Chapter 3 – Personnel, Training, and Employee Relations

Examinations for the establishment of eligible lists shall be competitive and administered in a uniform manner consistent with applicable laws, policies, and sound personnel practices.

This section outlines the procedures and requirements that shall be followed for examinations and identifies sections/units involved in examining for The Department.

Testing options available to administer state examinations are as follows:

• Decentralized Testing

  • SPBState Personnel Board (see CalHR) grants civil service testing authority to departments for promotional and service-wide open examinations for classifications unique or primary to a specific department.

• Delegated Testing

  • A department under the SPBState Personnel Board (see CalHR)’s decentralized testing program is granted authority to delegate civil service testing for classifications specific to one location to enable timelier, more cost effective eligible lists when candidate numbers are typically small.

• Open Examination

  • Utilized when examining for entry-level, specialized or technical classes and the qualified candidate group is outside of state service working in private industry. Career Credits do not apply. Veterans Preference Credits are applied to the open list only if the examination is an entry-level examination (requiring less than a Bachelor’s Degree and two years’ experience).

• Open & Promotional

  • Utilized when there is an identified, qualified promotional group which is not of adequate size to meet the needs of the department. In this examination, two eligible lists are established (a promotional list and an open list). The promotional list shall be used before the open list. Career Credits do not apply. Veterans Preference Credits are applied to the open list only if the examination is an entry-level examination (requiring less than a Bachelor’s Degree and two years’ experience).

• Open Non-Promotional

  • Utilized to open competition to both state and private industry employees to produce eligible lists with more highly qualified candidates. Career Credits are applied to the final score of state employees with permanent status. Veterans Preference Credits may apply.

• Promotional

  • Utilized when a qualified candidate group of adequate size is within state service. Career Credits and Veterans Preference Credits do not apply.

• Subdivisional

  • Limits competition to those employed in a specified division or organizational unit within a department that has its own appointing authority.

• Statewide

  • Administered throughout the State in locations where examining facilities are available. This applies to open exams that have positions throughout the State, such as the Telecommunications Technician classification. In this instance, a CDC Form 631, Conditions of Employment, shall be used to determine the location preference of the candidates.

• Spot or Local

  • Administered in a county or a specific geographic location such as Los Angeles County for the purpose of establishing an employment list to fill vacancies in the particular location. Spot or local examinations can be administered either on an open or promotional basis.

• Area

  • An area examination is restricted to a certain geographic location such as San Francisco Bay Area, Northern or Southern California, Sacramento/Yolo Counties. The counties are to be adjoining and candidates shall take the examination for that area only. This applies mainly to open examinations.

• Departmental

  • Limits competition to qualified competitors employed in a specific department.

• Multi-Departmental

  • Limits competition to those employed within agency, such as Department of Water Resources, State Water Resources Control Board, and the Air Resources Board or specific departments, such as the Franchise Tax Board and the Department of Finance.

• Servicewide

  • Allows all qualified state employees to compete without regard to the department in which they work. This type of examination would be administered by SPBState Personnel Board (see CalHR) and departments with decentralized testing authority.

Laws and rules that govern the administration of examinations within the State’s civil service merit system are complied with through the testing entities within the Department.

Examination bulletins publicize final filing dates designed to allow a reasonable time for interested persons to file an application on or before the final filing date.

Strict adherence to filing dates is required by the SPBState Personnel Board (see CalHR).

Applicants should be encouraged to file early to ensure timely receipt of their applications.

If a mailed application is received after the final filing date, the cancellation date stamped on the envelope by the USPSUnited States Postal Service is used to determine whether the application was mailed on or before the final filing date. To avoid dispute, applicants who mail at a USPSUnited States Postal Service Office should obtain a certificate of mailing receipt. This is acceptable proof that the application was submitted in a timely manner. The applicant shall ensure the application is postmarked on or before the final filing date.

Applications placed in interdepartmental mail and not received on or before the final filing date shall be considered LATE applications and will be rejected from the examination.

Following are the conditions under which late applications typically shall not be accepted:

• The applicant claims they did not see the bulletin because of distribution problems within the reporting unit.

