STATE WATER RESOURCES CONTROL BOARD · 2016-07-11 · res relative ion, the SW to file stat ors...

COMPLIANCE REVIEW REPORT

STATE WATER RESOURCES CONTROL BOARD

Compliance Review Unit State Personnel Board July 12, 2016

TABLE OF CONTENTS

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

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

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

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

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

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

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

Equal Employment Opportunity ................................................................................ 15

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

Mandated Training .................................................................................................... 21

Departmental Response ................................................................................................. 24

SPB Reply ...................................................................................................................... 24

1

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

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TIVE SUMM

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MARY

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29, 2016, aThe follow

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el Board (thrvice statu, and review

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gislature in ality of Califment, publ

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was limited s from May8, 2014, thr

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spread throh the majoof engineerative supp

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to reviewiy 1, 2015, trough FebruRCB personaws and b

identified.

ointments wtypes, clas

on that the job analys

ancy postinlists, trans

probation re

d examiningd reporting

mobility mplaint pro

beyond thB justificati

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f the comple contracts

ract during thort, the SPB wtory and reg

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ations, 2016,

rimary s, and nd to

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esults, eening heets,

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liance were

he SPB will not ulatory

4

legally sprocedu In additrequiredsuperviswithin st On Junethe CRUcarefully

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sufficient. Tures relative

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e 23, 2016,U’s initial finy reviewed

ations

ations to esst and detees of the clExaminatio

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Within a rted appoinhment of esuch inform

m qualificatce of the ation annouerson compearned ratintor shall b

ment list res

the period d 25 of thos

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an exit condings and the respons

FIND

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

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under revise examina

SPBState Wate

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mandated treconomic i

asic superv

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INGS AND

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

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m the exami

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must be cons, fitness,ich he or s

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nation is es

WRCB conch are listed


ther SWRCural require

s reviewedre providedsexual hara

th the SWRn July 1, 20to this final

MENDATION

ompetitive a and abilityhe seeks a

sembled, wn of thoseng the fitn

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nducted 11d below:

rd

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d to ensured ethics traiassment pre

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NS

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

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

5 examina

es, policies

e all emploining and thevention tra

plain and disRU receivece report.

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

weighted av§ 18936.)

nation whee, § 18938

ations. The

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scuss d and

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SPBState Wate

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l (QAP) inter of two or m

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nk the compet

tered either oor her levelclassification

am analyst, a

rd

Final File Date

10/21/2015

10/27/2015

9/30/2015

12/23/2015

10/30/2015

12/23/2015

7/31/2015

ent of an exes are rated ssification.

reviews the aetermined ratcations, and/

bmit a writtencations. Rate

ng scale desigtitors in a list.

online or in wl of training n. Responsesand then ass

No. oApplicat

5 7

5 4

5 1

5 21

5 18

5 12

5 9

xamination wand ranked a

applicants’ Stating scale tha/or years of re

n summary oers, typically sgned to asses

writing, and asand/or expe

s yield point vigned a perc

of tions

hereby against

andard at may elevant

of their subject ss their

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6

C

Engine

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Senior Geolog

Senior Geolog

Senior Geolog

Senior Scientis

Senior Scientis

Classificatio

ering Geolo

nmental Proer I (Superv



nmental Proer II

nmental Sci

nmental Sci

nmental Sci

al Engineer

Engineeringist

Engineeringist

Engineeringist

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on

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SPBState Wate

ExaminatioType

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DepartmenPromo

DepartmenPromo

DepartmenPromo

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Open

DepartmenPromo

DepartmenPromo

Open

Open

Open

Open

Open


on EComp

T

tal T

tal T

tal T

tal T

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tal T

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T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

T&E

rd

Final File Date

8/31/2015

6/30/2015

8/31/2015

9/30/2015

6/30/2015

7/31/2015

8/31/2015

9/30/2015

1/28/2016

6/30/2015

7/31/2015

9/30/2015

7/31/2015

8/31/2015

No. oApplicat

5 16

5 2

5 4

5 3

5 2

5 18

5 13

5 14

6 10

5 4

5 6

5 4

5 5

5 12

of tions

7

C

Senior Scientis

Senior Scientis

Senior Scientis

Senior Control

FINDIN

The SWexaminaexaminarequiredfinal filinmet the notified applicanprocesscompetitexaminathe scor The CRthe comadminist

