Source: https://www.ivancielaw.com/california-employment-law/california-state-personnel-board-administrative-regulations/
Timestamp: 2019-04-21 14:24:56+00:00

Document:
December 16, 2014 March 26, 2015 Mike Ivancie, Esq.
Below are the the most important regulations that govern how administrative actions proceed before the California State Personnel Board (SPB).
I have indexed and organized the regulations on a single page. I found that many other websites separate the regulations by sub-chapter making it hard to read relevant sections of the regulations together at once. I have produced only Chapters 1 and 1.2 which deal which are the General Civil Service Regulations, and the Hearings and Appeals Regulations, respectively. These regulations should cover most of the procedural issues you would encounter while participating in an SPB hearing.
The regulations below can be found in Title 2, Division One of the California Code of Regulations.
4.1.4 § 3.5. Appointing Power.
4.1.8 § 6. Executive Officer.
4.1.12 § 6.4. Break in Service.
4.2.1 § 21. Citation of Regulations.
4.2.2 § 22. Effect of Headings.
4.2.3 § 23. Continuing Provisions.
4.3.1 § 31. Regular Meetings.
4.3.3 § 33. Emergency Meetings.
4.3.5 § 34.5. Notice of Regular Meeting Agenda.
4.3.6 § 35. Continuances of Items Under Submission.
4.3.7 § 35.5. Reconsideration and Action.
4.3.9 § 37. Delegation Authority of the Board, Executive Officer, and the Department.
4.4.1 § 50. Merit Selection Manual.
5.1.1 § 51.1. Scope of Subchapter.
5.1.3 § 51.3. Construction of Regulations.
5.1.4 § 51.4. Contents of the Administrative Record.
5.1.6 § 51.6. When Decisions Become Final.
5.1.7 § 51.7. Petitioning for Rehearing.
5.2.1 § 52.1. Papers; Type Size; Signatures.
5.2.2 § 52.2. Changes in Mailing Address.
5.2.3 § 52.3. Filing Notices of Adverse Action with Spb.
5.2.4 § 52.4. Requirements and Method of Delivery for Filing Appeals and Complaints with the Spb.
5.2.5 § 52.5. Requirements and Method of Delivery for Filing All Other Papers with the Appeals Division.
5.2.6 § 52.6. Right to Respond to Proposed Personnel Action.
5.2.7 § 52.7. Request to File Charges Against State Employees.
5.2.8 § 52.8. Pleadings; Notice of Defense; Withdrawal of Notice of Defense.
5.2.9 § 52.9. Right to Representation; Notice of Representation and Withdrawal of Counsel or Other Representative.
5.2.10 § 52.10. Service; Proof of Service.
5.2.11 § 52.11. Counting Days.
5.3.1 § 53.1. Appeals or Complaints Assigned to Informal Hearing Process.
5.3.2 § 53.2. Appeals or Complaints Assigned to Investigative Review Process and Investigatory Hearings.
5.3.3 § 53.3. Appeals or Complaints Assigned to the Evidentiary Hearing Process.
5.3.4 § 53.4. Reassignment of Appeals.
5.4.1 § 54.1. Informal Hearing Process.
5.4.2 § 54.2. Withhold Appeals Based on Psychological Screening Results.
5.5.1 § 55.1. Investigative Review.
5.5.2 § 55.2. Investigatory Hearings.
5.5.3 § 56. Appeals of Layoff Review Findings Under Government Code Section 19798.
5.7.1 § 56.1. Authority of Alj.
5.7.2 § 56.2. Peremptory Strike.
5.7.3 § 56.3. Disqualification of Presiding Officer or Board Member for Cause.
5.7.4 § 56.4. Ex Parte Communications.
5.7.5 § 56.5. Avoiding Impropriety and the Appearance of Impropriety.
5.8.1 § 57.1. Prehearing/Settlement Conferences.
5.8.2 § 57.2. Consolidated Proceedings; Separate Proceedings.
5.9.1 § 58.1. Waiver of Government Code Section 18671.1.
5.9.2 § 58.2. Requests for Priority Hearing in Appeals and Complaints from Dismissal.
5.9.3 § 58.3. Dismissal of Appeals Not Brought to Hearing and Failure to Proceed.
5.9.4 § 58.4. Hearings Are Public.
5.9.5 § 58.5. Exclusion of Witnesses.
5.9.6 § 58.6. Electronic Proceedings.
5.9.7 § 58.7. Request for Security.
5.9.8 § 58.8. Accommodation for Persons with Disabilities.
5.9.10 § 58.10. Official Notice.
5.9.11 § 58.11. Notice of Settlement.
5.9.12 § 58.12. Documents Introduced into Evidence.
5.9.13 § 58.13. Court Reporters.
5.10.1 § 59.1. Request for Discovery; Statements; Writings; Investigative Report; Witness List.
5.10.4 § 59.4. Abuse of the Discovery Process; Sanctions.
5.11.1 § 60.1. Law and Motion; Procedures; Motions.
5.11.2 § 60.2. Motions for Hearing Continuances.
5.11.3 § 60.3. Motion to Compel Discovery.
5.12.1 § 61. Claims for Back Pay and Requests for Back Pay Hearings.
5.13.1 § 63.1. Name Clearing Hearing Procedures.
5.14.1 § 64.1. Discrimination; Harassment; Retaliation; Denial of Reasonable Accommodation.
5.14.2 § 64.2. Prerequisites for Filing a Discrimination Complaint with the Board.
5.14.3 § 64.3. Appointing Power Discrimination Complaint Process.
5.14.4 § 64.4. Response of Appointing Power to Discrimination Complaint.
5.14.5 § 64.5. Requirements for Filing Discrimination Complaint with the Spb.
5.14.6 § 64.6. Acceptance of Complaint; Notice.
5.15.1 § 66.1. Merit Issue Complaints.
5.16.1 § 67.1. Whistleblower Retaliation Complaints.
5.16.2 § 67.2. Requirements for Filing Whistleblower Retaliation Complaint with the State Personnel Board.
