfor transferability.

Q. If an incumbent is in the Managerial Broadband class and wants to transfer to anonparticipating department, what happens to his/her salary if the salary of thetransfer class is below the incumbent's current salary rate?

A.

This would be considered a voluntary demotion . This is a personal choice made by theincumbent . It does not meet the criteria for a red circle rate.

0.

Will the broadband classes be eligible for general salary increases when we havea pay program?

A.

Yes, we anticipate that the minimum and maximum of the salary range for themanagerial broadband classes will be adjusted and incumbents will be eligible forsalary adjustments based on pay for performance .

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Managerial Broadband Demonstration Project,


0.

What happens to an employee who is exercising mandatory reinstatement rightsto a managerial class that has been reallocated to one of the broadbands.

A.

The employee will return to his/her former class which will determine the salary rate theemployee should receive and then be reallocated to the appropriate managerialbroadband class as provided for in the resolutions.

Q.

How are recruitment and examinations conducted.

A.

Departments may conduct examinations on a position by position basis similar to theprocess used for Career Executive Assignments . Exams can be conducted either onan "open" or "promotional" basis . No eligible list need be developed for single-functionpositions . Departments with multiple broadband positions performing the samefunction may develop a pool of qualified candidates for these positions . Departmentsmay develop their own unique examination plans.

Q.

How would a layoff work within the broadband structure?

•

A.

Departments may request functional or program-based downsizing of broadbandpositions based upon fiscal and program considerations . Total State service ofbroadband incumbents will determine the order of layoff or demotion in lieu of layoffwithin the function or program . Broadband incumbents who are laid off or demoted in'lieu of layoff will receive only departmental reemployment rights.

0.

Will SROA or surplus status be offered to all incumbents identified in the area oflayoff?

A.

SROA list eligibility will not be available to incumbents in the broadband ; however,surplus status will be offered to all incumbents identified in the area of layoff anddepartments should provide the employees a letter of introduction.

Q.

Will departments participating in the Managerial Broadband be required to cleargeneral reemployment and SROA lists?

A.

Departments participating in the Managerial Broadband will not be generating generalreemployment and SROA lists ; therefore, will not be required to clear them.

is

Managerial Broadband Demonstration Project,


Q.

Broadband incumbents who are laid off will receive only departmentalreemployment rights. What happens if an entire department closes it door?

A. If a department is planning to close its doors, it is recommended that they terminatetheir participation in the demonstration project in order for their employees to receivegeneral reemployment list eligibility.

Q.

What impact will there be on current employees by moving to a broadband?

A.

Generally, there will be minimal impact on current employees . If the incumbent isserving a probationary period, they will continue to serve the remainder . If theincumbent has status in their current class, they will retain status at their current salarylevel . If they are not at the maximum salary rate of their current class they will maintaintheir MSA date until they reach the maximum salary rate of their current class;thereafter, they will be on pay for performance.

Q.

What happens if the features and processes of the new system are not workingduring the five-year demonstration project?

A.

Since the Managerial Broadband is a demonstration project, modifications may bemade to the design and to the processes throughout the duration of the project.Periodic evaluations will be made and problems will be resolved as they arise.Additional provisions have been provided for the departments to opt out before the five-year period in the event the new system is not working out . If the ManagerialBroadband does not prove to be a success, the provisions of the demonstration projectdesignation guarantee that participants are not disadvantaged for their participation.Hopefully the system will be a success and be formally adopted and implemented as anongoing classification plan prior to the end of the five-year period.

Q.

Can departments participate In the Managerial Broadband Demonstration Projectby division or a particular broadband class?

A.

Departments can participate in the Managerial Broadband Demonstration Project byclass. Once the classes have been identified, employees in those classes have toparticipate. This is to ensure that the provisions of the Managerial BroadbandDemonstration Project are applied equally to all employees of the class and that theyare afforded the same opportunities.

Q.

Can departments participate in more than one demonstration project?

A.

The departments can only participate in one demonstration project at a time unless

•there is no overlapping areas in the demonstration projects .

•

..

