400. CEA Category Criteria

Introduction

Statutory Definition

Government Code Section 18547 states:

“Career Executive Assignment” means an appointment to a high administrative and policy-influencing position within the State civil service in which the incumbent’s primary responsibility is the managing of a function or the rendering of management advice to top level administrative authority. Such a position can be established only in the top managerial levels of State service and is typified by broad responsibility for policy implementation and extensive participation in policy evolvement...

While the terms in this definition are broad, they convey the intent that CEAs are to be limited to the highest, most critical positions in State civil service. These are the positions that have continuous, direct interface with department Directors and constitute, in their respective departments, the Director’s top management team. They should have a decisive role at their departments’ highest policy-making levels and should have regular involvement in department-wide program management, such as that which results from participation in a Director’s cabinet or executive staff.

Distinguishing Characteristics

The depth and breadth of the role of the individual in the development and implementation of policy is a critical consideration in determining whether a position meets the statutory requirement for having a high-level policy influencing role.

Departments should provide as much detailed information as possible, including a description of the policy role of a position as follows:

• The program area(s) in which an individual will have a policy-influencing role and examples of specific policy issues with which the individual will be involved;
• The extent to which the policy-influencing role affects programs that are critical to the department’s mission and the extent to which the role has an impact that extends beyond internal departmental programs;
• The sensitivity, criticality, and complexity of the policy issues as well as the degree of public, media, and legislative interest and concern;
• The extent to which the individual has continuous and direct interface with the department or agency head; departments should clearly distinguish between the policy roles of the respective CEA or exempt positions where the organizational chain-of-command indicates that the proposed CEA allocation reports through one or more additional CEA or exempt positions to the agency/department head.

Guidelines for Allocation to the CEA Category

In order to determine if the proposed position meets the statutory definition of a CEA as a high-level administrative position, evaluate the following factors for each position.

Managerial Responsibility

CEA positions are responsible for the administration of departmental programs and policies. In order to ensure that incumbents have time for policy involvement and program administration, CEA positions should have at least two levels of subordinate professional supervisors.

Policy Influence

CEA positions are statutorily defined as “policy-influencing.” To determine the actual policy impact of a position, consider the nature of the policies with which the position is involved:

• Does policy pertain to departmental mission or administrative functions such as personnel, budgets, etc.?
• Who is impacted by these policies?
• Does the position develop, recommend, or make final decisions regarding the adoption of the policies?
• Is the position is responsible for the implementation of the policies and programs related to basic departmental mission accomplishment?

Organizational Level

This factor will be influenced by departmental size and geographical location. Since the statutory definition limits CEA positions to those that are of a “high administrative and top managerial” nature, CEA positions must be placed within the top four organizational levels of the department. Positions below the fourth organization level are not eligible for assignments to the CEA category.

Use the following as guidelines when evaluating this factor:

• Small departments (less than 1,000 employees) should have their key executive positions concentrated at their first (Director/Chief Deputy) and second organizational levels, except in control agencies, where positions clearly meeting the statutory definition of a CEA may occur at the third organizational level.
• Medium departments (1,000 to 4,000 employees) should also have most of their CEA positions concentrated at the first and second organizational levels, although the larger or more complex departments within the range can justify third level CEA positions.
• Large departments (more than 4,000 employees) typically have many CEA positions at the first three organizational levels. In the largest departments with decentralized functions or highly diverse functions, consider the functional unit as an independent entity for the purpose of identifying the size and appropriate organizational levels for CEA allocations. Also, in large departments without chief deputy positions, the Director and Deputy Directors may be considered one organizational level.

Scope

This factor will also be influenced by the size of the department. The scope involves the overall responsibility assigned to the position. Consider the size of the department, the size and composition of the subordinate professional staff, the nature of the departmental mission and the proportion of the mission that the position is responsible for, and the total number of CEA and exempt positions in the department. This factor indicates how the department disseminates managerial responsibility and the strength of the policy influence assigned to the position. The scope of responsibility should be significant and comparable to other appropriately designated positions within the department or other State service departments with similar responsibility.

Specific Criteria

Within the general factors discussed above, the following criteria should be used to evaluate the appropriateness of assigning specific positions to the CEA category.

Organizational Levels

Positions at the first and second organizational levels that manage major functions or provide management advice to top-level administrative authority are normally appropriate for assignment to the CEA category.

First Organizational Level

Positions at the first organizational level are department heads, executive officers and, typically, Chief Deputy Directors. In departments that are administered by boards or elected officials, the first level shall include deputies or executive officers who have department wide management authority.