5.16.3 § 67.3. Acceptance of Whistleblower Complaint.
5.16.4 § 67.4. Cases Referred to Investigation.
5.16.5 § 67.5. Cases Referred to Informal Hearing.
5.16.6 § 67.6. Findings of the Executive Officer.
5.16.7 § 67.7. Disciplinary Action for Proven Retaliatory Acts.
5.16.8 § 67.8. Consolidation with Other Hearings.
Articles 1 through 25, inclusive, are promulgated under the authority of Section 18701, Government Code, unless otherwise noted.
Unless the context requires otherwise, the definitions hereinafter set forth govern the construction of these regulations.
“Act” means the State Civil Service Act and Part 1 of Division 5 of Title 2 of the Government Code of the State of California.
“Agency” includes “department,” “board,” “office,” “authority,” “commission,” and every other governmental unit.
“Appointing Power” means a person or group defined by statute as having authority to make appointments to positions in the state civil service. This in no way affects the delegation of authority, as defined in Section 7 of the Government Code.
“Board” means the State Personnel Board of the State of California.
“Department” means the California Department of Human Resources.
“Employee” includes every officer and employee subject to the act or these regulations.
“Executive Officer” means the executive officer of the board.
§ 6.4. Break in Service.
(b) then remains outside state service for at least eleven consecutive working days.
“Regulations” means the regulations of the board.
The word “compensation” as used in Government Code Section 19257 includes salary, vacation, sick leave, health benefits, retirement benefits, salary step advancement and State service credit for determining vacation earning rates and eligibility for a salary above the minimum rate when legally appointed to the class, Industrial Disability Leave, Nonindustrial Disability Insurance benefits and red circle rates. “Compensation” also includes the continuity of service when used to determine the employee’s eligibility for these compensation items.
“Compensation” as used in Government Code Section 19257 does not include tenure in a position, seniority credits, permissive reinstatement, eligibility, mandatory reinstatement rights, eligibility to take promotional examinations, career credits, permanent or probationary status and service toward completion of the probationary period; nor continuity of service when used to determine the employee’s right to or eligibility for any of the foregoing.
(a) “Individual with a disability” means, with respect to an individual (1) having a physical or mental impairment that substantially limits one or more major life activities of such individual; (2) having a record of such impairment; or (3) being regarded as having such an impairment.
(b) “Physical Impairment” means any physiological disorder, or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the body systems: neurological, musculoskeletal, special sense organs, respiratory (including speech organs), cardiovascular, reproductive, digestive, genito-urinary, hemic and lymphatic, skin and endocrine.
(c) “Mental impairment” means any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities.
(d) “Major life activities” means activities that an average person can perform with little or no difficulty, such as: walking, speaking, breathing, performing manual tasks, seeing, hearing, learning, caring for oneself, working, sitting, standing, lifting, or reaching, etc.
(e) “Substantially limits” means the individual with a disability is: 1) unable to perform a major life activity that the average person in the general population can perform; or 2) significantly restricted as to the condition, manner or duration under which the average person in the general population can perform that same major life activity.
§ 21. Citation of Regulations.
§ 22. Effect of Headings.
Article and section headings contained herein shall not be deemed to govern, limit, modify or in any manner affect the scope, meaning, or intent of the provisions of any article or section hereof.
The provisions of these regulations, insofar as they are substantially the same as regulations of the board superseded hereby and relating to the same subject matter, shall be construed as restatements and continuations and not as new enactments. Rights, privileges, and remedies accrued under any regulations superseded by these regulations are continued in full force and effect unless abolished by some contrary provision herein.
In order that the work of the board may be expedited, the appointing power of every state agency shall file with the board such reports as the board or the executive officer may require. Reports shall be submitted on such forms and filed at such times as may be prescribed by the board or the executive officer.
The time and place of each regular meeting of the board shall be fixed by the board not less than one month preceding the date of the meeting.
Emergency meetings of the board shall be called by the president of the board at any time and place within the State of California upon the request of not less than three members of the board.
(a) All matters to be presented for consideration by the board at a regular meeting shall be placed upon the board’s calendar without undue delay. The calendar agenda shall be distributed to every party who has requested a copy at least ten days prior to such regular meeting.
(b) The non-hearing calendar is defined as agenda items submitted by either the board staff or the Department of Personnel Administration staff which the executive officer determines can be acted upon by the board without a hearing.
(c) Interested parties with concerns or who oppose any item on the non-hearing calendar may submit a written notice to the executive officer stating the nature of the concern or opposition, and explaining how the issue of concern is a merit employment matter within the board’s scope of authority as set forth in the State Civil Service Act (Government Code Section 18500 et seq.) and Article VII, California Constitution. Such written notice must be received by the executive officer not later than close of business on the Wednesday before the board meeting at which the item is scheduled.
(d) In investigating matters outlined in subsection (c) the executive officer shall act as the board’s authorized representative, and shall recommend to the board either (1) to act on the agenda item as submitted, without a hearing or (2) to hear the item, including a staff recommendation on resolution of the merit issues in dispute.
§ 34.5. Notice of Regular Meeting Agenda.
Whenever notice of an agenda item is required to be given of matters to be heard or considered by the board and a different method is not provided, the executive officer shall cause a notice to be posted at the office of the board at Sacramento at least ten (10) days before the date of hearing giving the nature of the matter and giving notice that all persons interested may appear, at a time and place mentioned in the notice, in support of or in opposition to the matter. Notice of agenda item shall be provided at least ten days in advance of the meeting date, to any person who requests such notice in writing. In cases of emergency the executive officer may shorten the period of notice to not less than one (1) hour.
§ 35. Continuances of Items Under Submission.
All matters appearing on the calendar that are not disposed of by a motion to vote by the board shall be considered as items under submission and shall appear on subsequent calendar(s) as items of unfinished business until such a motion is made.
Items may be taken under submission whenever time does not permit sufficient deliberation to call for a motion to vote or when the board requires additional information prior to voting.
§ 35.5. Reconsideration and Action.