Classificatio


Environmest (Supervis

Environmest (Supervis

Water Resl Engineer

NG NO. 1 –

WRCB admations to crations, the Sd informationg date and

minimum qapplicants

nts who me. After all ptor was co

ation resultsre received

U found nompliance reter those ex

on

ntalist st)

ntalist sor)

ntalist sor)

ources

ExaminaRules

ministered 1reate eligibSWRCB puon. Applicatd were therqualification

as to wht the MQ’s

phases of thomputed, s listed theby rank. Co

o deficienciview periodxaminations

SPBState Wate

ExaminatioType

Open

Open

Open

Open

ations Com

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he examinaand a list

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mplied wit

xaminationom which tod distributeved by theperly assesfor admitta qualified notified abo

ation procesof eligible

f all succeswere then

examinationngly, the Sance with c


Exam ponents

T&E

T&E

T&E

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th Civil Se

ns and sixo make ap

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ssful compenotified of t

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rd

Final File Date

9/30/2015

8/31/2015

12/31/2015

7/31/2015

ervice Law

departmenppointmentstion bulletinwere acceptermine whexaminatioe examina

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SWRCB clfilled its re laws and b

No. oApplicat

5 6

5 12

5 10

5 2

ws and Bo

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the examinhe score ofestablished.nged in ordcores.

conducted desponsibilitiboard rules

of tions

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nation f each . The der of

during ies to .

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Appointm In all caappointireinstateand Boatransfer,which reincludingfitness. ( During treviewed

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ments

ases not exng power ements, proard rules. (G, or by wayequires cong his or he(Cal. Code

the compliad 131 of tho

assification

Associate ministrativest (AccountSystem)

ociate BudgAnalyst

Attorney

ttorney III

ttorney III

ttorney IV

ngineering Geologist vironmentalam Manage

Managerial) vironmentalam Manageupervisory) vironmentalScientist

xcepted or must fill

omotions, aGov. Code, y of reinstansideration er knowledRegs., tit. 2

ance reviewose appoin

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tification Lis

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tification Lis

tification Lis

tification Lis

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by Article by appointons in strictAppointme

must be madividual’s joabilities, e

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he SWRCBich are liste

Tenu

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VII of the tment, inclt accordancents made fde on the

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Constitutiones of tranCivil Service lists, by w

merit and fitns for a possical and m

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No. of Appointme

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ure Tim

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No. of Appointme

2

2

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No. of Appointme

1

1

1

1

1

1

3

2

1

5

1

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SenioSyst

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SenE

SuEn

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Sp(T

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FINDIN

Summa

AssoAnalys

Associ

Eng

EnviMan

assification

Environmeist (Special

or Informatioems Analys

Specialist)

nior SanitaryEngineer

upervising ngineering Geologist em Softwarpecialist II Technical)

em Softwarpecialist III Technical)

NG NO. 2 –

ary:

Classificat

ociate Admit (Accounti

ate Sanitar

Attorne

Attorney

gineering G

ironmental nager I (Ma

Ap

ental list)

T

on st T

y T

T

re T

re T

ProbatioAppointm

The SWRprobation

tion

inistrative ng System)

ry Engineer

y

IV

Geologist

Program nagerial)

SPBState Wate

ppointment Type

Transfer

Transfer

Transfer

Transfer

Transfer

Transfer

onary Evaments Rev

RCB did nonary reports

AppoinTy

) L

Appoin

r L

AppoinL

AppoinL

AppoinL

AppoinL

Appoin


Tenu

Perma

Perma

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Perma

Perma

Perma

aluations viewed

ot prepare,s of perform

ntment ype

ist ntment ist ntment ist ntment ist ntment ist ntment ist ntment


ure Tim

anent F

anent F

anent F

anent F

anent F

anent F

Were N

, complete,mance.

No. of Appointme

1

1

2

1

1

1

rd

me Base

Fulltime

Fulltime

Fulltime

Fulltime

Fulltime

Fulltime

Not Provi

, and/or re

entsNo. o

Pr

No. of Appointme

2

1

1

1

1

1

ided for

tain 20 req

of Uncomplerob. Report

3

2

3

1

1

1

ents

All

quired

eted ts

12

EnviMa

Envi

Ex

Se

SenSc

Wate

Criteria

Classificat

ironmental nager I (Sp

ironmental

xecutive As

enior EnginGeologi

nior Environcientist (Speer Resource

Enginee

:

tion

Program pecialist)

Scientist

ssistant

neering st nmental ecialist) es Control er

Total

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

During thevaluate frequent progress 599.795.)performaRegs., tit.

