COMPLIANCE REVIEW REPORT 

CALIFORNIA DEPARTMENT OF RESOURCES 
RECYCLING AND RECOVERY 

Compliance Review Unit 
State Personnel Board 
June 13, 2016 

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 ............................................................................... 13 
Personal Services Contracts.................................................................................... 16 
Mandated Training ................................................................................................... 18 
Departmental Response ................................................................................................ 20 
SPB Reply ..................................................................................................................... 20 

INTRRODUCTIORRODUCTION 

Established by thee Californiaa Constituttion, the SState Persoonnel Boarrd (the SPPB or 
Board) is charged wwith enforcing and administering the civil seervice statuutes, prescrribing 
probatioonary perioods and classificattions, adoopting regulations, and revieewing 
disciplinary actionss and merrit-related aappeals. TThe SPB ooversees thhe merit-b ased 
recruitmment and selection proccess for thee hiring of oover 200,0000 state emmployees. T hese 
employeees providee critical services to thhe people oof Californiaa, includingg but not limmited 
to, proteecting life aand propertty, managinng emergency operattions, provi ding educaation, 
promotinng the public health , and preserving thee environmment. The SPB provvides 
directionn to departmments throuugh the Boaard’s decisioons, rules, policies, annd consultaation. 

Pursuannt to Government Coode sectionn 18661, the SPB’s Compliancce Review Unit 
(CRU) cconducts coompliance rreviews of aappointing aauthority’s personnel practices inn five 
areas: eexaminationns, appointments, eqqual emplooyment oppportunity (EEEO), perssonal 
servicess contracts (PSC’s), and manddated training to ensure compliiance with civil 
service laws and bboard regu lations. Th e purpose of these rreviews is tto ensure state 
agencies are in coompliance wwith merit-rrelated lawws, rules, annd policies and to ideentify 
and share best praactices identified duringg the reviewws. The SPPB conduct s these revviews 
on a threee-year cyccle. 

The CRU may alsoo conduct sspecial inveestigations in responsse to a speecific requeest or 
when the SPB obtaains informaation suggeesting a pottential meritt-related vioolation. 

EXECUTTIVE SUMMMARY 

The CRRU conduccted a routine compliance reeview of CCalifornia Departmennt of 
Resourcces Recycliing and Reecovery (CalRecycle) personnel practices in the areaas of 
examinaations, appoointments, EEO, and PSC’s fromm Februaryy 1, 2015, thhrough Octtober 
31, 20155, and manndated trainning from OOctober 1, 22013, throu ugh Octobe r 31, 2015.. The 
followingg table summmarizes the compliannce review ffindings. 

AArea Finding Severity 
Examminations Examinations Comp 
and 
plied with C 
Board Rule 
Civil Service 
es 
Inn Compliannce 
Appoointments Equal Emmployment Opportunity Questiontnaires VVery SeriouusWeree Not Sepaarated from Applicationns 
Appoointments Appointmment Docummentation WWas Not Ke Seriousthhe Appropriate Amounnt of Time 

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A 
Appo 
Appo 
E 
Emp 
Opp 
Pe 
Se 
Con 
Ma 
Tra 
Ma 
Tra 
Area 
ointments 
ointments 
Equal 
ployment 
portunity 
rsonal 
ervices 
ntracts 
ndated 
aining 
ndated 
aining 
Probatio 
f 
Applica 
Ac 
Equal E 
Serves 
Agen 
Person 
Basic Su 
Ethics T 
onary Evalu 
for all Appo 
ations Were 
ccepted Aft 
Employmen 
s As the Pe 
cy With Mo 
nal Services 
Procedur 
upervisory 
for Al 
raining Wa 
Finding 
uations We 
ointments R 
e Not Date S 
ter the Fina 
nt Opportun 
ersonnel Of 
ore Than 50 
s Contracts 
ral Require 
Training W 
ll Superviso 
s Not Provi 
ere Not Prov 
Reviewed 
Stamped an 
al File Date 
nity Officer 
fficer at a S 
00 Employe 
s Complied 
ements 
Was Not Pro 
ors 
ided for All 
nd/or N 
Also 
State 
ees 
V 
In 
V 
Filers V 
Severity 
Serious 
Non-serious 
Technica 
Very Seriou 
n Complian 
Very Seriou 
Very Seriou 
s or 
l 
us 
nce 
us 
us 
A 
Appo 
Appo 
E 
Emp 
Opp 
Pe 
Se 
Con 
Ma 
Tra 
Ma 
Tra 
Area 
ointments 
ointments 
Equal 
ployment 
portunity 
rsonal 
ervices 
ntracts 
ndated 
aining 
ndated 
aining 
Probatio 
f 
Applica 
Ac 
Equal E 
Serves 
Agen 
Person 
Basic Su 
Ethics T 
onary Evalu 
for all Appo 
ations Were 
ccepted Aft 
Employmen 
s As the Pe 
cy With Mo 
nal Services 
Procedur 
upervisory 
for Al 
raining Wa 
Finding 
uations We 
ointments R 
e Not Date S 
ter the Fina 
nt Opportun 
ersonnel Of 
ore Than 50 
s Contracts 
ral Require 
Training W 
ll Superviso 
s Not Provi 
ere Not Prov 
Reviewed 
Stamped an 
al File Date 
nity Officer 
fficer at a S 
00 Employe 
s Complied 
ements 
Was Not Pro 
ors 
ided for All 
nd/or N 
Also 
State 
ees 
V 
In 
V 
Filers V 
Severity 
Serious 
Non-serious 
Technica 
Very Seriou 
n Complian 
Very Seriou 
Very Seriou 
s or 
l 
us 
nce 
us 
us 
A color-ccoded systeem is used to identify the severityy of the violations as ffollows: 

. 
RRed = Very Serious 
. 
OOrange = SSerious 

. 
YYellow = Noon-serious oor Technicaal 

. 
GGreen = In Compliancee 

BACCKGROUNDD 

The CalRecycle is a departmeent within tthe Californnia Environmmental Pro tection Ageency. 
The CalRecycle addministers aand providees oversight for all of CCalifornia’s state-manaaged 
waste hhandling and recyclinng programms. Knownn mostly for overseeeing beveerage 
containeer and eleectronic-waste recycling, the CCalRecycle is also rresponsiblee for 
organicss managemment, used ttires, used motor oil, ccarpet, painnt, mattressses, rigid pllastic 
containeers, plastic film wrap, newsprintt, construcction and ddemolition ddebris, meedical 
sharps wwaste, houssehold hazaardous wasste, and foood-scrap coomposting. 

The CalRecycle prrovides training and ongoing suppport for loccal enforceement agenncies, 
which reegulate andd inspect Caalifornia’s aactive and cclosed solidd waste landdfills, as weell as 
material s recovery facilities, ssolid waste transfer sttations, commpost faciliities, and mmore. 
The permitting and inspectionn processess help the CCalRecycle fulfill its miission to protect 
the health and safeety of Califoornians andd the enviroonment. Leggislation that took effeect in 
2012 esstablished aa goal for CCalifornia to source redduce, recyccle, or compost 75 perrcent 
of its wwaste statewwide by thhe year 20 20. Beginnning July 22012, it alsso put in pplace 
requiredd mandatorry recyclingg for most California commerciial businessses and mmulti

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family residential buildings wwith five oor more unnits. More recent lawws enactedd are 
designed to increaase commeercial organnics recyclinng and currtail reliancee on singlee-use 
plastic bbags. 
residential buildings wwith five oor more unnits. More recent lawws enactedd are 
designed to increaase commeercial organnics recyclinng and currtail reliancee on singlee-use 
plastic bbags. 

