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COMPLIANCE REVIEW REPORT
CALIFORNIA DEPARTMENT OF FINANCE
Compliance Review Unit State Personnel Board October 23, 2015
TABLE OF CONTENTS
Introduction ..................................................................................................................... 1
Executive Summary ........................................................................................................ 1
Background ..................................................................................................................... 2
Scope and Methodology .................................................................................................. 3
Findings and Recommendations ..................................................................................... 4
Examinations ............................................................................................................. 4
Appointments ............................................................................................................. 7
Equal Employment Opportunity ............................................................................... 15
Personal Services Contracts .................................................................................... 16
Departmental response ................................................................................................. 18
SPB Reply ..................................................................................................................... 18
1
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o conduct sains informa
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SPCalifo
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TIVE SUMM
nce review as of examh 31, 2014.
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MARY
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to carry
ancial plan o present b
ng and Re
sure comp
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Severity
In Complia
In Complia
follows:
The Directhief fiscal prector sits work on isd the peop
out the st
(budget), wy January
porting Sy
liance with
department
y
nce
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tor of policy as a sues
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On Augthe CRU2015, to
1If an empcompliancaudit the process. I
Provide fiscepartments
ope of thements, EEOmary object and proceecommend
-section of re that samvels were d, which iscoring res
ng criteria, eets, emplo
view of theures; the Enation com
modation py Committe
PSC’s wereconclusions nt. The revito PSC’s co
ust 5, 2015U’s initial fio submit a
ployee organce review per
contract. InsIn this instanc
al and accs. (GC 1300
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e compliancO programtive of the edures com corrective
the DOF’s mples of var
reviewed. ncluded esults, noticehiring inteyment histo
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e also reviewas to wh
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conference d recommesponse to t
ests the SPB o the completPB will reviee reviewed P
PB Complianrnia Departm
aining, advi
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was held wndations. Tthe CRU’s
to review anytion of the finaw the contra
PSC’s were ch
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DOLOGY
ed to reviely 1, 2013
mine if the service lawcies were i
ppointmentsnd appointmd the docuxaminationforms, vaccertificationndence, and
examining reporting mobility p
mplaint prowed approp
he scope oions for th
F practices,y law and bo
with the DOThe DOF wdraft repor
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onsulting se
ewing DOFthrough MDOF perso
ws and boadentified.
s were selement types,umentation bulletins,
cancy postinn lists, trand probation
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program; tocess; andpriate DOF
of the comphe contract, policies, aoard regula
OF to explawas given urt. The DO
ervices contrae review repoto its statuto
ervices to
F examinatMarch 31, 2onnel practard regulat
ected for re, classificat
that the job analy
ngs, applicnsfer movemn reports.
EO policies ip; the intethe reasond the Disastaff.
liance reviets were leand procedations.
ain and disuntil Augus
OF asked fo
act during theort, the SPB wory and regu
state
tions, 2014. tices, tions,
eview tions, DOF yses, ation ment
and ernal nable ability
ew to egally dures
scuss st 18, or an
e SPB will not ulatory
4
extensiorespons
Examina Examinafairly to perform Code, §the formBoard eof emplo§ 18931designatestablishcontain minimumthe officexaminaeach peof the ecompetitemploym During reviewed
Cl
Assistaof StateEvaluat
2 In a staqualificatiomatter extheir abilit
on and on e, which is
ations
ations to estest and
the duties 18930.) Ex
m of a demestablishes oyees for ea.) Within ated appoinhment of elsuch inform
m qualificatce of the ation annourson compe
earned ratintor shall b
ment list res
the periodd 10 of thes
lassification
ant Chief, Oe Audits & tions
atement of qons and expe
xperts, evaluaty to perform
August 24attached to
FINDI
stablish an determine of the classxaminations
monstration minimum qach class o reasonabl
nting poweligible lists.
mation as thions. (Ibid.)departmen
uncement. (eting in anyngs on all be notified sulting from
under rese examina
n Ex
Office E
As
ualifications erience relateate the respoin a job class
SPCalifo
4, 2015, tho this final c
NGS AND
eligible listthe qualifi
s of positios may be aof skills, o
qualificationof position ae time befor shall an(Gov. Cod
he date and) Every appt or a des(Gov. Codey examinatiphases of in writing
m the exami
view, the ations, whic
xam Type
Career Executive ssignment
(CEA)
(SOQ’s) exaed to a publisonses accordiification, assi
PB Complianrnia Departm
he CRU recompliance
RECOMM
t must be cications, fitn for which
assembled or any comns for deterand for appore the schnounce or
de, § 18933d place of tplicant for esignated ae, § 18934.on is to be the examinof the re
nation is es
DOF condch are listed
ExCompo
StatemQualific
(SOQ
mination, aphed list of deing to a predgn scores an
ce Review ment of Financ
eceived ane report.