• The applicant gave an application to another person to turn in to the office that is administering the examination, but it is not received on or before the final filing date.

• The applicant claims the application was mailed, placed in interdepartmental mail, or hand-delivered to the Personnel Examining Section (PES) or other CDC testing offices on or before the final filing date.

A late application shall be accepted under these conditions only:

• If the applicant has a written statement from a USPSUnited States Postal Service official or other witness who verifies the application was mailed on time.

• If the application is postmarked after the final filing, and the USPSUnited States Postal Service verifies in writing this was caused by USPSUnited States Postal Service error.

Following are the conditions under which late applications may be accepted:

• The hiring authority verifies in writing that the examination bulletin was not received by the local testing office because of bulletin distribution problems – prevented the employee from being properly notified.

• The unit manager verifies the employee was away from their work during the entire publicity period.

• The application delay was caused by the PES or field office staff error (for instance, an application was returned to an applicant in error).

• Though submitted in error to SPBState Personnel Board (see CalHR), the personnel office of another State agency, or another local testing office, the application was either postmarked or date stamped by the State agency or local testing office on or before the final filing date.

Examination bulletins are sent to all reporting units in CDC’s headquarters (including off-site units), facilities and parole offices.

The local manager shall ensure that all examination bulletins are posted in a place visible to all employees and the public.

Employees shall be responsible to keep themselves informed of testing for classifications currently being administered.

Examinations scheduled for testing are listed and recorded for easy public access by various state agencies. Recorded message lines are provided by state agencies, including CDC and SPBState Personnel Board (see CalHR), and in the California State Telephone Directory. When telephone numbers become obsolete, individuals can contact the State of California Operator on a state telephone line for current information by dialing “0” or on a public telephone by dialing the following:

• Sacramento
  (916) 322-9900
  (916) 657-9900

• Los Angeles (213) 620-3030

  • (California Integrated Telecommunications Network (CALNET) replaces ATSS system.)

• Current testing information for CDC and SPBState Personnel Board (see CalHR) is available from the following sources:

  • CDC’s Examination Line: (916) 322-2694.

    • Announces examinations being administered by CDC’s PES and promotional examinations that SPBState Personnel Board (see CalHR) is currently administering which includes CDC.

    • TDDTelecommunications Device for the Deaf* Line (California Relay Service) 1-800-735-2922

    • (TDDTelecommunications Device for the Deaf is a Telecommunications Device for the Deaf. The California Relay Service relays calls between a person using a TDDTelecommunications Device for the Deaf and any other telephone user within the State).

CDC examination and other job opportunity bulletins may be accessed through the Department’s Intranet Website: http://intranet/index.html.

SPBState Personnel Board (see CalHR)’s Information Center:

• General Information:

  • The SPBState Personnel Board (see CalHR) maintains a 24-hour recorded telephone information System that allows callers to access a variety of employment and examination information regarding State civil service. In order to utilize this automated system, you must call from a touch tone telephone. If you do not have a touch-tone telephone, you may request information through the mail. All requests for information must include a self-addressed, stamped, No. 10 envelope and should be sent to:

    • State Personnel Board
      P.O. Box 944201
      Sacramento, CACorrectional Administrators 94244-2010

    • The SPBState Personnel Board (see CalHR) has information lines in the following areas:

      • Los Angeles: (213) 620-6450

      • San Diego: (619) 237-6163

      • San Francisco: (415) 557-7871

      • Sacramento: (916) 445-2689

Examination information for all departments may also be accessed through the Internet at the following Website: http://www.spb.ca.gov.

Test questions, books, scoring keys, and written test answer sheets used to test competitors when administering examinations cannot be reviewed under SPBState Personnel Board (see CalHR) Rules 187 and 190. These items are standardized for use in other examinations.

Employees shall not use their personal influence to aid or hinder any applicants with whom they have a family or close personal relationship(i.e., an association with an individual by blood, adoption, marriage, cohabitation, etc.) or a working relationship. This policy is consistent with the Department’s existing policy on nepotism.

