COMPLIANCE REVIEW REPORT 
OFFICE OF ADMINISTRATIVE LAW  
Compliance Review Unit State Personnel Board September 20, 2016 
TABLE OF CONTENTS 

Introduction ..................................................................................................................... 1 
Executive Summary ........................................................................................................ 1 
Background ..................................................................................................................... 2 
Scope and Methodology .................................................................................................. 2 
Findings and Recommendations ..................................................................................... 3 
Appointments ............................................................................................................. 3 
Equal Employment Opportunity ................................................................................. 5 
Mandated Training ..................................................................................................... 6 
Departmental Response .................................................................................................. 8 
SPB Reply ....................................................................................................................... 8 

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 Office of Administraative Law (OOAL) personnnel practicees in the aareas of apppointmentss, and EEOO from Jaanuary 1, 22015, through June 30, 2016, and mandated training frrom July 1 , 2014, thrrough Junee 30, 2016. Thhe followingg table summmarizes the compliannce review ffindings. 
Area  Finding  Severity  
App pointments  Probat tionary Eva aluations W Were Not Pro  Serious 
for A All Appointm ments  
Equal Op Employme pportunity nt  Equal Employm ment Oppor rtunity Prog  In n Complian nce 
Com mplied With  All Civil Se ervice Laws  
Boa ard Regulati ions  
Manda ated Trainin ng  Mand dated Traini ng Complie ed with Sta  In n Complian nce 
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 OAAL is responnsible for reeviewing addministrativve regulatioons proposed by overr 200 state reegulatory aagencies foor compliaance with standards set forth in Califorrnia’s Adminis trative Proccedure Act (APA), forr transmittinng these reegulations to the Secreetary of State, and for puublishing reegulations in the Califoornia Code of Regulattions. The OAL is also responsible for postingg links on its website tto other staate agency wwebsites wwhere the public may findd regulations that havee been receently filed wwith the Seccretary of SState, but havee not yet goone into efffect. The OOAL assistss state reguulatory age ncies throuugh a formal training program, as wwell as throough other less formaal methods, to undersstand and commply with thhe APA. TThrough its Referencee Attorney sservice, thee OAL provvides 
direct leegal advicee  to state aagencies annd members of the ppublic regarding Califoornia  
rulemakking law.  
SCOPE ANDD METHODDOLOGY  

The scoope of the ccompliancee review waas limited tto reviewingg OAL apppointments,, and EEO proogram fromm January 1, 2015, thhrough Junne 30, 2016, and maandated training from Jully 1, 2014, through Juune 30, 2016. The prrimary objective of thee review waas to determinne if OAL ppersonnel ppractices, poolicies, andd procedurees compliedd with statee civil service laws and board regulations, and to reecommend correctivee action wwhere deficienccies were iddentified. 
The OAAL did not cconduct anyy examinattions duringg the comppliance reviiew period. The OAL alsso did not execute anyy PSC’s durring the commpliance reeview periood subject too the Departmment of Genneral Servicces approvaal and thus our proceddural revieww. 1 
1 If an emmployee organnization requeests the SPB to review an ny personal seervices contraact during thee SPB compliancce review perriod or prior too the complettion of the finaal compliancee review repoort, the SPB wwill not audit the contract. Insstead, the SPPB will review the contraact pursuant to its statutoory and reguulatory process. IIn this instancce, none of the reviewed PPSC’s were chhallenged. 

A cross--section of OAL appointments wwere selecteed for revieew to ensurre that sammples of varioous appointtment typees, classificcations, annd levels wwere reviewwed. The CRU examineed the docuumentation that the OAAL providedd, which inccluded notice of persoonnel action (NNOPA) formms, vacanccy postingss, applicatioon screeninng criteria, hiring interrview rating ccriteria, certtification lissts, transfeer movemeent worksheets, emplloyment hi story records,  correspon dence, andd probation reports. 
The revview of the OAL EEOO program included eexamining written EEEO policies and proceduures; the EEEO Officeer’s role, dduties, 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). 
In addition, the OA L’s mandatted training  was reviewwed to ensuure all empployees requuired to file sstatements of econommic interesst were provided ethhics trainingg, and thaat all supervissors were provided ssupervisoryy and sexxual harasssment prevvention training within sttatutory timelines. 
The OAAL declinedd to have an exit cconference.. The CRUU receivedd and careefully reviewedd the OAL’ s written reesponse onn Septembeer 16, 20166, which is attached too this final commpliance review reportt. 

FINDINGS AND RECOMMENDATIONNS 
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 Service 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 compliaance revieww period, tthe OAL mmade threee appointmeents. The CRU reviewedd all of thosse appointmments, whicch are listedd below: 

Claassification  Apppointment TType  TTenure  TTime Base  No. o Appointm of ments  
Assista Counse ant Chief el  Ceertification LList  Perrmanent  Full Time  1  
Attorneey  Ceertification LList  Perrmanent  Full Time  1  
Office T (Typing Technician g)(LEAP)  Ceertification LList  Temmporary  Full Time  1  

FINDINNG NO. 1 –  Probatio Appointm onaryments  Evaaluations  Were  NNot  Proviided  for  All  
Summaary:  The OAL probation L did not p nary report o prepare, co of performa omplete, an ance. nd/or retain one requuired  

Classificattion  Appoin Ty ntment ype  No. of Appointmeents  No. o P of Uncompl rob. Report leted ts  
Assistaant Chief Coounsel  Certificaation List  1  1  