SPBState Wate

AppoinTy

LAppoin

LAppoin

LAppoin

LAppoin

LAppoin

LAppoin

robationaryd by reinsta322, subd.

required wnt appointm22, subd. (new proba

d to a po break in s

mpleted theg power; aally the sary range asationary per

he probationthe work intervals ton the job.

) The apponce each o. 2, § 599.7


ntment ype

ist ntment ist ntment ist ntment ist ntment ist ntment ist ntment

y period isatement wit(d)(2).) Ho

when an emment from aa).) In addi

ationary perosition undservice in the probationnd (2) withme or lowes a class inriod. (Cal. C

nary periodand efficieo keep the. (Gov. Codinting poweone-third of795.)


No. of Appointme

2

1

1

1

1

1

14

s not requith a right oowever, themployee enan employmition, unlesriod is requer the folhe same clnary perio

hout a breaer level of n which theCode Regs

d, the appoency of a e employede, § 19172er must pref the proba

rd

entsNo. o

Pr

red when of return. (Ce service onters state

ment list. (Cs waived buired whenlowing circass in whic

od, but unk in serviceduties and

e employees., tit. 2, § 3

ointing powprobatione

ee adequat2; Cal. Codepare a wriationary pe

of Uncomplerob. Report

3

2

1

1

1

1

20

an employCal. Code Rf a probati civil servic

Cal. Code Rby the appo an employcumstancesch the empnder a diffe to a classd responsibe has comp322, subd.

wer is requirer at suffictely informde Regs., tittten apprairiod. (Cal.

eted ts

yee is Regs., onary ce by

Regs., ointing yee is s: (1) ployee fferent s with bilities pleted (c)(1)

red to ciently ed of t. 2, § isal of Code

13

Severity

Cause:

Action:

FINDIN

Summa

Criteria

y:

NG NO. 3 –

ary:

:

Serious. process perform probationperformathe appoemployee

The SWRcomplete sent to employeecentralizeevaluation

It is recoapproval submit tothe correwith the 19172.

AppointmAmount

The SWRVPOS BappointmBulletins files reviethe appoiapplicatio

As specif(Rule 26)to affirmamerit, seyears frorequired systemat

SPBState Wate

The probato ensure the full sc

nary period nce or term

ointment is e and serve

RCB states probationathe Huma

e’s official ed process ns are com

ommended of these

o the CRU ctions the probationa

ment Docuof Time

RCB failed Bulletins, ents revieand 20 NO

ewed were ntee’s, and

ons.

fied in Cal), appointinative actionelection, anom the dato be readic manner.


ationary pethat the

cope of thto assist a

minating thenot a goo

es to erode

that it is thary reports an Resourpersonnel for trackin

mpleted.

that withinfindings aa written cdepartmen

ary requirem

umentation

to retain and appli

ewed, the OPAs. Add

missing ad two appoi

ifornia Codng powers an, equal emnd appointmte the recdily access(Cal. Code


eriod is theindividual heir job dan employe

e appointmeod job/persthe quality

he responstimely and

rces Brancfile. The S

g or report

n 60 days and recomcorrective at will implements of G

n Was Not

personnel ications. SSWRCB

ditionally, twll applicationtment files

de of Reguare require

mployment ments for cord is cresible and re Reg., tit. 2

rd

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

of state go

ibility of ead to ensurech for plaSWRCB doting to ensu

of the Exemmendation

action planement to enGovernmen

Kept for th

records suSpecificallydid not re

wo of the 1ons for recs reviewed

ulations, tited to retain

opportunitya minimumeated. Theretained in 2, § 26.)

in the selecan succesing to useoving his oeterminatiois unfair t

overnment.

ach supervise the reportacement inoes not haure probati

ecutive Offs, the SW

n that addrensure confont Code se

he Approp

uch as NOy, of the etain 10 V131 appoincruitment, e

were missi

le 2, section records rey, examina

m period oese records

an orderly

ection ssfully e the or her n that to the

sor to ts are n the ave a onary

ficer’s WRCB esses ormity ection

riate

OPA’s, 131

VPOS tment

except ing all

on 26 elated ations, of five s are y and

14

Severity

Cause:

Action:

FINDIN

Summa

Criteria

y:

NG NO. 4 –

ary:

:

Serious. appointm

The SWdecentralfollowed.