Note: The April 30, 1992 memorandum, “Preparing for Civil Service Examinations” issued by the Department’s PES, outlines the departmental policy regarding preparation for examination process if any competitors are disadvantaged by not having the same access to tutoring, help, and/or aids. The best preparation is the day-to-day guidance and direction received on the job.

Employees shall not:

• Aid or hinder any Applicant in any phase of a civil service examination or hiring process because of such relationship.

• Furnish any person with information intended to improve or injure that person’s chances during the application or examination phases.

• Defeat, deceive, or obstruct any other person’s right of examination, application, or employment.

• Willfully and falsely mark, grade, estimate, or report upon the examination standing of any person examined or certified.

• Participate in the examination or hiring interview of any person with whom they have such relationships.

• Practice deception or fraud with regard to any person’s identity in connection with any examination, application, or request to be examined.

• Obtain examination questions/materials before, during, or after an examination for purpose of preparing candidates for examinations.

• Use unfair means to cause or attempt to cause any eligible candidate to waive any rights under these regulations.

To avoid the appearance of improper influence, employees with a family or personal relationship to any competitor shall not participate in any phase of the examination process, including but not limited to:

• Planning.

• Application review of minimum qualifications.

• Question development.

• Written examination proctor.

• Organizational review committee (ORCOrganizational Review Committee).

• Qualifications Appraisal (QAPQualification Appraisal)

• Serve as a rating or reviewing supervisor of the competitor.

• Participate in discussions or ratings of the competitor.

If an employee serving on an ORCOrganizational Review Committee, QAPQualification Appraisal, or participating in the discussion or rating of competitors finds one of the competitors is one with whom they have a family or close relationship, the employee shall not participate in the interview, observation, discussion, or rating of the competitor by leaving the room.

If serving in any capacity in the examination or hiring process an employee discovers a competitor with whom they have a family or close relationship, the employee shall contact PES for direction.

Employees selected to participate in the state civil service examination process shall maintain the competitive and confidential nature of the examination process. Any appearance of improper influence could jeopardize the integrity of the examination resulting in examination appeals from the candidate group and, ultimately, grounds to void an examination.

Violation of the provisions of this section:

• May result in criminal prosecution.

• Shall be cause for adverse action.

CDC Examining Sections/Units are:

• Personnel Examining Section (PES).

  • Personnel Examining – Headquarters.

  • RTLU.

• Facility Regional/Local Testing Offices (LTOLocal Testing Offices).

• Selection and Standards Branch (See DOMDepartment Operations Manual 31060).

  • Officer Recruitment and Selection Section.

  • Testing Centers.

  • Background Investigation Unit (known as BIU).

This section administers CDC’s civil service testing programs, exclusive of entry-level peace officer (Officer, CCCorrectional Counselor-I and PAProgram Administrator-I) testing and recruitment. This section conducts major promotional and service-wide open examinations for classifications unique or primary to CDC under the decentralized selection program. Examinations are administered out of the Sacramento PES Headquarters.

Personnel Examining Section 1050 – 20th Street Sacramento, CACorrectional Administrators 95814 (916) 322-2694 TDDTelecommunications Device for the Deaf Relay Service for the Deaf or Hearing-Impaired: 1-800-735-2922 Should these telephone numbers become obsolete, refer to the California State Telephone Directory or contact the State of California Telephone Operator as indicated in DOMDepartment Operations Manual 31170.4.4.

PES is the central point for CDC promotional and service-wide open examination administration. PES’ objective is to ensure examinations are held to provide qualified candidates to fill CDC vacancies statewide.

PES oversees the examining for Department and provides, by the RTLU, oversight and assistance to the local testing offices.

Provide promotional and service-wide open examinations for CDC; identify annual examination needs; develop bulletins and advertise to inform public and CDC employees of upcoming examinations; review applications for minimum qualifications; administer written tests; coordinate and orient qualification appraisal interview panels; provide evaluations of education and experience (E&EEducation and Experience); develop eligible lists; and develop necessary test materials with the aid of subject-matter expert consultants including written tests, interview questions, E&EEducation and Experience criteria, etc.

