Post on 15-Aug-2020
COMPLIANCE REVIEW REPORT
CALIFORNIA DEPARTMENT OF CONSUMER
AFFAIRS
Compliance Review Unit State Personnel Board December 22, 2015
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 (EEO) .................................................................... 17
Personal Services Contracts .................................................................................... 18
Departmental Response ................................................................................................ 20
SPB Reply ..................................................................................................................... 20
1
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cember 1, the CRU’s
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scope of tns for the A practicesstatutory la
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the complicontracts w
s, policies, aw and b
to explain was given raft report.ponse, whic
act during theort, the SPB wory and regu
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and ernal nable ability
ance were and
board
and until
. On ch is
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4
Examina Examinafairly to perform Code, §the formBoard eof emplo§ 18931designatestablishcontain minimumthe officannounccompetiearned rshall beresulting During reviewed
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2 In an ed678 appliinclude yework expe 3 In a staqualificatiomatter extheir abilit
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m qualificatce of the DCcement. (Gng in any ratings on a notified in
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ureau of tive Repair,
ucation and ecation forms,ears of relevaerience.
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FINDI
stablish an determine of the classxaminations
monstration minimum qach class o reasonabl
nting poweligible lists.
mation as thions. (Ibid.)CA or a deov. Code, §examinatio
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(CEA)
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ant higher edu
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SPBCalifornia De
NGS AND
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he date and) Every appsignated ap§ 18934.) Gon is to beof the examthe results
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B Compliance partment of C
RECOMM
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assembled or any comns for deterand for appore the schnounce or de, § 18933d place of tplicant for eppointing pGenerally, te determine
mination. (Gs of the exshed. (Gov.
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ENDATION
competitivetness, and
h he or she or unassem
mbination ormining thelicants for e
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examinationpower as dihe final eared by the
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ducted 20elow:
xam ponents cation & erience &E)2 ment Of ications3
more raters reng to a predeses or certific
plicants submesired qualificdetermined rad rank the co
fairs
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 arected by trned rating weighted
§ 18936.) Ewhen the e8938.5.)
examinatio
Final File Date
11/13/2014
1/24/14
eviews the apetermined ratications, and/o
mit a written cations. Raterating scale dompetitors in a
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pointment. (ten or oral, ests. (Ibid.) nd qualificans. (Gov. C
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those in this partment exa
Review Consumer Aff
xam ponents ation and OQ
ation and OQ
OQ
OQ
fication praisal anel4
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ritten5
ning & erience6
oral componers. Candidatem in a job cla
didates’ job-ren examinatio
ered either onor her level classificationm analyst, an
fairs
Final File Date
5/14/2014
11/14/2014
1/24/2014
1/24/2014
5/15/2014
8/22/2014
4/30/2014
4/21/2014
Continuous
ent of an exas are rated assification.
elated knowleons are either
nline or in wrof training
. Responses nd then assig
No. oApplica
4 7
4 8
4 13
4 13
4 8
4 15
4 15
4 122
s 40
amination whand ranked ag
edge and skilobjectively s
riting, and askand/or experyield point va
gned a perce
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hereby gainst
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6
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Private PEducatioStaff Ser(TransfeTest ValDevelopTest ValDevelopDCA FINDING
The DCAeligible publisheApplicatthereaftequalificato whethMQ’s wphases computelisted therank. Co The CRcomplianthose ex
Appointm In all caappointireinstateAct and vacant peligible lof merit
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Postsecondon Administrvices Anal
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A administelists from w
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were also nof the exam
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ments
ases not exng power ements, proBoard rule
positions shlists, by wat and fitne
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on
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ExaminatRules
ered 15 opwhich to m
stributed exved by the y assesseds) for admiualified to totified abomination prlist of eligibf all succeswere then n
o deficiencieperiod. Ac
s in complia
xcepted or must fill p
omotions, as. (Gov. Cohall be maday of transfeess, which
SPBCalifornia De
Exam Typ
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Open
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ions Com
pen examinmake appoinxamination DCA were d to deterttance to thtake the ex
out the nexrocess wereble candidasful compenotified of th
es in the excordingly, tance with c
exempted positions band demotiode, § 1905de from emer, or by wa
requires
B Compliance partment of C
pe Ex
Comp
al E
al Wr
Q
Q
mplied with
ations and ntments. Fbulletins caccepted p
rmine whehe examinaxaminationxt phase ofe completeates was e
etitors arranheir final sc
xaminationsthe DCA fulivil service
by Article Vby appointmions in stric50.) Except
mployment lay of reinstconsiderati
Review Consumer Aff
xam ponents
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ritten
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QAP
h Civil Se
1 promotioor all of thcontaining prior to the
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ed, the scorestablishednged in ordecores.
