california department of state … department of state hospitals compliance review unit state...

COMPLIANCE REVIEW REPORT

CALIFORNIA DEPARTMENT OF STATE

HOSPITALS

Compliance Review Unit State Personnel Board November 9, 2017

TABLE OF CONTENTS

Introduction ...................................................................................................................... 1

Executive Summary ......................................................................................................... 1

Background ...................................................................................................................... 2

Scope and Methodology ................................................................................................... 3

Findings and Recommendations ...................................................................................... 4

Examinations .............................................................................................................. 4

Appointments .............................................................................................................. 8

Equal Employment Opportunity ................................................................................ 17

Personal Services Contracts ..................................................................................... 18

Mandated Training .................................................................................................... 20

Departmental Response ................................................................................................. 25

SPB Reply ...................................................................................................................... 25

1

Establisis chargprobatioactions selectionprovide life and public hdepartm Pursuanconductexaminacontractand boacomplianpracticecycle. The CRwhen th

The CRHospitaland PSCJanuarycomplian

A

Exam

Appo

Equal EOpp

hed by the ged with eonary periodand merit-rn process critical servproperty, m

health, anments throug

nt to Governs complian

ations, appts (PSC’s), ard regulationce with ms identified

RU may alse SPB obta

RU conductls (DSH) peC’s from Auy 1, 2015, nce review

Area

minations

intments

mploymentportunity

California Cenforcing ads and clasrelated appfor the hir

vices to themanaging ed preservgh the Boar

nment Codece reviewsointments, and mand

ons. The pmerit-related

during the

o conduct ains informa

ted a routiersonnel prugust 1, 20

through Jfindings.

Examin

Probatio

t A Disab

SPBCalifornia

INTR

Constitutionand adminssifications,peals. The ring of ovee people of emergencying the erd’s decisio

e section 1s of appoint

equal emdated traininurpose of t

d laws, rule reviews. T

special invation sugge

EXECUT

ne compliaractices in

016, throughJanuary 31

ations Comand

onary EvaluAll Appo

bility AdvisoE

B ComplianceDepartment S

RODUCTIO

n, the Statenistering th adopting rSPB overs

er 200,000 California,

y operationsenvironmenons, rules, p

8661, the Sting authoriployment ong to ensuthese reviees, and poThe SPB co

vestigationsesting a pot

TIVE SUMM

ance reviewthe areas oh January 31, 2017. T

Finding mplied with d Board Ruuations Werointments Rory CommitEstablished

e Review State Hospita

ON

e Personnehe civil serregulationssees the m

state empincluding b

s, providingt. The SP

policies, and

SPB’s Comity’s personopportunity ure compliaews is to enolicies and onducts the

s in respontential merit

MARY

w of Califoof examina31, 2017, aThe followi

Civil Servicules re Not Prov

Reviewed ttee Has Nod

als

el Board (thrvice statu, and review

merit-based ployees. Thbut not limitg educationPB providd consultat

mpliance Rennel practic

(EEO), peance with cnsure state to identify

ese reviews

se to a spt-related vio

ornia Depaations, appoand mandatng table s

ce Laws

vided for

ot Been

e SPB or Butes, prescwing disciprecruitmen

hese emploted to, proten, promotines directiotion.

eview Unit (ces in five aersonal sercivil service

agencies aand share

s on a three

ecific requeolation.

artment of ointments, ted trainingsummarize

Severity

In Complia

Serious

Very Serio

Board) cribing plinary nt and oyees ecting ng the on to

CRU) areas: rvices

e laws are in

e best e-year

est or

State EEO,

g from s the

y

ance

s

ous

2

APersona

Con

Mandate

Mandate

Mandate

A color-c

R O Y G

The DSIts missseeking care anhealth traverageits condi The DSlocated providesprogramCoalingaare locathe Salin

Area al Servicesntracts

ed Training

ed Training

ed Training

coded syste

Red = Very Orange = SYellow = NoGreen = In

H managession is to p

innovationd settings. reatment. I

e inpatient aitional relea

SH overseein state p

s services ims throughoa, Metropol

ated within tnas Valley S

Perso

g Superv

g Ethics T

g Sexual

em is used

Serious Serious on-serious oCompliance

s the nationprovide evan and exce

The DSH n Fiscal Ye

and outpatiease program

es five statrisons empin jail-baseout the 58 litan – Los Athe followinState Priso

SPBCalifornia

onal ServiceProcedu

visory TrainS

Training WHarassmen

for A

to identify

or Technicae

BAC

n’s largest aluation andllence in stis respons

ear 2015-1ent censusm.

te freestanploying appd competecounties. TAngeles, N

ng state prison, and the


Finding es Contractural Requir

ning Was NoSupervisorsas Not Provnt Training All Supervis

the severity

al

CKGROUN

inpatient fod treatmentate hospitasible for th6, DSH se

s was 6,700

nding hospiproximatelyncy treatmeThe DSH’sapa, and Psons: the CCalifornia H


ts Compliedrements ot Provideds vided for AWas Not Psors

y of the vio

D

orensic mennt in a safeal operatioe daily car

erved almo0 in a 24/7

itals and ty 12,000 stent program

s five state Patton. The California MHealth Care

als

d with

d for All

All Filers Provided

lations as f

ntal health e and respons, acrossre and prost 13,000 phospital sy

three psychtaff. Additioms and con

hospitals three psyc

Medical Face Facility in

Severity

In Complia

Very Serio

Very Serio

Very Serio

follows:

hospital syonsible ma a continuuvision of mpatients an

ystem and 6

hiatric progonally, the nditional reare Atasca

chiatric progcility in Vac Stockton.

