COMPLIANCE REVIEW REPORT 
CALIFORNIA STATE LANDS COMMISSION 
Compliance Review Unit State Personnel Board April 21, 2017 
TABLE OF CONTENTS 

Introduction ..................................................................................................................... 1 
Executive Summary ........................................................................................................ 1 
Background ..................................................................................................................... 2 
Scope and Methodology .................................................................................................. 3 
Findings and Recommendations ..................................................................................... 3 
Examinations ............................................................................................................. 3 
Appointments ............................................................................................................. 5 
Equal Employment Opportunity (EEO) ...................................................................... 9 
Mandated Training ................................................................................................... 10 
DEPARTMENTAL RESPONSE .................................................................................... 12 
SPB Reply ..................................................................................................................... 12 

INTRRODUCTION 

Established by thee Californiaa Constituttion, the SState Persoonnel Boarrd (the SPPB or Board) is charged wwith enforcing and administering the civil seervice statuutes, prescrribing probatioonary perioods and classificattions, adoopting regulations, and revieewing disciplinary actionss and merrit-related aappeals. TThe SPB ooversees thhe merit-b ased recruitmment and selection proccess for thee hiring of oover 200,0000 state emmployees. T hese employeees providee critical services to thhe people oof Californiaa, includingg but not limmited to, proteecting life aand propertty, managinng emergency operattions, provi ding educaation, promotinng the public health , and preserving thee environmment. The SPB provvides directionn to departmments throuugh the Boaard’s decisioons, rules, policies, annd consultaation. 
Pursuannt to Government Coode sectionn 18661, the SPB’s Compliancce Review Unit (CRU) cconducts coompliance rreviews of aappointing aauthority’s personnel practices inn five areas: eexaminationns, appointments, eqqual emplooyment oppportunity (EEEO), perssonal servicess contracts (PSC’s), and manddated training to ensure compliiance with civil service laws and bboard regu lations. Th e purpose of these rreviews is tto ensure state agencies are in coompliance wwith merit-rrelated lawws, rules, annd policies  and to ideentify and share best praactices identified duringg the reviewws. The SPPB conduct s these revviews on a threee-year cyccle. 
The CRU may alsoo conduct sspecial inveestigations in responsse to a speecific requeest or when the SPB obtaains informaation suggeesting a pottential meritt-related vioolation. 

EXECUTTIVE SUMMMARY 
The CRU conducteed a routinee compliancce review oof Californiaa State Lan ds Commisssion (CSLC) personnel practices in the areeas of examminations, appointmeents, EEO, and PSC’s frrom Februaary 1, 2016, through NNovember 330, 2016, annd mandateed training from Novembber 1, 20144, through November 30, 2016. The followwing table ssummarizess the compliannce review findings. 
AArea  Finding  Severityy  
Exam minations  
 Examin ations Com mplied with  Civil Servic  
 In Complia ance  
and d Board Ru ules  
Appo ointments  
 Probatio onary Evalu uations Wer re Not Prov  
 Serious s 
All Appo ointments R Reviewed  
E Equal  
 Equal Employm ment Oppor rtunity Prog  
 In Complia ance 
Emp ployment  Comp plied with Ci ivil Service  Laws and  
Opp portunity  Rules  

AArea  Finding  Severityy  
Ma andated  Mand dated Traini ng Complie ed with Sta  In ComplianI  nce  
Tr raining  R equirement ts  

A color-ccoded systeem is used to identify the severityy of the violations as ffollows: 
. R Red = Very  Serious  
. O Orange = S Serious  