SCOPE ANDD METHODDOLOGY

The scoope of the ccompliance review wass limited to reviewing CalRecyclee examinattions, 
appointmments, EEOO program,, and PSC’’s from Febbruary 1, 22015, throu gh Octobe r 31, 
2015, and mandatted trainingg from October 1, 20013, through October 31, 2015. The 
primary objective oof the revieew was to determine if CalRecyycle’s persoonnel practtices, 
policies, and proceedures commplied with state civil service lawws and boaard regulattions, 
and to reecommend corrective action for tthose deficiiencies idenntified. 

A cross--section of the CalReecycle’s exaaminations and appoiintments wwere selecteed to 
ensure that variouus samples of examinnations andd appointmment types, classificattions, 
and leveels were reeviewed. Thhe CRU ex amined thee documentation that the CalReccycle 
providedd, which included e xamination plans, exxamination bulletins, job analyyses, 
511b’s, scoring re sults, noticce of persoonnel action (NOPA) forms, vaccancy posttings, 
applicatiion screeniing criteria, hiring inteerview ratinng criteria, certificatioon lists, trannsfer 
movemeent worksheets, employment history recorrds, corresspondence, and probation 
reports. 

The review of the CalRecyclee EEO proogram incluuded examiining writteen EEO pollicies 
and procedures; thhe EEO offficer’s role, duties, annd reportingg relationshhip; the inteernal 
discriminnation commplaint proocess; thee upward mobility pprogram; tthe reasonnable 
accommmodation program; thhe discrimination commplaint proocess; andd the Disaability 
Advisoryy Committeee (DAC). 

The CaalRecycle’s PSC’s were also rreviewed.1 It was beeyond the scope off the 
compliannce review to make cconclusionss as to wheether CalReecycle justiffications foor the 
contractts were leegally sufficcient. The review wwas limitedd to whethher CalReccycle 
practices, policiess, and proocedures rrelative to PSC’s ccomplied wwith proceddural 
requiremments. 

In addition, the CaalRecycle’s mandated training waas reviewedd to ensuree all employees 
requiredd to file stateements of eeconomic innterest werre provided ethics trainning and that all 

1 If an emmployee organnization requeests the SPB to review an ny personal seervices contraact during thee SPB 
compliancce review perriod or prior too the complettion of the finaal compliancee review repoort, the SPB wwill not 
audit the contract. Insstead, the SPPB will review the contraact pursuant to its statutoory and reguulatory 
process. IIn this instancce, none of the reviewed PPSC’s were chhallenged. 

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supervissors were pprovided baasic supervi sory and seexual harasssment preevention traainingwithin sttatutory timelines. 
ssors were pprovided baasic supervi sory and seexual harasssment preevention traainingwithin sttatutory timelines. 

On Mayy 24, 2016, an exit cconference was held with the CCalRecycle to explain and 
discuss the CRU’ss initial finddings and rrecommenddations. Onn May 26, 2016, the CRU 
receivedd and carefully revieweed the respponse, whicch is attached to this final compliance 
report. 

FINDINGS AND RECOMMENDATIONNS 

Examinaations 

Examinaations to esstablish an eligible listt must be ccompetitivee and of succh characteer as 
fairly to test and determine the qualifiications, fittness, and ability of competitorrs to 
perform the duties of the classs of position for whichh he or she seeks apppointment. ((Gov. 
Code, § 18930.) Exxaminationss may be aassembled or unassemmbled, writtten or oral, or in 
the formm of a demmonstration of skills, oor any commbination oof those teests. (Ibid.) The 
Board eestablishes minimum qqualificationns for deterrmining thee fitness annd qualifications 
of emplooyees for eaach class oof position aand for applicants for eexaminationns. (Gov. CCode, 
§ 18931.) Within a reasonable time befoore the schheduled datte for the eexaminationn, the 
designatted appoinnting power shall announce or advertise the exammination forr the 
establishhment of elligible lists. (Gov. Codde, § 189333, subd. (a)).) The adveertisement shall 
contain such informmation as thhe date andd place of the examinaation and thhe nature oof the 
minimumm qualificat ions. (Ibid.)) Every appplicant for eexaminationn shall file aan application in 
the officce of the ddepartmentt or a dessignated apppointing ppower as ddirected byy the 
examinaation annouuncement. ((Gov. Codee, § 18934.) Generallyy, the final eearned ratinng of 
each person compeeting in anyy examination is to be determinedd by the weeighted aveerage 
of the eearned ratinngs on all phases of the examinnation. (Goov. Code, §§ 18936.) EEach 
competittor shall bbe notified in writing of the results of thhe examinaation whenn the 
employmment list ressulting fromm the examination is esstablished. (Gov. Code, § 18938.5.) 

During the period uunder revieww, the CalRRecycle connducted fouur examinations. The CRU 
reviewedd all four off the examinations, whhich are listeed below: 

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Cllassificationn llassificationn Exxam Type Exa 
Compo 
am 
onents 
Final File 
Date 
No. of 
Applicatio 
f 
ons 
Personnnel Supervvisor I De 
Pr 
epartmental 
romotional 
Educat 
Exper 
(E& 
tion & 
ience 
E)2 
10/16/15 2 
Recycling Speciallist Open 
Supplem 
Applic 
(SA 
mentary 
cation 
AP) 
CContinuous 
Filing 26 
Resear 
(Gener 
rch Analyst 
ral) 
t II De 
Pr 
epartmental 
romotional E&&E 4/9/15 6 
Senior 
Auditor 
Manageme 
r I 
ent De 
Prepartmental 
romotional 
Qualific 
Appra 
Pan 
cation 
aisal 
nel3 
6/30/15 19 

FINDINNG NO. 1 – Examinaations Commplied wit h Civil Seervice Lawws and Booard 
Rules 

The CaalRecycle administerred one open exaamination and threee departmental 
promotioonal examinations to ccreate eligible lists froom which too make apppointments . For 
all of thee examinattions, the CCalRecycle published and distribui etins

uted examination bull 
containinng the reqquired inforrmation. AApplications received by the CaalRecycle wwere 
accepted prior to thhe final filingg date and were thereeafter propeerly assesseed to determine 
whetherr applicantss met thee minimum qualificatiions (MQ’ss) for admmittance too the 
examinaation. The CCalRecycle notified appplicants ass to whetheer they qualified to takee the 
examinaation, and those appliccants who met the MQQ’s were also notifiedd about the next 
phase oof the exammination proocess. Afteer all phasees of the eexaminationn process wwere 
completed, the scoore of each competitorr was compputed, and aa list of eliggible candiddates 
was estaablished. TThe examinaation resultts listed thee names of all successsful compettitors 
arrangedd in order oof the scoree received by rank. Coompetitors were then notified of their 
final scoores. 