y

ance

ous

ous

ous

ystem. anner, um of

mental nd the 600 in

grams DSH

elease adero, grams aville,

3

The scoappointm2017, aprimary and prorecomm A cross-that variwere revincludednotice ocriteria, employm The revprocedudiscriminaccommAdvisory The DSreview tlegally sprocedu In additito file s 1 If an eduring tcomplianreview tnone of

ope of thements, EEOnd mandatobjective o

ocedures comend correc

-section of ious samplviewed. Th

d examinatiof personnhiring inter

ment history

view of the ures; the Enation com

modation py Committe

SH’s PSC’so make cosufficient. Tures relative

on, the DSstatements

mployee orthe SPB cnce reviewthe contracthe reviewe

S

e complianO programted training

of the reviewomplied wi

ctive action

the DSH’ses of exam

he CRU exon plans, e

nel action rview ratingy records, c

DSH’s EEEEO officemplaint prorogram; th

ee (DAC).

were alsonclusions a

The review e to PSC’s c

H’s mandaof econo

rganization compliance

w report, thct pursuanted PSC’s w

SPBCalifornia

SCOPE AN

ce review m, and PSCg from Janw was to deth state cifor those d

s examinatiminations anxamined theexamination(NOPA) fo

g criteria, ccorrespond

EO programer’s role, docess; thehe discrimi

o reviewedas to wheth

was limitecomplied w

ted trainingomic intere

requests the review phe SPB wilt to its statwere challen


D METHOD

was limiteC’s from Anuary 1, 20etermine if tvil service eficiencies

ons and apnd appointme documenn bulletins, orms, vacacertification ence, and p

m included duties, ande upward ination com

.1 It was bher the DSed to wheth

with procedu

g was reviest were p

he SPB to period or pll not audittutory and nged.


DOLOGY

ed to revieAugust 1, 2015, througthe DSH pelaws and identified.

ppointmentment typesntation thatjob analys

ancy postinlists, trans

probation re

examiningd reporting

mobility mplaint pro

beyond theH justificatiher the DSural require

ewed to ensprovided et

review anyprior to tht the contrregulatory

als

ewing DSH2016, through Januaryersonnel prboard reg

ts were sels, classificatt the DSH es, 511b’s,ngs, applicsfer movemeports.

g written EE relationshprogram; ocess; and

e scope of ions for theSH practiceements.

sure all empthics trainin

y personal se completiract. Instea

process.

H examinaugh January 31, 2017ractices, poulations, a

lected to etions, and provided, w

, scoring recation scre

ment worksh

EO policieship; the inthe reasod the Dis

the comple contracts es, policies

ployees reqng and th

services coion of the

ad, the SPIn this inst

ations, ry 31, . The licies,

and to

nsure levels which

esults, eening heets,

s and ternal

onable ability

liance were

s, and

quired at all

ntract final B will tance,

4

superviswithin st On Septthe CRUreceivedreport.

Examina Examinafairly testhe dutie18930.) of a deestablishemploye18931.) designatestablishcontain minimumthe officexaminaeach peof the ecompetitemploym During reviewed

sors were ptatutory tim

tember 5, 2U’s initial fd and caref

ations

ations to esst and detees of the clExaminatio

emonstratiohes minimees for eac

Within a rted appoinhment of esuch inform

m qualificatce of the ation annouerson compearned ratintor shall b

ment list res

the periodd 40 of thos

provided baelines.

2017, an exfindings anfully review

FIND

stablish an ermine the ass of posions may beon of skillsum qualifich class of preasonablenting poweligible lists.

mation as thtions. (Ibid.)departmen

uncement. (eting in anyngs on all be notified sulting from

under revse examina

SPBCalifornia

asic superv

xit conferennd recommed the resp

INGS AND

eligible list qualificatioition for whe assembles, or any ccations forposition an

e time befoer shall an. (Gov. Codhe date and) Every app

nt or a de(Gov. Codey examinatphases of in writing

m the exami

view, the ations, whic


isory and s

ce was heldmendations. ponse, whic

D RECOMM

must be cons, fitness,ich he or s

ed or unasscombinatior determinid for applic

ore the schnnounce orde, § 18933d place of tplicant for esignated ae, § 18934.ion is to bethe examiof the re

nation is es

DSH condch are listed


sexual hara

d with the DOn Septe

ch is attach

MENDATION

ompetitive a and abilityhe seeks a

sembled, wn of thoseng the fitn

cants for exheduled datr advertise3, subd. (athe examinexaminationappointing .) Generallye determineination. (Goesults of thstablished.

ducted 400d below:

als

assment pre

DSH to expember 18, hed to this

NS

and of suchy of compeappointmenritten or orae tests. (Ibness and xaminationste of the e

e the exam).) The adv

nation and tn shall file apower as y, the final ed by the wov. Code, he examin(Gov. Cod

0 examinat

evention tra

plain and dis2017, the final compl

h characteretitors to pent. (Gov. Coal, or in thebid.) The Bqualificatios. (Gov. Coexaminationmination fovertisementthe nature oan applicatdirected iearned rat

weighted av§ 18936.)

nation whee, § 18938

tions. The

aining

scuss CRU

liance

r as to erform ode, § e form Board ns of

ode, § n, the or the t shall of the tion in n the ting of erage Each

n the .5.)