ENDATION
competitivetness, and
h he or she or unassem
mbination ormining thelicants for e
heduled datr advertise 3, subd. (a)he examina
examinationppointing p) Generallydetermined
nation. (Gosults of thstablished.
ducted 13d below:
am onents
ment Of cations Q’s)2
plicants submesired qualificdetermined rad rank the co
ce
nd carefully
NS
e and of suc ability of seeks app
mbled, writtof those tee fitness anexaminationte for the e
the exam).) The adveation and thn shall file apower as y, the final ed by the weov. Code, §he examina
(Gov. Cod
examinatio
Final File Date
1/9/2014
mit a written cations. Raterating scale dompetitors in a
y reviewed
ch charactecompetitor
pointment. (ten or oral, ests. (Ibid.) nd qualificans. (Gov. C
examinationmination forertisement he nature oan applicatidirected inearned ratineighted ave§ 18936.) Eation whene, § 18938
ons. The
No. oApplicat
10
summary ofrs, typically suesigned to aa list.
d the
er as rs to (Gov. or in The
tions Code, n, the r the shall
of the on in
n the ng of
erage Each n the .5.)
CRU
of tions
f their ubject ssess
5
Cl
AssistaBudgetFinanciPerformI, DOF FinanciPerformEvaluatPrincipBudgetProgramManagResearSpecia(DemogResearSpecia(DemogSenior AnalystSystemSupervPerform
3 In a supperson atapplicatioalso know4 The quacompetitoone anoth5 Work saand/or jocandidaterequiring designs, s6 In an ed678 appliinclude yework expe
lassification
ant Financet Analyst ial & mance Eval
ial & mance tor III al Programt Analyst II m Budget er rch Programlist I graphy) rch Programlist II graphy) Administrat (Accountin
m) visor, Finanmance Eval
pplemental apt a predetermn and must b
wn as "rated" aalification app
ors appear beher based on ample examinb behavior,
e behavior in language skilsuch as role-pucation and ecation forms,ears of relevaerience.
n Ex
luator
DePr
m & III
DePr
m DePr
m DePr
tive ng
DePr
cial & luator
DePr
pplication (SAmined time abe completedapplications. praisal panelefore a panel an assessmenations (WS) are administperforming thlls (written or play exercisesexperience (E and scores
ant higher edu
SPCalifo
xam Type
Open
Open
partmental romotional
partmental romotional
CEA
partmental romotional
partmental romotional
partmental romotional
partmental romotional
A) examinatioand place. S in order to re
(QAP) intervof two or mo
ent of their abare a broad
tered in a sthe prescribedverbal) and m
s or oral presE&E) examina
and ranks thucation, profe
PB Complianrnia Departm
ExCompoSupple
ApplicatiQualif
Appraisa(QA
Work S(WS)5 a
SA and
SO
EducaExper
(E&
E&
QA
WS an
on, applicantsupplemental emain in the
view is the oore evaluatorsbility to perform
class of asstandardized
d tasks. Verbamay include ientation exam
ation, one or mhem accordinessional licens
ce Review ment of Financ
am onents
emental ion (SA)3
ication al Panel
AP)4 Sample and QAP
d QAP
OQ’s
ation & rience
&E)6
&E
AP
nd QAP
s are not reqapplications examination.
oral componers. Candidatem in a job clasessment techmanner, andal work sampinteraction wiminations. more raters re
ng to a predeses or certific
ce
Final File Date
3/19/2014
3/17/2014
8/15/2013
7/23/2013
9/4/2013
9/16/2013
12/24/2013
12/26/2013
10/27/13
quired to presare in addit
. Supplement
ent of an exas are rated assification. hniques that d allow for tples involve aith people. Th
eviews the apetermined ratications, and/o
No. oApplicat
4 140
4 132
3 15
3 23
5
3 1
3 2
3 11
13
sent themselvtion to the retal application
amination whand ranked ag
replicate job the observatia problem situhere are num
pplicants’ Staing scale thaor years of rel
of tions
0
2
ves in egular ns are
hereby gainst
tasks on of uation
merous
ndard t may levant
6
FINDIN
Summa
Criteria
Severity
Cause:
NG NO. 1 –
ary:
:
y:
Examina
For the FFinancial informatioutilized otypes of tpart of tweighted
Governmdesignateexaminatannounce
(1) The d(2) The n(3) The g(4) The rtype of te(5) Any o(b) The dwhen aneligible lisnotificatioinformatio(a).