s that the Dlfilled its reslaws and b
VII of the Cment, incluct accordat as providelists. (Ibid.) tatement, mion of eac
fairs
Final File Date
6/30/2014
Continuous
Continuous
5/2/2014
ervice Law
onal examinhe examina
the require final filingcants metDCA notifiee applicant
mination prore of each . The examer of the sc
DCA condusponsibilitie
board rules.
California Cuding casence with thed by law, a Appointme
must be mach individu
No. oApplica
4 5
s 17
s 11
2
ws and B
nation to crations, the red informa date and wt the minimed applicantts who meocess. Aftecompetitor
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AppointmeType
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B Compliance partment of C
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the DCA mich are liste
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No. oAppointm
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B Compliance partment of C
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No. oAppointm
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B Compliance partment of C
ent Te
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F
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NG NO. 2 –
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y:
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Governmdepartmeany appliany protesubdivisioorigin, aconditionidentity, gveteran sasked to such dataResourceand sex fmonitorinEEO que“This quethe exam
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AppointmeType
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mploymened from Ap
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9704 maket any notati any way sin Governms race, religsability, m marital sta
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essary to anion processn efforts. (Ge applicatioparated fro
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where uman ethnic g and ) The ates, or to ons.”
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12
Action:
FINDING
Summa
Criteria
Severity
Cause:
G NO. 3 –
ary:
:
y:
C
be includremove th
It is recoapproval to the CRimplemenquestionnrelevant d
AppointmAppropri
The DCAapplicatiothe persoall of theretained.
In relevaprocedureand state18720.) Sand all referral rethe recorCode, § personneminimum action is t
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ommended of these fin
RU a writtennt to ensunaires are documentat
ment Dociate Amou
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ecords andrds and fil
12946.) Sel files of
period oftaken. (Ibid
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age in allnnaire from
that withinndings andn correctiveure conformseparated tion should
cumentationt of Time
retain perscally, 27 ouand 12 of
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vil service h state ageerning emp
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documentaere properly
at they did re adequat
a misinterprand OHR
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Review Consumer Aff
l advertisetheir applic
n 60 days d recommee action plamity with from all ap be include
on Was
sonnel recout of 153 Nthe 153 file
nly the hire
laws requirency shallployment pquired to manel, membminimum p
nitially creancies are
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ation, the Cy conducte
not have ately trackeretation maR on the
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an that the in the fut
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CRU coulded.
a mechanisd upon ma
ay have exnecessar
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pt for th
as NOPA’s,re missing
ed were misee’s applic
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d preserve ar employmwo years aceived. (Gired to ret
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Action:
FINDIN
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Accoun
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Medica(Enforcof CalifNursing
NG NO. 4 –
ary:
Classifica
ntant Traine
ant Informatt ate Governm Analyst c Inspector
mer Servicesentative ment of Co Structural ive Assista
al Auditor II
gator
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It is recoapproval to the Ccorrectionthe recor12946. Cwith the p
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ation
ee
tion System
mental
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nsumer Pest Contrnt
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nt edical Board
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ommendedof these finRU a writtns the depard retention
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that withinndings andten correctartment willn requiremny relevan
aluations iewed
prepare,aisals of pwed by the
ointment Type
fication List fication List fication List fication List fication List fication List fication List fication List fication List fication List
fication List
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n 60 days d recommetive action implement
ments of Gt documen
Were No
complete,performancCRU.