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MANAGERIAL BROADBAND ALLOCATION AND SALARY SETTING GUIDELINES

The Managerial Broadband consists of nine broadband classes. Each Managerial Broadbandclass has a different minimum and maximum salary . Depending on the broadband class, thesalaries range from 24% to 31% between the minimum and maximum salary of the classes.The one exception to this structure is the Managerial Broadband (General) class which has twolevels within the broadband class . Each salary structure is derived from existing rates formanagerial classes. There are a few managerial classes with salary rates that are either toolow or too high to fall within the bands . These classes will remain as separate classes andincumbents will not be reallocated to the Managerial Broadband class . The salaries for theManagerial Broadband classes are as follows:

Managerial Broadband (Corrections) $5398-6711Managerial Broadband (Education) $4811-6274Managerial Broadband (Engineering and Architecture) $5408-6869Managerial Broadband (Fire Protection) $4799-6125Managerial Broadband (General) $4811 - 6109 Level 1

$6110 - 6715 Level 2Managerial Broadband (Law Enforcement) $4799-6281Managerial Broadband (Legal) $6379-8166Managerial Broadband (Medical) $7229-9175Managerial Broadband (Scientific) $5150-6553

Position Allocation

All positions allocated to the Managerial Broadband classes should meet the managerialconcepts stated in Government Code 3513 (e), which defines a managerial employees as.any employee having significant responsibilities for formulating or administering agency ordepartmental policies and programs or administering an agency or department ."

It is important to emphasize that this uniquely written definition provides three managerialfunctions, all of which may identify an employee assigned to such a position as "managerial ."They are (1) administering an agency or department ; (2) formulating agency or departmentalpolicies and programs ; and (3) administering agency or departmental policies and programs.

All positions allocated to the Managerial Broadband must have a significant role in theformulation, implementation, or monitoring of departmental policy as it pertains to missionaccomplishment . The definition is provided in statute and there should be no exceptions tothis. (See attached Managerial Designation Guidelines .)

The Managerial Broadband (General) class is the one broadband which has two levels withinthe broadband class . This is due to the wide range in salary. The following are allocationguidelines for each of the levels:

Level I - This is the first managerial level . Positions at this level have full management and•

supervisory responsibility for a specialized function or program.

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Managerial Broadband Allocation and Salary Setting Guidelines .

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Level II - Positions at this level have full management and supervisory responsibility overlarge programs requiring subordinate managers at the lower level or over programshaving wide ranging consequence and impact on the department . Positions at thislevel are typically responsible for programs that are significant and most critical orsensitive in nature as it relates to the agency's or department's primary mission.

Salary Setting

Once it's been determined that the position meets the definition of "managerial" and isallocated into the Managerial Broadband class, departments need to establish an appropriatesalary rate for each broadband position based upon the skills of the incumbent, perceivedimpact of the position within the organizational structure, and available funding . While themanagerial broadband provides flexibility to determine the salary level of a position,departments will be held fiscally responsible and should continue to exercise prudentpersonnel management decisions in determining salary level.

The following salary setting guidelines were developed to help departments evaluate andestablish an appropriate rate for their managerial positions . We recommend departmentsfollow the salary structure described below because of its implications for determiningtransferability and its use for budgeting purposes . Departments will also need to work withtheir CCD Analyst whenever a need arises to adjust the salary of a position .

•

Department management should evaluate and establish a salary "range" within the broadbandfor each position . For the most part, departments would use the existing salary range for thecurrent class. Even though the salary rate in the Managerial Broadband is considered a flatrate, establishing a salary range, for each position will be a useful tool in determining the worthof a position in the organization and will provide realistic parameters for each position, ensureconsistency within the department, and will be used for budgeting purposes . Salary ranges willalso provide the incumbents a more realistic picture of potential salary advancement.

In determining the salary range of a managerial position, most often it will be based uponinternal relationships than upon comparisons with salaries of related classes/positions outsideof State service. In many instances, there will not be much room for salary adjustmentsbeyond their existing ranges due to existing salary compaction . To be consistent, the salaryrange for managerial positions should be established with only three salary steps . Once theminimum rate is determined, the two subsequent steps should be in 5 percent increments.The salary range will be used for budgeting purposes . Schedule S information will report thelowest salary rate of the salary range for vacant positions, rather than the minimum salary rateof the specific broadband.

Departments should also be mindful that the duration of the Managerial BroadbandDemonstration Project is five years and at the end of the five years, if the demonstrationproject is unsuccessful, the incumbents will have to be placed into appropriate civil serviceclasses .

