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COMPLIANCE REVIEW REPORT CALIFORNIA DEPARTMENT OF RESOURCES RECYCLING AND RECOVERY Compliance Review Unit State Personnel Board June 13, 2016

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COMPLIANCE REVIEW REPORT

CALIFORNIA DEPARTMENT OF RESOURCES

RECYCLING AND RECOVERY

Compliance Review Unit State Personnel Board June 13, 2016

TABLE OF CONTENTS

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

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

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

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

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

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

Appointments ............................................................................................................. 6 

Equal Employment Opportunity ............................................................................... 13 

Personal Services Contracts .................................................................................... 16 

Mandated Training ................................................................................................... 18 

Departmental Response ................................................................................................ 20 

SPB Reply ..................................................................................................................... 20 

1

EstablisBoard) iprobatiodisciplinrecruitmemployeto, protepromotindirection Pursuan(CRU) careas: eservicesservice agencieand shaon a thre The CRwhen th

The CRResourcexamina31, 2015following

AExam

Appo

Appo

hed by thes charged w

onary perioary actions

ment and seees provideecting life ang the pun to departm

nt to Goveconducts coexaminations contractslaws and bs are in core best praee-year cyc

U may alsoe SPB obta

RU conducces Recycliations, appo5, and mang table sum

Area minations

ointments

ointments

California

e Californiawith enforcods and s and merlection proc

e critical seand propertblic healthments throu

rnment Coompliance rns, appoin (PSC’s), board reguompliance wactices idencle.

o conduct sains informa

cted a roing and Reointments, ndated trainmmarizes th

Examina

Equal EmWere

Appointmth

SPBa Department

INTR

a Constituting and adclassificat

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

ugh the Boa

ode sectionreviews of atments, eqand mandlations. Thwith merit-rtified during

special inveation sugge

EXECUT

utine comecovery (CEEO, and

ning from Oe complian

tions Compand

mployment e Not Sepament Documhe Appropr

B Compliancet of Resource

RODUCTIO

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

n 18661, tappointing aqual emplodated trainie purpose related lawg the review

estigations esting a pot

TIVE SUMM

pliance realRecycle) PSC’s from

October 1, 2nce review f

Finding plied with CBoard RuleOpportunit

arated from mentation Wiate Amoun

e Review es Recycling a

N

State Perso the civil se

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

he SPB’s authority’s

oyment oppng to ensof these r

ws, rules, anws. The SP

in responstential merit

MARY

eview of Cpersonnel

m February2013, throufindings.

Civil Servicees ty QuestionApplication

Was Not Kent of Time

and Recovery

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

Compliancpersonnel portunity (Eure complireviews is tnd policies

PB conduct

se to a spet-related vio

California practices

y 1, 2015, thugh Octobe

e Laws In

naires ns

V

ept for

y

rd (the SPutes, prescrand reviehe merit-b

mployees. Tg but not limding educaSPB prov

nd consulta

ce Review practices inEEO), persiance with to ensure and to ides these rev

ecific requeolation.

Departmenin the areahrough Octr 31, 2015.

Severityn Complian

Very Seriou

Serious

PB or ribing ewing ased hese

mited ation, vides ation.

Unit n five sonal

civil state entify views

est or

nt of as of tober . The

nce

us

2

A

Appo

Appo

EEmpOpp

PeSeConMaTra

MaTra

A color-c

R O Y G

The CalThe Calwaste hcontaineorganicscontainesharps w The Calwhich rematerialThe perthe heal2012 esof its wrequired

Area

ointments

ointments

Equal ployment portunity rsonal

ervices ntracts ndated aining ndated aining

coded syste

Red = Very Orange = SYellow = NoGreen = In

Recycle is Recycle adhandling aer and eles managemers, plastic waste, hous

Recycle pregulate ands recovery mitting andth and safe

stablished awaste statewd mandator

California

Probatiof

ApplicaAc

Equal EServesAgen

Person

Basic Su

Ethics T

em is used

Serious Serious on-serious oCompliance

a departmedministers and recyclin

ectronic-wament, used t

film wrapsehold haza

rovides traid inspect Ca

facilities, s inspection

ety of Califoa goal for Cwide by thry recycling

SPBa Department

onary Evalufor all Appo

ations Wereccepted AftEmploymens As the Pecy With Mo

nal ServicesProcedur

upervisory for Al

raining Wa

to identify

or Technicae

BAC

ent within tand provideng programste recycltires, used , newsprintardous was

ning and oalifornia’s asolid wasten processesornians and

California tohe year 20g for most

B Compliancet of Resource

Finding uations Weointments Re Not Date Ster the Finant Opportunersonnel Ofore Than 50

s Contractsral Require

Training Wll Superviso

s Not Provi

the severity

al

CKGROUND

the Californes oversighms. Knowning, the Cmotor oil, ct, construcste, and foo

ngoing supactive and c transfer st

s help the Cd the enviro source red20. Beginn California

e Review es Recycling a

ere Not ProvReviewed Stamped an

al File Datenity Officer fficer at a S00 Employe

s Complied ements

Was Not Proors

ided for All

y of the vio

D

nia Environmt for all of Cn mostly

CalRecycle carpet, painction and dod-scrap co

pport for locclosed solidtations, com

CalRecycle onment. Legduce, recycning July 2 commerci

and Recovery

vided

nd/or N

Also State ees

V

with In

ovided V

Filers V

lations as f

mental ProCalifornia’s for overse

is also rnt, mattressdemolition domposting.

cal enforced waste landmpost facilifulfill its migislation thcle, or com2012, it alsial busines

y

Severity

Serious

Non-seriousTechnica

Very Seriou

n Complian

Very Seriou

Very Seriou

follows:

tection Agestate-mana

eeing beveresponsibleses, rigid pldebris, me

ement agendfills, as weities, and mission to prat took effepost 75 perso put in psses and m

s or l

us

nce

us

us

ency. aged

erage e for lastic

edical

ncies, ell as more. otect ect in rcent place multi-

3

family rdesigneplastic b

The scoappointm2015, aprimary policies,and to re A cross-ensure and leveprovided511b’s, applicatimovemereports. The revand prodiscriminaccommAdvisory The Cacompliancontractpracticerequirem In additirequired

1 If an emcompliancaudit the process. I

residential d to increa

bags.

ope of the cments, EEOnd mandatobjective o and proceecommend

-section of that variouels were red, which iscoring reion screenient worksh

iew of the cedures; thnation com

modation py Committe

alRecycle’s nce reviewts were les, policies

ments.

on, the Cad to file state

mployee organce review per

contract. InsIn this instanc

California

buildings wase comme

S

compliance O program,ted trainingof the revieedures com corrective

the CalReus sampleseviewed. Thncluded esults, noticing criteriaeets, emp

CalRecyclehe EEO offmplaint prorogram; th

ee (DAC).