In any meeting of the board, a vote of three concurring members is required to make any action effective whether that action is to grant or deny an appeal, request, or other matter properly before the board. Where a matter requires such action and a motion to take such action fails for lack of three concurring votes, the matter shall not be dropped from the calendar. Upon the adoption of a motion to reconsider made by any member of the board at the same, or succeeding meeting, the matter shall be reconsidered. If a motion to reconsider is not adopted within three months, the matter shall be dropped from the calendar and the appeal or request shall be deemed denied.
A member of the board may participate in the reconsideration of a matter even though the member was not present during the original consideration if the interested parties agree or if the member has reviewed a transcript of the proceedings and the documents and other materials before the board.
§ 37. Delegation Authority of the Board, Executive Officer, and the Department.
Whenever it is stated in these regulations that the “Board” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the State Personnel Board specifically has reserved the same for its own, exclusive action. Whenever it is stated that the “Board” or the “Executive Officer” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, either the State Personnel Board or the Executive Officer thereof may take action thereon. Whenever it is stated that the “Executive Officer” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the Executive Officer of the State Personnel Board has the exclusive power to act thereon. Whenever it is stated that the “Department” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the Department, or an appointing power delegated by the Department, has the power to act thereon in accordance with Board regulations. Any party in interest may appeal to the State Personnel Board for review of the actions and decisions of the Executive Officer or the actions and decisions of the Department made to operate and administer the state civil service system, as set forth in Government Code section 18502, subdivision (a)(2).
Nothing herein prohibits the Executive Officer from redelegating to subordinates or to an appointing power he or she designates as provided by Section 18654 of the Government Code.
§ 50. Merit Selection Manual.
Each agency and department with delegated or decentralized selection responsibilities shall develop and maintain a selection program as specified in the State Personnel Board’s Merit Selection Manual: Policy and Practices,dated October 2003, and in accordance with existing laws and rules. The State Personnel Board’s Merit Selection Manual: Policy and Practices, dated October 2003, is hereby incorporated by reference in its entirety.
§ 51.1. Scope of Subchapter.
The regulations in this subchapter shall apply to all Appellants, Complainants, and Respondents and all hearings and investigative reviews conducted by the Board or its designees.
Unless the context requires otherwise, the following definitions shall apply to regulations in this article.
(a) “Administrative Law Judge” or “ALJ” means a person employed by the State Personnel Board (SPB) to conduct evidentiary hearings under this article.
(b) “Adverse action” means an action taken by an appointing power to discipline an employee and includes formal reprimand, transfers for disciplinary reasons, suspension, reduction-in-salary, demotion and dismissal.
(c) “Affirmative defense” means an assertion by one party raising facts and arguments that, if true, will defeat the other party’s claim, even if all allegations in the other party’s complaint or Notice of Adverse Action are true.
(d) “Agency” means any agency, department, board, commission, district, or other designated entity that employs state civil service employees.
(e) “Appeal” means any written request for relief or review filed as provided in these regulations and includes “application,” “petition,” “protest,” “complaint” and “answer” pursuant to section 19575 of the Government Code.
(f) “Appeals division” means the Appeals Division of the State Personnel Board.
(g) “Appellant” means the person or organization filing any appeal with the SPB.
(h) “Appointing authority” or “appointing power” means the individual or entity that possesses the final authority to appoint and/or dismiss a state employee.
(i)(1)(A) “Back pay” means the compensation Appellant would have received from Respondent if Appellant had not been subject to an adverse action, a non-punitive demotion, transfer, or termination, a medical demotion, transfer, or termination, or had not been rejected during employment, less any compensation Appellant earned or might reasonably have earned in private or public employment during the period the action or rejection was improperly in effect.
(B) Back pay shall not include overtime compensation that the Appellant may have earned from Respondent during the time period that Appellant was not working for Respondent due to the adverse action.
(C) Back pay shall not be authorized or paid for any portion of time during which Appellant was not ready, able, and willing to perform the duties of his or her position, whether or not the action or rejection was properly in effect.
(F) Physical fitness, or other incentive, pay Appellant would have earned if he or she had been working for Respondent for the period of time the action was improperly in effect.
(3) Any monthly health premium that would have been deducted from Appellant’s pay at the time of the action shall be deducted from an Appellant’s back pay for the period the Appellant was not working for Respondent.
(j) “Board” means the five-member State Personnel Board.
(k) “Brought to Hearing” means when the record is opened for the purposes of initiating the evidentiary hearing and receiving evidence.
(m) “Complainant” means the person or organization filing a complaint of discrimination, harassment, retaliation, or denial of reasonable accommodation for a known physical or mental disability.
(n) “Constructive Medical Action” means an involuntary transfer or demotion, or a refusal to permit an employee to return to work for purported medical reasons without providing the employee those due process protections set forth in Government Code section 19253.5.
(o) “Days” means calendar days, unless otherwise indicated.
(3) under the sole control of the person using it, or the person’s designee.
(q) “Electronic signature” means an electronic sound, symbol, or process attached to, or logically associated with, an electronic record and executed or adopted by a person with the intent to sign the electronic record.
(r) “Examination appeal” means appeals concerning allegations that: an Appellant’s civil service examination was not accepted by the examining agency; civil service examination statutes, regulations or policies were violated during the examination process; and/or improprieties in the appointment or promotion process.
(s) “Evidentiary hearing” means a hearing conducted before an ALJ, during which: opening and closing arguments are permitted; direct examination and cross examination of witnesses is permitted; physical and documentary evidence may be introduced and admitted; and a proposed decision is submitted by the ALJ for review by the Board.
(t) “Executive Officer” means the Executive Officer of the State Personnel Board, as designated in Article VII, section 3, subdivision (b), of the California Constitution.
(u) “Filed” means received by the State Personnel Board after the filing party has complied with applicable statutory and regulatory filing requirements.
(8) a party’s mistake of law constituting excusable neglect.
(w) “Hearing officer” means a State Personnel Board employee designated by the Board, the Executive Officer, or other appropriate authority, to conduct a hearing concerning appeals from pre-employment medical or psychological disqualification, appeals from a failure of a pre-employment drug test, and other appeals as deemed appropriate, in accordance with sections 54.1 and 55.2.