. YYellow = Noon-serious oor Technicaal 
. GGreen = In 
e 

BACCKGROUNDD 
The stafff of the CSSLC servess the peoplle of Califoornia by prooviding stewwardship oof the lands, wwaterways, and resourrces entrussted to its ccare througgh economic developmment, protectioon, preservvation, and restorationn. The CSLLC has jurissdiction annd managemment control oover certain public laands that wwere transfeerred from  the Unitedd States too the state. Thhese lands are of two distinct types – sovereeign and scchool landss. 
When CCalifornia beecame a staate in 18500, it acquireed approximmately four million acrees of land undderlying thee state’s naavigable annd tidal watterways. KKnown as sovereign laands, these lands includee the beds oof Californiaa’s navigabble rivers, laakes, and sstreams, ass well as the sstate’s tide and submmerged landds along thhe state’s more than 1,100 milees of coastlinee and offshore islandds from thee mean hiigh tide linne to threee nautical mmiles offshoree. In addition, the statee retains feee ownership of approoximately 4770,000 acrees of school laands and reetains the mmineral righhts to an additional 7900,000 acress. 
In orderr to properly manage these lands, waterwaays, and reesources, thhe CSLC hhas a staff of aapproximately 220 proofessional eengineers, land managers, scienntists, attornneys, surveyors, marine safety peersonnel, aand adminiistrative sttaff locatedd in five aareas throughoout the state. These eemployees  work in onne of seveen divisionss, which incclude two leassing divisioons (Land Managemeent and Miineral Resoources Ma nagement), the Marine Facilities DDivision, thhe Externaal Affairs/Granted Lannds Divisioon and suppport divisionss including Environmeental Plannning, Legal, , and Admiinistration aand Information Servicess. 

SCOPE ANDD METHODDOLOGY 

The scoope of the compliancee review wwas limited to reviewing CSLC’ss examinattions, appointmments, EEOO program, and PSC’ss from Febrruary 1, 2016, throughh Novembeer 30, 2016, annd mandateed training from Novemmber 1, 2014, throughh Novembeer 30, 2016.. The primary objective oof the revieww was to deetermine if CCSLC’s perrsonnel praactices, poliicies, and proocedures coomplied witth state civvil service laws and board reguulations, annd to recommmend correcctive action for those deficiencies identified. 
A cross--section of the CSLC’ss examinations and apppointmentts were seleected to ennsure that various samplees of examminations annd appointmment types, classifications, and leevels were revviewed. The CRU exaamined the documenttation that tthe CSLC pprovided, wwhich includedd examination plans, eexaminationn bulletins, jjob analysees, 511b’s, scoring ressults, notice oof personnel action ((NOPA) forms, vacanncy postings, applicaation screeening criteria, hiring interrview ratingg criteria, ceertification lists, transffer movemeent worksheets, employmment historyy records, ccorrespondence, and pprobation reeports. 
The review of the CSLC’s EEEO programm included examining g written EEEO policiess and proceduures; the EEEO officer’s role, duties, and reporting relationship; the inteernal discriminnation commplaint proocess; thee upward mobility pprogram; tthe reasonnable accommmodation program; thhe discrimination commplaint proocess; andd the Disaability Advisoryy Committeee (DAC). 
The CSLLC did not eexecute anny PSC’s suubject to Deepartment oof General SServices (DDGS) approvaal during thee compliancce review pperiod. 
In addittion, the CCSLC’s mandated traaining was reviewed to ensure all emplooyees requiredd to file stateements of eeconomic innterest werre provided ethics trainning and that all supervissors were pprovided baasic supervi sory and seexual harasssment preevention traaining within sttatutory timelines. 
On Aprill 5, 2017, aan exit confeerence wass held with the CSLC to explain aand discusss the CRU’s initial findin gs and reccommendations. On AApril 13, 20117, the CRRU receivedd and carefullyy reviewed the responsse, which iss attached tto this final  compliancce report. 
FINDINGS AND RECOMMENDATIONNS 
Examinaations 
Examinaations to esstablish an eligible listt must be ccompetitivee and of succh characteer as to fairly test and determine the qualifiications, fittness, and ability of competitorrs to perform the duties of the classs of position for whichh he or she seeks apppointment. ((Gov. Code, § 18930.) Exxaminationss may be aassembled or unassemmbled, writtten or oral, or in the formm of a demmonstration of skills, oor any commbination oof those teests. (Ibid.) The Board eestablishes minimum qqualificationns for deterrmining thee fitness annd qualifications of emplooyees for eaach class oof position aand for applicants for eexaminationns. (Gov. CCode, § 18931 .) Within aa reasonablle time befoore the schheduled daate of the e xaminationn, the designatted appoinnting power shall announce or advertise the exammination forr the establishhment of elligible lists. (Gov. Codde, § 189333, subd. (a)).) The adveertisement shall contain such informmation as thhe date andd place of the examinaation and thhe nature oof the minimumm qualificat ions. (Ibid.)) Every appplicant for eexaminationn shall file aan application in the officce of the department or a dessignated a ppointing ppower as directed inn the examinaation annouuncement. ((Gov. Codee, § 18934.) Generallyy, the final eearned ratinng of each person compeeting in anyy examination is to be determinedd by the weeighted aveerage of the eearned ratinngs on all phases of the examinnation. (Goov. Code, §§ 18936.) EEach competittor shall bbe notified in writing of the results of thhe examinaation whenn the employmment list ressulting fromm the examination is esstablished. (Gov. Code, § 18938.5.) 