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Managerial Broadband Allocation and Salary Setting Guidelines

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Once the salary range is established, departments may appoint new incumbents at any salaryrate between the minimum and maximum of the range based on the skills and experience theincumbent brings to the position. On occasion, there will be a need to extend the salary beyondthe established maximum for reasons such as severe recruitment and retention problems,extraordinary skills, and outstanding performance . These instances would be rare andshould be documented as the incumbent will obtain status at that salary level . Outstandingperformance would require performance standards and appraisal systems that could accuratelydistinguish outstanding from other levels of successful job performance . In addition to thebase rate of pay, there are two additional pay provisions which allow management to pay anemployee for enhanced assignments for a limited time period and a recognition pay forexceptional performance . The limited duration pay and the exceptional recognition pay areprovided as a pay differential and does not confer status onto employees and will not havelong-term budgetary implications.

The salary rate assigned to each incumbent in the managerial broadband is a flat rate for thatposition based on the position's current value to the organization and the performance of theincumbent . Even though we recommend the development of salary ranges, incumbents inthese positions are not entitled to merit salary adjustments.

In order to maintain consistency between departments for those positions which are performingduties and responsibilities of a servicewide nature, we have identified benchmark classes with

•

salary ranges . For positions which have traditionally been allocated to these classes, it isrecommended departments not deviate from these salaries more than 5 percent above themaximum salary range . This control measure has been added to ensure that a potentialbidding war between departments will not exist, but will provide departments some degree offlexibility-- The following are the classes and salary ranges:

Managerial Broadband (Engineering and Architecture)Principal Engineer/Architect

$5943-6553

Managerial Broadband (General)Accounting Administrator III

$5283-5824Data Processing Manager III

$5283-5824Staff Services Manager II (Mgrl)

$4811-5305Staff Services Manager III

$5283-5824

Managerial Broadband (Legal)Assistant Chief Counsel

$6692-7378

Current incumbents in managerial classes will be reallocated into the appropriate broadbandclass with no increase in salary with the exception of a few incumbents that will receive a slightincrease in salary upon movement into the broadband in order to bring their current salary ratesto the minimum salary rate of the applicable broadband . A managerial employee who isreallocated from their existing civil service class to the Managerial Broadband and is not at the

•

maximum salary of the existing civil service class has reasonable expectations that they wouldreceive MSAs if their performance was successful until they reached the top of their salary

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Managerial Broadband Allocation and Salary Setting Guidelines

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0 -ranges in accordance with DPA Rule 599 .799.1 . To keep such employees whole, they shallbe entitled, if their performance is successful, to receive annual salary adjustments equal toone step until they reach the salary rate that was the top step of their ranges when thereallocations were effected.

Salary Adiustments

Incumbents in the Managerial Broadband are assigned a flat rate and may receive up to a5 percent salary increase during any 12-month period based on pay for performance . Salarymovement will be based on successful performance . This replaces the traditional Merit SalaryAdjustment. Skill sets describing skills that are required to perform the work of each positionwill need to be developed as well as an assessment process that will be used to evaluate theemployees' skill and performance level . Departments will need to decide when and how salaryadjustments should be made. Should it be done once a year on the anniversary date or oncea year at a certain time, i .e ., at the end of the year or on June 30? Should the timing be thesame for the entire department or be at the discretion of each division? Who should beinvolved in the decision making of salary adjustments?

Pay Differentials

There are two pay differentials which provide salary flexibility for management and incentivesfor individuals provided the following criteria are applicable :

•

Limited Duration Pay Differential - Managerial Broadband incumbents may receive a 5percent salary increase for enhanced assignments for a maximum period of 24 months.Enhanced assignments may include special project assignments, additional duties andresponsibilities assumed temporarily, or other short-term job changes deemed extraordinary byexecutive management.

Exceptional Recognition Pay Differential - Exceptional recognition pay is for previouslysustained outstanding performance . Incumbents that have been at the same salary rate forthe last 12 months may receive up to 10 percent of their annual salary which will be paid in onepayment. There is no limit on the number of years that the exceptional recognition pay may begranted, but incumbents must be evaluated annually. The exceptional recognition pay mustbe based on performance over the preceding 12-month period . This pay differential iscontrolled by the amount of money budgeted or allowed for this program . Departmentmanagement is required to develop and implement specific standards and guidelines for theadministration of this program, including evaluative tools and documentation requirements.

The "Limited Duration Pay Differential " and "Exceptional Recognition Pay Differential " are notsubject to PERS or STIRS deduction and will not count toward retirement .