(x) “Informal Hearing” means a hearing conducted pursuant to Government Code sections 11445.10 through 11445.60.
(y) “Investigative officer” means a State Personnel Board employee designated by the board, the Executive Officer, or other appropriate authority, to conduct an investigative review concerning merit issue appeals, requests-to-file-charges, appeals from withhold from certification, appeals from voided appointment, examination appeals, requests from dismissed employees to take civil service examinations, and other appeals as deemed appropriate.
(z) “Investigative Review” means an investigation conducted by an investigative officer during which the investigative officer shall have the authority to conduct the investigation in accordance with the provisions of section 55.1.
(aa) “Investigatory Hearing” means an evidentiary hearing conducted by the Chief ALJ’s designee in accordance with the provisions of section 55.2.
(bb) “Medical Action” means an action to transfer, demote, dismiss, or to involuntarily apply for disability benefits on behalf of an employee for asserted medical reasons, pursuant to the provisions of Government Code section 19253.5.
(cc) “Merit issue appeal” means an appeal concerning allegations that the State Civil Service Act or State Personnel Board regulation or policy related to applications, appointments and promotions within the civil service system has been violated by an agency. Merit issue appeals include, but are not limited to: allegations of interference with promotional opportunities, disputes concerning the effective date of appointments and promotions, and the applicability of alternate salary ranges. Merit issue appeals do not include appeals of actions that are specifically provided for elsewhere in law or in board regulations.
(dd) “Non-punitive action” means an action to transfer, demote, or dismiss an employee for failure to meet one or more requirements for continuing employment pursuant to the provisions of Government Code section 19585.
(ee) “Office of the Chief Counsel” means the Office of the Chief Counsel for the board.
(ff) “Peremptory strike” means the disqualification without cause of an ALJ assigned to a hearing.
(gg) “Presiding officer” means an individual who presides over a hearing in a contested case.
(hh) “Rejection during probationary period” or “rejection” means an action to remove an employee from a probationary appointment.
(ii) “Respondent” means the person or state agency from whose action or decision the appellant is seeking relief.
§ 51.3. Construction of Regulations.
(a) As used in these regulations, words in the singular shall include the plural and words in the plural shall include the singular, unless the context otherwise requires.
(b) Statutory references are to the Government Code unless otherwise specified.
(c) In these regulations, whenever a time is stated within which an act is to be done, the time is computed by excluding the first day, and including the last day. If the last day is any day the board is closed for business, that day is also excluded.
§ 51.4. Contents of the Administrative Record.
The complete administrative record of an evidentiary, informal, or investigatory hearing shall include any pleadings, motions, notices, orders, proposed decisions, final decisions, evidence marked for identification and offered for introduction into the record, whether admitted or rejected, transcriptions of all recorded proceedings, and other written communication addressing substantive issues pertinent to the case. The administrative record shall not include any evidence that a party has withdrawn.
§ 51.6. When Decisions Become Final.
A board decision on an appeal or a complaint becomes final the day the decision rendered by the board is served by the board upon the parties to the decision. This section does not apply to whistleblower retaliation complaints.
§ 51.7. Petitioning for Rehearing.
Either the appellant or the respondent may file a petition for a rehearing of an appeal decision under the provisions of sections 19586 and 19587 of the Government Code.
Action on petitions for rehearing shall be taken within 90 days of the service specified in section 19586 of the Government Code.
§ 52.1. Papers; Type Size; Signatures.
(a) All papers filed with SPB must be on 8 1/2 by 11 inch paper, printed or typewritten or be prepared by a photocopying or other duplication process that produce clear and permanent copies equally as legible as printing.
(b) All typewritten papers filed with SPB must be printed in type not smaller than 12 point.
(c) The use of an electronic or digital signature on a document filed with the board shall have the same force or effect as a manual signature on a document filed with the board. A person who signs a filed document electronically or digitally shall retain a copy of the original document with the person’s manual signature.
§ 52.2. Changes in Mailing Address.
All parties shall inform the Appeals Division of any change in their mailing address at the time of the change but not later than 1 week after the change.
§ 52.3. Filing Notices of Adverse Action with Spb.
Thirty (30) days after the effective date of this section, the Appointing Authority shall file Notices of Adverse Action with the Board utilizing the Board’s on-line filing system.
§ 52.4. Requirements and Method of Delivery for Filing Appeals and Complaints with the Spb.
(a) All appeals and complaints shall be in writing.
(4) Identify all Respondents known to the Appellant or Complainant including, for individually-named Respondents, first and last name, job title, and business address.
(c) Unless the appeal or complaint names some other Respondent, the Appellant’s or Complainant’s appointing power shall be considered the only Respondent.
(d) The Appeals Division shall mail or serve a copy of the appeal or complaint to or on the Respondent(s).
(ii) Appeals from written examinations shall be filed within 30 days of the date that examination results are mailed to the Appellant.
(O) Appeals from disciplinary action, rejection during probationary period, medical transfer or termination, automatic resignation, layoff, refusal to hire from a re-employment list, or grievance involving discrimination or political affiliation, filed pursuant to the provisions of Government Code section 19800 – 19810, pertaining to Local Agencies, shall be filed in accordance with the provisions of Title 2, Division 5, Chapter 2, Article 8, Subarticle 1, section 17550.
(P) Appeals from Withhold from Certification and Voided Appointment shall be filed within 30 days of the date that the Notice of Withhold from Certification or Notice of Voided Appointment is mailed to the Appellant.
(Q) Back pay claims and requests for back pay hearings, as described in section 61, shall be filed within one year of the date of the board’s decision giving rise to the back pay obligation.
(2) In all other cases, the appeal or complaint shall be filed within 30 days after the event upon which the appeal or complaint is based.
(3) Any Appellant or complainant seeking to file an appeal or complaint beyond the time limits in this section, must file a petition with the Chief ALJ or his or her designee demonstrating good cause as to why the appeal or complaint should be accepted. Upon good cause being shown, the Chief ALJ or his or her designee may allow an appeal or complaint, except as otherwise limited by statute, to be filed within 30 days after the end of the period in which the appeal or complaint should have been filed.
