CALIFORNIA DEPARTMENT OF EDUCATION

[Pages:26]COMPLIANCE REVIEW REPORT

CALIFORNIA DEPARTMENT OF EDUCATION

Compliance Review Unit State Personnel Board December 13, 2016

TABLE OF CONTENTS

Introduction ...................................................................................................................... 1 Executive Summary ......................................................................................................... 1 Background ...................................................................................................................... 2 Scope and Methodology................................................................................................... 3 Findings and Recommendations ...................................................................................... 4

Examinations .............................................................................................................. 4 Appointments .............................................................................................................. 7 Equal Employment Opportunity (EEO) ..................................................................... 12 Personal Services Contracts..................................................................................... 13 Mandated Training .................................................................................................... 17 Departmental Response................................................................................................. 21 SPB Reply...................................................................................................................... 21

INTRODUCTION

Established by the California Constitution, the State Personnel Board (the SPB or Board) is charged with enforcing and administering the civil service statutes, prescribing probationary periods and classifications, adopting regulations, and reviewing disciplinary actions and merit-related appeals. The SPB oversees the merit-based recruitment and selection process for the hiring of over 200,000 state employees. These employees provide critical services to the people of California, including but not limited to, protecting life and property, managing emergency operations, providing education, promoting the public health, and preserving the environment. The SPB provides direction to departments through the Board's decisions, rules, policies, and consultation.

Pursuant to Government Code section 18661, the SPB's Compliance Review Unit (CRU) conducts compliance reviews of appointing authority's personnel practices in five areas: examinations, appointments, equal employment opportunity (EEO), personal services contracts (PSC's), and mandated training to ensure compliance with civil service laws and board regulations. The purpose of these reviews is to ensure state agencies are in compliance with merit-related laws, rules, and policies and to identify and share best practices identified during the reviews. The SPB conducts these reviews on a three-year cycle.

The CRU may also conduct special investigations in response to a specific request or when the SPB obtains information suggesting a potential merit-related violation.

EXECUTIVE SUMMARY

The CRU conducted a routine compliance review of California Department of Education (CDE) personnel practices in the areas of examinations, appointments, EEO, and PSC's from November 1, 2015, through May 31, 2016, and mandated training from July 1, 2014, through July 1, 2016. The following table summarizes the compliance review findings.

Area Examinations

Appointments

Equal Employment Opportunity

Finding Examinations Complied with Civil Service Laws

and Board Rules Probationary Evaluations Were Not Provided for

All Appointments Reviewed Equal Employment Opportunity Program Complied with Civil Service Laws and Board

Rules

Severity In Compliance

Serious

In Compliance

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Area Personal Services

Contracts

Mandated Training

Mandated Training

Mandated Training

Finding Personal Services Contracts Complied with

Procedural Requirements Supervisory Training Was Not Provided for All

Supervisors Ethics Training Was Not Provided for All Filers Sexual Harassment Training Was Not Provided

for All Supervisors

Severity In Compliance

Very Serious Very Serious Very Serious

A color-coded system is used to identify the severity of the violations as follows:

Red = Very Serious Orange = Serious Yellow = Non-serious or Technical Green = In Compliance

BACKGROUND

The CDE oversees the state's diverse and dynamic public school system, which is responsible for the education of 6.3 million students in more than 10,000 schools. The State Superintendent of Public Instruction and the 2,400 CDE employees are responsible for enforcing education law and regulations; and for continuing to reform and improve public elementary school programs, secondary school programs, adult education, some preschool programs, and child care programs.

Within the CDE, the State Special Schools & Services Division (SSSD) provides diverse and highly specialized services and resources to individuals with special needs, their families, and service/care providers. High quality technical assistance, assessment services, educational resources, and educational programs are provided to prepare students for transition to adulthood and promote their independence, cultural awareness, and personal growth.

The mission of the CDE is to provide a world-class education for all students, from early childhood to adulthood. The CDE serves our state by innovating and collaborating with educators, schools, parents, and community partners, preparing students to live, work, and thrive in a multicultural, multilingual, and in a highly connected world.

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SCOPE AND METHODOLOGY

The scope of the compliance review was limited to reviewing the CDE examinations, appointments, EEO program, and PSC's from November 1, 2015, through May 31, 2016, and mandated training from July 1, 2014, through July 1, 2016. The primary objective of the review was to determine if the CDE personnel practices, policies, and procedures complied with state civil service laws and board regulations, and to recommend corrective action for those deficiencies identified.

A cross-section of the CDE's examinations and appointments were selected to ensure that various samples of examinations and appointment types, classifications, and levels were reviewed. The CRU examined the documentation that the CDE provided, which included examination plans, examination bulletins, job analyses, 511b's, scoring results, notice of personnel action (NOPA) forms, vacancy postings, application screening criteria, hiring interview rating criteria, certification lists, transfer movement worksheets, employment history records, correspondence, and probation reports.

The review of the CDE's EEO program included examining written EEO policies and procedures; the EEO officer's role, duties, and reporting relationship; the internal discrimination complaint process; the upward mobility program; the reasonable accommodation program; the discrimination complaint process; and the Disability Advisory Committee (DAC).