PSC’s w to make c

egally suffics, and pro

alRecycle’s ements of e

nization requeriod or prior tostead, the SPce, none of th

SPBa Department

with five oercial organ

COPE AND

review was, and PSC’g from Octew was to mplied with

action for t

ecycle’s exa of examin

he CRU exxamination

ce of perso, hiring inteloyment hi

e EEO proficer’s role,ocess; thehe discrimi

ere also rconclusionscient. The ocedures r

mandated economic in

ests the SPB o the completPB will reviee reviewed P

B Compliancet of Resource

or more unnics recyclin

D METHOD

s limited to ’s from Febober 1, 20determine state civil

those defici

aminations nations andamined the plans, ex

onnel actioerview ratinstory recor

ogram inclu duties, an

e upward nation com

reviewed.1

s as to whereview w

relative to

training wanterest wer

to review antion of the finaw the contra

PSC’s were ch

e Review es Recycling a

nits. More ng and cur

DOLOGY

reviewingbruary 1, 2

013, througif CalRecyservice law

iencies iden

and appoid appointme documenxaminationn (NOPA) ng criteria, rds, corres

uded examind reporting

mobility pmplaint pro

It was beether CalRewas limited

PSC’s c

as reviewedre provided

ny personal seal complianceact pursuant hallenged.

and Recovery

recent lawrtail reliance

CalRecycle2015, throuh October

ycle’s persows and boantified.

intments wment types,

tation that bulletins, forms, vaccertificatio

spondence,

ining writteg relationshprogram; tocess; and

eyond the ecycle justifd to whethcomplied w

d to ensure ethics train

ervices contrae review repoto its statuto

y

ws enactede on single

e examinatgh Octobe31, 2015.

onnel practard regulat

were selecteclassificat

the CalRecjob analy

cancy poston lists, tran and prob

en EEO polhip; the intethe reasond the Disa

scope offications foher CalRecwith proced

e all emploning and th

act during theort, the SPB wory and regu

d are e-use

tions, r 31, The

tices, tions,

ed to tions, cycle yses, tings, nsfer ation

licies ernal nable ability

f the or the cycle dural

yees at all

e SPB will not ulatory

4

superviswithin st On Maydiscuss receivedreport.

Examina Examinafairly to perform Code, §the formBoard eof emplo§ 18931designatestablishcontain minimumthe officexaminaeach peof the ecompetitemploym During treviewed

sors were ptatutory tim

y 24, 2016the CRU’s

d and caref

ations

ations to estest and

the duties 18930.) Ex

m of a demestablishes oyees for ea.) Within ated appoinhment of elsuch inform

m qualificatce of the dation annourson compe

earned ratintor shall b

ment list res

he period ud all four of

California

provided baelines.

, an exit cs initial findfully reviewe

FINDI

stablish an determine of the classxaminations

monstration minimum qach class o reasonabl

nting poweligible lists.

mation as thions. (Ibid.)department

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

under reviewf the exami

SPBa Department

asic supervi

conference dings and red the resp

NGS AND

eligible listthe qualifi

s of positios may be aof skills, o

qualificationof position ae time befor shall an(Gov. Cod

he date and) Every appt or a des(Gov. Codey examinatiphases of in writing

m the exami

w, the CalRnations, wh

B Compliancet of Resource

sory and se

was held recommendponse, whic

RECOMM

t must be cications, fitn for which

assembled or any comns for deterand for appore the schnounce or

de, § 18933d place of tplicant for esignated ape, § 18934.on is to be the examinof the re

nation is es

Recycle conhich are liste

e Review es Recycling a

exual haras

with the Cdations. Onch is attach

ENDATION

competitivetness, and

h he or she or unassem

mbination ormining thelicants for e

heduled datr advertise 3, subd. (a)he examina

examinationppointing p) Generallydetermined

nation. (Gosults of thstablished.

nducted foued below:

and Recovery

ssment pre

CalRecycle n May 26, ed to this f

NS

e and of suc ability of seeks app

mbled, writtof those tee fitness anexaminationte for the e

the exam).) The adveation and thn shall file apower as dy, the final ed by the weov. Code, §he examina

(Gov. Cod

ur examina

y

evention tra

to explain 2016, the

final compli

ch charactecompetitor

pointment. (ten or oral, ests. (Ibid.) nd qualificans. (Gov. C

examinationmination forertisement he nature oan applicatidirected byearned ratineighted ave§ 18936.) Eation whene, § 18938

tions. The

aining

and CRU ance

er as rs to (Gov. or in The

tions Code, n, the r the shall

of the on in y the ng of

erage Each n the .5.)

CRU

5

Cl

Person

Recycl

Resear(Gener

Senior Auditor

FINDIN

The Capromotioall of thecontaininacceptewhetherexaminaexaminaphase ocompletwas estaarrangedfinal sco The CRduring

2 In an ed678 appliinclude yework expe3 The quacompetitoone anoth

lassification

nnel Superv

ing Special

rch Analystral)

Managemer I

NG NO. 1 –

alRecycle onal examie examinatng the reqd prior to th

r applicantsation. The Cation, and tof the examed, the scoablished. Td in order o

ores.

RU found nthe comp

ucation and ecation forms,ears of relevaerience. alification app

ors appear beher based on

California

n Ex

visor I DePr

list

t II DePr

ent DePr

ExaminaRules

administernations to ctions, the Cquired inforhe final filings met theCalRecycle hose applic

mination proore of each The examinaof the score

no deficiencpliance rev

experience (E and scores

ant higher edu

praisal panelefore a panel an assessme

SPBa Department

xam Type

epartmentalromotional

Open

epartmentalromotional

epartmentalromotional

ations Com

red one create eligi

CalRecyclermation. Ag date and

e minimumnotified ap

cants who ocess. Aftecompetitoration resulte received

cies in theview perio

E&E) examinaand ranks th

ucation, profe

(QAP) intervof two or mo

ent of their ab

B Compliancet of Resource

ExaCompo

EducatExper

(E&Supplem

Applic(SA

E&

Qualific

AppraPan

mplied wit

open exable lists fropublished

Applications were there qualificati

pplicants asmet the MQ

er all phaser was compts listed theby rank. Co

examinatid. Accord

ation, one or mhem accordinessional licens

view is the oore evaluatorsbility to perform

e Review es Recycling a

am onents tion & ience E)2

mentary cation AP)

C

&E

cation aisal nel3

h Civil Se

amination om which toand distribu received

eafter propeions (MQ’ss to whetheQ’s were aes of the e

puted, and ae names of ompetitors

ions that thingly, the

more raters reng to a predeses or certific

oral componers. Candidatem in a job cla

and Recovery

Final File Date

10/16/15

Continuous Filing

4/9/15

6/30/15

ervice Law

and threeo make apputed examiby the Ca

erly assesses) for adm

er they quallso notifiedexaminationa list of eligall successwere then

he CalRecCalRecyc

eviews the apetermined ratications, and/o

ent of an exas are rated assification.