Non-Serioinclude ththis caseexaminat
The DOFsome insprocess options weach combulletin. T
SPCalifo
ation Bullet
Financial & & Perform
on regardinon the bulletests, howethe tests a100%".
ent Code ed appoinions for ement shall
ate and plaature of theeneral scoprelative weest is to bether inform
department y promotiost is annou
on shall ston listed in
ous or Teche relative we, it did nion process
F states thastances, Huof identify
with Exam Cmponent isTherefore,
PB Complianrnia Departm
tins Did No
Performanance Evalu
ng the relatietin. Speciever, did noand only
section 18nting powe
the estal include the
ace of the ee minimum pe of the exeight of ite utilized.ation the deshall notify
onal examiunced or adtate the joparagraph
chnical. Alweight of eot appear s.
at when exuman Resoying variouConsultants
s not knowwe consid
ce Review ment of Financ
ot Include
nce Evaluatuator examsive weight oifically, botot include tstated, “Th
8933 stateser shall
ablishment e following:
examinationqualificatio
xamination.ts several
epartment dy the Depaination for dvertised toob positionhs (1) to (5
though exaach part ofto compro
xamination ources (HRs testing s. As a res
wn upon redered the
ce
All Requir
tor III and s, the DOFof several pth exams uthe relative he entire
s that a deannounce of eligib
:
n. ons. . parts if m
deems propartment of V
the estabo eligible cn and incl), inclusive
amination bf the tests bomise the
bulletins aR) staff may
methods asult, the spelease of th
examinatio
rements
the SupervF did not incparts of theutilized muweight of examinatio
epartment or adve
ble lists.
more than
per. Veterans Afblishment ocandidates.ude all of
e, of subdiv
bulletins shbeing utilize
results of
are releasey still be inand discus
pecific weighe examinon compon
visor, clude e test ultiple each
on is
or a ertise
The
one
ffairs of an The f the vision
hould ed, in f the
ed, in n the ssing
ght of ation
nents
7
Action:
Appointm In all caappointireinstateAct and way of tfitness, positionmental f During reviewed
C
AssociaBudgetBusine(Spec) Data PManagFinanciPerformDOF FinanciPerformIII, DOFOffice T(TypingPerson
ments
ases not exng power ements, pro
Board ruletransfer, orwhich requ, including fitness. (Ca
the complid 77 of thos
Classificatio
ate Financet Analyst ss Service
rocessing er III ial and mance Eval
ial and mance EvalF Technician g) nnel Specia
used as ppart of thweighted
The DOFcompliancsection 1further ac
xcepted or must fill p
omotions, aes. (Gov. Cr by way ofuires consid
his or her l. Code Re
iance reviese appointm
on
e C
Officer I C
C
luator II, C
luator C
C
list C
SPCalifo
part of the Fhe entire Q100% in its
F has submce in mee
18933 as pction is requ
exempted positions band demoti
Code, § 190f reinstatemderation of
knowledgegs., tit. 2, §
ew period, ments, whic
AppointmType
Certification
Certification
Certification
Certification
Certification
Certification
Certification
PB Complianrnia Departm
FPE III andQualifications entirety.
mitted a coeting the rpart of its uired at this
by Article Vby appointmions in stric050.) Appoment, must each indivi
e, skills, ab§ 250, subd
the DOFch are listed
ment T
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
ce Review ment of Financ
d Supervisons Apprais
orrective acrequiremendepartmen
s time.
VII of the Cment, incluct accorda
ointments m be made idual’s job-
bilities, expe. (a).)