(1) Appeals or complaints delivered by electronic mail (e-mail), will be filed on the date received by SPB.
(2) Appeals or complaints delivered by the U.S. Postal Service are filed on the date received by the SPB. An Appellant or Complainant may obtain proof of the filing of the appeal or complaint by submitting either an extra copy of the appeal or complaint or the first page only, with a self-addressed, return envelope, postage prepaid. The Appeals Division shall return the copy marked with the date of filing.
(3) Appeals or complaints hand delivered to the SPB during regular business hours will be filed on the date received by the SPB after the filing party has complied with applicable statutory and regulatory filing requirements.
§ 52.5. Requirements and Method of Delivery for Filing All Other Papers with the Appeals Division.
(a) After an appeal or complaint has been filed with the Appeals Division for review, investigation or hearing, all papers thereafter shall be filed with the Appeals Division, except as provided for in subdivision (b).
(5) The date(s) of the hearing and any future prehearing or settlement conferences, if known.
(1) All other papers delivered by electronic mail (e-mail), will be filed on the date received by SPB.
(2) All other papers delivered by the U.S. Postal Service are filed on the date received by the SPB. An Appellant or Complainant may obtain proof of the filing of the appeal or complaint by submitting either an extra copy of the appeal or complaint or the first page only, with a self-addressed, return envelope, postage prepaid. The Appeals Division shall return the copy marked with the date of filing.
(3) Appeals or complaints hand delivered to the SPB during regular business hours will be filed on the date received.
§ 52.6. Right to Respond to Proposed Personnel Action.
(b) The person whom the employee is to respond to in subsection (a)(5) shall be above the organizational level of the employee’s supervisor who initiated the action unless that person is the employee’s appointing power in which case the appointing power may respond to the employee or designate another person to respond.
(c) The procedure specified in this section shall apply only to the final notice of proposed action.
§ 52.7. Request to File Charges Against State Employees.
(a) Any request to file charges pursuant to Government Code section 19583.5, shall be filed by the requesting party with the Appeals Division of the SPB. The requesting party shall also serve the appropriate number of conforming copies on the appointing authority for each employee against whom disciplinary action is sought.
(b) Each request shall be in writing.
(c) Each request must clearly state the facts constituting the cause or causes for adverse action in such detail as is reasonably necessary to enable the accused employee to prepare a defense thereto. The accused employee has a right to provide an answer within 30 days of service of the request to file charges pursuant to Government Code section 19583.5.
(d) Each request must clearly state the legal cause(s) for discipline as set forth in Government Code section 19572.
(e) Each request shall include a sworn statement, signed under penalty of perjury, that the contents of the request are true and correct.
(f) Each request shall be limited to a maximum of 15 pages of double-spaced typed or printed text, not including exhibits. Additional pages may be allowed upon a showing of good cause. The requesting party shall submit a separate document with the request to file charges stating the reasons for good cause for the additional pages.
(g) Where it does not appear that the material facts alleged are within the personal knowledge of the requesting party, the Appeals Division may require the requesting party to present supporting affidavits from persons having actual knowledge of the facts before acting upon the request.
(h) Only after compliance with subdivisions (a) through (g) will the Appeals Division conduct an investigative review to determine whether the Board will give its consent to file charges.
(i) If the Board approves the request after an investigative review, the parties will be notified that the request has been approved and that the matter will be scheduled for an evidentiary hearing before an ALJ. The Appeals Division will notify the parties of the time and location of the hearing.
(1) The hearing shall be conducted in accordance with those regulations related to the adverse action hearing process pursuant to Sub-Article 6, beginning with section 56.1. During the hearing, the requesting party shall bear the burden of proving the allegations contained in the request by a preponderance of the evidence.
(2) No disciplinary action shall be imposed on the employee until after the completion of the hearing, and only upon a finding by the Board that disciplinary action is warranted against the employee.
(3) In those instances where the Board finds that disciplinary action is warranted against the employee, the Board shall notify the employee’s appointing authority of the disciplinary action to be imposed on the employee. The appointing authority shall thereafter cause the disciplinary action mandated by the Board to be implemented against the employee within a reasonable period of time, not to exceed two weeks. The employee shall not be entitled to a right to respond pursuant to section 52.6. Within 30 days after a copy of the Board’s decision is served upon the parties, either party may petition the Board for rehearing of the decision, pursuant to Government Code section 19586.
§ 52.8. Pleadings; Notice of Defense; Withdrawal of Notice of Defense.
(a) A party may seek approval from the board to amend a pleading, including a Notice of Adverse Action amended in accordance with Government Code section 19575.5. When a party seeks to amend a pleading, the party shall promptly serve on all other parties and file with the Appeals Division a complete, new pleading. The party seeking to amend the pleading shall use highlighting or italics or any other effective method to identify the changes made to the pleading. The new pleading shall be titled a “First Amended” pleading, and subsequent amended pleadings shall be titled consecutively. The ALJ, or the hearing officer, may allow exceptions for minor amendments during the hearing.
(b) The Chief ALJ or his or her designee may require a showing of good cause prior to making a determination as to whether to grant the request to amend a pleading.
(c) The board prefers amended to supplemental pleadings. However, if a party issues a supplemental pleading, the party shall serve on all other parties and promptly file with the Appeals Division the supplemental pleading, which shall be titled a “First Supplemental” pleading. Subsequent supplemental pleadings shall be titled consecutively.
(d) A party who withdraws a notice of defense, a request for hearing, or an asserted special defense, shall immediately notify the Appeals Division and all other parties in writing.
(e) At any time before the opening of the record in a matter, a claimant seeking back pay, a Respondent seeking a back pay hearing, or a Complainant may withdraw his or her request, claim or complaint and the request, appeal or complaint shall be deemed dismissed without prejudice.