Second Organizational Level

Positions at the second organizational level will typically be division chiefs or Deputy Directors responsible for several major divisions.

Special adviser positions

Special adviser positions at the second level may be included in the CEA category when such positions render broad management advice that significantly impacts a wide spectrum of departmental policies. Adviser positions that are exclusively limited to a particular specialty or program area should not be allocated to the CEA category unless they meet the standards for program sensitivity contained below. Also, in cases where a department has more than two or three high level advisers, careful consideration should be given to the extent to which the concentration of policy responsibility in such positions may weaken the policy-influencing role of line positions in the same program or department.

In cases where each member of a board or commission utilizes such an advisor, it will be presumed that there is little need for additional staff advisory CEA positions. Because exempt positions often provide special expertise and policy advice to top level administrative authority, the number and reporting relationships of exempt employees should be carefully considered when assigning civil service positions to the CEA category based upon their responsibilities for rendering management advice.

Positions at the third organizational level

Positions at the third organizational level may be assigned to the CEA category only if they have responsibility for managing a major function, as described below. Positions at this level will be decided on a case by case basis, and all of a department’s third level positions will not normally be assigned to the CEA category. In order to be assigned to the CEA category, positions at this level must meet the following criteria:

Positions at the third organizational level which are properly assigned to the CEA category can include chiefs of major divisions in large departments (usually more than 4,000 employees) who report to the Director’s office through one of several Deputy Directors, each of whom is responsible for a number of distinct divisions. It is important to note that all third level division chief positions should not necessarily be assigned to the category and that attendance at division chief staff meetings does not, in itself, justify a CEA allocation, particularly when the department’s top level cabinet or executive staff is composed of positions at and above the Deputy Director level.

Positions at the third level reporting to adviser and special assistant positions (which are at the second organizational level) may not be assigned to the CEA category.

In some instances, positions responsible for extremely sensitive and critical line programs within a line division may be assigned to the CEA category. Extreme program sensitivity is shown by intense legislative interest, as illustrated by the need to testify before legislative committees on a regular basis, and regular major news media coverage. Positions assigned to the CEA category based on their extreme sensitivity and criticality must be periodically reviewed by the Department of Personnel Administration (DPA) staff to ensure that the positions still possess these attributes. If the program sensitivity diminishes, these positions should be returned to the general civil service and allocated to an appropriate general civil service class.

Positions in organizations which report directly to the Governor in which the incumbent’s primary responsibility is rendering of advice to top level administrative authority that significantly impacts statewide programs. This occurs only where positions affect decisions to create, expand, decrease, eliminate, or otherwise substantially modify State programs outside their department.

Assistant division chief positions may not be assigned to the CEA category unless they fully meet the “sensitive and critical” criteria outlined above or, on other than a temporary basis, have full supervisory responsibility for positions meeting any of these CEA criteria.

In addition, positions at the third level that otherwise meet the criteria for fourth level CEA positions may also be assigned to the CEA category.

Other Positions

Positions responsible for managing a hospital, institution, district, or region may be assigned to the CEA category when these units perform a wide range of major program activities with a high degree of independence of action and report to the first or second organizational level. (See below for discussion of fourth level institution or region heads.)

General Policy

It is DPA’s general policy that positions at the fourth or lower organizational level should not be assigned to the CEA category; however, on a limited basis, exceptions may be granted to this policy for fourth level positions when a department has unique or highly unusual needs. Following are examples of situations that may justify fourth level CEA positions:

The department’s program is administered and carried out primarily through an extensive field organization in which the heads of major regions and institutions are at the third level. These positions should otherwise meet the third-level CEA criteria outlined above. In the largest departments (generally more than 7,500 employees) deputy regional or institutional administrators may also be included in the CEA category when all of the following conditions are met.

Where either:

1. the region’s or institution’s policy formulation activity is concentrated in its first and second organizational levels and determined by a small management team (usually four or less) responsible for all program and administrative areas of the region or facility; or
2. the incumbent has a “Chief Deputy” relationship to the regional or institutional administrator and has direct line management responsibility for all or most of the region’s or institution’s programs.

The region or institution has a very large staff (generally more than 1,500 employees) and has considerable independence for the complete administration of a broad range of departmental programs. Such independence exists when the regional/institutional administrator has the authority and the need to make substantial adaptations of departmental programs and policies to meet relatively unique local needs.