The CRRU found nno deficienccies in the examinatiions that thhe CalReccycle conduucted 
during the comppliance revview period. Accordingly, the CalRecyccle fulfilledd its 

2 In an ed ucation and eexperience (EE&E) examinaation, one or mmore raters reeviews the appplicants’ Sta ndard 
678 appli cation forms, and scores and ranks thhem accordinng to a predeetermined ratiing scale tha t may 
include yeears of relevaant higher eduucation, profeessional licensses or certificcations, and/oor years of rellevant 
work expeerience. 
3 The quaalification apppraisal panel (QAP) intervview is the ooral componeent of an exaamination whhereby 
competitoors appear beefore a panel of two or moore evaluatorss. Candidate s are rated aand ranked aggainst 
one anothher based on an assessmeent of their abbility to performm in a job cla ssification. 

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responsibilities to aadminister those examminations iin compliannce with civvil service laws 
and boaard rules. 
aadminister those examminations iin compliannce with civvil service laws 
and boaard rules. 

Appointmments 

In all caases not exxcepted or exempted by Article VVII of the CCalifornia CConstitutionn, the 
appointing power must fill ppositions bby appointmment, incluuding casees of transsfers, 
reinstateements, proomotions, aand demotiions in stricct accordance with thhe Civil Service 
Act and Board rules. (Gov. Coode, § 190550.) Exceptt as provideed by law, aappointmennts to 
vacant ppositions shhall be madde from emmployment l lists. (Ibid.) Appointmeents made from 
eligible llists, by waay of transfeer, or by waay of reinsttatement, mmust be made on the bbasis 
of meritt and fitneess, which requires consideratiion of eacch individual’s job-related 
qualificaations for a position, inncluding hiss or her knnowledge, sskills, abiliti es, experieence, 
and phyysical and mmental fitnesss. (Cal. Coode Regs., tit. 2, § 2500, subd. (a)).) 

During tthe compliaance revie w period, the CalReccycle madee 153 apppointments. The 
CRU revviewed 50 oof those appointmentss, which aree listed beloow: 

CClassificationn AAppointmen 
Type 
Teenure TTime Base No. o 
Appointm 
of 
ments 
Attorneey I Ceertification LList Permmanent FFull Time 1 
Attorneey III Ceertification LList Permmanent FFull Time 1 
Environnmental Scientist Ceertification LList Permmanent FFull Time 9 
Informaation Officer II Ceertification LList Lim 
Te 
mited 
erm FFull Time 1 
Office T 
(Typing 
Technician 
g) Ceertification LList Permmanent FFull Time 1 
Programm Technici an II Ceertification LList Lim 
Te 
mited 
erm FFull Time 1 
Programm Technici an II Ceertification LList Permmanent FFull Time 2 

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SPBB Compliancee Review 
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CClassificationn Classificationn AAppointmen 
Type 
Teenure TTime Base No. o 
Appointm 
of 
ments 
Programm Technici an II Ceertification LList Permmanent Inntermittent 4 
Recycli 
(Techn 
ing Special 
ical) 
ist III Ceertification LList Permmanent Inntermittent 1 
Resear 
(Gener 
rch Analyst 
ral) 
II Ceertification LList Permmanent FFull Time 1 
Senior 
Officer 
Accounting 
(Specialist 
g 
) Ceertification LList Permmanent FFull Time 2 
Senior 
Scientis 
Environme 
st (Speciali 
ental 
st) Ceertification LList Permmanent FFull Time 1 
Staff In 
System 
nformation 
ms Analyst Ceertification LList Permmanent FFull Time 1 
Staff Lo 
(Superv 
oan Officer 
visor) Ceertification LList Lim 
Te 
mited 
erm FFull Time 1 
Staff Pr 
Analyst 
rogrammer 
t (Specialis 
r 
t) Ceertification LList Permmanent FFull Time 1 
Staff Se 
I 
ervices Manager Ceertification LList Permmanent FFull Time 2 
Superv 
Manag 
vising 
ement Auditor Ceertification LList Permmanent FFull Time 1 
Programm Technici an I R 
Permissive 
Reinstatemee 
ent Permmanent Inntermittent 1 
Resear 
Specia 
(Econo 
rch Program 
list II 
omics) 
m 
R 
Permissive 
Reinstateme 
e 
ent Permmanent FFull Time 1 
Senior 
Specia 
Personnel 
list R 
Permissive 
Reinstateme 
e 
ent Permmanent FFull Time 1 

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SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

CClassificationn Classificationn AAppointmen 
Type 
Teenure TTime Base No. o 
Appointm 
of 
ments 
Staff Se 
Manag 
ervices 
ement Auditor R 
Permissive 
Reinstateme 
e 
ent 
Lim 
Te 
mited 
erm FFull Time 1 
Associa 
Auditor 
ate Manage 
r 
ement Transfer Permmanent FFull Time 1 
Loan OOfficer Transfer Lim 
Te 
mited 
erm FFull Time 1 
Resear 
(Econo 
rch Analyst 
omics) 
II Transfer Permmanent FFull Time 1 
Resear 
(Gener 
rch Analyst 
ral) 
II Transfer Permmanent FFull Time 1 
Senior 
Scientis 
Environme 
st (Supervis 
ental 
sory) Transfer Permmanent FFull Time 1 
Staff Se 
Manag 
ervices 
ement Auditor Transfer Lim 
Te 
mited 
erm FFull Time 1 
Recycliing Specialist II R 
Mandatory 
Reinstateme 
y 
ent Permmanent FFull Time 1 
Staff Se 
Manag 
ervices 
ement Auditor R 
Mandatory 
Reinstateme 
y 
ent Permmanent FFull Time 1 
Superv 
Waste 
Specia 
vising Integr 
Manageme 
list I 
rated 
ent R 
Mandatory 
Reinstateme 
y 
ent Permmanent FFull Time 1 
Accoun 
Admini 
(Superv 
nting 
strator I 
visory) 
Retired 
Annuitantt 
Lim 
Te 
mited 
erm Inntermittent 1 
Recycliing Specialist II Time Base 
Change 
e Permmanent PPart-Time 1 
Senior 
Scientis 
Environme 
st (Speciali 
ental 
st) 
Time Base 
Change 
e Permmanent PPart-Time 1 
Staff Se 
Manag 
ervices 
ement Auditor 
T 
D 
Training an 
Developme 
nd 
nt Permmanent FFull Time 1 

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SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

CClassificationn Classificationn AAppointmen 
Type 
Teenure TTime Base No. o 
Appointm 
of 
ments 
Directo 
Human 
CalRec 
or, Departm 
n Resources 
cycle 
ent of 
s Exempt Permmanent FFull Time 1 
Office T 
(Gener 
Technician 
ral) LEAP Permmanent FFull Time 1 

FINDINNG NO. 2 – Equal Emmploymennt Opportuunity Quesstionnairess Were Noot 
Separateed from Appplications 