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•

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w

•

The State Employer-Employee Relations Act of 1977, Section 3513(e), defines amanagerial employee as "any employee having significant responsibilities forformulating or administering agency or departmental policies and programs oradministering an agency or department" . In 1982, the California Legislatureenacted a bill that directed the Department of Personnel Administration (DPA)to designate managerial positions . The definition of managerial employee, asquoted above, requires further specification in order to afford a succinctdesignation process to meet the idiosyncrasies of the State of California'sdiverse organizational structures.

It is important to emphasize that this uniquely written definition providesthree managerial functions, all of which may identify an employee assigned tosuch a position as "managerial" . They are (1) administering an agency ordepartment ; (2) formulating agency or departmental policies and programs ; and(3) administering agency or departmental policies and programs.

The following definitions apply to terms used in the guidelines:

o c

A broad, general guide to actions related to attainmentof an organization's primary mission(s).

Procedures

A series of related steps or tasks expressed inchronological order to achieve a specific purpose orobjective.

Refulations

Rules that require specific and definite actions be taken•

or not be taken with respect to a given situation.

A .

Manafement Concepts

1 . . Positions that "administer an agency or department" are clearlyrecognizable . This is a function which is carried out by thedepartmental Director, Chief Deputy Director, or equivalentpositions at the department's first organizational level.

"Formulating policy" involves the exercise of discretion to developand modify organizational actions which relate to the attainment ofan organization's primary mission(s).

Positions meeting this criteria will typically be at the secondorganizational level functioning as Deputy Directors andparticipating as members of the Director's executive staff.

Administering agency policy and programs means "the employee has asignificant role in putting policies into effect and monitoringpolicies to ensure compliance" . Positions which meet this criteriawill typically be limited to one organizational level below CareerExecutive Assignment positions.

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General Guidelines To Be Used For All Managerial Designations

1. Policy Role - All managerial designations MUST have a significant

•role in the formulation, implementation or monitoring ofdepartmental policy as it pertains to mission accomplishment.

2. Organizational Level - For positions to have a significant impacton departmental policy they must be placed in the upperorganizational levels . While this placement will vary depending ondepartmental size, managerial designations will typically belimited to one organizational level below Career ExecutiveAssignments.

3. Salmi Guideline - Classes designated managerial should have amaximum salary equal to or greater than the maximum salary of themanagerial class identified below for each CBID . The salary cutofflevel is not absolute either positively or negatively, and itrepresents one of many factors to consider, in determining theappropriateness of a managerial designation for a class.

Bargaining_ Unit

a s

01 Staff Services Manager III02 Assistant Chief Counsel03 Education Administrator II04 Not Applicable05 State Traffic Lieutenant06 Correctional Captain07 Fire Prevention Engineer08 State Forest Ranger IV

•

09 Supervising Transportation Engineer10 Bay-Delta Fishery Program Manager11 Not Applicable12 Manager Transportation Services, CHP13 Not Applicable14 Not Applicable15 Not Applicable16 Chief Physician and Surgeon

(for medical classes)16 Chief Dentist (for dental classes)17 Coordinator of Nursing Services18 Program Director (various programs)19 Chief, Radiological Health Section20 Not Applicable

Subordinate Supervisors - In order to allow management positionstime for overall policy evolvement and administration, there shouldbe at least two levels of subordinate supervisors below the lowestmanagement level .

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C . Guidelines For Specific Situations To Be Used When Applicable

1. Headquarters Positions

Managerial employees in departmental headquarters positions mustmeet the criteria of (1) a significant role in putting policiesinto effect ; (2) a significant role in monitoring policies toensure compliance ; and (3) possessing the authority throughindependent judgement to enlarge or narrow policy applicationbeyond standard operating procedures.

Decentralized Positions

(A) Managerial employees in large decentralized functions, suchas, correctional institutions, State hospitals, transportationdistricts, or comparable sized organizational units ordinarilycan be identified as the institution head (Director,Superintendent, etc .) the next or second person in charge andthe program managers of programs directly related to missionattainment.

(B) Employees in decentralized functions where district, regionalor area offices are maintained may be designated as managersif they are in charge of operations in that district, regionor area, the scope of responsibilities is large (Region hasmore than 1,500 staff), and they possess the authority to makeindependent judgements to enlarge or narrow policyapplications beyond standard operating procedures.