made 95d below:
Tenure
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ce
or, FPE exasal Panel (
ction plan fnts of Govnt response
California Cuding casence with th
made from on the bas
-related quaerience, an
appointme
Time Base
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
aminations tQAP) Inter
for ensuringvernment Ce, therefore
Constitutiones of transhe Civil Seeligible listssis of meritalifications nd physical
ents. The
No. oAppointm
4
1
1
7
6
3
1
to be rview
g full Code e no
n, the sfers, rvice s, by t and for a l and
CRU
of ments
8
C
PrincipAnalystPrincipAnalystResearResearSpecia(DemogResearSpecia(DemogResearSpeciaResearSpecia(DemogSenior AnalystSystemStaff FiAnalystStaff InAnalystSupervAdminiAccounSupervPerformAssistaState AEvaluatAssistaBudgetChief, OAudits ProgramManagBusineAssistaPrincipAnalyst
Classificatio
al Programt II al Programt III rch Managerch Programlist I graphy) rch Programlist II graphy) rch Programlist II (Econrch Programlist III graphy) Administrat - Account
ms inance Budt
nformation St
vising strative Ananting Systemvisor, Finanmance Evalant Chief, OAudits and tions,
ant Programt Manager Office of Stand Evaluam Budget er ss Service
ant (Specialal Programt III
on
m Budget C
m Budget C
er III Cm
C
m C
m nomics)
C
m C
tive ing C
dget C
Systems C
alyst ms
C
cial and luator
C
Office of
m
ate ation,
list) m Budget
SPCalifo
AppointmType
Certification
Certification
Certification
Certification
Certification
Certification
Certification
Certification
Certification
Certification
Certification
Certification
Information
Information
Information
Information
MandatoReinstatem
MandatoReinstatem
PB Complianrnia Departm
ment T
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List Pe
n List
n List
n List
n List
ory ment
Pe
ory ment
Pe
ce Review ment of Financ
Tenure
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
CEA
CEA
CEA
CEA
ermanent
ermanent
ce
Time Base
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
No. oAppointm
7
3
1
1
4
1
1
3
1
1
1
2
1
3
1
1
1
1
of ments
9
C
Staff FiAnalyst
Staff Se
AssociaAnalystAssociaBudgetAttorneFinanciPerformPersonPrincipAnalystStaff AdAnalystSystemStaff FiAnalystStaff Pr(SpeciaStaff Se(GenerSupervPerformDOF
FINDIN
Summa
Classificatio
inance Budt
ervices Ma
ate Administ (AS) ate Financet Analyst ey IV ial and mance Evalnnel Technical Programt III dministrativt (Accountin
ms) inance Budt rogrammeralist) ervices Anaral) visor, Finanmance Eval
NG NO. 2 –
ary:
on
dget
nager I
strative
e
luator III cian I
m Budget
ve ng
dget
r Analyst
alyst
cial & luator,
Job Opp
The DOFto properstate’s cerecruitmeas necesgroups.
Of the 1qualified the list o
SPCalifo
AppointmType
PermissiReinstatem
PermissiReinstatem
Transfe
Transfe
Transfe
Transfe
Transfe
Transfe
Transfe
Transfe
Transfe
Transfe
Transfe
portunities
F made apply advertise
entralized reent strategyssary to ens
19 vacant candidates
or formally
PB Complianrnia Departm
ment T
ve ment
Pe
ve ment
Pe
er Pe
er Pe
er Pe
er Pe
er Pe
er Pe
er Pe
er Pe
er Pe
er Pe
er Pe
Were Not
pointments te on the Vaecruitment
y was not desure the id
positions, as well asannounce
ce Review ment of Financ
Tenure
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
ermanent
Properly A
to fill 19 vaacant Positportal. By esigned to
dentification
the DOFs employmed the adve
ce
Time Base
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Full Time
Advertised
acant positioion Databanot advertisbe as broa
n of approp
either senent inquiriesertisement
No. oAppointm
1
1
1
5
1
1
1
1
1
3
1
2
1
ons that it fase (VPOS)sing, the Dad and inclupriate cand
nt an emas to eligibleinternally.
of ments
failed ), the OF’s usive idate
ail to es on
The
10
Criteria
Severity
Cause:
:
y:
DOF faileProgram AccountinFinancial and Perfo(Demogra Departmeto be “aidentificatManual [M2, § 50.)determiniinclude: classificateligible liswhich maand if noincreasedwhich caneligible fo1200, pp.
Very Secandidatereinstateminternal cdepartmeworkforce
The DOFare depaskills andhiring promail to asAdditionadepartmeinterest. Gour intern
SPCalifo
ed to post bBudget An
ng Systemsand Perfo
ormance Evaphy).
ents are reas broad tion of anMSM], § 11) Generallyng that appdeterminintion in whist is necesay include o applicatiod recruitmendidates mor appointm. 1200.7-12
erious. Aes who werment, werecandidates
ent cannot e.
F states thaartmental spd abilities reocess for thssess the leally, contaental speciGenerally, nal employ
PB Complianrnia Departm
bulletins fornalyst II, 1s, 6 Financormance Evaluator, a
quired to hand inclusappropriate100, p. 110y, the typicproval to fillg whetherch the vac
ssary to fill certifying tns are recent efforts;eet minimument; and 200.8; Cal. C
All interestre reachable not provid were nobe certain
at many of pecific. As equired of these classievel of inte
acts are fic promotwe have n
yees alread
ce Review ment of Financ
r the follow Supervisi
cial and PeEvaluator Ind 2 Resea
have recruitsive as ne candidate00.2 (Oct. 2cal steps al a vacant pr there is cancy exitsthe vacanc
the eligibleceived, re-a; screen a
um qualificaconduct hCode Reg.