It is recoapproval submit tothe correwith the Regulatiodocumen

Applicatithe Final

The SWRdate stamfiling date

Californiatimely filiplace, witthe exam

Filing an postal seappropriathe date s

SPBState Wate

Without dents were p

RCB stateized proce

ommended of these

o the CRUctions the

record reons title tation shou

ions Were File Date

RCB procesmped and 4e.

a Code Regng of appthin the timination ann

applicationrvice or dat

ate office ospecified.


documentatproperly co

es that thaesses, and

that withinfindings aa written cdepartmenetention re2, sectio

uld be includ

e Not Date

ssed 176 o42 applicati

gulations, tilications: A

me, in the mnouncemen

n ‘within thete stampedf the agenc


tion, the Conducted.

at it has 2 procedure

n 60 days and recomcorrective at will impleequirement

on 26. Cded with th

e Stamped

out of 1,861ons that we

itle 2, sectioAll applicatmanner, annt.

e time’ shad at one of tcy adminis

rd

CRU could

28 offices es have n


action planement to ents of CalifCopies of e plan.

d and/or A

applicatioere accepte

on 174 (Rutions must nd on the f

ll mean pothe departmstering the

not verify

statewideot always


n that addrensure confofornia Cod

any rel

Accepted A

ns that wered after the

ule 174) reqbe filed a

form specif

stmarked bment’s officeexaminatio

if the

, has been

ficer’s WRCB esses ormity de of levant

After

re not e final

quires at the fied in

by the es (or

on) by

15

Severity

Cause:

Action:

Equal E Each staThe appthe effecpower mprocedu

y:

mployment

ate agencypointing powctiveness o

must issue aures for fi

An applicspecified detailed iverified estate agethe speciannouncenotificatioemployingnotice of suds. (a)applied to Non-Serioensure alapply for Thereforefiling dateapplicatioacceptanvacancy s

The SWRensuring final filing

It is recoapproval submit todepartmeCopies oplan.

t Opportuni

y is responswer for eac

of its EEO pa policy staling, proce

SPBState Wate

cation thatdate shall n Rule 174rror; (2) the

ency and is ified date; ement dison to an emg agency vpromotion

, (b), (c), &o the select

ous or Tell applicantsa job vaca

e, althoughe may give

on than othce of late aselection.

RCB statesall applica

g date.

ommended of these

o the CRent will impf any relev

ty

sible for anch state agprogram. (Gatement coessing, an


t is not pobe accepte4 apply: (1e applicatioeither post(3) the em

stribution mployee of verifies thatal examina

& (d).) The tion process

chnical. Fs are givenancy and t

h the accepe some aper applicanapplications

s that it didations were

that withinfindings a

RU a writteplement to

vant docum

n effective Eency has t

Gov. Code, mmitted to

nd resolvin


ostmarked ed, if one of) the applic

on was submtmarked or

mploying agproblems a promotiot the application. (Cal.same finals used to fi

Final filing n the same to set a deptance of pplicants mnts who mes will not im

d not havee date stam

n 60 days and recomen correct

o ensure cmentation sh

EEO prograthe major r§ 19794.) equal emp

ng discrim

rd

or date sf the followication wasmitted in erdate stamp

gency verifthat pre

onal examincant failed t Code Reg filing datell a job vac

dates areamount of

eadline for application

more time eet the finampact the r

e a centralimped and


tive actionconformity hould be in

am. (Gov. responsibilitTo that endployment o

mination co

stamped bng conditio

s delayed drror to the wped on or bfies examinevented tnation; or (4to receive tg., tit. 2, §

e procedureancy.

e establishtime in whthe recruits after theto prepare

al filing dateresults of th

ized procesreceived b


n plan thawith Rule

ncluded wit

Code, § 19ty for monid, the appopportunity;

omplaints;

y the ons as due to wrong before nation timely 4) the timely

§ 174, es are

ed to hich to tment. e final e their e, the he job

ss for by the

ficer’s WRCB at the

174. th the

9790.) toring

ointing issue issue

16

proceducooperaaccess tmust apunder tcoordina Becausesexual hthe reguof the or Each stindividuahead of 19795, committmember19795, s The CRreview p

FINDIN

Summa

Criteria

ures for prate with theto all requir

ppoint, at thhe supervate, and mo

e the EEOharassmentular chain organization

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

U reviewedperiod.

NG NO. 5 –

ary:

:

oviding eqe Californiared files, doe manager

vision of, tonitor the de

Officer invt and other f command.

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

d the SWRC

ComplaiDecision

The SWdiscriminareview pediscriminatook to isfiled.

