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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
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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.
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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
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History
Compliance Review History
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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
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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
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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
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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
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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
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Functions
Expanded Review Functions
– Appointments
– Compensation
– Leave
– Policy and Process
– Exams
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Functions
How Were the New Functions Selected?
– Delegated to Departments by CalHR
– Not Currently Monitored by a Control Agency on a Regular Basis
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Functions
Why Were the New Functions Selected?
– Potential Cost Drivers to the State
– To Reduce Waste
– To Streamline Processes
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Functions
When Did the Expanded Review Program Go Live? – April, 2017
– Started with 4 Departments
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Functions
Compensation and Pay
–Alternate Range Placement
–Arduous Pay
–Bilingual Pay
– Exception to Salary Rule
–Hiring Above Minimum (HAM)
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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
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Compensation
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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
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Leave
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Leave
What Documents Will Be Requested for the New Leave Functions?
Page 5
Appointments
–Additional Appointments
–Unlawful Appointment Investigations
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Appointments
What Documents are Required for the New
Appointment Functions?
Page 8
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Appointments
Policy and Process
– Administrative Hearing and Medical Interpreter Program
– Nepotism
– Performance Appraisals and Individual Development Plans
– Worker’s Compensation
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Policy and Process
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Policy and Process
What Documents Will Be Requested for the New Policy and Process Functions?
Page 9
Examination
• Permanent Withhold
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Exams
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Exams
What Documents Will Be Requested for the New Exam Functions?
Page 11
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What’s New in Compliance Review
Contact Information
• Helaina Medrano (916) 651-0107 [email protected]
• Joseph Ruggiero (916) 653-0920 joseph.ruggiero@@spb.ca.gov
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What’s New in Compliance Review
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What’s New in Compliance Review