ted individe on the lis
ded the optified. By that it has
the classifsuch, ther
these classifications ha
erest amongmade wi
tional lists not advertisdy posses
ce
wing vacancng AdminiserformanceII, 2 Supearch Progra
tment stratnecessary e group.” (2003); Cal. a departmposition ha
an eligibs; determincy; advertis list; receiv
advertise thapplicationsation requireiring interv, tit. 2, § 50
duals, inclst or eligibleportunity tofailing to
s hired the
fications usre are uniqsifications. Aas includedg current Dith candid
to assessed externas the uniq
cies: 4 Prinstrative An Evaluator
ervisor-Finaam Specia
tegies desigto ensure
(Merit SeleCode Reg
ent takes s been sec
ble list foring whethese the vacave applicathe position s to deterements and
views. (MS0.)
uding extee for transfo apply as
advertise,e most qua
sed by the que knowleAs a resultd an intern
DOF employdates on s the leveally as manque knowle
ncipal nalyst
II, 4 ancial list II
gned the
ction g., tit. after
cured r the er an ancy, tions,
with rmine d are M, §
ernal fer or only
the alified
DOF edge, t, our
nal e-yees.
our el of ny of edge,
11
Action:
FINDIN
Summa
Criteria
Severity
NG NO. 3 –
ary:
:
y:
skills anddepartme
The DOFcorrectionpositions required a
Equal ESeparate
Out of 7where EEemploymreviewed from the S
Governmdepartmeany appliany protesubdivisioorigin, aconditionidentity, gveteran sasked to such datassessmeand to th(Gov. Coapplicatioseparatedbe used i
Very Sersubjecting
SPCalifo
d abilities rent specific
F has submns the depa
are adverat this time
Employmened From Ap
77 appointmEO questioent applicaincluded
STD 678 em
ent Code ent to requircation indic
ected categon (a) (e.g.,ncestry, p, genetic ingender expstatus). App
provide vota is deteent of the ehe planningode, § 19on form (Sd from the n any empl
rious. Theg the agenc
PB Complianrnia Departm
required forpositions.
itted a corrartment wilrtised on V.
nt Opportpplications
ments revinnaires weation. SpecEEO quesmployment
section 19re or permitcating or ingory listed i, a person's
physical dinformation, ression, ag
plicants for oluntarily eermined byethnic and sg and mon9705.) TheSTD 678) applicationloyment de
e applicantcy to potent
ce Review ment of Financ
r successfu
rective actiol implemen
VPOS, ther
tunity Qus
ewed, 9 fere not sepcifically, 30stionnaires t application
9704 maket any notati any way sin Governms race, religsability, m marital sta
ge, sexual oemployme
ethnic data y CalHR sex fairnesnitoring of e EEO qustates, “Th prior to thecisions.”
ts’ protectetial liability.
ce
ul job perfo
on plan thant to ensurerefore no fu
estionnair
iles includeparated from0 of the 4
that were n.
es it unlawion or entrysuggesting ment Code gious creedmental disaatus, sex, orientation,nt in state about the
to be necss of the se
affirmativeuestionnairehis questioe examinat
ed classes
ormance in
t addressese that all vaurther actio
res Were
ed applicam the STD32 applicanot separ
wful for a hy to be mador pertaininsection 12
d, color, natability, megender, ge, or militarycivil service
emselves wcessary to
election proe action effe of the onnaire wition and wi
s were vis
n our
s the acant on is
Not
tions D 678 ations rated
hiring de on ng to 2940, tional edical ender y and e are
where o an ocess forts. state ll be ll not
sible,
12
Cause:
Action:
FINDIN
Summa
Criteria
Severity
NG NO. 4 –
ary:
:
y:
The DOFrequiremecompletecompletiostate exapositions.
The DOFquestionnapplicatioaction is r
Unlawful
The DOFway of tAssociateThe Assojourney leworking snot involvand as a Governmmay be a CCR, titlethe criterisubstantiathe purpothe boardsuch clapromotion Very Serian unfaiemployeeincomplia
SPCalifo
F states thaent to sed applicatio
on of the quaminations .
F has submnaires are on as part orequired at
l Appointm
F made oneransfer. Spe Managemociate Manaevel wherespecialist ove substantresult, Rule
ent Code sccomplishe
e 2, sectionia establishally the samoses of Govd or the exsses basenal relations
ous. An unir and unes whoseance with t
PB Complianrnia Departm
at some hireparate thons. Additiuestionnairand is not
mitted a corseparated
of its departhis time.
ment By Wa
e unlawful apecifically,
ment Auditoagement A
eas the Star full journetially the sae 430 was n
section 190ed without e
n 430 (Rulehed by this me level ofvernment Cxecutive of
ed on a sship.
nlawful appnearned ape appointhe require
ce Review ment of Financ
ring managhe EEO qionally, appre is only ret required
rective actid from thertment resp
ay of Trans
appointmenthe incum
or to a StaffAuditor clasaff Financeey level. Thame level onot met.