During tthe period under reviiew, the CSLC conduucted eightt examinations. The CRU reviewedd five of thoose examinnations, which are listeed below: 
C Classificatio on  Examinatio Type  E Comp Exam ponents  Final File Date  No. o Applicat of tions  
Career Assignm Executive ment C  CEA  State Qualif (S ement Of fications OQ)1  4/8/16  10  
Associa Determ ate Bounda mination Off ary icer  Open  Qual App Pa ification praisal anel2  1/25/16  7  
Marine Superv Safety Ope visor  Open  QQAP  12/31/15  9  
Mineral Inspect l Resource tor II  Open  QQAP  7/12/16  4  

1 In a staatement of qualifications (SOQ’s) exa mination, ap plicants submmit a written summary off their qualificatioons and expeerience relateed to a publis hed list of deesired qualificcations. Raterrs, typically suubject matter exxperts, evaluaate the respoonses accordiing to a preddetermined raating scale d esigned to a ssess their abilitty to perform in a job class ification, assign scores an d rank the coompetitors in aa list. 
2 The quaalification apppraisal panel  (QAP) intervview is the ooral componeent of an exaamination whhereby competitoors appear beefore a panel of two or moore evaluatorss. Candidate s are rated aand ranked aggainst one anothher based on an assessmeent of their abbility to performm in a job cla ssification. 

C Classificatio on  Examinatio Type  E Comp Exam ponents  Final File Date  No. o Applicat of tions  
Senior Determ (Specia Boundary mination Off alist)  Open  QQAP  1/25/16  3  

FINDINNG NO. 1 – Examinaations Commplied witth Civil Seervice Lawws and Booard Rules 
The CSLC adminisstered fourr open examinations aand one CCEA examinnation to crreate eligible lists from wwhich to mmake appointments. TThe CSLC published and distribbuted examinaation bulleetins contaaining the required informatioon for all examinattions. Applicattions receivved by the CCSLC weree accepted prior to thee final filingg date and wwere thereafteer properlyy assessedd to deterrmine wheether applicants mett the minimmum qualificaations for aadmittance to the exaamination. The CSLCC notified aapplicants aas to whetherr they quallified to take the exaamination, and thosee applicantss who mett the minimumm qualificattions were also notified about the next pphase of thhe examination process. After all phases of thhe examinaation processs were commpleted, the score of each competittor was coomputed, aand a list of eligiblee candidatees was esstablished. The examinaation resultss listed thee names of all successsful compeetitors arrannged in order of the scorre received by rank. Coompetitors were then notified of ttheir final scores. 
The CRU found noo deficienciees in the exxaminationss that the CCSLC conduucted duringg the compliannce revieww period. According ly, the CSSLC fulfilleed its ressponsibilities to administter those exxaminationss in compliaance with ccivil service laws and bboard rules. 
Appointmments 
In all caases not exxcepted or exempted by Article VVII of the CCalifornia CConstitutionn, the appointing power must fill ppositions bby appointmment, incluuding casees of transsfers, reinstateements, proomotions, aand demotiions in stricct accordance with thhe Civil Se rvice Act and Board rulees. (Gov. CCode, § 190050.) Appoointments mmade from eligible listss, by way of ttransfer, orr by way off reinstatemment, must be made on the bassis of meritt and fitness, which requuires considderation of each indiviidual’s job--related quaalifications for a position, including his or her knowledgee, skills, abbilities, expeerience, annd physicall and mental ffitness. (Cal. Code Regs., tit. 2, §§ 250, subd. (a).) 
During tthe compliance revieew period, the CSLC made 32 appointmeents. The CRU reviewedd 22 of thosse appointmments, whicch are listedd below: 