Address SPBState Personnel Board (see CalHR) concerns on all appeals from applicants/competitors participating in CDC headquarters’ examinations. Review, analyze, and recommend either support or denial of appellant claims.

Process withholds of eligibles from employment lists when examination problems are identified, such as falsification of applications, clerical error resulting in failure of examination, or dismissal from state service.

Participate in internal audits of regional/local testing offices to identify facilities’ or divisions’ compliance with the State’s civil service merit system laws and rules.

Provides technical assistance, guidance and training for delegated examinations administered by the facility regional/local testing offices statewide.

Regional Testing Liaison Unit 1050 – 20th Street Sacramento, CACorrectional Administrators 95814 (916) 322-2545 If telephone numbers become obsolete, refer to DOMDepartment Operations Manual 31170.4.4.

RTLU is the central point for all facility local/regional testing office requests for technical assistance and training, development of statewide policies and procedures to enhance the regional/local testing concept, and administer examinations primarily for entry-level classifications that are locally recruited, such as instructors, medical personnel, supervising cooks, and trade workers.

Provide functional oversight and training to Institutional Personnel Officers (IPOInstitutional Personnel Officer) and regional/local testing office staff in examining procedures which include:

• Identifying annual examination needs; developing and distributing examination bulletins; establishing application review standards; administration of written tests, qualification appraisal interview panels and multiple panels (when appropriate); scoring of evaluations of E&EEducation and Experience; development of eligible lists; securing confidential test materials; and ensuring the integrity of examinations administered.

The RTLU also performs the following functions:

• Develops guidelines and procedures to enhance the ability of the regional/local testing offices to perform their functions efficiently and in compliance with established standards which govern the State’s civil service selection process.

• Participate in internal audits of regional/local testing offices to:

  • Identify a facility’s compliance with the State’s civil service merit system and areas where additional training is required

  • Provide guidance in the correction of identified problems.

• Address SPBState Personnel Board (see CalHR) concerns on all appeals from applicants/competitors participating in regional/local testing office examinations. RTLU shall review, analyze, and recommend either support or denial of appellant claims on the part of the regional/local testing offices.

• Process withholds of eligibles from employment lists when examination problems are identified, such as falsification of application, clerical error which erroneously resulted in granting a passing score when in fact the competitor failed the written test; or dismissal from State service which was overlooked during application review or which occurred after completion of the examination.

• Serve as a resource to IPOs and regional/local testing office staff on any delegated testing related issues.

• Provide test guidelines, questions, written test books, E&EEducation and Experience criteria, etc., upon request from regional/local testing offices to administer their delegated examinations and meet hiring needs.

• Develop necessary test materials with the aid of subject-matter expert consultants when materials are not available for use by regional/local testing offices.

• Evaluate critical statewide program needs and assist in the development of recommendations for resolution and implementation.

• Assist in the staffing process within regional/local testing offices when requested by IPOInstitutional Personnel Officer.

• Participates in the transition of the delegated testing program responsibility and examination history files from P&CDPlanning and Construction Division (see FPCM)’s NPAU to the local testing offices.

The facilities in Bold type indicate regional testing offices.

The LTOLocal Testing Offices’s objective is to ensure that examinations are held to provide eligible lists to fill vacancies in the facilities for specific spots and/or regions.

Among the LTOLocal Testing Offices’s responsibilities are administering delegated examinations for facilities/regions to include distribution of examination bulletin, application review, administration of written tests, coordination and monitoring of qualification appraisal interview panels, scoring of E&Es, and development of eligible lists and examination history files.

The Deputy Director, HRHuman Resources or designee shall be responsible for ensuring that the contents of this article are kept current and accurate.

SPBState Personnel Board (see CalHR) Laws & Rules

SPBState Personnel Board (see CalHR) Selection Manual

SPBState Personnel Board (see CalHR) Technical Selection Memoranda

Delegated Testing Manual

DOMDepartment Operations Manual §§ 31010 and 31060.