050.4 providexamination
e 430) provarticle shaf duties, reCode Sectifficer may specific fin
pointment pppointmenttments hments of c
ce
gers are noquestionnaplicants areequired whwhen appl
ion plan fore STD 67ponse, there
sfer
nt on Januambent transff Finance Bssification is Budget A
hese two clof duties or
des, in partn pursuant
vides that cll be consid
esponsibilityon 19050.4prohibit trading that
provides thet advantaghave beecivil service
ot aware oaires from e unaware hen applyinying for va
r ensuring 78 employmefore no fu
ary 13, 201sferred fromBudget Anas at the firs
Analyst is aassification
r responsibi
t, that a tranto rule.
classes medered to invy and salar4; providedansfer betwthey are
e employeege over oen procee law. Unla
of the the
that g for
acant
EEO ment
urther
14 by m an alyst. st full t the
ns do ilities
nsfer
eting volve ry for d that ween in a
e with other ssed awful
13
Cause:
Action:
appointminconsistecivil servi
When antenure in promotionappointmappointinDisciplinaemployeeemployeefaith is debe requiunlawful action. Tfaith, wasbeing voiappointm
The DOFfinding, wspecific cour humaunique an
The CaPersonneconcurredyear has faith. Thecommitteand will ctransfers this time.
SPCalifo
ents whichencies thatce merit sy
unlawful athe positio
nal examient level. g power,
ary action e in a pose to take acetermined ored to reiappointmehe CRU fi
s not the fauided since ent occurre
F states thwe also reclassificatioan resourcend are rare.
lifornia Deel Managemd that this
elapsed, ae DOF subd to ensurconsult witin the futu
PB Complianrnia Departm
h are not t jeopardizeystem.
appointmenon, as well nations, aIf “bad fait
civil or may also
sition of action in violon the part mburse al
ent and mnds that thult of the apit has bee
ed.
at althoughecognize thon series ces staff. Th.
epartment ment Diviswas an unand the camitted a coing that aph SPB andure. Theref
ce Review ment of Financ
corrected e the equit
nt is voidedas seniority
and competh” is detercriminal abe pursueuthority whation of theof the empl compens
may also bhe appointppointed emen over one
h we respehat transfean be cha
hese types
of Humion also renlawful appandidate acorrective acppointmentsd CalHR stfore, no fur
ce
also creattable admin
d, the emply credits, eensation armined on action mayed against ho directs e appointmployee, thesation resube subject tment was mployee, ae year sinc
ectfully disrs betweenllenging anof transfer
an Resoueviewed thpointment. ccepted thection plan ts of this nataff before rther action
te appointmnistration o
oyee loseseligibility to at the vothe part o
y be initiaany officeany office
ent laws. If employee ulting from
to disciplmade in g
nd did not mce the unla
agree withn departmnd confusinrs are also
urces (Cahis transfer
More thane offer in gthat showsature are la
making sin is require
ment of the
s any take
oided f the ated. er or er or f bad may
m the inary good merit awful
h this ental ng to very
alHR) and
one good
s it is awful milar ed at
14
FINDIN
Summa
Criteria
Severity
NG NO. 5 –
ary:
:
y:
Unlawful
The DOF(PIP) proSpecificaoccurred,
The threedid not sustaff after The requRegulatio
(1) There(2) Theresuperviso(3) The plevel in a
Very Serwith an uemployeecompliancappointminconsistecivil servi
When antenure in promotionappointmappointinDisciplinaemployeeemployeefaith is debe requi
SPCalifo
l Promotio
F made threocess in whlly, a cha, therefore c
e appointmupervise anr the promo
uirements ons, section
is no true v is no chan
ory/subordinromotion isclass serie
rious. Anunfair and es whose ce with thents whichencies thatce merit sy
unlawful athe positio
nal examient level. g power,
ary action e in a pose to take acetermined ored to rei
PB Complianrnia Departm
on-In-Place
ee appointmhich not allange in scriteria (2) o
ments includny staff priootion.
to PIP, asn 599.854.4
vacancy; nge of positnate relatios where thees.
unlawful aunearned
appointme requiremh are not t jeopardizeystem.