•

3 . Control Agency Positions

Positions in organizations reporting directly to the Governor andwith primary responsibility to set and administer policy whichimpacts statewide programs may be designated managerial whenincumbents are : (1) assigned decision-making authority over aclearly defined and distinct program area ; (2) function as therecognized State expert in the program ; and (3) given thediscretion to act for the department Director with only generaldirection from top management.

4 .

Line Program Classes vs . Administrative

Line program classes are responsible for the department's primarymission, and, as such, they have authority to deviate from andadapt "agency policy and programs" as necessary for missionattainment ; administrative classes at the same organizational levelas a designated managerial line program class do not havecomparable decision making authority on issues which directlyimpact primary mission accomplishment . Therefore, line programclasses at a given organizational level may be designatedmanagerial, while administrative classes at the same organizationallevel may be designated supervisory.

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5 . Highest Level in a Technical Series - Management designationswill typically not be considered for positions in classes which arebelow the highest technical level in a series . For example,

.positions at the Senior level (SSM II) where a Supervising levelexists in the series . ;

D .

Specific Exclusions

Policy is finally determined by the person who is responsible andaccountable for the results of that policy . In contrast, the followingroles will not typically have the level of policy responsibilityexpected of management levels.

1. Employees throughout the organization participate in discussionswhere policy alternatives are aired . However, this involvement isnot equivalent to possessing "significant responsibilities forformulating" policy.

2. Employees who exercise discretion only within their area ofexpertise, such as data processing specialists, electronicengineers, etc ., usually do not have a manager's authority toformulate agency or departmental policies or programs.

3. Most personnel from the first-line supervisor through what has beencommonly referred to as middle management are enforcing rules andprocedures that emanate from policy but require .little or noindependent judgement in application.

In'addition to the guidelines contained herein reference in comparison to

•present managerial and supervisory designations should serve as a guide toproper designation .

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MANAGERIAL BROADBAND ASSESSMENT GUIDELINES

The attached Managerial Assessment Form has been developed by the ManagerialConsolidated Project (MCP) Team to be used as a Probationary Period Report or as anAnnual Assessment Report. The MCP Team has identified generic skill sets or competenciesthat are applicable to positions in the Managerial Broadband classes . Departments may usethis assessment form as a guide and develop a more detailed description of skill sets andcompetencies for each position . If departments already have a comprehensive assessmentform for their managerial employees that has been approved by the Department of PersonnelAdministration, they may continue to use it.

The Managerial Assessment Form is intended for use as a Probationary Period Report.When used for this purpose, it should be completed every six months . This report shouldbe completed for each quarter period of the 24-month probationary period for all initialappointments to the Broadband.

The Managerial Assessment Form is also intended for use as an Annual Assessment Report.An incumbent in the Managerial Broadband will need to have a performance assessmentcompleted at least annually or on an as needed basis when a more frequent assessment isnecessary. The Annual Assessment Report is completed on the anniversary date of theemployee's appointment to the Broadband . (For employees who will be moved into theBroadband via SPB Resolution at the time of the broadband implementation, their anniversary

•

date will be the date that they were appointed to their current class .)

The Annual Assessment Report is intended as regular feedback regarding each employee'sskill development needs and performance . It may also be used to support and documentperformance pay adjustments, Exceptional Recognition Pay, performance deficiencies, orcorrective action need.

0

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MANAGERIAINSSESSMENT

•

tiEmployee:

q Probation Report No .

End Date :

`

Job Title :

q Annual Assessment Assessment Period:

Current Date :

q Salary Movement Justification

SKILL SETBelow

1 . COMMUNICATION SKILLSVerbal Communication Skills

q• Expresses succinct, well-organized facts and ideas ; conducts effective briefings and other meetings.Written Communication Skills

q

• Writes clearly and concisely; organizes material so it is easy to follow, with key ideas and conclusionslogically presented and supported ; prepares memos and written guidelines which present theDepartment's policies and positions.

Interpersonal Skills

q

• Demonstrates tact, diplomacy, courtesy, respect and empathy.• Establishes and maintains effective working relationships ; relates well to persons of varied backgrounds.Consulting/Negotiation Skills

q

• Works and communicates with clients, customers and coworkers to provide information and satisfyexpectations ; negotiates mutually acceptable solutions.