Cla assification  Appointment Type  Tenu ure  Tim me Base  A No. of Appointme nts  
Accounntant Traineee  Certification Lisst  Permaanent  Fuull Time  1  
Accoun Admini (Superv nting strator I visor)  Certification Lisst  Permaanent  Fuull Time  1  
Accoun (Specia nting Office alist)  Certification Lisst  Permaanent  Fuull Time  1  
Associa Safety ate Process Engineer  Certification Lisst  Permaanent  Fuull Time  1  
Associa Analyst ate Person t  Certification Lisst  Permaanent  Fuull Time  1  
Associa Softwa (Techn ate System re Specialis ical)  Certification Lisst  Permaanent  Fuull Time  1  
Attorneey III  Certification Lisst  Permaanent  Fuull Time  1  
Career Assignm Executive ment B  Certification Lisst  Permaanent  Fuull Time  1  
Career Assignm Executive ment C  Certification Lisst  Permaanent  Fuull Time  1  
Environ Scientis nmental st  Certification Lisst  Permaanent  Fuull Time  1  
Marine Operat Superv Safety ions visor  Certification Lisst  Permaanent  Fuull Time  1  
Office A (Typing Assistant g)  Certification Lisst  Limit Term ted m  Fuull Time  1  
Public Manag Land ement  Certification Lisst  Permaanent  Fuull Time  3  
Researrch Analyst I  Certification Lisst  Permaanent  Fuull Time  1  
Senior Determ Boundary mination  Certification Lisst  Permaanent  Fuull Time  1  
Staff Se Analyst ervices t (General)  Certification Lisst  Limit Term ted m  Fuull Time  1  
Staff Se Analyst ervices t (General)  Certification Lisst  Permaanent  Fuull Time  1  
Office A (Typing Assistant g)  TTransfer  Permaanent  Fuull Time  1  
Staff Se Analyst ervices t (General)  TTransfer  Permaanent  Fuull Time  1  

Cla assification  Appointment Type  Tenu ure  Tim me Base  A No. of Appointme nts  
Bounda Determ Technic ary mination cian  T Dev raining & velopment  Permaanent  Fuull Time  1  

For each of the 199 list appoinntments, the CSLC prroperly advvertised thee job vacanncies, sent outt contact lettters, screeened appliccations, inteerviewed caandidates, aand clearedd the certificattion lists ffor SROA and reemmployment, and connducted baackground and referencce checks aas appropriaate. 
The CRRU revieweed two CSSLC appoinntments mmade via trransfer. A transfer oof an employeee from a position unnder one aappointing power to a position under anoother appointing power mmay be maade if the transfer is tto a positioon in the saame class or in another class with substantiaally the samme salary raange and ddesignated as approppriate by the eexecutive offficer. (Cal.  Code Regg., tit. 2, § 4425.) The CCSLC verifi ed the eligiibility of the caandidate to their appoiinted class.. 
Eligibilityy for traininng and devvelopment assignmennts are limitted to empployees whoo (1) have peermanent sstatus in thheir class, oor (2) whoo have probbationary sstatus and who previoussly have had permaneent status annd who, sinnce such peermanent sstatus, havee had no breakk in servicee due to a ppermanent sseparation.. The CRU reviewed oone trainingg and development appoointment, annd determinned it to bee in complliance with applicablee civil service llaws and booard rules ((Gov. Codee, § 438, suubd. (a)(b)).. 
Howeveer, the CSLCC did not pprovide probbation repoorts for all aappointmennts as descrribed in findingg 2. 