y

No. ofApplicatio

2

26

6

19

ws and Bo

e departmpointmentsination bullalRecycle wed to deter

mittance toified to take

d about the n process wgible candidsful competnotified of

cycle conducle fulfilled

pplicants’ Staing scale thaor years of rel

amination whand ranked ag

f ons

oard

ental . For etins were

rmine o the e the next were

dates titors their

ucted d its

ndard t may levant

hereby gainst

6

responsand boa Appointm In all caappointireinstateAct and vacant peligible lof meritqualificaand phy During tCRU rev

C

Attorne

Attorne

Environ

Informa

Office T(Typing

Program

Program

ibilities to aard rules.

ments

ases not exng power ements, proBoard rule

positions shlists, by wat and fitne

ations for a ysical and m

the compliaviewed 50 o

Classification

ey I

ey III

nmental Sc

ation Office

Technician g)

m Technici

m Technici

California

administer

xcepted or must fill p

omotions, as. (Gov. Cohall be maday of transfeess, which

position, inmental fitnes

ance revieof those ap

n A

Ce

Ce

ientist Ce

r II Ce

Ce

an II Ce

an II Ce

SPBa Department

those exam

exempted positions band demotiode, § 1905de from emer, or by wa

requires ncluding hisss. (Cal. Co

w period, pointments

AppointmenType

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

B Compliancet of Resource

minations i

by Article Vby appointmions in stric50.) Except

mployment lay of reinstconsideratis or her knode Regs.,

the CalRecs, which are

nt Te

List Perm

List Perm

List Perm

ListLimTe

List Perm

ListLimTe

List Perm

e Review es Recycling a

in complian

VII of the Cment, incluct accordat as providelists. (Ibid.) tatement, mion of eac

nowledge, stit. 2, § 250

cycle madee listed belo

enure T

manent F

manent F

manent F

mited erm

F

manent F

mited erm

F

manent F

and Recovery

nce with civ

California Cuding casence with thed by law, a Appointme

must be mach individuskills, abiliti0, subd. (a)

e 153 appow:

Time Base

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

y

vil service

Constitutiones of transhe Civil Seappointmenents made de on the bal’s job-rees, experie).)

pointments.

No. oAppointm

1

1

9

1

1

1

2

laws

n, the sfers, rvice

nts to from

basis lated

ence,

The

of ments

7

C

Program

Recycli(Techn

Resear(Gener

Senior Officer

Senior Scientis

Staff InSystem

Staff Lo(Superv

Staff PrAnalyst

Staff SeI

SupervManag

Program

ResearSpecia(Econo

Senior Specia

Classification

m Technici

ing Specialical)

rch Analyst ral)

Accounting(Specialist

Environmest (Speciali

nformation ms Analyst

oan Officer visor)

rogrammert (Specialis

ervices Ma

vising ement Aud

m Technici

rch Programlist II

omics)

Personnel list

California

n A

an II Ce

ist III Ce

II Ce

g )

Ce

ental st)

Ce

Ce

Ce

r t)

Ce

nager Ce

itor Ce

an I R

m

R

R

SPBa Department

AppointmenType

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

ertification L

PermissiveReinstateme

PermissiveReinstateme

PermissiveReinstateme

B Compliancet of Resource

nt Te

List Perm

List Perm

List Perm

List Perm

List Perm

List Perm

ListLimTe

List Perm

List Perm

List Perm

e ent

Perm

e ent

Perm

e ent

Perm

e Review es Recycling a

enure T

manent In

manent In

manent F

manent F

manent F

manent F

mited erm

F

manent F

manent F

manent F

manent In

manent F

manent F

and Recovery

Time Base

ntermittent

ntermittent

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

ntermittent

Full Time

Full Time

y

No. oAppointm

4

1

1

2

1

1

1

1

2

1

1

1

1

of ments

8

C

Staff SeManag

AssociaAuditor

Loan O

Resear(Econo

Resear(Gener

Senior Scientis

Staff SeManag

Recycli

Staff SeManag

SupervWaste SpeciaAccounAdmini(Superv

Recycli

Senior ScientisStaff SeManag

Classification

ervices ement Aud

ate Manager

Officer

rch Analyst omics)

rch Analyst ral)

Environmest (Supervis

ervices ement Aud

ing Special

ervices ement Aud

vising IntegrManagemelist I

nting strator I visory)

ing Special

Environmest (Specialiervices ement Aud

California

n A

itor R

ement

II

II

ental sory)

itor

ist II R

itor R

rated ent

R

ist II

ental st)

itor TD

SPBa Department

AppointmenType

PermissiveReinstateme

Transfer

Transfer

Transfer

Transfer

Transfer

Transfer

MandatoryReinstateme

MandatoryReinstateme

MandatoryReinstateme

Retired Annuitant

Time BaseChange

Time BaseChange

Training anDevelopme

B Compliancet of Resource

nt Te

e ent

LimTe

Perm

LimTe

Perm

Perm

Perm

LimTe

y ent

Perm

y ent

Perm

y ent

Perm

t LimTe

e Perm

e Perm

nd nt

Perm

e Review es Recycling a

enure T

mited erm

F

manent F

mited erm

F

manent F

manent F

manent F

mited erm

F

manent F

manent F

manent F

mited erm

In

manent P

manent P

manent F

and Recovery

Time Base

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

Full Time

ntermittent

Part-Time

Part-Time

Full Time

y

No. oAppointm

1

1

1

1

1

1

1

1

1

1

1

1

1

1

of ments

9

C

DirectoHumanCalRecOffice T(Gener

FINDIN

Summa

Criteria

Severity

Cause:

Classification

or, Departmn Resourcescycle Technician ral)

NG NO. 2 –

ary:

:

y:

California

n A

ent of s

Equal EmSeparate

Out of 50applicatiothe STD applicatioseparated

Governmdepartmeany appliany protesubdivisioorigin, agstate civilthemselveDepartmeassessmeand to th(Gov. Coapplicatioseparatedbe used i

Very Sersubjecting

The CalRadequateinstructed

SPBa Department

AppointmenType

Exempt

LEAP

mploymened from Ap

0 appointmons where 678 emplo

ons reviewed from the S

ent Code ent to requircation indic

ected categon (a) (e.g.,ge, or sexul service ares where ent of Hument of the ehe planningode, § 19on form (Sd from the n any empl

rious. Theg the agenc

Recycle stae instructiond to remove

B Compliancet of Resource

nt Te

Perm

Perm

nt Opportupplications

ents reviewEEO ques

oyment apped includedSTD 678 em

section 19re or permitcating or ingory listed i, a person'sual orientare asked to

such dataman Resourethnic and sg and mon9705.) TheSTD 678) applicationloyment de

e applicancy to potent

ates that on on procese the EEO q

e Review es Recycling a

enure T

manent F

manent F

unity Ques

wed, nine astionnaires plication. Spd EEO quemployment

9704 maket any notati any way sin Governms race, relig

ation). Applprovide vo

a is deterrces (CalHsex fairnesnitoring of e EEO qustates, “Th prior to thecisions.”