No. of Appointme
1
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fairs
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t to ensure Governmentntation shou
ot Provide
and/or rce for 43
ents No. oProb
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t Code seuld be inclu
ed for a
etain requof the
f Uncomplebation Repo
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ation
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probationarynted by reint. 2, § 32
nary periodice by permde Regs., by the appwhen an e
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ointment Type
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ansfer
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y period isnstatement2, subd. (is require
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Review Consumer Aff
No. of Appointme
1
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43
s not requt with a rig(d)(2).) Howd when anpointment f22, subd.wer, a news appointed
fairs
ents No. oProb
ired when ght of returwever, then employeefrom an em(a).) In ad
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an emplorn. (Cal. C
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15
Severity
Cause:
Action:
y:
C
following class in period, bbreak in level of dwhich theCode Reg
During thto evaluafrequent progress § 599.79appraisal period. (C
Serious. selection successfuuse the por her pdeterminamatch is state gove
The DCAprovide cDCA. SpNovembe
It is recoapproval to the Ccorrectionthe proba
SPBCalifornia De
circumstanwhich the
ut under aservice to
duties and e employeegs., tit. 2, §
he probatioate the work
intervals toon the job.
95.) Theof perfor
Cal. Code R
The probprocess
ully performprobationaryperformancation that unfair to thernment.
A states thclarity on thpecific outrer 4, 2014,
ommended of these finRU a writtns the depaationary req
B Compliance partment of C
nces: (1) wit employeedifferent aa class w
responsibile has comp§ 322, subd
nary periodk and efficio keep the. (Gov. Codappointing
rmance eaRegs., tit. 2,
bationary to ensure
m the full sy period to
ce or termthe appoin
he employe
hat the OHe probationreach wasMay 19, 20
that withinndings andten correctartment willquirements
Review Consumer Aff
thout a bree has comappointing pith substanities and sa
pleted the p. (c)(1) & (2
d, the appoency of a p
e employeede, § 19172
power mach one-th, § 599.795
period isthat the
scope of thassist an e
minating thntment ise and serv
HR has manary periods done in 015, and No
n 60 days d recommetive action implementof Governm
fairs
eak in servicmpleted thepower; andntially the salary rangeprobationar2).)
ointing powprobationer
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the final individual
heir job dutemployee inhe appoinnot a goo
ves to erode
ade good d to all man
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of the Exendations, tplan that
t to ensure ment Code
ce in the sae probationd (2) withousame or loe as a clasry period. (C
wer is requr at sufficiely informed
de Regs., titare a write probation
step inselected
ties. Failingn improvingntment uod job/pere the qualit
faith effortnagement w
of training2015.
ecutive Offihe DCA suaddressesconformitysection 191
ame nary ut a
ower s in Cal.
ired ently d of t. 2, tten nary
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rson ty of
ts to within g on
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16
FINDING
Summa
Criteria
Severity
Cause:
G NO. 5 –
ary:
:
y:
C
Applicati
The DCAthat were
Californiatimely filiplace, witthe exam
Filing an postal se(or approby the da
An applicspecified as detaileto verifiedwrong stabefore thexaminattimely no(4) the emtimely no174, sudsare applie Non-Serioensure alapply for Thereforefiling dateapplicatioacceptanjob vacan
The DCAprocess received
SPBCalifornia De
ions Were
A accepted not date st
a Code Regng of applthin the timination ann
applicationervice or daopriate officte specified
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
ncy selectio
A states thaof receivinin the prog
B Compliance partment of C
Not Date S
and procetamped.
gulations, titlications: A
me, in the mnouncemen
n ‘within theate stampee of the agd.