Summaary: Out of 50 
applicatio 
the STD 
applicatio 
separated 
0 appointm 
ons where 
678 emplo 
ons reviewe 
d from the S 
ents review 
EEO ques 
oyment app 
ed included 
STD 678 em 
wed, nine a 
stionnaires 
plication. Sp 
d EEO que 
mployment 
appointmen 
were not 
pecifically, 
estionnaires 
t application 
nt files inclu 
separated 
14 of the 1 
s that were 
n. 
uded 
from 
1,021 
e not 
Criteria: Governm 
departme 
any appli 
any prote 
subdivisio 
origin, ag 
state civil 
themselve 
Departme 
assessme 
and to th 
(Gov. Co 
applicatio 
separated 
be used i 
ent Code 
ent to requir 
cation indic 
ected categ 
on (a) (e.g., 
ge, or sexu 
l service ar 
es where 
ent of Hum 
ent of the e 
he planning 
ode, § 19 
on form (S 
d from the 
n any empl 
section 19 
re or permit 
cating or in 
gory listed i 
, a person's 
ual orienta 
e asked to 
such data 
man Resour 
ethnic and s 
g and mon 
9705.) The 
STD 678) 
application 
loyment de 
9704 make 
t any notati 
any way s 
in Governm 
s race, relig 
ation). Appl 
provide vo 
a is deter 
rces (CalH 
sex fairnes 
nitoring of 
e EEO qu 
states, “Th 
prior to the 
cisions.” 
es it unlaw 
ion or entry 
suggesting 
ment Code 
gious creed 
licants for 
oluntarily et 
rmined by 
R) to be n 
ss of the se 
affirmative 
uestionnaire 
his questio 
e examinat 
wful for a h 
y to be mad 
or pertainin 
section 12 
d, color, nat 
employme 
hnic data a 
the Califo 
necessary t 
election pro 
e action eff 
e of the 
onnaire wi 
tion and wi 
hiring 
de on 
ng to 
2940, 
tional 
nt in 
about 
ornia 
to an 
ocess 
forts. 
state 
ll be 
ll not 
Severityy: Very Ser 
subjecting 
rious. The 
g the agenc 
e applican 
cy to potent 
nts’ protect 
tial liability. 
ted classess were vissible, 
Cause: The CalR 
adequate 
instructed 
Recycle sta 
e instruction 
d to remove 
ates that o 
n on proces 
e the EEO q 
office supp 
ssing the a 
questionna 
port staff w 
applications 
ires. 
were not g 
s nor were 
given 
they 

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SPBB Compliancee Review 
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Action: 
It is recoommended that withinn 60 days of the Exeecutive Officer’s 
approval of these fiindings andd recommeendations, the CalReccycle 
submit too the CRU a writteen correctiive action plan thatt the 
departmeent will impplement to ensure connformity with in the fuuture 
that EEOO questionnnaires aree separateed from aall applicattions. 
Copies off any relevant documentation shhould be in cluded withh the 
plan. 

FINDINNG NO. 3 – Appointm 
Amount 
ment Docu 
of Time 
umentationn Was Not Kept for thhe Appropriate 
Summaary: 

Criteria: 

Severityy: 

Cause: 

Action: 

The CalRRecycle faileed to retainn personnel records such as NOOPA’s 
and applications. Sppecifically, oof the 50 apppointmentts reviewedd, the 
CalRecyccle did nnot retain eight NOPA’s. AAdditionally,, all 
applicatioons, except the appoinntee’s appliication, we re missing from 
one appoointment filee. 

As speciffied in Cal ifornia Codde of Reguulations, seection 26, ((Rule 
26), appoointing powwers are reequired to retain reccords relateed to 
affirmative action, equal empployment oopportunity,, examinattions, 
merit, seelection, annd appointmment for aa minimum period off five 
years froom the datte the reccord is creeated. Thesse recordss are 
required to be readdily access ible and reetained in an orderly and 
systematic manner.(Cal. Codee Reg., tit. 22, § 26.) 

Serious. Without ddocumentattion, the CRRU could nnot verify if the 
appointments were pproperly coonducted. 

The CalRRecycle stattes that NOOPA’s weree not trackeed correctlyy and 
the specialists were not able too locate pending copiees. The misssing 
applicatioons were deestroyed in error by thee hiring maanager. 

It is recoommended that withinn 60 days of the Exeecutive Officer’s 
approval of these fiindings andd recommeendations, the CalReccycle 
submit too the CRU a written ccorrective aaction plan that addreesses 
the correcctions the ddepartmentt will implemment to ensure conformity 
with the record reetention reequirementss of California Code of 
Regulatioons title 2, sectionn 26. Copies of any releevant 
documentation shouuld be includded with the plan. 

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FINDINNG NO. 4 – NNG NO. 4 – Probatio 
Appointm 
nary Eva 
ments Rev 
aluations 
iewed 
Were NNot Provided for all 
Summaary: The CalRRecycle diid not preepare, commplete, andd/or retain ten 
required pprobationarry reports oof performance. 

Classificatiion Appoin 
Typ 
ntment 
pe A 
No. of 
Appointmennts 
No. of 
Pro 
f Uncomple 
ob. Reports 
eted 
s 
Programm Techniciaan II Certificattion List 1 1 
Senior 
(Specia 
Accounting 
alist) 
g Officer Certificattion List 1 3 
Superv 
Auditor 
ising Manaagement Certificattion List 1 1 
Associa 
Auditor 
ate Manageement Transfer 1 3 
Resear 
(Econo 
rch Analyst 
mics) 
II Transfer 1 2 
Total 5 10 

Criteria: 
A new probationaryy period is not requirred when aan employeee is 
appointedd by reinstaatement witth a right off return. (Caal. Code Regs., 
tit. 2, § 3322, subd. (d)(2).) Howwever, the service of a probatioonary 
period is required wwhen an emmployee ennters state civil servicce by 
permanennt appointmment from aan employmment list. (Cal. Code Regs., 
tit. 2, § 3222, subd. (aa).) In addittion, unlesss waived byy the appointing 
power, a new probaationary perriod is requuired when an employee is 
appointedd to a possition undeer the folloowing circumstances: (1) 
without a break in seervice in thhe same claass in which the employee 
has commpleted thee probationnary periodd, but undder a diffeerent 
appointing power; and (2) without a breakk in servicee to a classs with 
substantiaally the samme or loweer level of dduties and responsibiilities 
and salarry range ass a class inn which the employee has completed 
the probaationary perriod. (Cal. CCode Regss., tit. 2, § 3322, subd. ((c)(1) 
& (2).) 

During the probationnary periodd, the appointing poweer is requireed to 
evaluate the work and efficieency of a probationer at sufficiently 
frequent intervals too keep thee employeee adequateely informeed of 
progress on the job. (Gov. Codde, § 191722; Cal. Codee Regs., tit.

. 2, § 
599.795.)) The appoiinting poweer must preepare a writtten appraissal of 

11 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

performance each oone-third off the probationary perriod. (Cal. CCode 
Regs., tit.. 2, § 599.7795.) 
nce each oone-third off the probationary perriod. (Cal. CCode 
Regs., tit.. 2, § 599.7795.) 

Severityy: 
Serious. The probaationary peeriod is the final step in the selection 
process to ensure that the individual sselected caan successsfully 
perform the full sccope of thheir job duuties. Failing to usee the 
probationnary period to assist aan employeee in improoving his or her 
performance or ter minating thhe appointtment uponn determination 
that the aappointment is not a good job/person matchh is unfair too the 
employeee and servees to erode the quality of state goovernment. 

Cause: 
The CalRRecycle staates that whhile notificaations are provided too the 
supervisoory staff upoon the issuance of thee NOPA, thhere were ccases 
in which tthe probation reports were not pprovided to the employees 
by their mmanagers. 

Action: 
It is recoommended that withinn 60 days of the Exeecutive Officer’s 
approval of these fiindings andd recommeendations, the CalReccycle 
submit too the CRU a written ccorrective aaction plan that addreesses 
the correcctions the ddepartmentt will implemment to ensure conformity 
with the probationaary requiremments of GGovernmennt Code section 
19172. 