Where, for reasons of equity and consistency, it is desirable to classify all of the deputy regional/ institutional administrators in a department at the same level; all such positions otherwise meeting the standards outlined above may be included in the CEA category if the majority of the department’s regions/institutions have more than 1,500 employees.

Managers in large departments (generally, more than 4,000 employees) who are responsible for line programs that have extreme sensitivity as outlined above. These instances should be extremely rare. When CEA positions are approved on this basis, they will be reviewed periodically to determine if the position is retaining this high degree of sensitivity.

In large departments (and generally limited to those with more than 7,500 employees) managers of programs that are so large and that have such an important department-wide impact that they would clearly have division level status if they were in an average-sized department. Such programs must have at least two levels of professional level management below the program manager.

Positions immediately below the department’s division chief level that have comprehensive policy-setting responsibility, on a statewide basis, for very extensive local governmental operations. This occurs only where the State has very strong and independent control over such operations and does not include instances where the State is essentially interpreting and applying policy and statutory direction from the Federal Government. It also excludes instances in which the State controls only a portion of a local activity or provides guidance or support without having actual control.

Project Manager

A project manager of an information technology or engineering construction project may be a CEA if the incumbent is to develop and/or strongly influence the development of policy pertaining to the mission of the department. Such a position would normally be at the second organizational level but may be at the third level on extremely large, complex, and/or sensitive projects. The position must meet the following criteria:

• Be designated head of the project and be responsible for the overall completion of the project.
• Have a direct impact on accomplishing the mission of the department.
• Be responsible for management of large staff of State, contract, or other employees and multimillion dollar budget.
• Have a direct impact on the health, safety, welfare, and/or other vital interests of the public and/or other primary customers.
• Receive strong media and Legislative interest.
• Be of such complexity that few persons in State service possess the capacity to accomplish the project successfully.
• Have such a consequence of error that failure could result in the loss of life, loss of millions of dollars, negative media coverage, loss of faith by the public, and other customers, litigation, or civil or criminal investigations.

Selection and Retention

The flexible selection and retention techniques which are part of the CEA program are intended to encourage the development of general managerial skills and the interdepartmental movement of persons with such skills. In addition, it is clearly in the best interests of State service for an appointing authority to have an adequate number of well qualified candidates from which to choose when filling top level managerial positions. See Section 420 for policy guidelines on the use of CEA, Exempt, and civil service classes in high-level management positions.

Other Considerations

When applying these criteria to determine if a position may be assigned to the CEA category, it is necessary to evaluate the position’s duties and responsibilities in relation to those of all other positions in the department. Such an overall organizational review must consider not only other CEA positions, but exempt and general civil service positions as well. If the basic functions of two or more such positions overlap, then the level of duties and responsibilities of each position is diminished.

Positions which are not appropriately included in the CEA category will not be designated as CEA simply because they are placed at high organizational levels. The basic organizational structure of the department must be consistent with good management and personnel practices.

Departments have occasionally used some of the duties and responsibilities, which have previously been used to support the assignment of currently authorized CEA positions to the CEA category, to support the assignment of another position to the CEA category. Such an action tends to diminish the level of duties and responsibilities of the original CEA position and may result in lowering the CEA level of this position or in its removal from the CEA category. Such actions may also affect general civil service positions in a similar manner and may result in reclassification of such positions to lower general civil service classes.

Establishment of New CEA Band Positions

A department should develop a key position description, duty statement, and organization chart for each position to be established. These should be forwarded to the State Personnel Board with a cover memorandum that highlights the policy role of the position. It is critical in cases where the incumbent of the new CEA position will report to another CEA to distinguish between the policy role of each of the positions. A copy of the package should also be submitted concurrently to DPA. (See Section 410.)

Retired Annuitants

A retired annuitant shall only be appointed to a CEA position if the position has been established by the State Personnel Board and the retired annuitant is to perform the approved duties of the CEA position. A retired annuitant should always be appointed to the class, be it CEA or civil service, that is appropriate to the duties to be performed. A retired annuitant, of course, must have reinstatement eligibility for any class to which appointed, as outlined under GC 19144.

Reporting Requirements

DPA maintains, on an ongoing basis, CEA files and CEA database of existing and established CEA positions within each department and agency. These files are available to the Governor’s Office for review and to other State departments and agencies for comparisons. Therefore, when changes occur (i.e., position numbers, title change, duties, level change, etc.), each individual department must provide to their respective Classification and Compensation Division analyst an updated CEA Position Database Input form, Duty Statement, Key Position Description, and Organizational Charts. For more information on reporting requirements, see Section 450.