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 applicanapplication
on.
at this mayng incomingram areas
Review Consumer Aff
Stamped
essed 476
tle 2, sectioAll applicatimanner, annt.
e time’ shald at one o
gency admi
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 mens may not
y be attribung mail. Cs in which
fairs
out of 6,9
on 174 (Rulions must d on the fo
l mean posof the depanistering th
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 fina
impact the
uted to theCurrently, a
the vacan
953 applica
le 174) reqbe filed at
orm specifie
stmarked byartment’s ofhe examina
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 datee results o
e DCA’s cuapplicationscy exists. O
tions
uires t the ed in
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y the tions
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ented on; or ceive 2, §
dures
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ment. final their
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urrent s are OHR
17
Action:
Equal E Each staThe appthe effecpower mproceduproceducooperaaccess tmust apbe undeand mon Becausesexual hfrom thehead of
Each stindividuahead of 19795, committmember§ 19795 The CRreview p
mployment
ate agencypointing powctiveness o
must issue aures for filures for proate with theto all requir
ppoint, at ther the supernitor the DC
e the EEO harassmene regular chthe organiz
tate agencals with a dthe agencysubd. (b)(ee and takers who have
5, subd. (b)(
RU reviewedperiod. In ad
C
staff haveto mainta39 variou
It is recoapproval to the CRimplemenrelevant d
t Opportuni
y is responswer for eac
of its EEO pa policy staling, proceoviding eqe Californiared files, dohe managervision of, tCA’s EEO p
Officer invt and othe
hain of comzation.
cy must esdisability, oy on issues1).) The de appropriae disabilitie(2).)
d the DCA’ddition, the
SPBCalifornia De
e reiteratedain the integs boards, b
ommended of these fin
RU a writtennt to ensudocumentat
ty (EEO)
sible for an ch state ageprogram. (Gatement comessing, anual upward
a Departmeocuments arial level, athe directorprogram. (G
vestigates aer employeemand, as w
stablish a or who havs of concerdepartmentate steps toes or who h
’s EEO proCRU interv
B Compliance partment of C
the importgrity of thebureaus, co
that withinndings andn correctivere conformtion should
effective Eency has th
Gov. Code, §mmitted to d resolvind mobility ent of Humnd data. (Ib
an EEO offir of the DCAGov. Code,
and ensuree complain
well as regu
separate ve an interern to emplot must invo ensure thahave an inte
ogram that viewed app
Review Consumer Aff
tance of dae merit systommittees a
n 60 days d recommee action plamity with R be include
EEO prograhe major re§ 19794.) Tequal empg discrimiand promoan Resour
bid.) In addicer, who sA to develo§ 19795.)
es proper hnts, the poular and une
committeeest in disaboyees with ite all empat the final erest in disa
was in effepropriate DC
fairs
te stampingtem througand commis
of the Exendations, t
an that the Rule 174. ed with the p
am. (Gov. CesponsibilityTo that endloyment opnation comotional opprces (CalHRition, the ap
shall report op, impleme
handling ofosition requencumbere
e of emplobility issuesdisabilities.ployees tocommittee ability issue
ect during CA staff.
g all documhout the Dssion.
ecutive Offihe DCA sudepartmenCopies of plan.