(f) At any time after the commencement of a hearing and before a proposed decision has been submitted to the board for consideration, a claimant seeking back pay, a Respondent seeking a back pay hearing, or a Complainant may seek approval from the Chief ALJ or his or her designee to withdraw his or her request for hearing, claim or complaint with prejudice. In making a determination about whether an individual may be permitted to withdraw his or her request, claim or complaint with prejudice, the Chief ALJ or his or her designee shall consider whether any parties object to the request. A whistleblower retaliation complaint shall not be permitted to be withdrawn following the closure of the record in the proceeding.
(g) Once a proposed decision on a request for back pay hearing, a back pay claim, or a complaint is submitted to the board for its consideration, the Respondent, claimant or Complainant shall not be permitted to withdraw his, her, or its request, claim or complaint, unless all of the parties to the proceeding have submitted a settlement agreement in the matter with the board.
(h) For purposes of this section, a proposed decision on a back pay appeal or a complaint is considered submitted to the board for its consideration once the board has issued an agenda pursuant to Government Code section 11125 indicating that the appeal or complaint will be considered at its next board meeting.
§ 52.9. Right to Representation; Notice of Representation and Withdrawal of Counsel or Other Representative.
(a) Any party may be represented by counsel or any other person or organization of the party’s choice in any hearing or investigation conducted pursuant to this article.
(b) Any counsel or other representative who has assumed representation of a party in any case submitted for hearing before the SPB shall give written notice to the Appeals Division if no presiding officer has been assigned, and written notice to all parties of his or her name, address, telephone number and fax number (if any) and the name of the represented party, within a reasonable time after assuming representation.
(c) Any counsel or other representative may withdraw as counsel or representative of record by giving written notice to the Appeals Division if no presiding officer has been assigned, and written notice to all parties of the withdrawal. The written notice shall include the last known address of the formerly represented party.
(3) The formerly represented party is responsible for preparation and representation throughout the remainder of the case, unless and until such party retains new counsel or other representative.
(e) Withdrawal or change of counsel or other representative does not alone constitute grounds for continuance of any previously scheduled proceeding in the case.
§ 52.10. Service; Proof of Service.
(a) Service of subpoenas and subpoena duces tecum shall be made by personal service, or by United States mail with postage fully prepaid, certified with return receipt requested.
(b) Service of all other documents shall be made pursuant to sections 1012, 1013, and 1013a of the Code of Civil Procedure.
(a) If an act must occur a certain number of days after an event, and the exact number of days after the event falls on a Saturday, Sunday, holiday, or other non-business day, then the pleading is due the business day immediately following the Saturday, Sunday, holiday or other non-business day.
(b) If an act must occur a certain number of days before an event, and the exact number of days before the event falls on a Saturday, Sunday, holiday, or other non-business day, then the pleading is due the business day immediately preceding the Saturday, Sunday, holiday or other non-business day.
§ 53.1. Appeals or Complaints Assigned to Informal Hearing Process.
(1) Appeals from psychological and medical disqualification.
(2) Appeals from voided civil service appointments.
(3) Appeals from denial to take state civil service examination or be certified to any position in state civil service, pursuant to section 211.
(4) Whistleblower retaliation complaints not consolidated with other appeals assigned to the evidentiary hearing process.
§ 53.2. Appeals or Complaints Assigned to Investigative Review Process and Investigatory Hearings.
(1) Complaints of discrimination based upon medical condition, mental disability, or physical disability, including denial of reasonable accommodation, complaints of retaliation under Government Code section 19702, challenges to examination results, rejection of application for state civil service employment based upon minimum qualifications, certification withholds, appeals of layoff review findings under Government Code section 19798, and merit issue complaints.
(b) Unless otherwise required by law, or otherwise assigned, appeals of rejections during probationary period and appeals of an adverse action where the penalty imposed is an official reprimand or other penalty equal to or less than a suspension without pay for five days or equal to or less than a one-step reduction in pay for four months will be assigned to the investigatory hearing process.
§ 53.3. Appeals or Complaints Assigned to the Evidentiary Hearing Process.
(1) Approved requests to file charges pursuant to Government Code section 19583.5.
(2) Appeal of an adverse action pursuant to Government Code section 19575 or 19590 where the penalty imposed is greater than a suspension without pay for five days or a one-step reduction in pay for four months.
(3) Any other appeal or complaint deemed appropriate by the Chief ALJ, Executive Officer, the Board, or its President.
§ 53.4. Reassignment of Appeals.
Except as otherwise provided by law, the Board, the Executive Officer, or the Chief ALJ may reassign an appeal to any process.
§ 54.1. Informal Hearing Process.
(a) For those appeals assigned to hearing before a hearing officer, the hearing officer shall have the authority to administer oaths, subpoena and require the attendance of witnesses and the production of books or papers. The hearing officer shall have the sole discretion to determine whether the parties to the hearing shall have the authority to call and examine witnesses. The hearing officer shall have the authority to take official notice of those matters specified in Government Code section 11515, in accordance with the provisions of that section.
(b) Failure of any party to proceed at hearings presided over by a hearing officer shall be deemed a withdrawal of the action or appeal unless the hearing is continued for good cause.
(c) The provisions of section 59.2 and 59.3 shall apply to hearings conducted by hearing officers except that all motions or petitions filed with the Appeals Division pursuant to those regulations shall be directed to the attention of the Chief ALJ and not the hearing officer.
(d) The hearing shall be calendared for no more than 2 hours, except for Whistleblower Retaliation hearings which will be calendared for no more than 4 hours.
(e) The hearing officer may question the parties and the parties’ witnesses and extend additional time to each of the parties.
(f) The hearing officer is not bound by common law/statutory rules of evidence or by technical or formal rules of procedure, except as set forth herein, but shall conduct the hearing in such a manner as necessary to reach a just and proper decision. Relevant evidence will be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs.
(g) Declarations/affidavits made under penalty of perjury will be admissible even though they are technically hearsay, and may be relied upon by the hearing officer to make a finding of fact.
(h) The hearing officer shall prepare a proposed decision which will be forwarded to the board.
§ 54.2. Withhold Appeals Based on Psychological Screening Results.