appointmenon, as well nations, aIf “bad fait
civil or may also
sition of action in violon the part mburse al
ce Review ment of Financ
e Appointm
ments utiliz requiremesupervisoryof the PIP r
ded a chanor to the pr
s mandate4, are as fol
ion, assignonship of em employee
appointmenappointme
ments havments of c
corrected e the equit
nt is voidedas seniority
and competh” is detercriminal abe pursueuthority whation of theof the empl compens
ce
ments
ing the proents of the y/subordinarequiremen
nge where romotion b
ed by Califllows:
ment, or mployee; anmoves to t
nt providesent advantave been ivil servicealso creat
table admin
d, the emply credits, eensation armined on action mayed against ho directs e appointmployee, thesation resu
omotion-in-pPIP were
ate relationnts was not
the incumbut do supe
fornia Cod
nd the next hig
s the emplage over oprocessed
e law. Unlate appointmnistration o
oyee loseseligibility to at the vothe part o
y be initiaany officeany office
ent laws. If employee ulting from
place met.
nship met.
bents rvise
de of
gher
oyee other d in awful ment
of the
s any take
oided f the ated. er or er or f bad may
m the
15
Cause:
Action:
Equal E Each staThe appthe effecpower mproceduproceducoopera(Ibid.) Inofficer, wdepartmprogram
Becausesexual hfrom thehead of
Each stindividua
mployment
ate agencypointing powctiveness o
must issue aures for filures for proate with Can addition, twho shall r
ment to devm. (Gov. Co
e the EEO harassmene regular chthe organiz
tate agencals with a d
unlawful action.
The DOFstaff and place.
The CalHthree apappointmDOF of correctivetraining tofuture proRegulatioCalHR staction is r
t Opportuni
y is responswer for eac
of its EEO pa policy staling, proceoviding eq
alHR by prothe appointreport direcvelop, impde, § 19795
Officer invt and othe
hain of comzation.
cy must esdisability, o
SPCalifo
appointme
F states thahiring man
HR Personnppointmentsents. The the finding
e action. To HR staff,omotions-in
ons, sectiotaff when required at
ty
sible for an ch state ageprogram. (Gatement comessing, anual upwardoviding accting power
ctly to, and lement, co5.)
vestigates aer employeemand, as w
stablish a or who hav
PB Complianrnia Departm
ent and m
at there hanagers rega
nel Manags and coPersonnel gs with inThe DOF , hiring man-place aren 599.854clarificationthis time.
effective Eency has th
Gov. Code, §mmitted to d resolvind mobility cess to all must appobe under t
oordinate, a
and ensuree complain
well as regu
separate ve an intere
ce Review ment of Financ
may also b
as been limarding the d
ement Divoncurred th
Managemenstructions has comm
anagers, ane consisten.4 and win is neede
EEO prograhe major re§ 19794.) Tequal empg discrimiand promorequired fi
oint, at the the supervisand monito
es proper hnts, the poular and une
committeeest in disab
ce
be subject
mited trainindefinition of
ision also hat they ent Divisioto investi
mitted to pnd support nt with Calll consult ed. Theref
am. (Gov. CesponsibilityTo that endloyment opnation comotional opples, docummanageriasion of, theor the dep
handling ofosition requencumbere
e of emplobility issues
to discipl
ng for bothf promotion
reviewed twere unlan has inforgate and roviding fostaff to en
ifornia Codwith SPB
fore, no fu
Code, § 197y for monito, the appoi
pportunity; implaints; iportunities;
ments and dal level, an e director opartment’s
f discriminauires separed access to
oyees whos, to advise
inary
h HR ns-in-
hese awful rmed take
ormal nsure de of
and urther
790.) oring nting ssue ssue and
data. EEO
of the EEO
ation, ation o the
o are e the
16
head of 19795, committmember§ 19795 The CRreview p
After revthe EEOguidelineinformatdiscriminresponsOfficer, additionto the devidenceincreasefor its en
Persona A PSC personaperson pas an eConstituwith priperformeexceptioPSC’s t19130 astate fu
FINDIN
the agencysubd. (b)(ee and takers who have
5, subd. (b)(
RU reviewedperiod. In ad
viewing theO programes, the CRtion and gunation claibilities of who is at , the DOF h
director on e of its efe its hiring ontry-level st
al Services
includes aal services performing employee
ution has anvate entitieed. Gover
ons to the chat are of
are also pernction, ser
NG NO. 6 –
y on issues1).) The de appropriae disabilitie(2).)
d the DOF’ddition, the
e policies, pm’s role anRU determinuidance onims. Furththe EEO Oa manage
has an estaissues affe
fforts to prof persons taff.
