california department of financespb.ca.gov/reports/doffinalreport.pdfappo appo appo appo hed by the...

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

EstablisBoard) iprobatiodisciplinrecruitmemployeto, protepromotindirection Pursuan(CRU) careas: eservicesregulatiowith meidentified The CRwhen th

The CR(DOF) pPSC’s frcomplian

A

Exam

Appo

AppoAppoAppo

hed by thes charged w

onary perioary actions

ment and seees provideecting life ang the pun to departm

nt to Goveconducts coexaminations contracts ons. The puerit related d during the

U may alsoe SPB obta

RU conductepersonnel rom July 1,nce review

Area

minations

intments

intments intments intments

e Californiawith enforcods and s and merlection proc

e critical seand propertblic healthments throu

rnment Coompliance rns, appointm

(PSC’s) turpose of thlaws, rules

e reviews. T

o conduct sains informa

ed a routinpractices i, 2013 throfindings.

Exam B

Equal EWe

Job OppUnlawUnlaw

SPCalifo

INTR

a Constituting and adclassificat

rit-related acess for thervices to thty, managin, and pre

ugh the Boa

ode sectionreviews of aments, equato ensure hese reviews, and poliThe SPB co

special inveation sugge

EXECUT

e compliann the area

ough March

Bulletin Did

Employmenere Not Sepportunities Wwful Appoinwful Promot

PB Complianrnia Departm

RODUCTIO

tion, the Sministeringtions, adoappeals. Te hiring of ohe people ong emergeserving theard’s decisio

n 18661, tappointing aal employmcompliance

ws is to ensicies and tonducts the

estigations esting a pot

TIVE SUMM

nce review as of examh 31, 2014.

Finding

Not Include

nt Opportunparated fromWere Not Pntment By Wtion-In-Plac

ce Review ment of Financ

N

State Perso the civil se

opting regThe SPB oover 200,00of Californiancy operate environmons, rules,

he SPB’sauthority’s p

ment opporte with civilsure state ato identify ese reviews

in responstential merit

MARY

of Californminations, The follow

e All Requir

nity Questiom ApplicatioProperly AdWay of Trace Appointm

ce

onnel Boarervice statuulations, oversees th00 state ema, includingtions, proviment. The policies, an

Compliancpersonnel ptunity (EEOl service la

agencies areand share

s on a three

se to a spet-related vio

nia Departmappointme

wing table s

rements N

onnaires ons

dvertised nsfer ments

rd (the SPutes, prescrand reviehe merit-b

mployees. Tg but not limding educaSPB prov

nd consulta

ce Review practices in

O), and persaws and be in compli best prace-year cycle

ecific requeolation.

ment of Finents, EEO, summarizes

SeverityNon seriou

Technica

Very Serio

Very SerioVery SerioVery Serio

PB or ribing ewing ased hese

mited ation, vides ation.

Unit n four sonal board ance

ctices e.

est or

ance and

s the

y s or al

ous

ous ous ous

2

A

Equal EOpp

PersonaCon

A color-c

R O Y G

The DOFinanceadvisor memberand proCaliforni

Primary

Ep

Pthe

A D

(C M

a D D R

Area

mploymentportunity

al Servicesntracts

coded syste

Red = Very Orange = SYellow = NoGreen = In

F is a fisca is appointewith emph

r of the Govgrams thatia.

functions o

Establish aprograms.

Prepare, exphe Governoach year.

Analyze legiDevelop anCALSTARS

Monitor/audpproved sta

Develop ecoDevelop popReview expe

t Equ

Comp

Perso

em is used

Serious Serious on-serious oCompliance

al control aed by the Ghasis on thvernor's cat are of con

of the depar

ppropriate

plain, and aor is require

islation whid maintain

S). it expendituandards, anonomic forepulation andenditures fo

SPCalifo

al Employmplied with Ci

onal ServiceProcedu

to identify

or Technicae

BAC

gency with Governor anhe financialabinet and sncern to the

rtment inclu

fiscal and

administer ted under the

ch has a fisn the Califo

ures by stand policies.

ecasts and d enrollmenor informati


Finding ment Opporivil Service

Rules es Contractural Requir

the severity

al

CKGROUND

approximand functionsl integrity osenior staffe Governo

ude the follo

accountin

the state's e State Con

scal impactornia State

ate departm. revenue esnt estimateson technolo


rtunity ProgLaws and

ts Compliedrements

y of the vio

D

ately 470 es as the Goof the statf. Finance er, the Legis

owing:

ng policies

annual finanstitution to

t. e Accountin

ments to en

stimates. s and projeogy activitie

ce

gram Board

d with

lations as f

mployees. overnor’s che. The Diremployees slature, and

to carry

ancial plan o present b

ng and Re

sure comp

ections. es of state d

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

nce

tor of policy as a sues

ple of

tate's

which 10 of

stem

law,

ts.

3

Pd

The scoappointmThe primpolicies,and to re A cross-to ensurand levprovided511b’s, screeninworkshe The revprocedudiscriminaccommAdvisory DOF’s Pmake csufficienrelative t

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

S

e compliancO programtive of the edures com corrective

the DOF’s mples of var

reviewed. ncluded esults, noticehiring inteyment histo

DOF EEOEEO officemplaint prorogram; th

ee (DAC). T

e also reviewas to wh

ew was limomplied wit

5, an exit cndings andwritten res

ization reque

riod or prior tostead, the SPce, none of th

SPCalifo

counting tra00 et seq.)

COPE AND

ce review , and PSCreview was

mplied with action whe

examinatiorious examThe CRUxaminatione of personrview ratingory records

O program r’s role, docess; thehe discrimiThe CRU als

wed.1 It wahether DOFmited to whth applicabl

conference d recommesponse to t

ests the SPB o the completPB will reviee reviewed P


aining, advi

D METHOD

was limite’s from Juls to determstate civil

ere deficien

ons and apinations anexamined

plans, exnnel action g criteria, c

s, correspon

included euties, and

e upward nation comso interview

s beyond thF justificatihether DOFle statutory

was held wndations. Tthe CRU’s

to review anytion of the finaw the contra

PSC’s were ch


ice, and co

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

y personal seal complianceact pursuant hallenged.

ce

onsulting se

ewing DOFthrough MDOF perso

ws and boadentified.

s were selement types,umentation bulletins,

cancy postinn lists, trand probation

written EErelationsh

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


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


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


CEA





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


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


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,


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


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


ENTAL RES

chment 1.

PB REPLY

ponse, the OF submittompliance.


SPONSE

DOF willted correct

ce

l comply ive action

with the plans for t

CRU the 5

Attachment 1

california department of financespb.ca.gov/reports/doffinalreport.pdfappo appo appo appo hed by the...

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