Summaary: The CSLC did not pprepare, coomplete, annd/or retainn three requuired probationnary reportss of performmance. 
Classificattion  Appoin Ty ntment ype  No. of Appointmeents  No. o Pr of Uncomple rob. Report eted ts  
Associa Engine ate Process er s Safety  L Appoin ist ntment  1  1  

Classificattion  Appoin Ty ntment ype  No. of Appointmeents  No. o Pr of Uncomple rob. Report eted ts  
Attorneey III  L Appoin ist ntment  1  1  
Senior Determ (Specia Boundary mination Off alist) icer  L Appoin ist ntment  1  1  
Total  3  3  

Criteria: 	A new probationaryy period is not requirred when aan employeee is appointedd by reinstaatement witth a right off return. (Caal. Code Regs., tit. 2, § 3322, subd. (d)(2).) Howwever, the service of a probatioonary period is required wwhen an emmployee ennters state civil servicce by permanennt appointmment from aan employmment list. (Cal. Code Regs., tit. 2, § 3222, subd. (aa).) In addittion, unlesss waived byy the appointing power, a new probaationary perriod is requuired when an employee is appointedd to a possition undeer the folloowing circumstances: (1) without a break in seervice in thhe same claass in which the employee has commpleted thee probationnary periodd, but undder a diffeerent appointing power; and (2) without a breakk in servicee to a classs with substantiaally the samme or loweer level of dduties and responsibiilities and salarry range ass a class inn which the employee has completed the probaationary perriod. (Cal. CCode Regss., tit. 2, § 3322, subd. ((c)(1) & (2).) 
During the probationnary periodd, the appointing poweer is requireed to evaluate the work and efficieency of a probationer at sufficiently frequent intervals too keep thee employeee adequateely informeed of progress on the job.  (Gov. Codde, § 191722; Cal. Codee Regs., tit.
. 2, § 599.795.)) The appoiinting poweer must preepare a writtten appraissal of performance each oone-third off the probationary perriod. (Cal. CCode Regs., tit.. 2, § 599.7795.) 
Severityy: 	Serious. The probaationary peeriod is the final step in the selection process to ensure that the individual sselected caan successsfully perform the full sccope of thheir job duuties. Failing to usee the probationnary period to assist aan employeee in improoving his or her performance or ter minating thhe appointtment uponn determination that the aappointment is not a good job/person matchh is unfair too the employeee and servees to erode the quality of state goovernment. 

Cause:  The CSLC states thhat the commpletion off probationaary reports is a  
decentralized proceess involvinng not onlyy the HR ooffice, whicch is  
responsibble for settiing up the structure oof the overaall processs, but  
dozens oof managers and supeervisors whho are respponsible for the  
actual coompletion oof reports. TThis proceess will be updated inn the  
future to eensure greaater compliance.   
Action:  It is recoommended that withinn 60 days of the Exeecutive Officer’s  
approval of these finndings and recommenndations, thhe CSLC suubmit  
to the CRU a writtten correcttive action  plan that  addressess  the  
correctionns the depaartment will implementt to ensure conformityy with  

the probaationary reqquirements of Governmment Code section 191172. 
Equal Employmentt Opportunity (EEO) 
Each staate agencyy is responssible for an effective EEEO prograam. (Gov. CCode, § 197790.) The apppointing powwer for eacch state ageency has thhe major reesponsibilityy for monitooring the effecctiveness oof its EEO pprogram. (GGov. Code, §§ 19794.) TTo that end, the appointing power mmust issue aa policy staatement commmitted to equal employment oppportunity; issue proceduures for filling, proceessing, and resolving discrimination commplaints; issue proceduures for prooviding equal upwardd mobility and promootional oppportunities; and cooperaate with the CalHR by providing aaccess to all required ffiles, documments and ddata. (Ibid.) Inn addition, tthe appointting power must appooint, at the manageriaal level, an EEO officer, wwho shall report direcctly to, and be under t the supervission of, thee director oof the departmment to devvelop, implement, cooordinate, aand monitoor the deppartment’s EEO programm. (Gov. Coode, § 197995.) In a sttate agencyy with less than 500 eemployees, like the CSLLC, the EEOO officer maay be the peersonnel offficer. (Ibid.) 
Becausee the EEO Officer invvestigates aand ensurees proper hhandling off discriminaation, sexual hharassment and otheer employeee complainnts, the poosition requuires separ ation from thee regular chhain of command, as wwell as reguular and uneencumbereed access too the head of the organizzation. 
Each sttate agenccy must esstablish a separate committeee of emplooyees whoo are individuaals with a ddisability, oor who havve an intereest in disabbility issuess, to advisee the head of the agencyy on issuess of concerrn to emplooyees with disabilities.. (Gov. Codde, § 19795, subd. (b)(1).) The ddepartmentt must invite all empployees too serve onn the committ ee and takee appropriaate steps too ensure thaat the final committee is compriseed of memberrs who havee disabilitiees or who hhave an inteerest in disaability issuees. (Gov. CCode, § 197955, subd. (b)((2).) 

