CALIFORNIA DEPARTMENT OF FORESTRY AND FIRE PROTECTION
COMPLIANCE REVIEW REPORTCALIFORNIA DEPARTMENT OF FORESTRY ANDFIRE PROTECTIONCompliance Review UnitState Personnel BoardOctober 12, 2020
TABLE OF CONTENTSIntroduction . 1Executive Summary . 2Background . 4Scope and Methodology. 4Findings and Recommendations . 6Examinations . 6Permanent Withhold Actions . 8Appointments . 9Equal Employment Opportunity . 15Personal Services Contracts . 16Compensation and Pay . 24Leave . 34Policy and Processes. 42Departmental Response. 45SPB Reply . 45
INTRODUCTIONEstablished by the California Constitution, the State Personnel Board (the SPB or Board)is charged with enforcing and administering the civil service statutes, prescribingprobationary periods and classifications, adopting regulations, and reviewing disciplinaryactions and merit-related appeals. The SPB oversees the merit-based recruitment andselection process for the hiring of over 200,000 state employees. These employeesprovide critical services to the people of California, including but not limited to, protectinglife and property, managing emergency operations, providing education, promoting thepublic health, and preserving the environment. The SPB provides direction todepartments 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 authorities’ personnel practices in five areas:examinations, appointments, equal employment opportunity (EEO), personal servicescontracts (PSC’s), and mandated training, to ensure compliance with civil service lawsand Board regulations. The purpose of these reviews is to ensure state agencies are incompliance with merit related laws, rules, and policies and to identify and share bestpractices identified during the reviews.Pursuant to Government Code section 18502, subdivision (c), the SPB and the CaliforniaDepartment of Human Resources (CalHR) may “delegate, share, or transfer betweenthem responsibilities for programs within their respective jurisdictions pursuant to anagreement.” SPB and CalHR, by mutual agreement, expanded the scope of programareas to be audited to include more operational practices that have been delegated todepartments and for which CalHR provides policy direction. Many of these delegatedpractices are cost drivers to the state and were not being monitored on a statewide basis.As such, SPB also conducts compliance reviews of appointing authorities’ personnelpractices to ensure that state departments are appropriately managing the following nonmerit-related personnel functions: compensation and pay, leave, and policy andprocesses. These reviews will help to avoid and prevent potential costly litigation relatedto improper personnel practices, and deter waste, fraud, and abuse.The SPB conducts these reviews on a three-year cycle.The CRU may also conduct special investigations in response to a specific request orwhen the SPB obtains information suggesting a potential merit-related violation.1SPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
It should be noted that this report only contains findings from this hiring authority’scompliance review. Other issues found in SPB appeals and special investigations as wellas audit and review findings by other agencies such as the CalHR and the California StateAuditor are reported elsewhere.EXECUTIVE SUMMARYThe CRU conducted a routine compliance review of the California Department of Forestryand Fire Protection (CAL FIRE) personnel practices in the areas of examinations,appointments, EEO, PSC’s, mandated training, compensation and pay, leave, and policyand processes. The following table summarizes the compliance review findings.AreaFindingExaminations Complied with Civil Service Laws andBoard RulesExaminationsExaminationsPermanent Withhold Actions Complied with Civil ServiceLaws and Board RulesAppointmentsProbationary Evaluations Were Not Provided for AllAppointments Reviewed1AppointmentsAppointment Documentation Was Not Kept for theAppropriate Amount of TimeEqual EmploymentOpportunityEqual Employment Opportunity Program Complied withCivil Service Laws and Board RulesPersonal ServicesContractsUnions Were Not Notified of Personal Services ContractsPersonal ServicesContractsWritten Justification Was Not Provided for All PersonalServices ContractsMandated TrainingSupervisory Training Was Not Provided for AllSupervisorsMandated TrainingSexual Harassment Prevention Training Was NotProvided for All SupervisorsCompensation and PayCompensation and PaySalary Determinations Complied with Civil Service Laws,Board Rules, and CalHR Policies and GuidelinesException to Salary Determinations Complied with CivilService Laws, Board Rules, and CalHR Policies andGuidelinesRepeat finding. March 17, 2016, the CAL FIRE’s Compliance Review Report identified 16 missingprobationary reports in 13 of the 92 appointment files reviewed.12SPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
AreaCompensation and PayFindingAlternate Range Movements Complied with Civil ServiceLaws, Board Rules, and/or CalHR Policies and GuidelinesCompensation and PayCompensation and PayCompensation and PayLeaveLeaveLeaveLeavePolicyPolicyPolicyIncorrect Authorization of Bilingual PayPay Differential Authorizations Complied with CivilService Laws, Board Rules, and CalHR Policies andGuidelinesOut of Class Pay Authorizations Complied with CivilService Laws, Board Rules, and CalHR Policies andGuidelinesPositive Paid Employees Tracked Hours Complied withCivil Service Laws, Board Rules, and/or CalHR Policiesand GuidelinesAdministrative Time Off (ATO) Was Not ProperlyDocumentedLeave Activity and Correction Certification Forms WereNot Completed For All Leave RecordsService and Leave Transactions Complied with CivilService Laws, Board Rules, and/or CalHR Policies andGuidelinesNepotism Policy Complied with Civil Service Laws, BoardRules, and/or CalHR Policies and GuidelinesWorkers’ Compensation Process Complied with CivilService Laws, Board Rules, and/or CalHR Policies andGuidelinesPerformance Appraisals Were Not Provided to AllEmployeesA color-coded system is used to identify the severity of the violations as follows: 3Red Very SeriousOrange SeriousYellow TechnicalGreen In ComplianceSPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