The appcomplainaRegs., titissue its power mudelay. (Ib

SPBState Wate

qual upwara Departmeocuments aial level, anthe directoepartment’s

vestigates employee c

d, as well as

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

CB’s EEO p

nants Werns Within th

WRCB provation comeriod. As sation compssue compl

ointing poant within 9. 2, § 64.4,decision wust inform t

bid.)


d mobility ent of Humand data. (Ibn EEO officor of the s EEO prog

and ensurcomplaintss regular a

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

program tha

re Not Nothe Prescri

vided no plaints wesuch, the

plaints, nor ainants a w

wer must 90 days of subd. (a).

within the prthe compla


and promman Resoubid.) In add

cer, who shadepartmen

gram. (Gov

res proper , the positiond unencum

committeerest in disaoyees with vite all emat the final

erest in disa

at was in e

ified of thebed Time P

documentere trackedSWRCB ccould they

written deci

issue athe compla) If the apprescribed tiinant in wri

rd

motional oprces (CalHdition, the aall report di

nt to devev. Code, § 1

handling oon requiresmbered acc

e of emploability issue

disabilitiesmployees to

committeeability issue

ffect during

e ReasonsPeriod

tation demd during could not py demonstision after a

written deaint being fpointing powime perioditing of the

pportunitiesHR) by provappointing pirectly to, a

elop, imple9795.)

of discrimins separationcess to the

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

g the compl

s for Delay

monstrating the compl

provide a lrate how loa complain

ecision tofiled. (Cal. Cwer is unab, the appoireasons fo

; and viding power nd be ment,

nation, n from head

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

liance

ys in

that liance list of ong it

nt was

the Code ble to inting or the

17

Severity

Cause:

Action:

FINDIN

Summa

Criteria

y:

NG NO. 6 –

ary:

:

Very Serdelays inconcerns open to li

The SWRnotificatiocomplaina

It is recoapproval submit tothe correwith the section 6should be

A Written

Although program program

Each apupward mAdministePrograms

The planappointinmobility oA descripGovernmprogram, obtained.employeetraining regardingin low-pa

SPBState Wate

rious. Empn decisionsare not be

ability and

RCB states on system ants were a

ommended of these

o the CRU ctions the requireme4.4, subdiv

e included w

n Upward M

the deparpolicy and

in place at

pointing aumobility plering Des,” revised J

n shall incg authority

opportunity ption of thent Code s

and whe (c) The r

e's supervioffice, an

g the mobiliaying occu


ployees wes for coming taken slow employ

that it did nto ensure

aware of de

that withinfindings aa written cdepartmennts of Cal

vision (a). Cwith the pla

Mobility Pl

rtment provd plan, thethe time of

uthority shan as spepartmental July 25, 200

clude: (a) y's commfor its emp

he componsection 194ere informroles and rsor, the cod the eqity program

upations to


ere not infomplaints. Eseriously, wyee morale

not have a e responseelays.

n 60 days and recomcorrective at will impleifornia Cod

Copies of aan.

lan Has No

vided a drere was nthe compli

hall develoecified in

Upward00.

A policy itment to

ployees in lnents of its401, how eation abouresponsibilioordinator, ual emplo

m. (d) Critero participat

rd

formed of tmployees

which can le.

centralizedes were t


action planement to ende of Regany relevan

ot Been Es

raft of an Uno active Uance review

p and mathe SPB

d Mobility

statementproviding

ow-paying s program employees ut the proities of the

the persooyment opria for selete in the

the reasonmay feel

eave the ag

d tracking ttimely and


n that addrensure confoulations, ti

nt documen

stablished

Upward MUpward Mow.

aintain a w“Guideline

y Employ

t regardingequal up

occupationconsistent

may accesogram mae employeeonnel officepportunity cting emploupward m

ns for their

gency

ool or d that

ficer’s WRCB esses ormity itle 2,

ntation

obility obility

written es for yment

g the pward ns. (b) t with ss the ay be e, the e, the office

oyees obility

18

Severity

Cause:

Action:

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

y:

al Services

includes aal services performing employee

ution has anvate entitied. Gover

ons to the chat are of

are also pernction, seral to a co

s that are of

efforts denumber oused by and entrtargeted examinat

Serious. effective employee

The SWRcurrently

It is recoapproval submit tothe correwith the rof any rel

Contracts

any contrais a signifithe serviceof the Sta

n implied cies to perfrnment Cocivil servicea type en

rmissible. Srvices that ntract for tf an urgent,

SPBState Wate

escribed inof employethe appoinry technic

for upwaions. (Cal.