(a) “Screening Program” as used herein for withhold appeals based upon psychological screening results for peace officer candidates means the Department, the California Department of Corrections and Rehabilitation, or an agency delegated by the Department that conducted the psychological screening of the appellant.
(b) Candidates who have obtained a positive report from an outside qualified professional, but who are withheld from certification by the Screening Program, may file a written appeal with the Board’s Appeals Division. Any such appeal shall be filed within 30 days after the candidate is notified that he or she has been withheld from certification.
(c) Upon timely receipt of the appeal, an informal hearing shall be scheduled as provided in section 54.1.
(a) For those appeals assigned to review by an Investigative Officer pursuant to section 53.2, the Investigative Officer shall have the authority to interview witnesses, administer oaths, subpoena and require the attendance of witnesses and the production of books or papers. The Investigating Officer shall also have the authority to take official notice of those matters specified in section 11515 of the Government Code.
(b) No hearing shall be conducted concerning those appeals assigned to investigative review. No party to the appeal shall be authorized to conduct discovery concerning those issues subject to investigative review. No party to the appeal shall be authorized to call and examine witnesses as part of the investigative review. The investigative review shall be based upon any documentary or other information deemed relevant by the Investigative Officer.
(c) The Investigative Officer is not bound by common law/statutory rules of evidence or by technical or formal rules of procedure, except as set forth herein, but shall conduct the investigatory review in such a manner as necessary to reach a just and proper decision. Relevant evidence will be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs.
(d) Declarations/affidavits made under penalty of perjury will be admissible even though they are technically hearsay, and may be relied upon by the Investigative Officer to make a finding of fact.
(a) Failure of any party to proceed at the investigatory hearing shall be deemed a withdrawal of the action or appeal, unless the investigatory hearing is continued for good cause.
(b) The investigatory hearing shall be calendared for no more than 6 hours. Each party will be allotted a total of 3 hours to be allocated at that party’s discretion for presentation of its case, including examination and cross-examination of witnesses, presentation of declarations, documentary evidence, and exhibits, and presentation of arguments. While use of the time allotted is at each party’s discretion, the suggested format for the hearing is as follows: 10 minutes each for opening statements, 120 minutes each to call witnesses and present declarations, documentary evidence and exhibits, 30 minutes each for cross-examination of the opposing party’s witnesses, and 20 minutes each for closing arguments. The presiding officer is authorized to conduct a full evidentiary hearing in an appeal defined in this regulation upon mutual agreement of the parties or, upon motion by one of the parties, if the presiding officer finds it in the interest of justice to do so.
(c) The presiding officer has discretion to ask clarifying questions of the witnesses or the parties either during or at the conclusion of each party’s case-in-chief and has sole discretion to extend additional time to each of the parties.
(d) The presiding officer is not bound by common law/statutory rules of evidence or by technical or formal rules of procedure, except as set forth herein, but shall conduct the investigatory hearing in such a manner as necessary to reach a just and proper decision. Relevant evidence may be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs.
(e) Declarations/affidavits made under penalty of perjury shall, at the discretion of the presiding officer, be admissible even though they are technically hearsay, and may be relied upon by the presiding officer to make a finding of fact.
(f) The presiding officer shall prepare a short-form proposed decision which would be forwarded to the board within 30 days of the investigatory hearing. The decision shall include enough information to allow the board to exercise its constitutional authority to review disciplinary actions, such as (1) introduction; (2) factual allegations sustained and not sustained, referring to the Notice of Adverse Action; (3) legal causes, sustained and not sustained, referring to the Notice of Adverse Action and any other applicable legal authority; (4) penalty including brief references to any applicable legal authority; and (5) any finding of fact that the presiding officer decides is necessary to highlight.
(g) Absent board rejection of the proposed decision, each case should be opened and closed in no more than 180 days.
§ 56. Appeals of Layoff Review Findings Under Government Code Section 19798.
(a) All appeals filed under Government Code section 19798 shall comply with section 52.4 and be filed no later than 30 days from the date the affected employee, respective employee organization, or agency was notified of the Department’s findings. The filing of an appeal shall not delay the implementation of a seniority based layoff.
(b) Either the appellant or respondent may file a petition for rehearing of an appeal decision as set forth in section 51.7.
§ 56.1. Authority of Alj.
When an ALJ has been assigned to evidentiary or investigatory hearing matters, an ALJ is fully authorized and empowered to control the litigation before them and may grant or refuse extensions of time, receive evidence, hold appropriate conferences before or during hearings, rule upon all objections or motions, hear argument, and fix the time for the filing of briefs. An ALJ is fully authorized and empowered to perform any and all other acts in connection with such proceedings that may be authorized by law or these regulations, including those acts necessary to ensure due process for all parties, and has wide latitude as to all phases of the conduct of the hearing, including the manner in which the hearing will proceed.
(a) A party is entitled to one peremptory strike (disqualification without cause) of an ALJ assigned to a hearing. In no event shall a peremptory strike be allowed if it is made after the hearing has commenced.
(d) Nothing in this regulation shall affect or limit the provisions of a challenge for cause under section 56.3, or any other applicable provisions of law.
§ 56.3. Disqualification of Presiding Officer or Board Member for Cause.
(a) A presiding officer shall perform his or her duties without bias or prejudice. A presiding officer shall dispose of all matters fairly, promptly, and efficiently.
(b) A presiding officer shall disqualify himself or herself in any proceeding in which disqualification is required by law, including those instances in which the presiding officer has a bias, prejudice, or interest in the proceeding.
(C) has as a lawyer or public official participated in the drafting of laws or regulations, the meaning, effect, or application of which is at issue in the proceeding.
(2) The parties may waive the disqualification by a writing that recites the grounds for disqualification. A waiver is effective only when signed by all parties, accepted by the presiding officer, and included in the record.
(c) A presiding officer shall disclose on the record information that is reasonably relevant to the question of disqualification, other than the information listed in subdivision (b)(1) of this section, even if the presiding officer believes there is no actual basis for disqualification.