BACKGROUNDThe California Department of Forestry and Fire Protection (CAL FIRE) protects thepeople, property, and natural resources of California. The Department’s diverse programswork together to plan protection strategies for over 31 million acres of wildlands, and toprovide emergency services of all kinds throughout California. The mission of theDepartment is to serve and safeguard the people and protect the property and resourcesof California. The CAL FIRE’s vision is to be the leader in providing fire prevention andprotection, emergency response, and enhancement of natural resource systems. Theorganization is comprised of nearly 8,000 permanent and seasonal employees.SCOPE AND METHODOLOGYThe scope of the compliance review was limited to reviewing the CAL FIRE’sexaminations, appointments, EEO program, PSC’s, mandated training, compensationand pay, leave, and policy and processes2. The primary objective of the review was todetermine if the CAL FIRE’s personnel practices, policies, and procedures complied withstate civil service laws and Board regulations, Bargaining Unit Agreements, CalHRpolicies and guidelines, CalHR Delegation Agreements, and to recommend correctiveaction where deficiencies were identified.A cross-section of the CAL FIRE’s examinations were selected for review to ensure thatsamples of various examination types, classifications, and levels were reviewed. TheCRU examined the documentation that the CAL FIRE provided, which includedexamination plans, examination bulletins, job analyses, and scoring results. The CRUalso reviewed the CAL FIRE’s permanent withhold actions documentation, includingWithhold Determination Worksheets, State applications (STD 678), class specifications,and withhold letters.A cross-section of the CAL FIRE’s appointments were selected for review to ensure thatsamples of various appointment types, classifications, and levels were reviewed. TheCRU examined the documentation that the CAL FIRE provided, which included Notice ofPersonnel Action (NOPA) forms, Request for Personnel Actions (RPAs), vacancypostings, certification lists, transfer movement worksheets, employment history records,correspondence, and probation reports.The CAL FIRE did not make any additional appointments nor conduct any unlawfulappointment investigations during the compliance review period.2Timeframes of the compliance review varied depending on the area of review. Please refer to each sectionfor specific compliance review timeframes.4SPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
The CAL FIRE’s appointments were also selected for review to ensure the CAL FIREapplied salary regulations accurately and correctly processed employees’ compensationand pay. The CRU examined the documentation that the CAL FIRE provided, whichincluded employees’ employment and pay history and any other relevant documentationsuch as certifications, degrees, and/or the appointee’s application. Additionally, the CRUreviewed specific documentation for the following personnel functions related tocompensation and pay: bilingual pay, monthly pay differentials, alternate rangemovements, and out-of-class assignments. During the compliance review period, the CALFIRE did not issue or authorize hiring above minimum (HAM) requests, red circle raterequests, or arduous pay.The review of the CAL FIRE’s EEO program included examining written EEO policies andprocedures; the EEO Officer’s role, duties, and reporting relationship; the internaldiscrimination complaint process; the reasonable accommodation program; thediscrimination complaint process; and the Disability Advisory Committee (DAC).The CAL FIRE’s PSC’s were also reviewed.3 It was beyond the scope of the compliancereview to make conclusions as to whether the CAL FIRE’s justifications for the contractswere legally sufficient. The review was limited to whether the CAL FIRE’s practices,policies, and procedures relative to PSC’s complied with procedural requirements.The CAL FIRE’s mandated training program was reviewed to ensure all employeesrequired to file statements of economic interest were provided ethics training, and that allsupervisors were provided supervisory training and sexual harassment preventiontraining within statutory timelines.The CRU reviewed the CAL FIRE’s Leave Activity and Correction Certification forms toverify that the CAL FIRE created a monthly internal audit process to verify all leave inputinto any leave accounting system was keyed accurately and timely. The CRU selected asmall cross-section of the CAL FIRE’s units in order to ensure they maintained accurateand timely leave accounting records. Part of this review also examined a cross-section ofthe CAL FIRE’s employees’ employment and pay history, state service records, and leaveaccrual histories to ensure employees with non-qualifying pay periods did not receivevacation/sick leave and/or annual leave accruals or state service credit. Additionally, the3Ifan employee organization requests the SPB to review any personal services contract during the SPBcompliance review period or prior to the completion of the final compliance review report, the SPB will notaudit 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.5SPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