The deparupward

es in low-pa

RCB has ain the proce

ommended of these

o the CRU ctions the requiremenevant docu

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

ode sectioe mandate wumerated i

Subdivision are not a

the purcha, temporary


n Governmees in clasnting authorcal, profesard mobiliCode Regs

rtment did mobility p

aying occup

an outdateess of upda

that withinfindings aa written cdepartmen

nts of Goveumentation

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

ase or leasy, or occasio


ment Codesifications rity; careersional, anty; and ps., tit. 2, § 5

not have aprogram topations.

ed upward ating.

n 60 days and recomcorrective at will imple

ernment Coshould be

urchase ortifiable elemcontractor

g., tit. 2, §miting the s

state has subdivisio

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

rd

e section in low-pay

r ladders, bnd adminisplanned u599.983.)

a plan to eo develop

mobility p


action planement to enode sectionincluded wi

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

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

e.

19401. (e)ying occupabridging clastrative claupward mo

ensure it haand adv

plan, which


n that addrensure confon 19401. Cith the plan

which labthe businenot have s

) The Calihority to co

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

) The ations asses, asses obility

as an vance

h it is

ficer’s WRCB esses ormity

Copies .

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

19

For cosexecute reviews employe During tsubject review. T

V

AquatC

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t-savings Psuch a cothe adequ

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Vendor

tic Science Center

tic Science Center

LaboratoryInc.

ornia State ersity, Long h Researchundation

n Worldwideving and rage, LLC

nteractive, Inc.

re Twining ciates, Inc.

re Twining ciates, Inc.

Office of ronmental th Hazard

sessment

PSC’s a stontract. (Gouacy of th

ation repres

ance reviewment of Geeviewed all

Serv

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rvices

enance

enance

enance


y is require§ 19131.) Fed or exece employee

e SWRCBvices (DGSe contracts

Contract Da

12/4/20158/31/2016

4/1/20166/30/2017

1/31/20161/31/2018

1/27/20166/30/2018

11/9/20159/30/2017

10/10/2019/30/2016

1/31/20161/31/2018

2/25/20163/1/2018

7/1/20156/30/2018


ed to notifFor subdiviscuted contres. (Gov. C

had 19 PSS) approvals, which are

ates CA

5-6

$30

-7

$13

6-8

$11

6-8

$49

5-7

$95

3-6

$49

6-8

$13

6-8

$31

-8

$42

rd

fy the SPBsion (b) conract at the

Code, § 191

SC’s that wel, and thuse listed belo

ontract Amount

00,000.00

35,000.00

0,000.00

99,998.00

5,000.00

98,726.00

30,000.00

0,000.00

25,000.00

B of its intentracts, thee request 32.)

ere in effecs our proceow:

JustificatIdentifie

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

ent to e SPB of an

ct and edural

tion ed

20

V

Parc

PenCor

San JUnRe

FouSo

CaliforWater

PSo

CaliforWater

PSo

CaliforWater

PSo

CaliforWater

P

The Rthe UCalifo

West Cor

WinMoving

Vendor

cel Quest

nn Credit rporation

Jose State niversity esearch undation outhern rnia Coastar Research

Project outhern rnia Coastar Research



Project

Regents of niversity of

ornia, Davis

Publishing rporation

d Dancer g Company

Serv

Mainte

IT Ser

Mainte

al Mainte

al Mainte

al Mainte

al Mainte

Mainte

Mainte

y Mainte

SPBState Wate

vices C

enance

rvices

enance

enance

enance

enance

enance

enance

enance

enance


Contract Da

12/15/20112/14/201

1/1/201512/31/201

5/27/20156/30-2017

10/1/201512/31/201

2/22/20163/31/2018

1/26/20169/30/2017

4/1/20166/30/2017

1/1/20163/31/2018

7/1/20156/30/2016

5/4/20154/1/2017


ates CA

5-7

$52

-6

$65

5-7

$28

5-7

$25

6-8

$30

6-7

$15

-7

$13

-8

$12

-6

$67

-7

$13

rd

ontract Amount

2,458.00

50,000.00

83,000.00

50,000.00

00,000.00

50,000.00

35,000.00

20,000.00

7,479.12

30,000.00

JustificatIdentifie

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

tion ed

21

When a agency specific or moreCode Re

The totaof the rewere legspecific 19 contrsubdivis

Mandate Each stcourse ostate offappointm Each demonths be a miinstructomanage Additionharassmtraining The CRthe comcompliantraining

FINDIN

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

al amount oeview to mgally sufficand detaileracts met a

sion (b). Acc

ed Training

ate agencyon the relevficials. (Goment. (Gov

epartment of appointminimum of or. The other. (Gov. Co

nally, eachment trainin

within six m

RU reviewedmpliance rence, while were found

NG NO. 7 –

ncy requestude with ited factual is specified 547.60.)