nts’ protecttial liability.

office suppssing the aquestionna

and Recovery

Time Base

Full Time

Full Time

stionnaires

appointmenwere not

pecifically, estionnairest application

es it unlawion or entrysuggesting ment Code gious creedlicants for oluntarily etrmined by R) to be n

ss of the seaffirmative

uestionnairehis questioe examinat

ted classes

port staff wapplicationsires.

y

No. oAppointm

1

1

s Were No

nt files incluseparated 14 of the 1s that weren.

wful for a hy to be mador pertaininsection 12

d, color, natemploymehnic data a

the Califonecessary telection proe action effe of the onnaire wition and wi

s were vis

were not gs nor were

of ments

ot

uded from

1,021 e not

hiring de on ng to 2940, tional nt in

about ornia to an ocess forts. state ll be ll not

sible,

given they

10

Action:

FINDIN

Summa

Criteria

Severity

Cause:

Action:

NG NO. 3 –

ary:

:

y:

California

It is recoapproval submit todepartmethat EEOCopies ofplan.

AppointmAmount

The CalRand appliCalRecycapplicatioone appo

As specif26), appoaffirmativmerit, seyears frorequired systemat

Serious. appointm

The CalRthe speciapplicatio

It is recoapproval submit tothe correcwith the Regulatiodocumen

SPBa Department

ommended of these fi

o the CRent will impO questionf any relev

ment Docuof Time

Recycle failecations. Sp

cle did nons, exceptointment file

fied in Calointing powe action,

election, anom the datto be readic manner.

Without dents were p

Recycle statalists were

ons were de

ommended of these fi

o the CRU ctions the d

record reons title tation shou

B Compliancet of Resource

that withinindings andU a writte

plement to nnaires areant docum

umentation

ed to retainpecifically, onot retain

the appoine.

ifornia Codwers are reequal emp

nd appointmte the recdily access(Cal. Code

documentatproperly co

tes that NOnot able to

estroyed in

that withinindings anda written cdepartmentetention re2, section

uld be includ

e Review es Recycling a

n 60 days d recommeen correctiensure cone separateentation sh

n Was Not

n personneof the 50 ap

eight Nntee’s appli

de of Reguequired to ployment oment for acord is creible and re

e Reg., tit. 2

tion, the CRonducted.

OPA’s wereo locate peerror by the

n 60 days d recommecorrective at will implemequirementsn 26. Cded with th

and Recovery

of the Exeendations, ive action nformity wied from ahould be in

Kept for th

l records sppointmentOPA’s. Aication, we

ulations, seretain rec

opportunity,a minimumeated. Thesetained in 2, § 26.)

RU could n

e not trackending copiee hiring ma

of the Exeendations, action plan ment to ens of Califopies of e plan.

y

ecutive Offithe CalRecplan that

th in the fuall applicatcluded with

he Approp

uch as NOts reviewed

Additionally,re missing

ection 26, (cords relate, examinat period ofse recordsan orderly

not verify i

ed correctlyes. The misanager.

ecutive Offithe CalRecthat addresure confo

fornia Codany rele

cer’s cycle t the uture tions. h the

riate

OPA’s d, the , all from

(Rule ed to tions, f five s are

and

f the

y and ssing

cer’s cycle

esses rmity e of

evant

11

FINDIN

Summa

ProgramSenior (SpeciaSupervAuditorAssociaAuditorResear(Econo

Criteria

NG NO. 4 –

ary:

Classificati

m TechniciaAccounting

alist) ising Mana

ate Manage

rch Analyst mics)

:

California

ProbatioAppointm

The CalRrequired p

ion

an II g Officer

agement

ement

II

Total

A new pappointedtit. 2, § 3period is permanentit. 2, § 32power, a appointedwithout a has comappointinsubstantiaand salarthe proba& (2).)

During thevaluate frequent progress 599.795.)

SPBa Department

nary Evaments Rev

Recycle diprobationar

AppoinTyp

Certificat

Certificat

Certificat

Tran

Tran

robationaryd by reinsta322, subd.

required wnt appointm22, subd. (anew proba

d to a posbreak in se

mpleted theg power; aally the samry range asationary per

e probationthe work intervals toon the job.

) The appoi

B Compliancet of Resource

aluations iewed

id not prery reports o

ntment pe A

tion List

tion List

tion List

sfer

sfer

y period is atement wit(d)(2).) How

when an emment from aa).) In addit

ationary persition undeervice in th

e probationnd (2) withme or lowes a class inriod. (Cal. C

nary periodand efficieo keep the (Gov. Codinting powe

e Review es Recycling a

Were N

epare, comof performa

No. of Appointmen

1

1

1

1

1

5

not requirth a right ofwever, the mployee enan employmtion, unlessriod is requer the follohe same clanary periodout a breaker level of dn which theCode Regs

d, the appoency of a e employeede, § 19172er must pre

and Recovery

Not Prov

mplete, andnce.

ntsNo. of

Pro

red when af return. (Caservice of

nters state ment list. (Cs waived byuired when owing circass in whicd, but undk in serviceduties and employee

s., tit. 2, § 3

inting poweprobationee adequate

2; Cal. Codeepare a writ

y

ided for

d/or retain

f Uncompleob. Reports

1

3

1

3

2

10

an employeal. Code Rf a probatiocivil servical. Code Ry the appoian employumstancesh the emplder a diffee to a class

responsibihas comp

322, subd. (

er is requirer at sufficiely informee Regs., tit.tten apprais

all

ten

eted s

ee is egs.,

onary ce by egs., nting ee is : (1) oyee erent

s with ilities leted (c)(1)

ed to ently

ed of . 2, § sal of

12

Severity

Cause:

Action:

FINDIN

Summa

Criteria

y:

NG NO. 5 –

ary:

:

California

performaRegs., tit.

Serious. process perform probationperformathat the aemployee

The CalRsupervisoin which tby their m

It is recoapproval submit tothe correcwith the 19172.