CRU reviewed a selection of the CAL FIRE employees who used Administrative Time Off(ATO) in order to ensure that ATO was appropriately administered. Further, the CRUreviewed a selection of CAL FIRE positive paid employees whose hours are trackedduring the compliance review period in order to ensure that they adhered to proceduralrequirements.Moreover, the CRU reviewed the CAL FIRE’s policies and processes concerningnepotism, workers’ compensation and performance appraisals. The review was limited towhether the CAL FIRE’s policies and processes adhered to procedural requirements.The CAL FIRE declined an exit conference to explain and discuss the CRU’s initialfindings and recommendations. The CRU received and carefully reviewed the CALFIRE’s written response on September 14, 2020, which is attached to this finalcompliance review report.FINDINGS AND RECOMMENDATIONSExaminationsExaminations to establish an eligible list must be competitive and of such character asfairly to test and determine the qualifications, fitness, and ability of competitors to performthe 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 formof a demonstration of skills, or any combination of those tests. (Ibid.) The Boardestablishes minimum qualifications for determining the fitness and qualifications ofemployees for each class of position and for applicants for examinations. (Gov. Code, §18931, subd. (a).) Within a reasonable time before the scheduled date for theexamination, the designated appointing power shall announce or advertise theexamination for the establishment of eligible lists. (Gov. Code, § 18933, subd. (a).) Theadvertisement shall contain such information as the date and place of the examinationand the nature of the minimum qualifications. (Ibid.) Every applicant for examination shallfile an application with the department or a designated appointing power as directed bythe examination announcement. (Gov. Code, § 18934, subd. (a)(1).) The final earnedrating of each person competing in any examination is to be determined by the weightedaverage 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 theemployment list resulting from the examination is established. (Gov. Code, § 18938.5.)6SPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
During the period under review, February 1, 2018, through July 31, 2018, the CAL FIREconducted 19 examinations. The CRU reviewed six of those examinations, which arelisted below:Exam TypeExam ComponentsFinal FileDateNo. ofAppsArson and BombInvestigatorDepartmentalOpenQualification rtmentalOpenPerformance511/13/17242Fire Fighter ster IIIDepartmentalPromotionalStatement ofQualifications (SOQ)71/8/1815Forestry Assistant IIDepartmentalOpenTraining andExperience (T&E)812/19/1718Senior Land INDING NO. 1 – Examinations Complied with Civil Service Laws and BoardRulesThe CRU reviewed one departmental promotional and five open examinations which theCAL FIRE administered in order to create eligible lists from which to make appointments.The CAL FIRE published and distributed examination bulletins containing the required4The Qualification Appraisal Panel (QAP) interview is the oral component of an examination wherebycompetitors appear before a panel of two or more evaluators. Candidates are rated and ranked against oneanother based on an assessment of their ability to perform in a job classification.5 A Performance examination requires applicants to replicate/simulate job related tasks or duties.6 A written examination is a testing procedure in which candidates’ job-related knowledge and skills areassessed through the use of a variety of item formats. Written examinations are either objectively scoredor subjectively scored.7 In a Statement of Qualifications (SOQ’s) examination, applicants submit a written summary of theirqualifications and experience related to a published list of desired qualifications. Raters, typically subjectmatter experts, evaluate the responses according to a predetermined rating scale designed to assess theirability to perform in a job classification, assign scores and rank the competitors in a list.8 The Training and Experience (T&E) examination is administered either online or in writing, and asks theapplicant to answer multiple-choice questions about his or her level of training and/or experienceperforming certain tasks typically performed by those in this classification. Responses yield point values.7SPB Compliance ReviewCalifornia Department of Forestry and Fire Protection
information for all examinations. Applications received by the CAL FIRE were acceptedprior to the final filing date. Applicants were notified about the next phase of theexamination process. After all phases of the examination process were completed, thescore of each competitor was computed, and a list of eligible candidates was established.The examination results listed the names of all successful competitors arranged in orderof the score received by rank. The CRU found no deficiencies in the examinations thatthe CAL FIRE conducted during the compliance review period.Permanent Withhold ActionsDepartments are granted statutory authority to permit withhold of eligibles from lists basedon specified criteria. (Gov. Code, § 18935.) Permanent appointments and promotionswithin the state civil service system shall be merit-based, ascertained by a competitiveexamination process. (Cal. Const., art. VII, § 1, subd. (b).) If a candidate for appointmentis found not to satisfy the minimum qualifications, the appointing power shall providewritten notice to the candidate, specifying which qualification(s) are not satisfied and thereason(s) why. The candidate shall have an opportunity to establish that s/he meets thequalifications. (Cal. Code Regs., tit. 2, § 249.4, subd. (b).) If the candidate fails torespond, or fails to establish that s/he meets the minimum qualification(s), the candidate’sname shall be removed from the eligibility list. (Cal. Code Regs., tit. 2, § 249.4, subd.(b)(1), (2)), (HR Manual, section 1105.) The appointing authority shall promptly notify thecandidate in writing, and shall notify the candidate of his or her appeal rights. (Ibid.) Apermanent withhold does not necessarily permanently restrict a candidate from retakingthe examination for the s
The California Department of Forestry and Fire Protection (CAL FIRE) protects the people, property, and natural resources of California. The Department’s diverse programs work together to plan protection strategies for over 31 million acres of wildlands, and to provide emergency services of all kinds throughout California.
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