The CRU reviewedd the CSLC’s EEO policies, proceedures, andd programss in effect duuring the compliance revview period.. 

After revviewing thee policies, pproceduress, and programs neceessary for ccompliance with the EEOO programm’s role and responsibilities acccording to statutory and regulaatory guidelinees, the CRRU determinned that CCSLC’s EEOO program provided eemployees with informattion and guuidance onn the EEO process including innstructions on how too file discriminnation claims. Furthhermore, tthe EEO program outlines tthe roles and responsibilities of the EEO OOfficer, as well as suupervisors and managgers. The EEO Officer, who is at a managerrial level, reeports direectly to the Executive Director oof the CSLC. IIn addition,, the CSLCC has an eestablished DAC that reports to the directoor on issues aaffecting persons with a disability. The CSLCC also prov vided evidennce of its effforts to promoote EEO in its hiring aand employyment practtices, to inccrease its h iring of perrsons with a ddisability, aand to offeer upward mobility oopportunitiess for its eentry-level staff. Accordinngly, the CSSLC’s EEOO program ccomplied wiith civil servvice laws annd board ruules. 
Mandateed Training 
Each meember, officcer, or designated emmployee of aa state ageency who iss required to file a statemment of ecoonomic inteerest (referrred to as “ffilers”) becaause of thee position hhe or she holdds with thee agency iss required to take ann orientatioon course oon the releevant ethics statutes andd regulationns that govvern the offficial conduuct of statee officials. ((Gov. Code, §§§ 11146 && 11146.1.) State agencies are rrequired to offer filerss the orientation course oon a semi--annual basis. (Gov. Code, § 11146.1.) NNew filers mmust be traained within siix months oof appointmment and aat least oncce during each conseccutive periood of two caleendar yearrs, commencing on tthe first oddd-numbereed year thhereafter. ((Gov. Code, § 11146.3.) 
Upon the initial apppointment oof any empployee designated in aa supervisoory positionn, the employeee shall bee provided a minimumm of 80 houurs of trainning, as preescribed byy the Californiia Departmment of Humman Resouurces (CalHHR). (Gov.. Code, § 19995.4, ssubd. (b).) Thee training aaddresses such topiccs as the rrole of the supervisorr, techniquees of supervission, perfo rmance staandards, aand sexuall harassmeent and abbusive connduct prevention. (Gov. CCode, §§ 12950.1, suubds. (a), (bb), & (c), && 19995.4, subd. (b).)) The training must be suuccessfully completed within the term of thee employeee’s probatioonary period oor within sixx months oof the initial appointmeent, unless it is demoonstrated thhat to do so crreates additional costss or that the training ccannot be ccompleted during this time period ddue to limiteed availabiliity of superrvisory trainning coursees. (Gov. Coode, § 199995.4, subd. (cc).) As to the sexual harassmennt and abusive-conduuct preventiion componnent, the trainning must tthereafter be provided to superrvisors oncce every twwo years. ((Gov. Code, § 12950.1.) 

Within 12 months oof the initial appointmeent of an e employee too a manageement or caareer executivve assignmment (CEA) position, the employee shalll be provided leade rship training and develoopment, as prescribedd by CalHR . (Gov. Codde, §§ 199995.4, subdss. (d) & (e).) FFor manageement emplloyees the training muust be a minnimum of 440 hours annd for CEAs thhe training mmust be a mminimum off 20 hours. (Ibid.) Therreafter, for both categories of appoiintment, thee employeee must be provided aa minimum of 20 hourrs of leadership training on a biannuual basis. (Ibid.) 
The Board may cconduct revviews of any appointting powerr’s personnnel practicees to ensure ccompliancee with civil sservice lawws and Boarrd regulatioons. (Gov. Code, § 188661, subd. (aa).) In particcular, the Booard may aaudit personnnel practicces related to such maatters as selecction and examinationn procedurees, appointmments, prommotions, thhe managemment of probaationary peeriods, andd any otheer area rellated to thhe operatioon of the mmerit principlee in state ccivil servicee. (Ibid.) AAccordinglyy, the CRUU reviews ddocuments and records related to ttraining that appointingg powers a are requiredd by the afoore-cited lawws to provide its employeees. 
The CRU reviewedd the CSLCC’s mandateed training program thhat was in eeffect duringg the compliannce review period. 
FINDIN NG NO. 4 –  Mandate ed Training g Complied d with Statu utory Requ uirements  