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. process perform probation performa that the a employee The probat to ensure the full sc nary period nce or ter appointmen e and serve tionary per that the i cope of th to assist a minating th t is not a g es to erode riod is the ndividual s heir job du an employe he appoint ood job/pe the quality final step i selected ca uties. Faili ee in impro tment upon rson match of state go in the sele an success ng to use oving his o n determin h is unfair to overnment. ction sfully e the r her ation o the  
Cause:  The OAL place du completio L states tha uring the on of probat at it did no compliance tionary repo ot have a f e review orts. formal trac period to cking syste ensure ti em in mely  
Action:  The OAL complianc Governm L has subm ce in m ent Code mitted a co meeting th section 1 rrective ac he probati 19172 as ction plan f ionary re part of or ensuring quirements its departm g full s of ment  

response, therefore no further aaction is re quired at thhis time. 
Equal Employmentt Opportunity 
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 a policy sstatement ccommitted to EEO; isssue proceddures for ffiling, processing, and reesolving discriminatioon complai nts; issue procedurees for provviding equal uppward mobbility and promotional oopportunitiees; and coooperate witth the Califoornia Departmment of Human Resoources (Cal HR) by prroviding acccess to al l required files, documents and daata. (Ibid.) In additionn, the apppointing powwer must appoint, att the manageerial level, an EEO OOfficer, whho shall reeport directtly to, and be underr the supervission of, thee director oof the depaartment to ddevelop, immplement, ccoordinate, and monitor the departmment’s EEOO program. (Gov. Codee, § 19795.) 
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. In a state agenncy with lesss than 5000 employees, like the OOAL, the EEOO Officer maay be the PPersonnel OOfficer. 

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 CRRU reviewedd the OALL EEO proggram that wwas in effeect during the compliance review pperiod. 

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 CRU determinned that thee OAL’s EEEO programm provided employeess 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 manageerial level, reports dirrectly to the director of the OAL. In addition, the OALL has an eestablished DAC thatt reports tto the direector on issues affectingg persons with a disaability. Thee OAL alsoo provided evidence of its efforrts to promotee EEO in itss hiring an d employmment practicces, to incrrease its hiring of perrsons with a diisability, annd to offer uupward mobbility opporttunities for its entry-levvel staff. 
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 OAL’ss mandatedd training pprogram thaat was in eeffect duringg the compliannce review period. 
FINDIN NG NO. 3 –  Mandate ed Training g Complied d with Statu utory Requ uirements  

The OAAethics trai one new filer within ssix months of appointmment
L provided ning to its and semmi-annual ethics traininng to its thrree existingg filers durinng two-yeaar calendar year period ccommencingg in 2014. TThe OAL aalso provideed supervissory trainingg to its one new supervissor within 12 monthss of appoinntment. In addition, tthe OAL pprovided seexual harassmment preveention training its oone new supervisorr within ssix monthss of appointmment, and ssexual haraassment preevention traaining to its  three existting supervvisors every twwo years. TThus, the OOAL compliied with maandated traaining requuirements wwithin statutoryy timelines. 

DDEPARTMEENTAL RESSPONSE 
The OALL’s responsse is attached as Attacchment 1. 

SPPB REPLY 
Based upon the OAL’s wrritten respponse, the OAL willl comply with the CRU recommmendations and findinggs. The OAL submittedd a corrective action pplan for thee one departmmental findinng that was out of commpliance. 
It is furthher recommmended thaat the OAL comply witth 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 – GOVERNMENT OPERATIONS AGENCY EDMUND G. BROW N JR., Governor 

OFFICE OF ADMINISTRATIVE LAW 
300 Capitol Mall, Suite 1250 Sacramento, CA 95814 
(916) 323-6225 FAX (916) 323-6826 
DEBRA M. CORNEZ Director 

To: State Personnel Board, Compliance Review Unit 
From: Debra M. Cornez, Director 
Date:  September 16, 2016 
Re: Compliance Review Report 
The Compliance Review Unit (CRU) of the State Personnel Board conducted a routine compliance review of the Office of Administrative Law (OAL) personnel practices in the areas of appointments, and EEO from January 1, 2015, through June 30, 2016, and mandated training from July 1, 2014, through June 30, 2016. The primary objective of the review was to determine if OAL personnel practices, policies, and procedures complied with state civil service laws and board regulations, and to recommend corrective action where deficiencies were identified. The CRU identified one problem area. 
FINDING NO. 1 – Probationary Evaluation Were Not Provided for All Appointments 
Summary: The OAL did not prepare, complete, and/or retain one required probationary report of performance for the Assistant Chief Counsel. 
Cause: Due to heavier than usual workload for several months, the first probation report was overlooked by the Assistant Chief Counsel’s supervisor and the due date of May 4, 2016, expired. On August 30, 2016, the first probation report for the Assistant Chief Counsel was completed. 
The other two findings by CRU were “in compliance”; therefore, no cause or response is required by 
OAL. 
DEPARTMENTAL RESPONSE 
Up until this time, OAL did not have a formal tracking system in place to ensure timely completion of probationary reports. OAL recognizes the importance of the probationary period and the need to evaluate its employees to ensure the successful performance of the duties assigned. OAL has now implemented a formal tracking system to enable each supervisor to monitor the due dates of probation reports so that the reports are completed in a timely manner. The Staff Services Manager II will also monitor the same formal tracking system and send a reminder of an upcoming probation report seven days before its due date to each appropriate supervisor. OAL will also annually prepare and send a memo to all supervisors in the office reminding them of the importance of competing probation reports. OAL submits this corrective action plan to ensure compliance with the probationary requirements of Government Code section 19172.