FINDINNG NO. 5 – Applicati 
the Final 
ions Were 
File Date 
e Not Datee Stampedd and/or AAccepted AAfter 
Summaary: The Cal 
applicatio 
were date 
Recycle a 
ons that we 
e stamped a 
accepted a 
ere not date 
after the fin 
and proces 
e stamped 
nal filing dat 
ssed 539 
and four a 
te. 
out of 1 
applications 
1,021 
s that 
Criteria: California 
timely fili 
place, wit 
the exam 
a Code Reg 
ng of appl 
thin the tim 
ination ann 
gulations, tit 
lications: A 
me, in the m 
nouncemen 
tle 2, sectio 
All applicati 
manner, an 
nt. 
on 174 (Rul 
ions must 
d on the fo 
le 174) req 
be filed at 
orm specifie 
uires 
t the 
ed in 
Filing an 
postal se 
(or appro 
by the da 
application 
ervice or da 
opriate offic 
te specified 
n ‘within the 
ate stampe 
e of the ag 
d. 
e time’ shal 
d at one o 
gency admi 
l mean pos 
of the depa 
nistering th 
stmarked by 
artment’s of 
he examina 
y the 
ffices 
ation) 

12 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

An appliccation that is not poostmarked or date sttamped byy the 
specified date shall be accepteed, if one oof the followwing conditions 
as detaileed in Rule 174 apply: (1) the application w as delayedd due 
to verifiedd error; (2)) the appliccation was submitted in error too the 
wrong staate agency and is eitheer postmar ked or datee stamped oon or 
before thhe specifieed date; ((3) the emmploying aagency verifies 
examination announncement ddistribution problems that preveented 
timely notification too an employyee of a prromotional examinatioon; or 
n appliccation that is not poostmarked or date sttamped byy the 
specified date shall be accepteed, if one oof the followwing conditions 
as detaileed in Rule 174 apply: (1) the application w as delayedd due 
to verifiedd error; (2)) the appliccation was submitted in error too the 
wrong staate agency and is eitheer postmar ked or datee stamped oon or 
before thhe specifieed date; ((3) the emmploying aagency verifies 
examination announncement ddistribution problems that preveented 
timely notification too an employyee of a prromotional examinatioon; or 

(4) the emmploying aggency verifiies that thee applicant ffailed to recceive 
timely notice of prommotional exxamination.. (Cal. Code Reg., tit. 2, § 
174, sudss. (a), (b), ((c), & (d).) TThe same ffinal filing ddate proceddures 
are applieed to the seelection proocess used to fill a job vacancy. 
Severityy: 
Non-Serioous or Tecchnical. FFinal filing dates are establisheed to 
ensure all applicantss are given the same aamount of ttime in whi ch to 
apply for a job vacaancy and too set a deaadline for tthe recruitmment. 
Thereforee, although the accepptance of aapplicationss after the final 
filing datee may givee some appplicants mmore time to prepare their 
applicatioon than other applicannts who meeet the final filing datee, the 
acceptance of late aapplicationss will not immpact the reesults of thee job 
vacancy sselection. 

Cause: 
The CalRRecycle staates that soome hiring supervisorrs removed and 
discardedd the stammped mailinng letters/eenvelopes stapled too the 
applicatioons. 

Action: 
It is recoommended that withinn 60 days of the Exeecutive Officer’s 
approval of these fiindings andd recommeendations, the CalReccycle 
submit too the CRU a writteen correctiive action plan thatt the 
departmeent will impplement too ensure cconformity wwith Rule 174. 
Copies off any relevant documentation shhould be in cluded withh the 
plan. 

Equal Employmentt Opportunity 

Each staate agencyy is responssible for an effective EEEO prograam. (Gov. CCode, § 197790.) 
The apppointing powwer for eacch state ageency has thhe major reesponsibilityy for monitooring 
the effecctiveness oof its EEO pprogram. (GGov. Code, §§ 19794.) TTo that end, the appointing 
power mmust issue aa policy staatement commmitted to equal employment oppportunity; issue 
proceduures for filling, proceessing, and resolving discrimination commplaints; issue 
proceduures for prooviding equal upwardd mobility and promootional oppportunities; and 

13 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

cooperaate with the CalHR by providing aaccess to all required ffiles, documments and ddata. 
(Ibid.) Inn addition, tthe appointting power must appooint, at the manageriaal level, an EEO 
officer, wwho shall report direcctly to, and be under t the supervission of, thee director oof the 
CalRecyycle to devvelop, implement, cooordinate, aand monitoor the Cal Recycle’s EEO 
programm. (Gov. Co de, § 197955.) 
aate with the CalHR by providing aaccess to all required ffiles, documments and ddata. 
(Ibid.) Inn addition, tthe appointting power must appooint, at the manageriaal level, an EEO 
officer, wwho shall report direcctly to, and be under t the supervission of, thee director oof the 
CalRecyycle to devvelop, implement, cooordinate, aand monitoor the Cal Recycle’s EEO 
programm. (Gov. Co de, § 197955.) 

Becausee the EEO Officer invvestigates aand ensurees proper hhandling off discriminaation, 
sexual hharassment and otheer employeee complainnts, the poosition requuires separ ation 
from thee regular chhain of command, as wwell as reguular and uneencumbereed access too the 
head of the organizzation. 

Each sttate agenccy must esstablish a separate committeee of emplooyees whoo are 
individuaals with a ddisability, oor who havve an intereest in disabbility issuess, to advisee the 
head of the agencyy on issuess of concerrn to emplooyees with disabilities.. (Gov. Codde, § 
19795, subd. (b)(1).) The ddepartmentt must invite all empployees too serve onn the 
committ ee and takee appropriaate steps too ensure thaat the final committee is compriseed of 
memberrs who havee disabilitiees or who hhave an inteerest in disaability issuees. (Gov. CCode, 
§ 197955, subd. (b)((2).) 

The CRRU revieweed the CallRecycle’s EEO proggram that was in efffect duringg the 
compliannce review period. 

FINDINNG NO. 6 – 
Equal E mploymennt Opportuunity Officcer Also SServes Ass the 
Personnel Officer at a Staate Agencyy With More Than 500 
Employeees 

Summaary: 

Criteria: 

The CalRRecycle’s AAdministratiive Servicees Branch Manager, Staff 
Services Manager III, serves as both thhe Personnnel Officer and 
EEO Officcer. Accordding to Caliifornia’s 20016-17 Govvernor’s Buddget, 
the CalRRecycle eemploys 6677 emplooyees, moore than 500 
employeees, and as such, the Personnel Officer maay not servve as 
both the EEEO Officeer and Persoonnel Officeer. 

Californiaa Governmment Codee section 19795 (aa) states “The 
appointing power of each state agency and the ddirector of each 
state deppartment shhall appoint, at the mmanagerial level, an eequal 
employment opportuunity officerr, who shalll report direectly to, annd be 
under thee supervisioon of, the director of thhe department, to develop, 
implemennt, coordinaate, and moonitor the aggency's equual employmment 
opportuniity programm. In a sstate agenncy with less than 500 

14 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

Severityy: yy: 

Cause: 

Action: 

employeees, the equual employmment oppoortunity officcer may bee the 
personneel officer.” 