Contracts
any contrais a significthe serviceof the Sta
n implied cives to perfrnment Cocivil servicea type enu
rmissible. Srvices that
Equal EmService L
SPCalifo
s of concerdepartmentate steps toes or who h
’s EEO proCRU interv
proceduresd respons
ned that then the EEOhermore, tOfficer, as erial level, ablished Diecting persromote EEwith a disa
ct, requisitcant, separes is an indate. (Cal. vil service mform servic
ode section mandate wumerated in
Subdivision are not av
mploymenLaws and B
PB Complianrnia Departm
rn to emplot must invo ensure thahave an inte
ogram that viewed app
s, and progibilities acce DOF EEO process ithe EEO well as sureports diresability Adv
sons with aO in its h
ability, and t
tion, or purately identdependent Code Regmandate limces the stn 19130, where PSCn subdivisi(b) contracvailable wit
t OpportunBoard Rule
ce Review ment of Financ
oyees with ite all empat the final erest in disa
was in effepropriate DO
rams nececording to O programncluding inprogram
upervisors ectly to thevisory Coma disabilityiring and to offer upw
rchase ordtifiable elemcontractor
g., tit. 2, §miting the state has hsubdivision
C’s achieve on (b) of G
cts include pthin state s
nity Prograes
ce
disabilities.ployees tocommittee ability issue
ect during OF staff.
essary for cstatutory
m provided enstructions
outlines tand manage director
mmittee (DA. The DOFemploymenward mobili
der under ment, and tthat does
§ 547.59.) state’s authhistorically n (a), howcost saving
Governmenprivate conservice, se
am Compl
. (Gov. Codo serve on
is comprisees. (Gov. C
the compli
compliance and regula
employees on how to
the roles gers. The of the DO
AC), that repF also provnt practiceity opportun
which labothe businesnot have stThe Califo
ority to conor custom
wever, codgs for the snt Code setracts for a
ervices that
lied with C
de, § n the ed of
Code,
ance
with atory with
o file and
EEO F. In ports vided s, to nities
or or ss or tatus ornia ntract marily difies state. ction new t are
Civil
17
incidentaservices For cosexecute reviews employe During tcontractprocedu
Ve
Overlan& CutleBenderRosent
When a(DGS) transmitthat deGovernm
The totathe revielegally sdetailed contractsubdivis
FINDIN
al to a cons that are of
t-savings Psuch a cothe adequ
ee organiza
the compliats were subural review,
endor
nd, Pacific er, Inc. r thal, Inc.
a state agefor a subdttal a writtemonstratesment Code
al amount oew to makesufficient. F
factual ints met at lsion (b). Acc
NG NO. 7 –
ntract for tf an urgent,
PSC’s, a stntract. (Gouacy of thation repres
ance reviewbject to Dep
which are
Se
AssetValuatAsset
Valuat
ency requedivision (b
en justificatis how the section 19
of all the Pe conclusioor all PSC’formation least one ccordingly, D
PersonaRequirem
SPCalifo
the purchas, temporary
tate agencv. Code, § e propose
senting state
w period, thpartment of listed below
ervices
t Transfer tion Expertt Transfer tion Expert
ests approv) contract,ion that inc
contract 131, subdiv
SCs reviewons as to ws subject toin the writcondition s
DOF PSC’s
l Servicesments
PB Complianrnia Departm
se or leasy, or occasio
y is require19131.) Fo
d or execue employee
he DOF hadGeneral Se
w:
ConDa
12/0212/0
12/0212/0
val from th, the agencludes specmeets one
vision (b). (
wed was $6whether DOo DGS apptten justificset forth ins complied w
s Contrac
ce Review ment of Financ
e of real oonal nature
ed to notifyor subdivisuted contraes. (Gov. C
d five PSC’ervices (DG
tract ates 2/13 -01/16
$
2/13 -01/16
$
he Departmncy must cific and de or moreCal. Code
600,000. It OF justificatproval, the Dcations as n Governmwith proced
cts Comp
ce
or personae.
y the SPB ion (b) conact at the
Code, § 191
’s that wereGS) approv
Contract Amount
$300,000
$300,000
ment of Geinclude w
detailed facte conditionReg., tit. 2,
was beyontions for theDOF providto how eaent Code
dural requir
plied with
al property,
of its intentracts, the
request o32.)
e in effect.al, and thus
JustificatIdentifie
Yes
Yes
eneral Servith its contual informns specifie § 547.60.)
nd the scope contract wded specificach of thesection 19ements.
h Procedu
and
nt to SPB
of an
Two s our
tion ed
vices ntract ation
ed in )
pe of were
c and two
9131,
ural
18
The DO
Based recommdepartm
F’s respons
upon the mendations mental findin
D
se is attach
DOF’s wrand finding
ngs that we
SPCalifo
DEPARTME
hed as Attac
SP
ritten respgs. The DOre out of co
PB Complianrnia Departm
ENTAL RES
chment 1.
PB REPLY
ponse, the OF submittompliance.
ce Review ment of Financ
SPONSE
DOF willted correct
ce
l comply ive action
with the plans for t
CRU the 5
Attachment 1
Attachment 1
Attachment 1
Attachment 1