The CSLLC provided ethics traaining to itss 13 new fileers within ssix months of appointmment and semmiannual etthics traininng to its 1446 existing filers durinng two-year calendar year period ccommencingg in 2014. TThe CSLC also providded superviisory traininng to its sixx new supervissors within 12 monthss of appoinntment. In addition, thhe CSLC pprovided seexual harassmment preveention trainning to itss six new supervisoors within six monthhs of appointmment, and ssexual haraassment prrevention trraining to i its 32 existting supervvisors every twwo years. TThus, the CSLC comp lied with m mandated traaining requuirements wwithin statutoryy timelines. 

DDEPARTMEENTAL RESSPONSE 
The CSLLC’s responnse is attacched as Attaachment 1.. 

SPPB REPLY 
Based upon the CSLC’s wwritten respponse, the CSLC wiill comply with the CRU recommmendations aand findings and provide the CRUU a correcttive action pplan. 
It is furthher recommmended that the CSLCC comply with the aforee-stated reccommendations within 660 days of the Execuutive Officer’s approvaal and subbmit to the CRU a wrritten report off compliancce. 

State of California Executive Office 

MEMORANDUM 

To:  State Personnel Board  Date:  April 13, 2017  
Attn: Suzanne Ambrose  File: SPB 2017 Audit Response  
801 Capitol Mall  
Sacramento, CA 95814  

From: Jennifer Lucchef'iGi
CY 
Executive Officer 100 Howe Aven\ e., uite 1 00-South, Sacramento, CA 95825-8202 
Subject: Response to SPB Compliance Review Report 
The State Lands Commission (Commission) staff appreciates the opportunity to respond to the State Personnel Board's (SPB) Compliance Review Report. The Commission regards the audit process with a high degree of respect and views this. process as a productive collaborative effort with the SPB to ensure the Commission and its Human Resources (HR) office obtains its goal. of full compliance with established requirements and best practices. 
The Commission's HR office has instituted a number of changes in response to the prior SPB audits and is pleased to note that we have had no recurring findings. This year's review yielded one finding of concern regarding the completion of probationary reports. 
The following is the Commission's response to the specific deficiency noted in the -Compliance Review Report. 
Finding Number 2 
Of the 22 appointments reviewed by the SPB, 3 of those appointments were missing a 
-'----------·-probationary report. As the SPB is aware,·completion of probationary reports is·a · ------­
decentralized process involving not only the HR office, which is responsible for setting 
up the structure of the overall process, but dozens of managers and supervisors who 
are responsible for the actual completion of the reports. 
The Commission recognizes the importance of the probationary report as the final step in the examination process and is initiating changes to our existing process in order to gain greater compliance with this requirement. The Commission currently sends probationary reports to mar=tagers/supervisors approximately one month in advance of the due date requiring that the report be submitted to the HR office by the due date. In an effort to increase compliance, beginning in April 2017, the HR office will issue a 
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reminder to the manager/supervisor with a "cc" copy to the 2nd line manager two weeks prior to the due date. In cases where a manager/supervisor is still non-compliant, the HR office will issue a monthly report of non-compliance to our Executive Office for their action. The HR office will monitor the compliance rates and consult with the Executive Office to determine whether or not further changes in process are required. 
Summary 
We appreciated the opportunity to discuss the findings in this report with your staff on April 5, 2017 and to discuss our proposed process changes for increasing compliance. We are hopeful that the proposed changes will positively impact outcomes. 
Please let me know if we can provide you with any additional information. I can be reached at (916) 574-1800 or Jennifer.Lucchesi@slc.ca.gov.