Code, § 197y for monito, the appoi
pportunity; implaints; iportunities; R) by provppointing pdirectly to,ent, coordin
f discriminauires separed access to
oyees whos, to advise. (Gov. Cod
o serve onis comprise
es. (Gov. C
the compli
ments CA’s
cer’s ubmit nt will
any
790.) oring nting ssue ssue and
viding ower , and nate,
ation, ation o the
o are e the de, § n the ed of
Code,
ance
18
After revthe EEOguidelineinformatdiscriminresponsOfficer, additionaffectingpromotewith a di
Persona A persounder wand the does noThe Caauthoritycustomacodifies the statesection for a nethat are and serv For costsuch a cthe adeorganiza During tsubject tlisted be
FINDIN
viewing theO programes, the CRtion and gunation claibilities of who is at , the DCAg persons e EEO in itsisability, an
al Services
nal serviceswhich labor
business oot have statlifornia Coy to contracarily perfor
exceptionse. PSCs th19130 are
ew state fuincidental
vices that a
t-savings Pcontract. (Gquacy of t
ation repres
the compliato General
elow:
NG NO. 6 –
C
e policies, pm’s role an
U determinuidance onims. Furththe EEO Oa manage
A has an ewith a disas hiring an
nd to offer u
Contracts
s contract (or personaor person ptus as an enstitution hct with privamed. Goves to the civat are of aalso permnction, servto a contra
are of an urg
PSCs, a staGov. Code, the proposesenting stat
ance reviewServices (D
– Equal EmService L
SPBCalifornia De
proceduresd respons
ned that then the EEOhermore, tOfficer, as erial level, establishedability. Thed employm
upward mob
(PSC) inclual services performing employee ohas an impate entities ernment Covil service ma type enumissible. Subvices that act for the gent, tempo
te agency § 19131.)
ed or execte employee
w period, thDGS) appro
mploymenLaws and B
B Compliance partment of C
s, and progibilities acc
e DCA’s EE process ithe EEO well as sureports dire
d DAC thae DCA alsoment practicbility opport
udes any cois a significthe service
of the Stateplied civil sto perform
ode sectiomandate wmerated in bdivision (bare not avapurchase oorary, or oc
is required For subdiv
cuted contres. (Gov. C
he DCA haoval. The C
nt OpportuBoard Rule
Review Consumer Aff
rams nececording to
EO programncluding inprogram
upervisors ectly to thet reports t
o provided ces, to incrtunities for
ontract, reqcant, separes is an ine. (Cal. Coservice ma
m services thon 19130, where PSCs
subdivisionb) contractsailable withor lease of ccasional na
to notify Svision (b) cract at the
Code, § 191
ad 11 PSCCRU review
unity Progres
fairs
essary for cstatutory
m provided nstructions
outlines tand manage director to the direevidence
rease its hiits entry-lev
uisition, or rately identdependent
ode Reg., tiandate limithe state hasubdivision
s achieve cn (b) of Govs include phin state sereal or per
ature.
SPB of its inontracts, th
e request o132.)
C’s that werwed 10 of th
ram Comp
compliance and regulaemployeeson how to
the roles gers. The of the DCA
ector on isof its efforring of pervel
purchase otifiable elem contractorit. 2, § 547ting the st
as historican (a), howecost savingvernment Crivate contervice, servrsonal prop
ntent to exehe SPB revof an empl
re in effecthese, which
plied with
with atory
s with o file
and EEO A. In sues
rts to rsons
order ment, r that 7.59.) tate’s lly or ever,
gs for Code racts vices perty,
ecute views oyee
t and h are
Civil
19
When a agency specific or more Code Re
The totascope ocontractdetailed
Ve
Adapt LaServices
Alere ToServicesAllen AlaSystemsAmericaExpress Aramark& CareeLLC
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FINDIN
state agenmust includand detaileconditions
eg., tit. 2, §
al dollar amof the reviet were lega
factual in
ndor
anguage s
oxicology s Inc. arm s Inc. an s
k Uniform er Apparel
Systems
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ric Inc.
ublishing ation
G NO. 7 –
C
ncy requestsde with its ced factual in
specified in 547.60.)
ount of all tew to maklly sufficien
nformation
Serv
MultilinguaTranslatioServices Statewide Testing SeAlarm Monand MaintCredit CarAcceptancBoards
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ment for nal Land
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PSC’s revietten justific
ContraDates
6/17/2014/2/201
1/1/20112/31/207/1/2016/30/20
7/1/2016/30/20
11/1/20110/31/20
1/1/20112/31/20
7/1/2015/31/20
4/1/2016/30/20
7/1/2016/30/20
7/1/2016/30/20
s Contrac
Review Consumer Aff
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Attachment 1
Attachment 1
Attachment 1