CRU

5

C

Physici(Safety

Physici(Safety

Staff Ps

CEA C,TechnoDivision

Archite

Behavio

Chief PCorrect

2 In anapplicanpredeterprofessi3 In a summarqualificato a preclassific4 The trwriting, aof traininclassificdepartm

Classificatio

an & Surgey)

an & Surgey)

sychiatrist (

, Deputy Diology Servicn (CIO)

ctural Assis

or Specialis

Psychologistional Facili

n educationnts’ Standarmined ratonal licensestatement ry of their ations. Rateedetermineation, assigraining andand asks thng and/or eation. Resp

ment exam a

on

eon

eon

(Safety)

irector, ces

stant

st I

t, ity

n and exprd 678 appting scale es or certifiof qualificaqualificatio

ers, typicallyd rating sc

gn scores ad experienche applicanexperience pponses yielanalyst, and

SPBCalifornia

ExaminatioType

Open

Open

Open

Open

Open

Open

Open

perience eplication for

that may cations, anations (SO

ons and exy subject mcale design

and rank thece (T&E) ent to answeperforming d point valud then assig


on EComp

EducaExpe

E

E

StateQualif

(S

TrainExpe

(T

T

T

examinationrms, and sc

include ynd/or years OQ’s) examxperience rmatter expened to asse competitoexaminationr multiple-ccertain tas

ues, which gned a perc


Exam ponents

ation and rience 2

E&E

E&E

ement of fications OQ)3

ning and erience

T&E)4

T&E

T&E

n, one or cores and years of rof relevant

mination, aprelated to arts, evaluat

sess their aors in a list. n is adminchoice quessks typically

are totaledcentage sc

als

Final File Date

Continuous

Continuous

Continuous

9/26/2016

Continuous

Continuous

Continuous

more rateranks them

relevant higt work expepplicants sa publishedte the respoability to p

nistered eitstions abouy performedd by the oncore.

No. oApplicat

s 3

s 3

s 3

6 8

s 8

s 41

s 7

ers reviewsm accordinggher educ

erience. submit a wd list of deonses acco

perform in

her online ut his or herd by those inline system

of tions

s the g to a cation,

written esired ording a job

or in r level in this

m or a

6

C

Clinical(HealthFacilityClinical(HealthFacility

Commu

Cook S

CorrectRecord

CorrectRecord

Food S

Fusion

Health

Health II (Spec

Health Special

LicenseNurse (

Nursing(Safety

Patient Insuran

Patient Insuran

Pharma

Classificatio

l Social Woh/Correction) - Safety l Social Wo

h/Correction) - Safety

unication O

Specialist I

tional Caseds Analyst

tional Caseds Analyst

Service Tech

Welder

Record Tec

Record Teccialist)

Services list (Safety)

ed Vocation(Safety)

g Coordinaty)

Benefit & nce Officer

Benefit & nce Officer

acist I

on

orker nal

orker nal

Operator

e

e

hnician

chnician

chnician

)

nal

tor

I

III

SPBCalifornia

ExaminatioType

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open


on EComp

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T


Exam ponents

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

als

Final File Date

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

No. oApplicat

s 13

s 12

s 29

s 6

s 15

s 13

s 31

s 11

s 22

s 3

s 13

s 3

s 8

s 3

s 3

s 7

of tions

7

C

PsychoFacility

Registe(Safety

Registe(Safety

RehabiState F

RespiraPractitioMental Develo

Senior Technic

Senior Technic

Senior (HealthFacilitySenior TechnoSafety)

SexuallEvaluat

StationApprenProgram

Superv

SupervNurse (

SupervRehabi

Classificatio

ologist (HeaClinical Sa

ered Nurse y)

ered Nurse y)

litation TheFacility (Art-

atory Care oner, Dept.Health & pmental Se

Psychiatriccian (Safety

Psychiatriccian (Safety

Psychologih )(SpecialistRadiologic

ologist (Spe

ly Violent Ptor

ary Enginentice (Four-Ym)

vising House

vising Regis(Safety)

vising litation The

on

alth afety)

erapist Safety)

of

ervices

c y)

c y)

ist

t)

ecialist-

Predator

er Year

ekeeper

stered

erapist

SPBCalifornia

ExaminatioType

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open

Open


on EComp

T

T

T

T

T

T

T

T

T

T

T

T

T

T


Exam ponents

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

als

Final File Date

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

Continuous

No. oApplicat

s 9

s 17

s 15

s 3

s 8

s 12

s 12

s 6

s 2

s 7

s 3

s 13

s 10

s 6

of tions

8

C

Unit Su

Hospita

FINDIN

The DSHappointmrequiredaccepteexaminascore oestablisharranged The CRcomplianthose ex

Appointm In all caappointireinstateand Boatransfer,which re

5 A writteand skiexamina

Classificatio

upervisor (s

al Police Of

NG NO. 1 –

H administements. Thed informatiod prior to th

ation proceof each cohed. The ed in order o

U found nonce review xaminations

ments

ases not exng power ements, proard rules. (G, or by wayequires con

en examinaills are asations are e

on

afety)

fficer

ExaminaRules

ered 40 ope DSH pubon for all he final filingss. After aompetitor wexaminatioof the score

o deficienciperiod. Ac

s in complia

xcepted or must fill

omotions, aGov. Code,y of reinstansideration

ation is a tessessed theither objec

SPBCalifornia

ExaminatioType

Open

Open

ations Com

en examinalished and examinatio

g date. Appll phases owas compn results l

e received b

es in the eccordingly, tance with c

exempted positions b

and demotio§ 19050.)

atement, mof each ind

esting procehrough thetively score


on EComp

T

Wr

mplied wit

ations to crdistributed

ons. Applicplicants weof the examputed, andisted the n

by rank.

examinationthe DSH fuivil service

by Article by appointons in strictAppointme

must be madividual’s jo

edure in whe use of ed or subjec


Exam ponents

T&E

ritten5

th Civil Se

reate eligibd examinatications recre notified a

mination pro a list ofnames of

ns that the ulfilled its relaws and b

VII of the tment, inclt accordancents made fde on the

ob-related q

hich candidaa variety ctively scor

als

Final File Date

Continuous

Continuous

ervice Law

ble lists fromion bulletinceived by about the nocess weref eligible call succes

DSH condesponsibilitiboard rules.