Applicatithe Final

The Calapplicatiowere date

Californiatimely filiplace, witthe exam

Filing an postal se(or approby the da

SPBa Department

nce each o. 2, § 599.7

The probato ensure the full sc

nary period nce or ter

appointmene and serve

Recycle staory staff upothe probati

managers.

ommended of these fi

o the CRU ctions the dprobationa

ions Were File Date

Recycle aons that wee stamped a

a Code Regng of applthin the timination ann

applicationervice or daopriate officte specified

B Compliancet of Resource

one-third of795.)

ationary pethat the i

cope of thto assist a

minating tht is not a g

es to erode

ates that whon the issuon reports

that withinindings anda written cdepartment

ary requirem

e Not Date

accepted aere not dateafter the fin

gulations, titlications: A

me, in the mnouncemen

n ‘within theate stampee of the agd.

e Review es Recycling a

f the proba

eriod is the ndividual s

heir job duan employehe appointood job/pethe quality

hile notificaance of thewere not p

n 60 days d recommecorrective at will implemments of G

e Stamped

and procese stamped nal filing dat

tle 2, sectioAll applicatimanner, annt.

e time’ shald at one o

gency admi

and Recovery

tionary per

final step selected cauties. Failiee in improtment uponrson matchof state go

ations are e NOPA, thprovided to

of the Exeendations, action plan ment to en

Governmen

d and/or A

ssed 539 and four ate.

on 174 (Rulions must d on the fo

l mean posof the depanistering th

y

riod. (Cal. C

in the selean successng to useoving his on determinh is unfair toovernment.

provided tohere were c

the emplo

ecutive Offithe CalRecthat addresure confo

nt Code se

Accepted A

out of 1applications

le 174) reqbe filed at

orm specifie

stmarked byartment’s ofhe examina

Code

ction sfully

e the r her ation o the

o the cases yees

cer’s cycle

esses rmity ction

After

1,021 s that

uires t the ed in

y the ffices ation)

13

Severity

Cause:

Action:

Equal E Each staThe appthe effecpower mproceduprocedu

y:

mployment

ate agencypointing powctiveness o

must issue aures for filures for pro

California

An applicspecified as detaileto verifiedwrong stabefore thexaminattimely no(4) the emtimely no174, sudsare applie Non-Serioensure alapply for Thereforefiling dateapplicatioacceptanvacancy s

The CalRdiscardedapplicatio

It is recoapproval submit todepartmeCopies ofplan.

t Opportuni

y is responswer for eac

of its EEO pa policy staling, proceoviding eq

SPBa Department

cation thatdate shall

ed in Rule d error; (2)ate agency he specifieion annountification to

mploying agtice of proms. (a), (b), (ed to the se

ous or Tecl applicantsa job vaca

e, althoughe may giveon than othce of late aselection.

Recycle stad the stamons.

ommended of these fi

o the CRent will impf any relev

ty

sible for an ch state ageprogram. (Gatement comessing, anual upward

B Compliancet of Resource

is not pobe accepte174 apply: ) the applicand is eithe

ed date; (ncement d

o an employgency verifimotional ex(c), & (d).) Telection pro

chnical. Fs are given ancy and to the accepe some aper applican

applications

ates that somped mailin

that withinindings andU a writteplement toant docum

effective Eency has th

Gov. Code, §mmitted to d resolvind mobility

e Review es Recycling a

ostmarked ed, if one o(1) the ap

cation was er postmar(3) the emdistribution yee of a pries that thexamination.The same f

ocess used

Final filing the same a

o set a deaptance of applicants mnts who mes will not im

ome hiring ng letters/e

n 60 days d recommeen correctio ensure centation sh

EEO prograhe major re§ 19794.) Tequal empg discrimiand promo

and Recovery

or date stof the followplication wsubmitted

ked or datemploying aproblems

romotional e applicant f. (Cal. Codfinal filing dto fill a job

dates are amount of tadline for tapplications

more time teet the finampact the re

supervisorenvelopes

of the Exeendations, ive action

conformity whould be in

am. (Gov. CesponsibilityTo that endloyment opnation comotional opp

y

tamped bywing condias delayed in error to

e stamped oagency vethat preveexaminatiofailed to rece Reg., tit.

date procedvacancy.

establishetime in whithe recruitms after the o prepare l filing dateesults of the

rs removedstapled to

ecutive Offithe CalRecplan that

with Rule cluded with

Code, § 197y for monito, the appoi

pportunity; implaints; iportunities;

y the tions

d due o the on or rifies

ented on; or ceive 2, §

dures

ed to ch to

ment. final their

e, the e job

and o the

cer’s cycle t the 174.

h the

790.) oring nting ssue ssue and

14

coopera(Ibid.) Inofficer, wCalRecyprogram Becausesexual hfrom thehead of Each stindividuahead of 19795, committmember§ 19795 The CRcomplian

Summa

Criteria

FINDIN

ate with the n addition, twho shall rycle to dev

m. (Gov. Co

e the EEO harassmene regular chthe organiz

tate agencals with a dthe agencysubd. (b)(ee and takers who have

5, subd. (b)(

RU reviewence review

ary:

:

NG NO. 6 –

California

CalHR by the appointreport direcvelop, impde, § 19795

Officer invt and othe

hain of comzation.

cy must esdisability, oy on issues1).) The de appropriae disabilitie(2).)

ed the Calperiod.

The CalRServices EEO Officthe CalRemployeeboth the E

Californiaappointinstate depemploymunder theimplemenopportuni

Equal EPersonnEmploye

SPBa Department

providing ating power

ctly to, and lement, co5.)

vestigates aer employeemand, as w

stablish a or who havs of concerdepartmentate steps toes or who h

lRecycle’s

Recycle’s AManager

cer. AccordRecycle ees, and as EEO Office

a Governmg power o

partment shent opportu

e supervisiont, coordinaity program

mploymenel Officer

ees

B Compliancet of Resource

access to amust appobe under t

oordinate, a

and ensuree complain

well as regu

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

EEO prog

AdministratiIII, serves ding to Caliemploys 6

such, the er and Perso

ment Codef each stahall appoinunity officeron of, the date, and mom. In a s

nt Opportuat a Sta

e Review es Recycling a

ll required foint, at the the supervisand monito

es proper hnts, the poular and une

committeeest in disaboyees with ite all empat the final erest in disa

gram that

ive Serviceas both th

ifornia’s 20677 emploPersonnel onnel Office

e section te agency t, at the mr, who shalirector of th

onitor the agstate agen

unity Officate Agency

and Recovery

files, docummanageriasion of, theor the Cal

handling ofosition requencumbere

e of emplobility issuesdisabilities.ployees tocommittee ability issue

was in eff

es Branch he Personn

016-17 Govoyees, moOfficer ma

er.