Very Serrious. Thee EEO Offficer is ressponsible for develo ping, 
implemennting, coorddinating, annd monitorinng their deppartment’s EEO 
program. Due to tthe substaantial respoonsibilities held by each 
departmeent’s EEO Officer, it is essential that eacch departmment, 
employingg more thaan 500 employees, apppoint an EEEO Officeer, at 
the mannagerial leevel, that may suuccessfully maintain the 
effectivenness of the EEO progrram withoutt the unduee burden off also 
maintaininng the effecctiveness oof the deparrtment’s Peersonnel Offfice. 

The CalRRecycle states that Seenate Bill 663, Stricklannd, Chapteer 21, 
Statutes of 2009 mmerged the former Caalifornia Inttegrated WWaste 
Managemment Boardd staff with staff ffrom the Departmennt of 
Conservaation's Divission of Reecycling creeating a new departmment 
greater thhan 500 emmployees. SShortly afteer the mergge CalRecyycle's 
Chief Coounsel connsulted w ith the DDepartment of Persoonnel 
Administrration’s leggal office regarding the basis of the 500 
employeee thresholdd. Based on a veryy small nuumber of EEO 
complaintts and noo ability too allocate a positionn to meet this 
requiremeent, it wass determineed that thee Personneel Officer wwould 
continue to administter the EEOO Officer duuties with a direct repoorting 
relationshhip to CalRRecycle's D irector. Thaat reportingg relationshhip is 
the currennt model ussed by CalRRecycle. 

The CalRRecycle further statees that to address this compliance 
finding, the EEO OOfficer dutiees will be transferredd to a Heaaring 
Officer poosition whicch will be filled after Juuly 1, 2016. 

Within 600 days of thhe Executivve Officer’s approval oof these finddings 
and recommendatioons, the CaalRecycle mmust submiit to the CRRU a 
written coorrective acction plan thhat the deppartment wwill implemeent to 
ensure coonformity wwith Californnia Governmment Codee section 199795, 
including the duty sstatement aand organizzational chaart for the EEO 
Officer/Heearing Officcer and doocumentatioon demonsttrating howw this 
position can operaate an efffective EEEO prograam while also 
performinng the dutiees of a Hearring Officerr. 

15 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

Personaal Services Contracts aal Services Contracts 

A PSC includes aany contra ct, requisittion, or purchase ordder under which laboor or 
personaal services is a significcant, separrately identtifiable elemment, and tthe businesss or 
person pperforming the servicees is an inddependent contractor that does not have sttatus 
as an eemployee of the Staate. (Cal. Code Regg., tit. 2, §§ 547.59.) The Califoornia 
Constituution has ann implied civvil service mmandate limmiting the sstate’s authority to conntract 
with private entitiees to perfform servicces the sttate has hhistorically or custommarily 
performeed. Goverrnment Coode sectionn 19130, subdivisionn (a), howwever, coddifies 
exceptioons to the ccivil service mandate wwhere PSCC’s achieve cost savinggs for the sstate. 
PSC’s that are of a type enuumerated inn subdivisi on (b) of GGovernmennt Code section 
19130 aare also perrmissible. SSubdivision (b) contraccts include pprivate contracts for a new 
state function, serrvices that are not avvailable witthin state sservice, seervices thatt are 
incidentaal to a conntract for tthe purchasse or lease of real oor personaal property, and 
servicess that are off an urgent,, temporaryy, or occasioonal naturee. 

For costt-savings PSC’s, a staate agency is required to notify SSPB of its inntent to exeecute 
such a ccontract. (GGov. Code, § 19131.) For subdivvision (b) contracts, thhe SPB revviews 
the adequacy of tthe proposeed or execcuted contrract at the e request oof an employee 
organizaation repressenting statte employeees. (Gov. CCode, § 191132.) 

During the compliaance revieww period, thee CalRecyccle had ninee PSC’s thaat were in eeffect 
and subbject to Geeneral Servvices (DGS ) approval.. The CRUU reviewed all nine of the 
contractts listed below: 

VVendor SServices Cont 
Dat 
ract 
es 
Contract 
Amount 
Justifica 
Identif 
ation 
fied 
Californnia State Perrformance 
Univers 
Resear 
sity, Chico 
rch 
Mo 
Rubb 
odeling for 
berized Chipp 
6/1/1 
5/15 
15/
17 $2250,000.00 Yess 
Foundaation Seaals Service 
Californ 
Departm 
Food a 
Agricult 
nia 
ment of 
nd 
ture 
Wei 
Enf 
P 
ightmaster 
forcement 
Program 
1/15/ 
6/30 
/15/
17 $1,391,242.000 Yess 
Impoorted Emptyy 
Californnia Beverage 
Departm 
Food a 
ment of 
nd 
C 
Re 
ontainer 
eporting & 
7/1/1 
6/30 
15/
18 $4,296,000.000 Yess 
Agricultture Inspection 
PProgram 

16 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

VVendor Vendor SServices Cont 
Dat 
ract 
es 
Contract 
Amount 
Justifica 
Identif 
ation 
fied 
Crowe 
LLP 
Horwath, 
2015 
Fee a 
Fee C 
S 
Processing 
and Handlin 
Cost Survey 
Service 
g 
ng 
ys 
5/1/1 
6/30 
15/
16 $2,242,850.000 Yess 
DKE En 
Inc. dba 
Enterpr 
nterprises, 
a DK 
rises 
Fe 
Co 
Te 
Assi 
Mate 
S 
eedstock 
onversion 
echnical 
stance and 
erial Testing 
Service 
d 
g 
6/30/ 
3/30 
/15/
18 $7750,000.00 Yess 
Golden 
Overnig 
n State 
ght (GSO) 
Sm 
Deliv 
mall Parcel 
very Servicee 
8/28/ 
8/27 
/14/
16 $1120,000.00 Yess 
Office o 
Environ 
Health 
Assess 
(OEHH 
of 
nmental 
Hazard 
sment 
HA) 
Inve 
Health 
Crum 
Used 
stigation of 
h Impact fro 
mb Rubber 
in Syntheti 
Turf 
f 
om 
ic 
6/30/ 
6/15 
/15/
18 $2,858,000.000 Yess 
Regent 
Santa B 
ts of the UC 
Barbara 
C, Used O 
Asses 
S 
Oil Life Cyc 
ssment Too 
Service 
cle 
ol 9/15/ 
9/15 
/13/
15 $4417,621.00 Yess 
Robinson Andersoon 
Ed 
Env 
I 
Cu 
Printin 
and 
Proje 
ducation 
ironmental 
nitiative 
urriculum 
ng, Storage 
Fulfillment 
ect Service 
e, 
e 
10/1/ 
9/30 
/14/
16 $1,045,000.000 Yess 

FINDINNG NO. 7 –– Personnal Servicces Contrracts Commplied witth Proceddural 

Requirrements 
When a state agenncy request s approval from the DDGS for a suubdivision ((b) contractt, the 
agency must incluude with itss contract transmittal a written justification that includes 
specific and detaileed factual i nformation that demonstrates hoow the conttract meetss one 
or more conditionss specified in Governmment Code section 199131, subdivision (b). (Cal. 
Code Reeg., tit. 2, § 547.60.) 