California Cuding case

ce with the from eligiblebasis of m

qualification

ates’ job-reof item f

red.

No. oApplicat

s 14

s 40

ws and Bo

m which to s containinthe DSH

next phase e completedcandidatessful compe

ucted durinies to admi.

Constitutiones of tranCivil Service lists, by w

merit and fitns for a pos

elated knowformats. W

of tions

oard

make ng the

were of the d, the was etitors

ng the inister

n, the nsfers, ce Act way of tness, sition,

wledge Written

9

includingfitness. ( During treviewed

C

AccounAdmini(SupervAssistaDieteticAssociaGovernAnalystAssociaAnalyst

AutomoOperat

Chief E

Chief oI Clinical(HealthFacility

Cook S

Custod

Data PManagData PManagData PManag

Dentist

g his or he(Cal. Code

the compliad 176 of tho

lassification

nting strator I visor)

ant Directorcs ate nmental Prot ate Persont

otive Equipor I, DMHD

Engineer II

of Plant Ope

l Social Woh Correctiony) - Safety

Specialist II

dian

rocessing er II rocessing er III rocessing er IV

t

er knowledRegs., tit. 2

ance reviewose appoin

n

C

s of C

ogram C

nel C

ment DS

C

C

eration C

orker nal C

C

C

C

C

C

C

SPBCalifornia

dge, skills, 2, § 250, su

w period, ttments, wh

AppointmeType

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification

Certification


abilities, eubd. (a).)

the DSH mich are liste

ent Te

List Per

List Per

List Per

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experience,

made 1,603ed below:

enure T

rmanent

rmanent

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rmanent

rmanent

rmanent

rmanent

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als

and phys

3 appointm

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

sical and m

ments. The

No. oAppointm

2

1

6

2

1

1

1

10

2

7

2

2

1

1

mental

CRU

of ments

10

C

Food STechnicHealth Officer

Hospita

Labor RSpeciaMedicaAssistaOffice T(TypingOffice T(TypingPsychia(SafetyPsychiaTraineePsychoFacilitySafety)

Resear

Senior TechnicStaff Se(GenerStaff Se(GenerStaff SeI Staff SeII Staff SeIII

Station

lassification

Service cian I and Safety

al Police Of

Relations list

al Technicalant (PsychiaTechnician g) Technician g) atric Techny) atric Techne ologist (Heay – Clinical –)

rch Analyst

Psychiatriccian (Safetyervices Anaral) ervices Anaral) ervices Ma

ervices Ma

ervices Ma

ary Engine

n

C

y C

fficer C

C

l atric)

C

C

C

ician C

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alth – C

I C

c y)

C

alyst C

alyst C

nager C

nager C

nager C

er C

SPBCalifornia

AppointmeType

Certification

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ent Te

List Per

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enure T

rmanent

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rmanent

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als

Time Base

Full time

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No. oAppointm

2

1

5

1

1

1

13

14

2

4

1

2

2

6

4

1

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of ments

11

C

SupervSocial WSupervNurse ISupervTradesFood STechnicHealth SpeciaOffice A(Typing

Office T

Psychia

Registe(Safety

Seame

Senior System(SpeciaStaff Ps(SafetyStaff Se(Gener

Labor R

Office T(Typing

Painter

PsychoFacilityPsychoFacility

lassification

vising PsychWorker I

vising RegisIII

visor of Buil

Service cian I Services list (Safety)Assistant g)

Technician

atric Techn

ered Nurse y)

er

Informationms Analyst alist) sychiatrist

y) ervices Anaral)

Relations A

Technician g)

r I

ologist (Heay-Clinical-Saologist (Heay-Clinical-Sa

n

hiatric C

stered C

ding C

R

) R

R

R

ician R

R

Rn

R

Ralyst

R

Analyst R

R

Ralth afety) Ralth afety) R

SPBCalifornia

AppointmeType

Certification

Certification

Certification

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

MandatorReinstatem

PermissivReinstatem

PermissivReinstatem

PermissivReinstatem

PermissivReinstatem

PermissivReinstatem


ent Te

List Per

List Per

List Per

ry ment

Per

ry ment

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ry ment

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ry ment

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ry ment

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ry ment

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ry ment

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ry ment

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ry ment

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ry ment

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ve ment

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ve ment

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ve ment

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No. oAppointm

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2

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ms Analyst alist)

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nting Officelist

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AppointmeType

PermissivReinstatem

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etired Annu

etired Annu

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AppointmeType

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ent Te

r Per

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r Per

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Staff Se(GenerSupervNurse (

For eacsent outcertificatchecks a

The DSrequiredterminatappointipositionemployereinstateterminatreinstate The CRapplicatiin a fisca The CRwhich a may fill serve ina 12 coTAU app Eligibilityhave pepreviousno breakdevelopcivil serv

lassification

ervices Anaral) vising Regis(Safety)

h of the 10t contact letion lists foras appropri

SH made d to reinstated from a ng power; . (Gov. Coee accepteement is rtion. (Ibid.) ements.

RU reviewedions and wal year.

RU reviewedposition mthe positio one or monsecutive mpointments

y for traininermanent ssly have hak in servicement appovice laws an

n

alyst

stered

05 list appoetters, screer SROA aniate.