of all the PSake concluient. For aed factual inat least oncordingly, t

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

must proviment. (Gov80 hours, er 40 hour

ode, § 1999

departmeng every twmonths of a

d the SWReview periothe SWRC

d to be out o

PersonalRequirem

SPBState Wate

ts approval s contract informationin Governm

SC’s reviewusions as toall PSC’s snformatione conditionhe SWRCB

er at least sstatutes an

§ 1146.1) N1146.3)

de its newv. Code, § 40 of whic

rs may be 95.4, subd.

ent must pwo years. Nappointment

RCB’s mandod. The SB’s supervof complian

Servicesments


from the Dtransmitta

n that demoment Code

wed was $4o whether Subject to Din the writte

n set forth B PSC’s com

semiannuand regulatioNew filers m

w superviso19995.4, sch must bedone on th(b).)

provide itsNew supert. (Gov. Co

dated trainiSWRCB’s eisory trainin

nce.

s Contra


DGS for a sl a written

onstrates hoe section 19

,641,661.1SWRCB ju

DGS approen justificatin Governmmplied with

ally to eachons that gomust be tra

ors superviubds. (b) a

e structuredhe job by a

s supervisorvisors musode, § 1295

ing programethics trainng and sex

cts Com

rd

subdivision n justificatioow the con9131, subd

2. It was beustificationsoval, the SWtions as to ment Code

h procedura

h of its filerovern the oained withi

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Attachment 1

State Water Resources Control Board

July 1, 2016

Suzanne M. Ambrose, Executive Officer State Personnel Board 801 Capitol Mall Sacramento, CA 95818

Dear Ms. Ambrose,

We have reviewed the Draft Compliance Review Report (Review Report) for the State Water Resources Control Board (Water Board), prepared by the State Personnel Board's Compliance Review Team. The draft report summarizes the Compliance Review Team's findings in the areas of examinations, appointments, Equal Employment Opportunity , and Personal Services Contracts from May 1, 2015, through February 29, 2016, and mandated training from February 28, 2014, through February 29, 2016.

In general we find the Review Report to be a thorough analysis and accurate characterization of the processes that existed during the time period reviewed. We are committed to correcting all deficiencies noted in the Review Report . The Water Board remains dedicated to compliance with all hiring requirements and best practices to ensure compliance with the merit system and State Personnel Board rules and regulations.

As requested by the Compliance Review Team attached are the Water Board's responses necessary to help complete the final report, including the causes of the noted deficiencies and actions we have already taken to address them . If you have any questions or would like to discuss this further please contact the Chief of our Human Resources Branch, Chris Fernandez at 91 6-341 -5126.

Sincerely,

~ Thomas Howard Executive Director

cc: John Russell, Deputy Director, Administrative Services Bill Damian, Assistant Deputy Director, Administrative Services Chris Fernandez, Chief, Human Resources Branch

FEL!CiA MAf;(,l•~ . CHI\IR I T ltOMAS HOWAflD, EXEGUlWE DlflEGfOH

1 OOt I Street, Sacramen:o, CA 95814 I Maolong Address: P.O. Box 100, Sacra menlo, Ca 958 t 2· 0100 1 www.waterbonrd~. co.(lov

Attachment 1

Suzanne Ambrose, Executive Officer - 2- July 1, 2016

Water Board Responses to Draft Findings

Portions of the Draft Review Report were intentionally left blank by the Compliance Review Team, with the information "To Be provided by the SWRCB". Information requested to complete the final report included the Water Board 's understanding of the cause(s) of the deficiencies, as well as any specific responses the Water Board would like noted in the final report, such as steps we have already implemented to start correcting the noted deficiencies.

The following are our responses regarding the findings in the Review Report:

Finding No. 1 -Examinations Complied with Civil Service Laws and Board Rules No response is necessary, as we were found to be in compliance in this area.

Finding No. 2- Probationary Evaluations Were Not Provided for All Appointments Reviewed

Cause: It is the responsibility of each supervisor to complete probationary reports timely and to ensure the reports are sent to the Human Resources Branch for placement in the employee's Official Personnel File. The Water Board does not have a centralized process for tracking or reporting to ensure probationary evaluations are completed.

Response: • As implemented in November 2015, the Human Resources Branch has been

conducting Best Hiring Practices Training. Participation in this training is mandatory for all supervisors and managers. This training emphasizes the requirements of the California Code of Regulations pertaining to completion of probationary reports.