2 . LEADERSHIP SKILLS• Models high standards of honesty, integrity, trust and ethical behavior ; is consistent and keeps

qcommitments ; recognizes own strengths and weaknesses ; adapts leadership style to a variety ofsituations ; considers and responds to the needs and feelings of others.

• Involves relevant people in decision-making ; makes logical and well-informed decisions; can effectively

qdeal with pressure and ambiguity in the workplace.

• Encourages the highest professional standards ; encourages open communication and input from staffand others; creates an environment of employee fairness ; promotes cooperation, teamwork and pride;imparts orqanizational vision to others .

Level .>w Above

.. . .< q

q q

3. PROGRAM PLANNING AND ORGANIZATIONCustomer Focus and SatisfactionRecognizes the importance of meeting customer needs; is committed to improving services andeffectiveness ; solicits input and feedback from customers ; adjusts program processes to better meetcustomer needs.Planning and Managing Resources• Manages resources and organizes work to ensure effective program delivery within budget ; establishes

program goals and objectives ; establishes budgetary plans and authorizes expenditure of funds;ensures that work priorities are established and that goals and objectives are achieved ; adjusts tomeet changing priorities ; anticipates contingencies and develops alternate plans of action ; evaluatesprogram performance and effectiveness; anticipates changes and ensures employees are trained tomeet changing business needs ; clarifies programmatic issues; ensures employees are kept informedabout changing policies and practices and how they will affect individual employees.

Strategic Planning• Leads effective strategic planning effort ; adjusts plan as required by changes in technology or

business trends.

4. PROBLEM SOLVING SKILLSAnalytical Skills• Successfully identifies and analyses problems and business trends ; gathers, interprets and evaluates

information to determine its accuracy and relevance; uses sound judgment to generate and evaluatealternatives and to recommend a solution ; makes decisions within time parameters.

Creative Thinking and Problem Solving Skills• Resolves problems and reaches workable solutions ; finds solutions to complex problems ; uses imagination

and resources to develop new insights into situations and applies creativefinnovative solutions toproblems; designs new methods where established methods and procedures are inapplicable oroutmoded; understands impact of decisions; demonstrates openness to change and new information;manages and resolves conflicts ; anticipates potential challenges or opportunities.

5. HUMAN RESOURCESManaging Human Resources• Utilizes effective selection methods ; provides opportunities for a diverse workforce ; treats people

fairly; motivates and promotes employee initiative and facilitates the open exchange of ideas;empowers staff with the authority to make decisions and gives them the freedom to do their jobs;provides challenging assignments ; clarifies roles and responsibilities ; provides encouragement andsupport ; addresses employee concerns ; promotes safety in the workplace.

Managing Performance• Provides training opportunities linked to improving job performance ; establishes performance

standards ; conducts timely and accurate performance reviews and feedback; takes corrective actionwhen problems arise.

•

•

Below Above

1-1

1

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Below5. HUMAN RESOURCES (CONT'D)

Team Building Skills• Displays understanding of the roles of team member and team leader ; has the skills necessary to serve

a team leader in coordinating the activities of others ; is able to effectively influence, motivate andchallenge team members.

Labor Relations• Is knowledgeable of bargaining unit contract(s) and the managers role and responsibilities outlined

therein ; communicates effective) with labor union representatives as required.6. ORGANIZATIONAL AWARENESS

• Ensures activities and services reflect management policies ; goals and philosophies are consistent withthose of the organization ; knows how political, organizational and technological systems work andoperates effectively within them.

7. TECHNICAL COMPETENCE• Maintains a high level of professional expertise ; exercises the final review and approval of work output;

has a thorough understanding of the technical content of own and related jobs ; is knowledgeable ofadministrative and program laws, rules and regulations ; uses technical job-related knowledge to achieveprogram goals and objectives . Note: The level or technical competence is demonstrated by thereputation and authority that the incumbent possesses compared to others at the same level.

8. OTHER FACTORS (NOT LISTED ABOVE WHICH AFFECT OVERALL RATING):

a.

b.

C.

d.

9. OVERALL RATING

Overall Assessment :

Employee Self Assessment (if different from rater):

Recommendation/Discussion:

Recommendation for Salary Adjustment (if applicable) :

q approved

q disapproved

If you wish to appeal this performance appraisal, please contact your Personnel Officer immediately.

Rater Signature :

Date :

Employee Signature :

Date:

Reviewer Signature :

Date:

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