15 appointate an emp

temporary (2) rejecte

ode, § 1914d the appo

requested The DSH

d two retirewere eligible

d seven TAaybe filled,

on by tempore positionmonth peri.

ng and devstatus in thad permanee due to a pointments, and board ru

SPBCalifornia

AppointmeType

Transfer

Transfer

ointments, ened applicd reemploy

tments via ployee to h

or limited-ted during 40.5.) The ointment wwithin ten complied

ed annuitane to be hired

AU appoint, the appoinorary appos under temod. The DS

velopment heir class, ent status apermanent and determules (Gov. C


ent Te

r Per

r Per

the DSH pcations, inteyment, and

mandatoris or her foterm appoiprobation; following c

without a brworking dwith the r

nt appointmd as retired

tments. Whnting poweointment. (Gmporary apSH complie

assignmenor (2) who

and who, sinseparation

mined themCode, § 438


enure T

rmanent

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properly adverviewed cconducted

ry reinstateormer posintment by or (3) de

conditions, reak in condays after rules and l

ments. The d annuitant

hen there ir, with the Gov. Code,ppointment ed with the

nts are limio have pronce such p

n. The CRUm to be in c

8, subd. (a)

als

Time Base

Full time

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vertised theandidates, backgroun

ement. A stion if the either the e

emoted fromhowever,

ntinuity of the effect

laws gover

individualsts, not to ex

s no emploconsent of , §19058.) longer than

e rules and

ited to empobationary permanent sU reviewed compliance)(b)).

No. oAppointm

4

1

e job vacanand cleare

nd and refe

state agenemployee employee om a manamust applyservice anive date orning mand

s submittedxceed 960

oyment listthe departNo person

n nine mon laws gove

ployees whstatus andstatus, havtwo training

e with appli

of ments

ncies, ed the rence

ncy is is (1) or the

agerial y: the

nd the of the datory

d their hours

t from tment, n may nths in erning

ho (1) d who e had g and icable

15

The CRmade viappointitransfer salary ra2, § 425 Howevefinding 2 FINDIN

Summa

Accou

Clin(Health

Data P

Healt

Office

Psycho

AssoP

RU reviewea permissivng power is to a pos

ange and d5.) The DSH

er, the DSH2.

NG NO. 2 –

ary:

Classificat

unting Adm(Supervis

nical Social h Correction

– Safety

Custodia

Processing

th and Safe

e Technicia

ologist (HeaClinical Sa

ociate GoveProgram An

d 37 DSH ve reinstateto a positi

sition in the esignated a

H verified th

did not pro

ProbatioAppointm

The DSHperforma

tion

ministrator I sor)

Worker nal Facility)y

an

Manager II

ety Officer

n (Typing)

alth Facility-fety)

ernmental nalyst

Total

SPBCalifornia

appointmeement. A traon under asame clas

as approprihe eligibility

ovide proba

onary Evaments Rev

H did not nce.

AppoinTy

LAppoin

) L

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L

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Tran


ents made ansfer of ananother aps or in anoiate by the of each ca

ation report

aluations viewed

provide 2

ntment ype

ist ntment

ist ntment

ist ntment ist ntment ist ntment ist ntment ist ntment

nsfer


via transfen employeeppointing poother class w

executive oandidate to

ts for all ap

Were N

21 required

No. of Appointme

1

2

3

1

1

5

2

1

16

als

er and eige from a poower may with substaofficer. (Cahis or her a

ppointments

Not Provi

d probatio

ents No. o

Pr

ht appointmosition unde

be made antially the al. Code Reappointed c

s as describ

ided for

nary repor

of Uncomplerob. Report

1

2

3

1

1

7

3

3

21

ments er one if the same

eg., tit. class.

bed in

All

rts of

eted ts

16

Criteria

Severity

Cause:

Action:

:

y:

The servienters in employmperiod thea probatioDepartme§ 19172.)probationsufficientlinformed Specificadepartmethe probahowever, reports. (C

Serious. process perform probationperformathe appoemployee

The DSHfaith efforequiremeand manaevaluationconsisten

It is recoapproval the CRUcorrectionthe proba

SPBCalifornia

ice of a prothe state c

ent list. (Ge appointingoner in theent of Hum) CalHR’s r

ner’s perfoly frequentof progres

lly, a writteent within 1ationary pe

require thCode Reg.

The probato ensure the full sc

nary period nce or term

ointment is e and serve

H states thaort to inforents of coagers are pns of their

nt process t

ommended of these fin

U a writtenns the depaationary req


obationary civil service

Gov. Code,g power sh

e manner aan Resourcregulatory srmance sht intervals ss on the jn appraisa0 days afte

eriod. (Ibid.hat appoin, titl. 2, § 26

ationary pethat the

cope of thto assist a

minating thenot a goo

es to erode

at DSH Hurm supervmpleting p

provided theemployeeso send rem

that withinndings and n correctivartment willquirements


period is ree by perma, § 19171.

hall evaluateand at suchces (CalHRscheme prohall be m

to keep job.” (Codel of perform

er the end o) The Boar

nting powe6, subd. (a)

eriod is theindividual heir job dan employe

e appointmeod job/persthe quality

uman Resovisors and probationarye forms ands. Howeverminders and

n 60 days recommen

ve action l implemenof Governm

als

equired whanent appo.) During te the work h periods aR) may requovides thatade to ththe emploe Reg., tit.

mance shalof each onerd’s record

ers retain )(3).)

e final step selected cuties. Failee in improent upon deson match

of state go

ource Officemanagers

y evaluatiod due dates, the DSH

d track com

of the Exendations, the

plan that nt to ensurement Code

en an empointment frothe probatiand efficien

as The Caliuire. (Gov. t “a report o

he employeoyee adequ. 2, § 599l be made te-third port

d retention all probati

in the selecan succesing to useoving his oeterminatiois unfair t

overnment.

es make a s regardingons. Supervs of probatidoes not hpletion.

ecutive Offe DSH sub

addressese conformitysection 191

ployee om an onary ncy of fornia Code of the ee at uately .795.) to the tion of rules, onary

ection ssfully e the or her n that to the

good g the visors onary ave a

ficer’s bmit to s the y with 172.