The CDE's PSC's were also reviewed.1 It was beyond the scope of the compliance review to make conclusions as to whether the CDE justifications for the contracts were legally sufficient. The review was limited to whether the CDE practices, policies, and procedures relative to PSC's complied with procedural requirements.

In addition, the CDE's mandated training was reviewed to ensure all employees required to file statements of economic interest were provided ethics training and that all

1 If an employee organization requests the SPB to review any personal services contract during the SPB compliance review period or prior to the completion of the final compliance review report, the SPB will not audit the contract. Instead, the SPB will review the contract pursuant to its statutory and regulatory process. In this instance, none of the reviewed PSC's were challenged.

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supervisors were provided basic supervisory and sexual harassment prevention training within statutory timelines.

On November 10, 2016, an exit conference was held with the CDE to explain and discuss the CRU's initial findings and recommendations. On December 6, 2016, the CRU received and carefully reviewed the response, which is attached to this final compliance report.

FINDINGS AND RECOMMENDATIONS

Examinations

Examinations to establish an eligible list must be competitive and of such character as to fairly test and determine the qualifications, fitness, and ability of competitors to perform the duties of the class of position for which he or she seeks appointment. (Gov. Code, ? 18930.) Examinations may be assembled or unassembled, written or oral, or in the form of a demonstration of skills, or any combination of those tests. (Ibid.) The Board establishes minimum qualifications for determining the fitness and qualifications of employees for each class of position and for applicants for examinations. (Gov. Code, ? 18931.) Within a reasonable time before the scheduled date of the examination, the designated appointing power shall announce or advertise the examination for the establishment of eligible lists. (Gov. Code, ? 18933, subd. (a).) The advertisement shall contain such information as the date and place of the examination and the nature of the minimum qualifications. (Ibid.) Every applicant for examination shall file an application in the office of the department or a designated appointing power as directed in the examination announcement. (Gov. Code, ? 18934.) Generally, the final earned rating of each person competing in any examination is to be determined by the weighted average of the earned ratings on all phases of the examination. (Gov. Code, ? 18936.) Each competitor shall be notified in writing of the results of the examination when the employment list resulting from the examination is established. (Gov. Code, ? 18938.5.)

During the period under review, the CDE conducted 49 examinations. The CRU reviewed 22 of those examinations, which are listed below:

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Classification

Transportation Program Consultant

Deputy Superintendent, Instruction Learning Support Branch CEA- C

Director, Curriculum Frameworks Instructional Resources Division CEAB

Examination Type Open

Open

Open

Exam Components

Modified Qualification

Appraisal Panel2

Statement Of Qualifications

(SOQ)3

SOQ

Final File

No. of

Date Applications

4/15/2016

10

12/7/2015

2

1/22/2016

9

Director, Early Education Support Division CEA- B

Open

SOQ

12/10/2015

3

Director, Government Affairs, CEA- B

Open

SOQ

1/7/2016

9

Automotive Equipment Operator II

Training and

Open

Experience 2/16/2016

11

(T&E)4

2 A modified qualification appraisal panel (Mod QAP) examination is where a candidate uses a computer terminal to respond to examination questions. All questions are provided at the time of the examination and the candidate responses will be scored against a set number of pre-determined responses by a panel.

3 In a statement of qualifications (SOQ's) examination, applicants submit a written summary of their qualifications and experience related to a published list of desired qualifications. Raters, typically subject matter experts, evaluate the responses according to a predetermined rating scale designed to assess their ability to perform in a job classification, assign scores and rank the competitors in a list.

4 The training and experience (T&E) examination is administered either online or in writing, and asks the applicant to answer multiple-choice questions about his or her level of training and/or experience performing certain tasks typically performed by those in this classification. Responses yield point values, which are totaled by the online system or a department exam analyst, and then assigned a percentage score.

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Classification

Child Development Consultant

Examination

Exam

Final File

No. of

Type

Components

Date Applications

Open

T&E

3/15/2016

21

Child Nutrition Assistant Child Nutrition Consultant

NonPromotional Continuous

Continuous

T&E

12/15/2015

18

T&E

12/15/2015

12

Education Administrator I Continuous

T&E

2/19/2016

13

Education Administrator I Continuous

T&E

4/20/2016

5

Education Administrator II

Education Administrator II

Education Fiscal Services Consultant

Continuous Continuous Continuous

T&E

11/20/2015

1

T&E

2/19/2016

3

T&E

3/15/2016

6

Education Programs Assistant

Continuous

T&E

5/20/2016

15

Education Programs Consultant

Continuous

T&E

11/20/2015

28

Education Programs Consultant

Continuous

T&E

1/20/2016

21

Education Programs Consultant

Continuous

T&E

2/19/2016

17

Education Programs Consultant

Continuous

T&E

3/18/2016

21

Education Programs Consultant

Continuous

T&E

4/20/2016

33

Education Research and

Evaluation Administrator I Continuous

T&E

3/15/2016

4

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