The totaal dollar ammount of alll the PSC’ss reviewed was $13,3370,713.00.. It was beyyond 
the scoope of thee review to make cconclusionss as to wwhether thee CalRecyycle’s 
justificattions for thhe contracct were leggally sufficcient. For all PSC’s reviewed,, the 
CalRecyycle providded specific and deetailed factt-based innformation in the wrritten 

17 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

justificattions as to how eachh of the coontract mett at least oone condition set forrth in 
Governmment Code section 199131, subdivision (b). AAccordinglyy, the CalRRecycle’s P SC’s 
compliedd with procedural requuirements. 
ustificattions as to how eachh of the coontract mett at least oone condition set forrth in 
Governmment Code section 199131, subdivision (b). AAccordinglyy, the CalRRecycle’s P SC’s 
compliedd with procedural requuirements. 

Mandateed Training 

Each staate agencyy shall offe r at least ssemiannuallly to each of its filerss an orient ation 
course oon the relevvant ethics statutes annd regulatioons that govvern the offficial conduuct of 
state offficials. (Govv. Code, § 11146.1) NNew filers mmust be traained withinn six monthhs of 
appointmment. (Gov. Code, § 11146.3) 

Each deepartment must proviide its neww supervisoors basic ssupervisoryy training wwithin 
twelve mmonths of aappointment. (Gov. Coode, § 199995.4, subds. (b) and (cc.).) The tra aining 
must be a minimumm of 80 houurs, 40 of which must bbe structureed and giveen by a quaalified 
instructoor. The otheer 40 hourss may be ddone on thee job by a higher-leveel supervisor or 
manageer. (Gov. Coode, § 199995.4, subd. (b).) 

Additionnally, each departmeent must pprovide its supervisoors two hoours of seexual 
harassmment traininng every ttwo years. New suppervisors mmust be pprovided seexual 
harassmment preveention training within six monthhs of appoointment. (Gov. Codde, § 
12950.1 subd. (a).)) 

The CRU reviewedd the CalReecycle man dated training programm that was in effect duuring 
the commpliance revview period. The CalRRecycle’s seexual harasssment preevention tra ining 
was fouund to be iin compliannce. Whereeas the CaalRecycle’ss supervisoory training and 
ethics training weree found to bbe out of coompliance. 

FINDINNG NO. 8 – Basic S 
Supervis 
Supervisor 
sors 
ry Traininng Was Not Provvided for All 
Summaary: 

Criteria: 

The CalRRecycle did not providee basic suppervisory trraining to twwo of 
19 new suupervisors within twelvve months of appointmment. 

Each deppartment mmust providde its neww supervisoors supervvisory 
training wwithin twelve month s of appoointment. ((Gov. Code, § 
19995.4 ssubd. (b) and (c.).) Thhe training must be a minimum oof 80 
hours, 400 of which must be structured and given by a quaalified 
instructorr. The otherr 40 hours may be doone on the jjob by a higgherlevel 
supeervisor or mmanager. (GGov. Code, § 19995.4 subd. (b).) 

18 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

Severityyyy: 
Very Serious. The ddepartmentt does not ensure its new manaagers 
are propperly traineed. Withoutt proper ttraining, neew supervvisory 
employeees may noot properlyy carry outt their suppervisory rroles, 
including managing employeess. 

Cause: 
The CalRRecycle staates the emmployees diid not regisster for, noor did 
their mannagers ensuure that thee employeees attendedd the manddated 
training wwithin the reequired timeeframe. 

Action: 
The CalRRecycle muust take apppropriate ssteps to ensure that new 
supervisoors are proovided suppervisory t raining witthin the twwelve 
months. 

It is thereefore recommmended tthat no lateer than 60 days after the 
SPB’s EExecutive Officer’s approval of these findings and 
recommeendations, tthe CalReccycle must eestablish aa plan to ennsure 
compliancce with su pervisory training ma andates andd submit too the 
SPB a wrritten reportt of compliaance. 

FINDINNG NO. 9 – Ethics Trraining Waas Not Provvided for AAll Filers 

Summaary: 

Criteria: 

Severityy: 

Cause: 

The CalRRecycle did not providde ethics traaining to 3007 of 609 ffilers. 
In addition, 12 out oof 20 new filers were nnot providedd training wwithin 
six monthhs of appoinntment. 

New filerrs must bee provided ethics trainning withinn six monthhs of 
appointment. Existinng filers mmust be traiined at leaast once duuring 
each consecutive peeriod of twoo calendar years commencing onn the 
first odd-numbered year there after. (Govv. Code, § 11146.3, ssubd. 
(b).) 

Very Seriious. The ddepartment does not eensure its ffilers are awware 
of prohibitions relateed to his or her official position annd influencee. 

The CalRRecycle staates that tthe departmment identtifies confli ct of 
interest ppositions oon the duuty statemeent, detailss the requuired 
training oon the new eemployee oon-board chhecklist, proovides outreach 
on traininng opportuunities, andd tracks coompletion of the training. 
However,, for this review pperiod, theese resourrces were not 
successfuully appliedd and/or uutilized by the employee nor their 

19 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

managerss to ensurre the ethiccs training requiremeents were met. 
Additionaally, follow-up by the Administr ative Services Brancch to 
ensure ouutstanding ttraining was completeed was not ddone. 
ss to ensurre the ethiccs training requiremeents were met. 
Additionaally, follow-up by the Administr ative Services Brancch to 
ensure ouutstanding ttraining was completeed was not ddone. 

Action: 
The CalRRecycle muust take apppropriate ssteps to ennsure that filers 
are providded ethics ttraining withhin the timee periods prescribed.

It is thereefore recommmended tthat no lateer than 60 days after the 
SPB’s EExecutive Officer’s approval of these findings and 
recommeendations, tthe CalReccycle must eestablish aa plan to ennsure 
compliancce with ethhics trainingg mandatess and submmit to the SPPB a 
written report of commpliance. 

DDEPARTMEENTAL RESSPONSE 

The CalRecycle’s rresponse iss attached aas Attachmeent 1. 

SPPB REPLY 

Based uupon the CCalRecycle’’s written rresponse, tthe CalReccycle will ccomply withh the 
CRU reccommendations and findings andd provide thhe CRU a coorrective acction plan. 

It is fuurther recoommendedd that thee CalRecycle complly with thhe afore-sttated 
recommmendations within 60 ddays of the Executive Officer’s aapproval annd submit too the 
CRU a wwritten repoort of complliance. 

20 
SPBB Compliancee Review 
Californiaa Departmentt of Resourcees Recycling aand Recoveryy 

California Environmental Protection Agency Edmund G. Brown Jr., Governor 

CalRecycle a DEPARTMENT OF RESOURCES RECYCLING AND RECOVERY 

10011 STREET, SACRAMENTO, CALIFORNIA 95814 • www.CALRECYCLE .CA.GOV • (916) 322-4027 

P.0 . BOX 4025, S ACRAMENTO, CALIFORN IA 95812 
May 27, 2016 

State Personnel Board 
Compliance Review Unit 
801 Capitol Mall 
Sacramento, CA 95815 

This letter is in response to the California State Personnel Board's (SPBs) compliance 

review draft of the Department of Resources Recycling and Recovery's (CaiRecycle) 

personnel practices. The SPB draft report provided nine findings, seven of which 

require a response from CaiRecycle. The following includes those seven findings, an 

exp lanation of why they occurred, and details to summarize corrective action plans. 

Finding 2: Equal Employment Opportunity (EEO) Questionnaires Were Not 
Separated From Applications. 