17

Equal E Each staThe appthe effecpower mproceduproceducoopera(Ibid.) Inofficer, wdepartmprogram Becausesexual hthe reguof the or Each stindividuahead of 19795, committmember19795, s The CRcomplian

Summa Criteria

FINDIN

mployment

ate agencypointing powctiveness o

must issue aures for fiures for prate with the n addition, who shall r

ment to devm. (Gov. Co

e the EEOharassmentular chain organization

tate agencals with a the agencsubd. (b)(ee and takers who havesubd. (b)(2)

U reviewednce review

ary:

:

NG NO. 3 –

t Opportuni

y is responswer for eac

of its EEO pa policy staling, proceoviding eqCalHR by the appoin

report direcvelop, impde, § 19795

Officer invt and other f command.

cy must edisability, oy on issues(1).) The de appropriae disabilitie).)

d the DSH Eperiod.

The DSH

Each staemployeeinterest inissues of

– A Disabi

SPBCalifornia

ty

sible for anch state agprogram. (Gatement coessing, an

qual upwarproviding ating power

ctly to, and plement, co5.)

vestigates employee c

d, as well as

establish a or who havs of concedepartmentate steps tos or who ha

EEO policie

does not h

ate agences who aren disabilityf concern

lity Adviso


n effective Eency has t

Gov. Code, mmitted to

nd resolvind mobility access to a

must appobe under t

oordinate,

and ensurcomplaintss regular a

separate ve an interern to emplot must invo ensure thave an inte

es, procedu

have an act

y must ee individuay issues, to

to employe

ory Commi


EEO prograthe major r§ 19794.) equal emp

ng discrimand prom

all required oint, at the the supervand monit

res proper , the positiond unencum

committeerest in disaoyees with vite all emat the final

erest in disa

ures, and pr

tive DAC.

establish als with a d

o advise thees with d

ittee Has N

als

am. (Gov. responsibilitTo that endployment o

mination comotional op

files, docu manageria

vision of, thtor the dep

handling oon requiresmbered acc

e of emploability issue

disabilitiesmployees to

committeeability issue

rograms in

a separatedisability, ohe head ofdisabilities.

Not Been E

Code, § 19ty for monid, the appopportunity;

omplaints; pportunitiesments and al level, ane director opartment’s

of discrimins separationcess to the

oyees whoes, to adviss. (Gov. Coo serve one is compriss. (Gov. Co

effect durin

e committeor who havf the agenc

(Gov. Co

Established

9790.) toring

ointing issue issue ; and data. EEO of the EEO

nation, n from head

o are se the ode, § n the sed of ode, §

ng the

ee of ve an cy on de, §

d

18

Severity

Cause:

Action:

Persona A PSC personaperson pas an eConstituwith priperformeexceptioPSC’s t19130 astate fuincidentaservices

y:

al Services

includes aal services performing employee

ution has anvate entitied. Gover

ons to the chat are of

are also pernction, seral to a co

s that are of

19795, suserve on the final cor who hsubd. (b)(

Very Seriissues ofand inputmay limiworkforce

The DSHDAC by sreceived.

The DSHa DAC, cointerest inwritten remeeting Executiverecomme

Contracts

any contrais a signifithe serviceof the Sta

n implied cies to perfrnment Cocivil servicea type en

rmissible. Srvices that ntract for tf an urgent,

SPBCalifornia

ubd. (b)(1)the comm

committee ave an inte(2).)

ious. The af concern tt to correct an agen

e, impact pr

H states thasoliciting its

must takeomprised on disability

eport of comminutes, n

e Officerendations.

act, requisitcant, sepaes is an inate. (Cal. ivil service form servi

ode sectioe mandate wumerated i

Subdivision are not a

the purcha, temporary


.) The depmittee and t

is compriserest in dis

agency heato employe

ct any undency’s abilityroductivity,

at it has ms employee

immediateof membersy issues. Tmpliance, inno later thr’s appro

tion, or purately identdependent Code Regmandate lices the sn 19130, where PSCin subdivis(b) contracvailable wi

ase or leasy, or occasio


partment mtake appropsed of memsability issu

ad does notees or otheerrepresenty to recruand subjec

made a cones for intere

e steps to es who have The DSH mncluding thehan 60 daoval of

urchase ortifiable elemcontractor

g., tit. 2, §miting the s

state has subdivisio

C’s achieveion (b) of cts include ithin state se of real onal nature

als

ust invite apriate steps

mbers who ues. (Gov.

t have direcer persons tation. Theuit and retct the agenc

ncerted effoest and no

ensure the disabilities

must submie DAC rostays from t

these

rder under ment, and r that does § 547.59.)state’s authhistorically

on (a), hoe cost savinGovernmeprivate conservice, seor persona

e.

all employes to ensurehave disabCode, § 1

ct informatiwith disab

e lack of a tain a quacy to liabilit

ort to deveresponses

establishms or who hait to the Cter, agendathe date o

findings

which labthe businenot have s

) The Calihority to co

or customowever, congs for the nt Code sentracts for aervices thaal property

ees to e that bilities 9795,

on on bilities

DAC alified ty.

elop a were

ent of ave an RU a

a, and of the

and

bor or ess or status fornia ntract marily odifies state. ection a new at are y, and

19

For cosexecute reviews employe During tsubject review. T

V

Cell S

CooPe

ServiceHR C

EsAesth

ImpeServic

IntuitServic

ProfCor

LataraIn

FouLab

PlatinGro

PrHe

Reg

t-savings Psuch a cothe adequ

ee organiza

the compliato DepartmThe CRU re

Vendor

Staff, LLC

operative ersonnel es dba CPSConsulting

ssential hetics, Inc.

rial Locum ces, A.P.C

ive Health ces, Inc, A fessional rporation a Enterprisenc. dba undation boratory

um Empireoup, Inc.

referred althcare istry, Inc.