19795 (aand the d

managerial ll report direhe departmgency's equncy with

cer Also Sy With M

y

ments and dal level, an e director oRecycle’s

f discriminauires separed access to

oyees whos, to advise. (Gov. Cod

o serve onis comprise

es. (Gov. C

fect during

Manager, nel Officer

vernor’s Budore than ay not serv

a) states director of level, an eectly to, anent, to devual employmless than

Serves Asore Than

data. EEO

of the EEO

ation, ation o the

o are e the de, § n the ed of

Code,

g the

Staff and

dget, 500

ve as

“The each

equal nd be elop, ment

500

s the 500

15

Severity

Cause:

Action:

y:

California

employeepersonne

Very Serimplemenprogram. departmeemployingthe maneffectivenmaintainin

The CalRStatutes ManagemConservagreater thChief CoAdministremployeecomplaintrequiremecontinue relationshthe curren

The CalRfinding, tOfficer po

Within 60and recowritten coensure coincluding Officer/Heposition performin

SPBa Department

es, the equel officer.”

rious. Thenting, coord

Due to tent’s EEO g more thanagerial leness of the ng the effec

Recycle staof 2009 m

ment Boardation's Divishan 500 emounsel conration’s lege thresholdts and noent, it wasto administ

hip to CalRnt model us

Recycle fuhe EEO Oosition whic

0 days of thmmendatioorrective aconformity wthe duty s

earing Officcan opera

ng the dutie

B Compliancet of Resource

ual employm

e EEO Ofdinating, anthe substaOfficer, it

an 500 emevel, that EEO progrctiveness o

tes that Semerged the d staff wsion of Re

mployees. Snsulted wgal office d. Based o ability tos determineter the EEO

Recycle's Dsed by CalR

rther stateOfficer dutiech will be fil

he Executivons, the Caction plan thwith Californstatement acer and doate an ef

es of a Hear

e Review es Recycling a

ment oppo

fficer is resnd monitorinantial respo

is essentiployees, ap

may suram withoutof the depar

enate Bill 6former Ca

ith staff fecycling creShortly afteith the Dregarding

on a veryo allocate ed that theO Officer duirector. ThaRecycle.

es that to es will be led after Ju

ve Officer’s alRecycle mhat the depnia Governmand organizocumentatioffective EEring Officer

and Recovery

ortunity offic

sponsible ng their deponsibilities al that eacppoint an E

uccessfully t the unduertment’s Pe

63, Stricklanalifornia Intfrom the eating a ner the merg

Department the basi

y small nua position

e Personneuties with a at reporting

address ttransferred

uly 1, 2016.

approval omust submipartment wment Codezational chaon demonstEO prograr.

y

cer may be

for developartment’s

held by ch departmEEO Office

maintain e burden ofersonnel Of

nd, Chaptetegrated WDepartmenew departm

ge CalRecyof Perso

s of the umber of n to meet el Officer w

direct repog relationsh

his complid to a Hea

of these findit to the CR

will implemee section 19art for the trating howam while

e the

ping, EEO each

ment, er, at

the f also ffice.

er 21, Waste nt of ment ycle's onnel

500 EEO

this would orting hip is

ance aring

dings RU a ent to 9795, EEO

w this also

16

Persona A PSC personaperson pas an eConstituwith priperformeexceptioPSC’s t19130 astate fuincidentaservices For costsuch a cthe adeorganiza During tand subcontract

V

CalifornUniversResearFoundaCalifornDepartmFood aAgricult

CalifornDepartmFood aAgricult

al Services

includes aal services performing employee

ution has anvate entitieed. Gover

ons to the chat are of

are also pernction, seral to a con

s that are of

t-savings Pcontract. (Gquacy of t

ation repres

he compliabject to Gets listed bel

Vendor

nia State sity, Chico rch ation nia ment of nd ture

nia ment of nd ture

California

Contracts

any contrais a significthe serviceof the Sta

n implied cives to perfrnment Cocivil servicea type enu

rmissible. Srvices that ntract for tf an urgent,

SC’s, a staGov. Code, the proposesenting stat

ance revieweneral Servow:

S

PerMo

RubbSea

WeiEnf

P

ImpoBC

ReInP

SPBa Department

ct, requisitcant, separes is an indate. (Cal. vil service mform servic

ode section mandate wumerated in

Subdivision are not av

the purchas, temporary

ate agency § 19131.)

ed or execte employee

w period, thevices (DGS

Services

rformance odeling for berized Chipals Service

ightmaster forcement

Program

orted Emptyeverage ontainer

eporting & spection

Program

B Compliancet of Resource

tion, or purately identdependent Code Regmandate limces the stn 19130, where PSCn subdivisi(b) contracvailable witse or leas

y, or occasio

is requiredFor subdiv

cuted contres. (Gov. C

e CalRecyc) approval.

ContDat

p 6/1/15/15/

1/15/6/30/

y

7/1/16/30/

e Review es Recycling a

rchase ordtifiable elemcontractor

g., tit. 2, §miting the state has hsubdivision

C’s achieve on (b) of G

cts include pthin state se of real oonal nature

to notify Svision (b) cract at the

Code, § 191

cle had nine. The CRU

ract es

15-/17

$2

/15-/17

$1,

15-/18

$4,

and Recovery

der under ment, and tthat does

§ 547.59.) state’s authhistorically n (a), howcost saving

Governmenprivate conservice, seor personae.

SPB of its inontracts, th

e request o132.)

e PSC’s thaU reviewed

Contract Amount

250,000.00

391,242.00

296,000.00

y

which labothe businesnot have stThe Califo

ority to conor custom

wever, codgs for the snt Code setracts for a

ervices thatal property,

ntent to exehe SPB revof an empl

at were in eall nine o

JustificaIdentif

Yes

0 Yes

0 Yes

or or ss or tatus ornia ntract marily difies state. ction new t are

and

ecute views oyee

effect f the

ation fied

s

s

s

17

V

Crowe LLP

DKE EnInc. dbaEnterpr

GoldenOvernigOffice oEnvironHealth Assess(OEHH

RegentSanta B

Robins

When a agency specific or moreCode Re The totathe scojustificatCalRecy

FINDIN

Vendor

Horwath,

nterprises, a DK rises

n State ght (GSO) of nmental Hazard

sment HA)

ts of the UCBarbara

on Anderso

state agenmust incluand detaileconditions

eg., tit. 2, §

al dollar amope of thetions for thycle provid

NG NO. 7 –

California

S

2015 Fee aFee C

SFeCoTe

AssiMate

SSm

DelivInve

HealthCrum

Used

C, Used OAsses

S

on

EdEnv

ICu

Printinand Proje

ncy requestude with itsed factual is specified 547.60.)

mount of alle review the contracded specif

– PersonRequir

SPBa Department

Services

Processingand HandlinCost SurveyService eedstock onversion echnical stance and

erial TestingService

mall Parcel very Servicestigation of

h Impact fromb Rubber in SynthetiTurf

Oil Life Cycssment TooService ducation ironmental nitiative urriculum ng, StorageFulfillment ect Service

s approval s contract nformation in Governm

l the PSC’so make c

ct were legic and de

nal Servicrements

B Compliancet of Resource

ContDat

g ng ys

5/1/16/30/

d g

6/30/3/30/

e 8/28/8/27/

f om ric

6/30/6/15/

cle ol

9/15/9/15/

e,

e

10/1/9/30/

from the Dtransmittalthat demo

ment Code

s reviewed conclusionsgally suffic

etailed fact

ces Contr

e Review es Recycling a

ract es

15-/16

$2,

/15-/18

$7

/14-/16

$1

/15-/18

$2,

/13-/15

$4

/14-/16

$1,

DGS for a su a written nstrates hosection 19

was $13,3s as to wcient. For t-based in

racts Com

and Recovery

Contract Amount

242,850.00

750,000.00

120,000.00

858,000.00

417,621.00

045,000.00

ubdivision (justificatio

ow the cont9131, subdi

370,713.00.whether the

all PSC’s nformation

mplied wit

y

JustificaIdentif

0 Yes

Yes

Yes

0 Yes

Yes

0 Yes

(b) contractn that incltract meetsvision (b).