• Additionally , the Human Resources Branch is identifying and implementing appropriate procedural solutions to ensure probationary reports are completed and filed timely as required.

Finding No. 3- Appointment Documentation Was Not Kept for the Appropriate Amount of Time

Cause: There are several causes for documentation not being kept as required. These include:

• VPOS bulletins and applications: Each hiring manager is responsible for creation, maintenance, and retention of hiring packages. The Water Board does not have a centralized process for retaining hiring packages.

• NOPAs: In some instances it appears Personnel Specialists are failing to follow procedures for receiving signatures, retaining, and filing NOPAs. Another contributing factor is that the Water Board has 28 offices statewide and individuals responsible for routing forms for signature are decentralized.


conducting Best Hiring Practices Training. Participation in this training is mandatory for all supervisors and managers. This tra ining specifically identifies retention requirements for hiring packages.

• As implemented in January 2016, the Human Resources Branch retains all vacancy bulletins and applications in the Department of Human Resources' Examination and Certification Online System (ECOS).

Attachment 1Suzanne Ambrose, Executive Officer - 3 - July 1, 2016

• Effective July 2016, Human Resources Branch will be responsible for reviewing and retaining all hiring packages. Additionally, the Human Resources Branch will review internal and external processes and procedures to ensure NOPAs are signed, returned, and retained as required.

Finding No. 4- Applications Were Not Date Stamped and/or Accepted After the Final File Date

Cause: The Water Board did not have a centralized process for ensuring all applications were date stamped and received by the final filing date.


conducting Best Hiring Practices Training. Participation in this training is mandatory for all supervisors and managers. This training specifically identifies the requirement that all applications be date stamped and/or postmarked by the final filing date.

• As implemented in January 2016, the Water Board utilizes ECOS to receive applications; ECOS will not allow applicants to apply after the final filing date and includes a virtual date stamp.

• Additionally, the Human Resources Branch will review internal processes and procedures to ensure hard copy applications received are date stamped and/or include a scanned postmark when uploaded to ECOS.

Finding No. 5- Complainants Were Not Notified of the Reasons for Delays in Decisions Within the Prescribed Time Period

Cause: The Water Board did not have a centralized tracking tool or notification system to ensure responses were timely and complainants were aware of delays.

Response: As implemented in February 2016, the Equal Employment Opportunity Office utilizes a centralized tracking tool for all complaints. Procedures were also created to notify the complainant appropriately within the prescribed time period.

Finding No. 6- A Written Upward Mobility Plan Has Not Been Established Cause: The Water Board has an outdated upward mobility plan, which we are currently in the process of updating. While our robust training budget allows employees to participate in upward mobility as a normal business practice, the Water Board does not have a centralized tracking system to track participation.

Response: The Water Board is currently updating our upward mobility plan to make it compliant with current law. We are exploring long-term procedural solutions to ensure that we can track and document participation by our staff in the upward mobility program, including participating in available training opportunities. In the interim, the Equal Employment Opportunity Office has begun tracking staff participation in the upward mobility program, until such time as a permanent solution is implemented.

Finding No. 7- Personal Services Contracts Complied with Procedural Requirements No response is necessary, as we were found to be in compliance in this area.

Attachment 1

Suzanne Ambrose, Executive Officer - 4 - July 1, 2016

Finding No. 8- Supervisory Training Was Not Provided for All Supervisors Cause: The Water Board does not have a centralized process for tracking completion of supervisory training. Each division and office is responsible for ensuring supervisors have completed required training and maintaining records of training completion. Additionally , due to training contract issues there was temporary difficulty enrolling supervisors during the review period (between June 2015 and January 2016).

Response: The Water Board now has a contract in place with several vendors to provide supervisory training. We are also exploring procedural solutions to ensure required supervisory training is completed by staff in a timely manner, and records of that training are maintained.

Finding No·. 9- Sexual Harassment Training Was Not Provided for All Supervisors Cause: Sexual Harassment Prevention training is mandatory and the Water Board notifies all supervisors of this requirement and provides training opportunities annually. Despite notification of the requirement, not all supervisors were able to attend the training for a variety of reasons.

Response: The Water Board will explore procedural solutions to ensure required Sexual Harassment Prevention training is completed and training records are maintained. Additionally, we are looking into alternate methods of providing this training on a more frequent, or as needed, basis so new supervisory staff can be trained sooner. In the interim, the Equal Employment Opportunity Office has begun tracking Sexual Harassment Prevention training in an effort to ensure accuracy and compliance, until such time as a permanent solution is implemented.

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