PSC’s a stontract. (Gouacy of th

ation repres

ance reviewment of Geeviewed 11

Serv

PhysTherServ

S Trai

Temp/Ch

PhysiciSurgServ

Temp-Licen

VocatNu

Temp-Licen

VocatNu

e LaborServ

Temp-

LicenVocat

Nu

PhysTherServ

SPBCalifornia

tate agencyov. Code, §he proposesenting state

w period, teneral Serv1 of those c

vices C

sical rapy vices

ning

/Relief hief ian and geon vices -Relief nsed tional rse -Relief nsed tional rse

ratory vices

-Relief nsed tional rse

sical rapy vices


y is require§ 19131.) Fed or exece employee

he DSH havices (DGScontracts, w

Contract Da

11/1/20166/30/2018

9/1/20166/30/2018

9/1/20168/30/2018

10/1/20159/30/2019

10/1/20159/30/2017

11/1/201610/30/201

10/1/20159/30/2018

11/1/20166/30/2018


ed to notifFor subdiviscuted contres. (Gov. C

ad 41 PSCS) approvalwhich are lis

ates CA

6-8

$54

-8

$8

-8

$7

5-9

$1,92

5-7

$1,8

6-8

$2,

5-8

$1,

6-8

$5

als

fy the SPBsion (b) conract at the

Code, § 191

C’s that wel, and thussted below:

ontract Amount

47,430.40

869,600

760,320

22,342.40

10,828.80

500,000

843,776

582,912

B of its intentracts, thee request 32.)

ere in effecs our proce

JustificatIdentifie

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

ent to e SPB of an

ct and edural

tion ed

20

V

SpAccou

Co

The Rthe UCalifo

VIST

When a agency specific or moreCode Re

The totascope ocontractspecific 11 contrsubdivis

Mandate Each mestatemeholds wstatutes 11146 &

FINDIN

Vendor

pectrum ntable Careompany

Regents of niversity of

ornia, Davis

TAM, Inc.

state agenmust incluand detaile conditionseg., tit. 2, §

al amount of the reviet were legaland detaileracts met a

sion (b). Acc

ed Training

ember, officnt of econo

with the ageand regula

& 11146.1.)

NG NO. 4 –

Serv

e Cons

Cons

Mainteand ReSwitch

AutomTran

SwitchTransfo

ncy requestude with ited factual is specified 547.60.)

of all the ew to makelly sufficiened factual inat least oncordingly, t

cer, or desiomic interesency is reqations that g State agen

PersonaRequirem

SPBCalifornia

vices C

ulting

ulting

enance epair of hgears, matic nsfer es and ormers

ts approval s contract informationin Governm

PSC’s reve conclusiot. For all PSnformation e conditionhe DSH PS

gnated emst (referreduired to tagovern the ncies are re

l Servicements


Contract Da

7/1/20166/30/2018

7/1/20166/30/2019

7/1/20166/30/2018

from the Dtransmitta

n that demoment Code

iewed wasns as to wSC’s subjecin the writte

n set forth SC’s compli

ployee of ad to as “filerke an orieofficial con

equired to o

s Contra


ates CA

-8

$7

-9

$4,

-8

$7

DGS for a sl a written

onstrates hoe section 19

s $18,246,8whether thect to DGS aen justificatin Governmied with pro

a state agenrs”) becausntation cou

nduct of staoffer filers

acts Com

als

ontract Amount

749,844

759,022

749,844

subdivision n justificatioow the con9131, subd

875.60. It we DSH justapproval, thtions as to ment Codeocedural re

ncy who is se of the pourse on theate officials.the orienta

plied wit

JustificatIdentifie

Yes

Yes

Yes

(b) contracon that incntract meetdivision (b).

was beyonifications fo

he DSH prohow each

e section 1quirements

required toosition he oe relevant e. (Gov. Codtion course

th Proced

tion ed

ct, the cludes s one (Cal.

nd the or the ovided of the 9131,

s.

o file a or she ethics de, §§ e on a

dural

21

semi-anof appoicommen Upon themploye(Gov. Csupervisand abu19995.4employedemonscompletcoursesconduct once ev Within 1executivand devFor manthe trainappointmtraining The Boacomplian(a).) In selectionprobatiostate civtraining employe

The CRcomplian

nual basis.intment andncing on the

he initial apee shall be ode, § 199sor, techniqusive cond4, subd. (b)ee’s probatitrated thated during . (Gov. Codprevention

ery two yea

2 months ove assignmevelopment, nagement ening must bment, the eon a biannu

ard may connce with ciparticular, n and exam

onary periodvil service. (

that appoees.

RU reviewednce review

(Gov. Codd at least oe first odd-n

pointment provided a95.4, subd

ques of supuct preven.) The trainionary periot to do so this time

de, § 1999n componears. (Gov. C

of the initiaent (CEA) pas prescrib

employees be a minimemployee ual basis. (

nduct revieivil service the Board mination prds, and any(Ibid.) Acco

ointing pow

d the DSH’period.