. It was beye CalRecy

reviewed,in the wr

th Proced

ation fied

s

s

s

s

s

s

t, the udes

s one (Cal.

yond ycle’s , the ritten

dural

18

justificatGovernmcomplied

Mandate Each stacourse ostate offappointm Each detwelve mmust beinstructomanage Additionharassmharassm12950.1 The CRthe comwas fouethics tr FINDIN

Summa

Criteria

tions as toment Code d with proc

ed Training

ate agencyon the relevficials. (Govment. (Gov

epartment months of a a minimum

or. The otheer. (Gov. Co

nally, each ment traininment preve

subd. (a).)

U reviewedmpliance revund to be iaining were

NG NO. 8 –

ary:

:

California

how eachsection 19

edural requ

y shall offevant ethics v. Code, § . Code, § 1

must proviappointmenm of 80 houer 40 hours

ode, § 1999

departmeng every tention train)

d the CalReview periodin compliane found to b

Basic SSupervis

The CalR19 new su Each deptraining w19995.4 shours, 40instructorlevel supe

SPBa Department

h of the co9131, subdiuirements.

r at least sstatutes an11146.1) N1146.3)

ide its newt. (Gov. Co

urs, 40 of ws may be d

95.4, subd.

ent must ptwo years.ing within

ecycle man. The CalRnce. Wherebe out of co

Supervisorsors

Recycle did upervisors

partment mwithin twesubd. (b) a0 of which r. The otherervisor or m

B Compliancet of Resource

ontract metvision (b). A

semiannualnd regulatioNew filers m

w supervisoode, § 1999hich must bdone on the(b).)

provide its New supsix month

dated trainRecycle’s seeas the Caompliance.

ry Trainin

not providewithin twelv

must providlve monthnd (c.).) Thmust be

r 40 hours manager. (G

e Review es Recycling a

t at least oAccordingly

lly to each ons that govmust be tra

ors basic s95.4, subdsbe structuree job by a

supervisopervisors mhs of appo

ing programexual harasalRecycle’s

ng Was

e basic supve months

de its news of appohe training structured may be do

Gov. Code,

and Recovery

one condity, the CalR

of its filersvern the offained within

supervisory. (b) and (ced and givehigher-leve

ors two homust be pointment.

m that was ssment pres superviso

Not Prov

pervisory trof appointm

w supervisoointment. (must be a and given

one on the j§ 19995.4

y

ion set forRecycle’s P

s an orientficial condun six month

y training wc.).) The traen by a quael supervis

ours of seprovided se(Gov. Cod

in effect duevention traory training

vided for

raining to twment.

ors superv(Gov. Codminimum o by a quajob by a higsubd. (b).)

rth in SC’s

ation uct of hs of

within aining alified or or

exual exual de, §

uring ining and

All

wo of

visory e, § of 80

alified gher-

19

Severity

Cause:

Action:

FINDIN

Summa

Criteria

Severity

Cause:

y:

NG NO. 9 –

ary:

:

y:

California

Very Serare propemployeeincluding

The CalRtheir mantraining w

The CalRsupervisomonths.

It is thereSPB’s ErecommecompliancSPB a wr

Ethics Tr

The CalRIn additiosix month New filerappointmeach confirst odd-(b).)

Very Seriof prohibi

The CalRinterest ptraining oon traininHowever,successfu

SPBa Department

ious. The dperly trainees may nomanaging

Recycle stanagers ensuwithin the re

Recycle muors are pro

efore recomExecutive endations, tce with suritten report

raining Wa

Recycle did n, 12 out o

hs of appoin

rs must beent. Existinsecutive penumbered

ious. The dtions relate

Recycle stapositions o

on the new eng opportu, for this ully applied

B Compliancet of Resource

departmented. Withoutot properlyemployees

ates the emure that the

equired time

ust take apovided sup

mmended tOfficer’s

the CalRecpervisory tt of complia

as Not Prov

not providof 20 new fintment.

e provided ng filers meriod of twoyear there

department ed to his or

ates that ton the duemployee o

unities, andreview p

d and/or u

e Review es Recycling a

t does not t proper t

y carry outs.

mployees die employeeeframe.

ppropriate spervisory t

that no lateapproval

cycle must eraining ma

ance.

vided for A

de ethics tralers were n

ethics trainmust be traio calendar after. (Gov

does not eher official

the departmuty statemeon-board chd tracks coperiod, theutilized by

and Recovery

ensure its training, net their sup

id not regises attended

steps to eraining wit

er than 60of these

establish aandates and

All Filers

aining to 30not provided

ning withinined at leayears com

v. Code, §

ensure its fposition an

ment identent, detailshecklist, proompletion ese resour

the empl

y

new manaew supervpervisory r

ster for, nod the mand

nsure that thin the tw

days aftefindings

a plan to end submit to

07 of 609 fd training w

n six monthast once dumencing on11146.3, s

filers are awnd influence

tifies conflis the requovides outrof the trairces were oyee nor

agers visory roles,

or did dated

new welve

r the and

nsure o the

filers. within

hs of uring n the subd.

ware e.

ct of uired each ning.

not their

20

Action:

The Cal

Based uCRU rec

It is furecommCRU a w

Recycle’s r

upon the Ccommenda

urther recomendations written repo

California

managersAdditionaensure ou

The CalRare provid

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Attachment 1

California Environmental Protection Agency Edmund G. Brown Jr., Governor

Cal Recycle a DEPARTMENT OF RESOURCES RECYCLING AND RECOVERY

10011 STREET, SACRAMENTO, CALIFORNIA 95814 • www.CALRECYCLE.CA.GOV • (916) 322-4027

May 27, 2016

State Personnel Board Compliance Review Unit 801 Capitol Mall Sacramento, CA 95815

P .0 . BOX 4025, S ACRAMENTO, CALIFORNIA 95812

This letter is in response to the California State Personnel Board's (SPBs) compliance review draft of the Department of Resources Recycling and Recovery's (CaiRecycle) personnel practices. The SPB draft report provided nine findings, seven of which require a response from CaiRecycle. The following includes those seven findings, an explanation of why they occurred, and details to summarize corrective action plans.

