What’s New in Compliance Review!

Helaina Medrano and Joseph Ruggiero

Policy and Compliance Review Division

Objectives

• SPB Purview

• History of the Policy & Compliance Review Division

• Overview of New Expanded Compliance Review Program

2

Objectives

The State Personnel Board

Established by the State Constitution, the State Personnel Board (SPB) is charged with overseeing

the merit-based, job-related recruitment and selection process for the hiring of state employees

who provide critical services to the citizens of California. SPB provides direction to departments through simplifying civil service laws, rules, and policy. In addition, SPB reviews departments for

merit system compliance.

3

SPB

Compliance Review History

• Governor’s Reorganization Plan of 2011 Consolidated All of the Functions of the DPA and the Merit-Related Operational Functions of the SPB into CalHR

• Policy and Compliance Review Division established in 2012

• Expanded Compliance Review Program established in 2017 through partnership with CalHR

4

History

Compliance Review History

5

History

• Gov. Code Section 18502(c) Allows CalHR and SPB to:

“delegate, share, or transfer between them the responsibilities for programs within their

respective jurisdictions pursuant to an agreement”

Compliance Review Overview

• Compliance Reviews are Conducted on a Three-Year Cycle

• Expanded Review Scope will Utilize the Existing Compliance Review Infrastructure and Timeline

6

Overview

Review Process

– Engagement Email and Preliminary Surveys Sent

– Set-Up and Conduct Entrance Conference

– Request for Documentation Sent to the Department (Material Request Form)

– Compliance Review Conducted On-site/at SPB

– Missing Documents Spreadsheet Sent to Department

Process

7

Review Process

– Draft Report Reviewed by SPB Management

– Draft Report Sent to the Department

– Set-up and Conduct Exit Conference (Optional)

– Department Provides Departmental Response

– SPB Completes Final Draft of Report and approved by Executive Officer

– Final Draft of Report sent to the Department

8

Process

Review Process

– Final Compliance Review Report Posted to SPB Website Including Departmental Response

– Department Provides Corrective Action Plan Response and Supporting Documentation (Typically Due within 30-60 Days After Report is Posted Online)

– Follow Up on the Department’s Corrective Action Plan

9

Process

Original CRU Functions

– Examinations

– Appointments

• List, Transfers, Reinstatements, TAUs, Emergency Appointments, and T&D Assignments

– Personal Services Contracts

– Equal Employment Opportunity Program

– Mandated Training- Supervisor, Sexual Harassment Prevention, and Ethics

10

Functions

Expanded Review Functions

– Appointments

– Compensation

– Leave

– Policy and Process

– Exams

11

Functions

How Were the New Functions Selected?

– Delegated to Departments by CalHR

– Not Currently Monitored by a Control Agency on a Regular Basis

12

Functions

Why Were the New Functions Selected?

– Potential Cost Drivers to the State

– To Reduce Waste

– To Streamline Processes

13

Functions

When Did the Expanded Review Program Go Live? – April, 2017

– Started with 4 Departments

14

Functions

Compensation and Pay

–Alternate Range Placement

–Arduous Pay

–Bilingual Pay

– Exception to Salary Rule

–Hiring Above Minimum (HAM)

15

Compensation

Compensation and Pay

– Merit Salary Adjustments (MSA) and Special-In-Grade Salary Adjustment (SISA)

– Out-of-Class Pay (OOC)

– Pay Differentials

– Red Circle Rates

– Salary Determinations

16

Compensation

17

Compensation

What Documents Will Be Requested for the New Compensation Functions?

See Page 1

Leave

–Actual Time Worked (ATW)

–Administrative Time Off (ATO)

–Leave Reduction Effort

–Monthly Leave Auditing

–State Service

–Timekeeping

18

Leave

19

Leave

What Documents Will Be Requested for the New Leave Functions?

Page 5

Appointments

–Additional Appointments

–Unlawful Appointment Investigations

20

Appointments

What Documents are Required for the New

Appointment Functions?

Page 8

21

Appointments

Policy and Process

– Administrative Hearing and Medical Interpreter Program

– Nepotism

– Performance Appraisals and Individual Development Plans

– Worker’s Compensation

22

Policy and Process

23

Policy and Process

What Documents Will Be Requested for the New Policy and Process Functions?

Page 9

Examination

• Permanent Withhold

24

Exams

25

Exams

What Documents Will Be Requested for the New Exam Functions?

Page 11

26

What’s New in Compliance Review

Contact Information

• Helaina Medrano (916) 651-0107 helaina.medrano@spb.ca.gov

• Joseph Ruggiero (916) 653-0920 joseph.ruggiero@@spb.ca.gov

27

What’s New in Compliance Review

28

What’s New in Compliance Review