SPBCalifornia

de, § 11146once duringnumbered y

of any empa minimum . (b).) The pervision, pntion. (Govning must bod or within

creates aperiod due

95.4, subd. nt, the train

Code, § 129

al appointmposition, thbed by Calthe training

mum of 20 must be pIbid.)

ws of any alaws and may audit

rocedures, y other areaordingly, thewers are re

s mandate


6.1.) New fi each consyear therea

ployee desof 80 hourstraining addperformancv. Code, §§be successn six monthsadditional ce to limite(c).) As to ning must 950.1.)

ent of an ee employeeHR. (Gov. g must be ahours. (Ibi

provided a

appointing pBoard regupersonnel appointme

a related toe CRU revieequired by

ed training p


lers must bsecutive peafter. (Gov.

signated in s of trainingdresses su

ce standard§ 12950.1,fully compls of the initcosts or thd availabilthe sexua

thereafter

employee toe shall be pCode, §§

a minimum id.) Thereaminimum

power’s peulations. (Gpractices

ents, promoo the operatews docum

the afore

program th

als

be trained weriod of two

Code, § 11

a supervisg, as presc

uch topics ads, and sex, subds. (aleted withintial appointmhat the traiity of supel harassmebe provide

o a managprovided lea19995.4, sof 40 hour

fter, for boof 20 hou

rsonnel praGov. Code, related to sotions, the tion of the

ments and ree-cited laws

hat was in e

within six mo calendar y1146.3.)

ory positioncribed by Cas the role xual harassa), (b), & (n the term oment, unlesining cannervisory traent and abud to superv

gement or cadership traubds. (d) &rs and for Coth categorrs of leade

actices to e§ 18661,

such mattemanagememerit princiecords relas to provid

effect durin

months years,

n, the alHR. of the sment (c), & of the ss it is ot be aining usive-visors

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Attachment 1

. ' STATE OF CALIFORNIA- DEPARTMENT OF STATE HOSPITALS

OFFICE. OF THE DIRECTOR 1600 Ninth Street, Room 151 Sacramento, CA 95814

September 15, 2017

Susan Ambrose Executive Director 801 Capitol Mall Sacramento, CA 95814

Dear Ms. Ambrose:

EDMUND G. BROWN JR., GOVERNOR

The Department of State Hospitals (DSH) has received the State Personnel Board (SPB) draft report dated August 29, 2017. The draft report concludes the compliance review conducted at DSH.

The draft report identified that DSH is compliant with personnel practices in the area of examinations and personal services contracts. However, DSH is not in compliance with personnel practices in the area of appointments, establishment of a Disability Advisory Committee and mandated training requirements.

DSH agrees with SPB's findings, and will take immediate steps to develop and submit a Corrective Action Plan within 60 days of the release of the report to address the · deficiencies identified.

Thank you for the opportunity to respond to your draft report. If you have any questions, please contact Cindy Woolston, Chief, Office of Audits at (916) 651-9984 or by email at [email protected] .

Sincerely,

0/b~a~ Pam Ahlin , Director Department of State Hospitals

cc: Listed on next page

Attachment 1

Ms. Nirmeth Paddi, State Personnel Board Policy and Compliance Review Unit Diana Dooley, Secretary California Health and Human Services Agency Stephanie Clendenin, Chief Deputy Director, California Department of State Hospitals Lupe Alonzo-Diaz, Deputy Director, Administration, California Department of State Hospitals Sean Hammer, Chief of Human Resources, California Department of State Hospitals Cindy Woolston, Chief Office of Audits CaliforniaOepartment of State Hospitals

2

Attachment 1

Response to State Personnel Board Review Draft Report

Department of State Hospitals: Compliance Review Report

Finding #2 - Probationary Evaluations Were Not Provided for All Appointments Reviewed

Cause: DSH Human Resource Offices make a good faith effort to inform supervisors and managers regarding the requirements of completing probationary evaluations. Supervisors and managers are provided the forms and due dates of probationary evaluations of their employees. However, DSH does not have a consistent process to send reminders and track completion .

Department's Response: · DSH will implement a process to monitor and track probationary evaluations and remind supervisors and management staff to follow established policy and processes.

Finding #3 - A Disability Advisory Committee (DAC) Has Not Been Establ ished

Cause: DSH has made a concerted effort to develop a Disability Advisory Committee by soliciting its employees for interest and no responses were received.

Department's Response: DSH will establish a Disability Advisory Committee comprised of members who have a disability or who have an interest in disability issues.

Finding #5 - Supervisor Training Was Not Provided for All Supervisors

Cause: DSH Policy Directive 5305 mandates new supervisors and managers attend supervisory training within the first 12 months of appointment. Despite Policy Directive 5305, supervi.sors and managers do not always ensure their employees take the training, possibly due to workload or remote location of staff .

Attachment 1

Department's Response : DSH will conduct a targeted review to identify supervisors and managers that may not be compliant with DSH training mandates, identify in house or local training options and implement a process to track completion.

Finding #6 - Ethics Training Was Not Provided for All Filers

Cause: DSH implemented Policy Directive 5306 identifying filers and mandates completion of the Department of Justice Ethics training within six months of an employee's hire. However, DSH does not have a consistent process to remind filers of the requirement and track that training

has been completed.

Department's Response: DSH will implement a process to ensure filers are notified of the training requirement, and track that training has been completed.

Finding #7 - Sexual Harassment Training Was Not Provided for All Supervisors

Cause: DSH mandates that Sexual Harassment Training be taken within six months of a supervisor's hire date. It appears not all training coordinators are aware of the mandate; some managers have failed to attend scheduled training and DSH does not have a consistent process to track that training has been completed.

Department's Response : DSH will identify training options, and implement a process to communicate the mandate, remind supervisors and managers of the requirement and track completion of training.

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