Cause : CaiRecycle acknowledges and agrees with SPB's find ing. The Human 
Resources Office (HRO) experienced a high volume of applications during the period of 
February 2015 through September 2015. During this timeframe, the Classification & 
Pay (C&P) Unit had one vacancy and one employee on leave, which resulted in 
temporarily assigning logging in applications to office support staff. The office support 
staff were not given adequate instruction on processing the applications nor were they 
instructed to remove the EEO questionnaires. 

Response: The HRO support staff have received thorough written and verbal 

instructions and been trained on the removal of EEO questionnaires to prevent 

reoccurrences. CaiRecycle's C&P Request for Personnel Action (RPA} checklist has 

been updated to include proper application processing with the removal of the EEO 

questionnaire (when attached) and confidential destruct before distribution back to the 

hiring managers. CaiRecycle will ensure all EEO questionnaires are separated from 

applications per Government Code section 19704 and 19705. 

Finding 3: Appointment Documentation Was Not Kept for the Appropriate 
Amount of Time. 

Cause: CaiRecycle acknowledges that eight Notices of Personnel Action (NOPA) were 
missing, and for one appointment, all applications, except the appointee 's application , 
were not kept for the appropriate amount of time. This is due to the fact that the 

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NOPA's were not tracked correctly and the specialists were not able to locate pending 
copies. The missing appointment file and recruitment materials were destroyed in error 
by the hiring manager. 

Response: CaiRecycle has created and implemented a NOPA tracking system that 
requires the personnel specialist to keep a pending copy until the original is returned . 
When the orig inal NOPA is sent out to the personnel liaisons for distribution, it will 
include a memo that directs the employee to review, sign, and return one copy of the 
NOPA to their personnel specialist within 10 business days. Email reminders from the 
personne l specialist will be sent to the employee with a copy to their supervisor until the 
signed NOPA is received in the Transactions Unit. Since the completion of the 
compliance review, an email addressing application retention requirements was sent out 
to all managers and supervisors reminding them of the requirement to retain all hiring 
applications and interview materials for a period of five years after the date of hire. 

Finding 4: Probationary Evaluations Were Not Provided for aU Appointments 
Reviewed. 

Cause: CaiRecycle acknowledges that not all supervisors and managers consistently 
meet this requirement for employees on probation. Notifications are provided to the 
supervisory staff upon the issuance of the NOPA. However, as the audit found, there 
were cases in which the probation reports were not provided to the employees by their 

managers. 

Response: CaiRecycle will enhance its Position and Employee Tracking System 
(PETS) to track employees on probation, due dates of evaluation, notification to hiring 
managers, and completion of the probation report. In addition, within two weeks of the 
initial appointment, an email will be sent to the employee's supervisor from the 
personnel specialist with the probationary dates and the required Report of 
Performance for Probationary Employee (STD . 636) for completion . Failure to complete 
the probationary reports will result in upper management and executive staff 
automatically being notified of the deficiency so that follow-up action can be taken . 

Finding 5: Applications Were Not Date Stamped and/or Accepted After the Final 
Filing Date. 

Cause: CaiRecycle acknowledges all applications must be date stamped and post 
marked by the final fi ling date. CaiRecycle's mail is date stamped daily by the Business 

Services Unit and delivered to the HRO. The C&P analyst processes all application 
documents (staples envelopes to the back of all applications and documents). All 
applications are logged in and sent to program three business days after the final filing 
date. Program receives all applications and make copies; however, the HRO 
discovered some hiring supervisors removed and discarded the mailing 
letters/envelopes stapled to the applications. 

Response: CaiRecycle has implemented an application intake process to ensure all 
appl ications are date stamped. CaiRecycle's Personnel Liaison's Request for 
Personnel Action Guide w ill be updated to include instructions for hiring program staff 
on how to process and retain all application documents, including date stamped 
envelopes . 

Finding No. 6: Equal Employment Opportunity Officer Also Serves As the 
Personnel Officer at a State Agency With More Than 500 Employees 

Cause: Senate Bill 63, Strickland, Chapter 21, Statutes of 2009 merged the former 
California Integrated Waste Management Board staff with staff from the Department of 
Conservation's Division of Recycling creating a new department greater than 500 
employees . Shortly after the merge CaiRecycle's Chief Counsel consulted with 
CaiHR's legal office regarding the basis of the 500 employee threshold. Based on a 
very small number of EEO complaints and no ability to allocate a position to meet this 
requirement, it was determined that the Personnel Officer would continue to administer 
the EEO Officer duties with a direct reporting relationship to Cal Recycle's Director. That 
reporting relationship is the current model used by CaiRecycle . 

Response: For the next few months, Cal Recycle will continue to administer EEO 
duties under the current model so that legal and/or significant issues are responded to 
thoroughly and timely. However, after July 1st. Cal Recycle will be filling a new hearing 
officer position (included in the FY 2016-17 budget). T o address this comp liance finding ,· 
Ca iRecycle will include the administration of EEO Officer duties with in the job 
description of that position. That position will be located within the Executive Office and 
will be reporting directly to the Director. 

Finding No . 8: Basic Supervisory Training Was Not Provided for All Supervisors 

Cause: CaiRecycle agrees with this finding . The employees did not register for, nor did 
the ir managers ensure that the employees attended the mandated tr~i ning within the 
required timeframe. However, since the time this review was conducted, the employees 
have either completed or have registered for the mandated 40-hours of formal 
supervisory training. 

Response: In order to ensu re t hat future non-compliance issues do not occur, the 
HRO will provide copies of all new supervisory appointments to the Training Office. The 
Training Office will enroll emp loyees and track course completion to ensure timeframes 
are met. If employees fail to attend training, the issue will be escalated to upper 
management and executive staff to address. Additionally, when the NOPA is distributed 
the employee and the employee 's manager will be reminded of the training requi rement 
by the HRO . 

Finding No. 9: Ethics Training Was Not Provided to All Filers 

Cause: CaiRecycle acknowledges and agrees with this finding . The department 
identifies conflict of interest positions on the duty statement, details the requ ired trai ning 
on the new employee on-board checklist, provides outreach on training opportunities, 
and tracks completion of the tra ining . However, for this review period , these resources 
were not successfully applied and/or utilized by the employee nor their managers to 
ensure the eth ics training requirements were met. Add itionally, follow-up by the 
Administrative Services Branch to ensure outstanding train ing was completed was not 
done. 

Response: The New Employee Checklist will be amended to more clearly define when 
the training is required and provide direction on how to access the training . The HRO 
will provide a training requirement reminder to the employee when distributing the 
NOPA. Add itionally, the department's PETS system will be enhanced to track pos itions 
identified as conflict of interest positions; when training is due to be completed; when it 
is completed ; and provide reminders to the employee and their supervisor. Failure to 
complete the mandated training will result in upper management and executive staff 
being notified of the deficiency so that action can be taken . 

The department wi ll work to formalize and implement corrective action for a ll of the 
above noted findings . In addition, we will work with the SPB to report on updates for 
each of the items resulting from the final compl iance report. 

CaiRecycle appreciates the SPBs assessment of our personnel practices and looks 
forward to continued coope ration in strengthening our processes. 

If you have any questions, please contact me at 916-341-6091 or 
Tiffany.Donohue@CaiRecycle.ca.gov. 

Sincerely, 

Tiffany Donohue, Personne l Officer 
Department of Resources and Recycling