Finding 2: Equal Employment Opportunity (EEO) Questionnaires Were Not Separated From Applications.

Cause: CaiRecycle acknowledges and agrees with SPB's finding. The Human Resources Office (HRO) experienced a high volume of applications during the period of February 2015 through September 2015. During this timeframe, the Classification & Pay (C&P) Unit had one vacancy and one employee on leave, which resulted in temporarily assigning logging in applications to office support staff. The office support staff were not given adequate instruction on processing the applications nor were they instructed to remove the EEO questionnaires.

Response: The HRO support staff have received thorough written and verbal instructions and been trained on the removal of EEO questionnaires to prevent reoccurrences. CaiRecycle's C&P Request for Personnel Action (RPA} checklist has been updated to include proper application processing with the removal of the EEO questionnaire (when attached) and confidential destruct before distribution back to the hiring managers. CaiRecycle will ensure all EEO questionnaires are separated from applications per Government Code section 19704 and 19705.

Finding 3: Appointment Documentation Was Not Kept for the Appropriate Amount of Time.

Cause: CaiRecycle acknowledges that eight Notices of Personnel Action (NOPA) were missing, and for one appointment, all applications, except the appointee's application, were not kept for the appropriate amount of time. This is due to the fact that the

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Attachment 1

NOPA's were not tracked correctly and the specialists were not able to locate pending copies. The missing appointment file and recruitment materials were destroyed in error by the hiring manager.

Response: CaiRecycle has created and implemented a NOPA tracking system that requires the personnel specialist to keep a pending copy until the original is returned. When the original NOPA is sent out to the personnel liaisons for distribution, it will include a memo that directs the employee to review, sign, and return one copy of the NOPA to their personnel specialist within 10 business days. Email reminders from the personnel specialist will be sent to the employee with a copy to their supervisor until the signed NOPA is received in the Transactions Unit. Since the completion of the compliance review, an email addressing application retention requirements was sent out to all managers and supervisors reminding them of the requirement to retain all hiring applications and interview materials for a period of five years after the date of hire.

Finding 4: Probationary Evaluations Were Not Provided for aU Appointments Reviewed.

Cause: CaiRecycle acknowledges that not all supervisors and managers consistently meet this requirement for employees on probation. Notifications are provided to the supervisory staff upon the issuance of the NOPA. However, as the audit found, there were cases in which the probation reports were not provided to the employees by their managers.

Response: CaiRecycle will enhance its Position and Employee Tracking System (PETS) to track employees on probation, due dates of evaluation, notification to hiring managers, and completion of the probation report. In addition, within two weeks of the initial appointment, an email will be sent to the employee's supervisor from the personnel specialist with the probationary dates and the required Report of Performance for Probationary Employee (STD. 636) for completion. Failure to complete the probationary reports will result in upper management and executive staff automatically being notified of the deficiency so that follow-up action can be taken.

Finding 5: Applications Were Not Date Stamped and/or Accepted After the Final Filing Date.

Cause: CaiRecycle acknowledges all applications must be date stamped and post marked by the final fi ling date. CaiRecycle's mail is date stamped daily by the Business Services Unit and delivered to the HRO. The C&P analyst processes all application documents (staples envelopes to the back of all applications and documents). All applications are logged in and sent to program three business days after the final filing date. Program receives all applications and make copies; however, the HRO discovered some hiring supervisors removed and discarded the mailing letters/envelopes stapled to the applications.

Attachment 1

Response: CaiRecycle has implemented an application intake process to ensure all appl ications are date stamped. CaiRecycle's Personnel Liaison's Request for Personnel Action Guide will be updated to include instructions for hiring program staff on how to process and retain all application documents, including date stamped envelopes.

Finding No. 6: Equal Employment Opportunity Officer Also Serves As the Personnel Officer at a State Agency With More Than 500 Employees

Cause: Senate Bill 63, Strickland, Chapter 21, Statutes of 2009 merged the former California Integrated Waste Management Board staff with staff from the Department of Conservation's Division of Recycling creating a new department greater than 500 employees. Shortly after the merge CaiRecycle's Chief Counsel consulted with CaiHR's legal office regarding the basis of the 500 employee threshold. Based on a very small number of EEO complaints and no ability to allocate a position to meet this requirement, it was determined that the Personnel Officer would continue to administer the EEO Officer duties with a direct reporting relationship to Cal Recycle's Director. That reporting relationship is the current model used by CaiRecycle.

Response: For the next few months, Cal Recycle will continue to administer EEO duties under the current model so that legal and/or significant issues are responded to thoroughly and timely. However, after July 1st. Cal Recycle will be filling a new hearing officer position (included in the FY 2016-17 budget). To address this compliance finding,· CaiRecycle will include the administration of EEO Officer duties within the job description of that position. That position will be located within the Executive Office and will be reporting directly to the Director.

Finding No. 8: Basic Supervisory Training Was Not Provided for All Supervisors

Cause: CaiRecycle agrees with this finding. The employees did not register for, nor did their managers ensure that the employees attended the mandated tr~ ining within the required timeframe. However, since the time this review was conducted, the employees have either completed or have registered for the mandated 40-hours of formal supervisory training.

Response: In order to ensure that future non-compliance issues do not occur, the HRO will provide copies of all new supervisory appointments to the Training Office. The Training Office will enroll employees and track course completion to ensure timeframes are met. If employees fail to attend training, the issue will be escalated to upper management and executive staff to address. Additionally, when the NOPA is distributed the employee and the employee's manager will be reminded of the training requirement by the HRO.

Attachment 1

Finding No. 9: Ethics Training Was Not Provided to All Filers

Cause: CaiRecycle acknowledges and agrees with this finding. The department identifies conflict of interest positions on the duty statement, details the required training on the new employee on-board checklist, provides outreach on training opportunities, and tracks completion of the training. However, for this review period, these resources were not successfully applied and/or utilized by the employee nor their managers to ensure the ethics training requirements were met. Additionally, follow-up by the Administrative Services Branch to ensure outstanding training was completed was not done.

Response: The New Employee Checklist will be amended to more clearly define when the training is required and provide direction on how to access the training. The HRO will provide a training requirement reminder to the employee when distributing the NOPA. Additionally, the department's PETS system will be enhanced to track positions identified as conflict of interest positions; when training is due to be completed; when it is completed; and provide reminders to the employee and their supervisor. Failure to complete the mandated training will result in upper management and executive staff being notified of the deficiency so that action can be taken .

The department will work to formalize and implement corrective action for all of the above noted findings. In addition, we will work with the SPB to report on updates for each of the items resulting from the final compl iance report.

CaiRecycle appreciates the SPBs assessment of our personnel practices and looks forward to continued cooperation in strengthening our processes.

If you have any questions, please contact me at 916-341-6091 or [email protected].

Sincerely,

Tiffany Donohue, Personnel Officer Department of Resources and Recycling