(d) Any party may request the disqualification of any presiding officer by filing an affidavit, prior to the taking of evidence at a hearing, stating with particularity the grounds upon which it is claimed that the presiding officer should be disqualified. The issue shall be determined by the Chief ALJ or his or her designee.
§ 56.4. Ex Parte Communications.
(a) While any adjudicatory proceeding is pending before the board or a presiding officer, there shall be no communication, direct or indirect, regarding any issue in the proceeding, to the presiding officer from any party, party representative, or interested third party, or to any party, party representative, or interested third party, from a presiding officer, without notice and opportunity for all parties to participate in the communication.
(1) Nothing in this section precludes a communication made on the record at the hearing.
(2) For the purpose of this section, a proceeding is pending from the submission of an appeal to the Appeals Division.
(3) The communication is directly related to settlement negotiations between the parties and both parties are aware that the presiding officer is discussing issues related to settlement with both parties.
(c) If, while the proceeding is pending, but before serving as the presiding officer, a person receives a communication of a type that would be in violation of this section if received while serving as the presiding officer, the person promptly after starting to serve, shall disclose the content of the communication on the record and give all parties an opportunity to address it in the manner provided in subdivision (d).
(B) If the communication is oral, a memorandum stating the substance of the communication, any response made by the presiding officer, and the identity of each person from whom the presiding officer received the communication.
(2) The presiding officer shall notify all parties that a communication described in this section has been made a part of the record.
(B) The presiding officer has the discretion to allow the party to present evidence concerning the subject of the communication, including discretion to reopen a hearing that has been concluded.
(e) Receipt or initiation by the presiding officer, other than a board member, of a communication in violation of this article may be grounds for disqualification of the presiding officer. If the presiding officer is disqualified, the portion of the record pertaining to the ex parte communication may be sealed by protective order of the disqualified presiding officer.
§ 56.5. Avoiding Impropriety and the Appearance of Impropriety.
(a) A presiding officer shall act at all times in a manner that promotes public confidence in the integrity and impartiality of the position.
(b) A presiding officer shall neither allow family, social, political, or other relationships to influence the conduct or judgment of the presiding officer nor permit others to convey the impression that any individual is in a special position to influence the presiding officer.
(c) A presiding officer shall not lend the prestige of his or her office or use his or her title in any manner to advance the pecuniary interests of the presiding officer or family members of the presiding officer.
(a) After a nevidentiary matter, or any other matter deemed appropriate by the Chief ALJ or his or her designee, has been filed with the Appeals Division, the matter shall be scheduled for a prehearing/settlement conference, unless ordered otherwise.
(b) The ALJ at the prehearing/settlement conference shall not preside as the ALJ at the evidentiary hearing unless otherwise stipulated by the parties.
(c) Each Appellant and his or her representative, and each Respondent and his or her representative, shall appear in person at all prehearing/settlement conferences. Individually named Appellants and Respondents must also personally appear at all prehearing/settlement conferences.
(d) Each party or representative who attends the prehearing/settlement conference shall be fully familiar with the facts and issues in the case. Respondents or their representatives must have full settlement authority, or be able to obtain authority immediately by telephone. If Respondent’s settlement authority is made available by telephone, the ALJ may require the person providing settlement authority to participate in a teleconference.
(e) A request to continue a prehearing/settlement conference shall be addressed to the Chief ALJ pursuant to section 60.2.
(1) The identification by SPB Case Number of all appeals or complaints pending before the Appeals Division or the board, arising out of the same transaction, occurrence, or series of transactions or occurrences.
(2) A brief summary of any stipulated facts.
(3) Identification of affirmative defenses to any claim.
(4) A current estimate of the time necessary to try the case.
(5) The identity of each witness each party may call at the hearing, the subject matter on which the witness is expected to present evidence, and a summary of each witness’s expected testimony. Parties are not required to disclose any witness that will be called for rebuttal or impeachment purposes.
(6) The identity of any witness who may be called to testify who is an inmate of any correctional facility. In addition, at the discretion of the Chief ALJ, such individuals may be required to testify via closed circuit television, or by other electronic means.
(7) The name and address of each expert witness each party intends to call at the hearing, together with a brief statement of the opinion each expert is expected to give, and a copy of the current resume or curriculum vitae of each expert witness.
(8) A list of documentary exhibits each party intends to present at the hearing, and a description of any physical or demonstrative evidence. Parties are not required to disclose exhibits that will be used for rebuttal or impeachment purposes.
(9) A concise statement of any significant evidentiary issues to assist the ALJ in conducting the hearing.
(10) Dates of unavailability of the parties, counsel, and witnesses.
(g) Failure to timely file or fully disclose all required items in the prehearing/settlement conference statement without good cause may, at the discretion of the ALJ, result in the exclusion or restriction of evidence at the hearing.
(h) All prehearing/settlement conference statements shall be served on all other parties 10 calendar days prior to the prehearing/settlement conference, and a copy shall be provided to the assigned ALJ at the pre hearing/ settlement conference.
(i) Upon a showing of good cause, a party may amend his or her prehearing/settlement conference statement. If the amendment is based upon the discovery of new information, the amendment shall be filed within 10 days of learning such information. When a party seeks to amend the prehearing/settlement conference statement, the party shall promptly serve on all other parties and file with the Appeals Division a complete, new prehearing/settlement conference statement incorporating the amendments, along with a declaration supporting his or her request and establishing good cause. The party seeking to amend the statement shall use highlighting or italics or any other effective method to identify the changes made. The new prehearing/settlement conference shall be titled a “First Amended Prehearing/Settlement Conference Statement,” and subsequent amended statements shall be titled consecutively.
(j) Each party shall bring a copy of the prehearing/settlement conference statement as well as a draft of any settlement proposal on a portable drive or in digital format to the prehearing/settlement conference.
(8) Any other matters that promote the orderly and prompt conduct of the hearing.
(l) Failure of any party to appear and/or proceed at a prehearing/settlement conference shall be deemed a withdrawal of the appeal or the action, unless the hearing is continued for good cause pursuant to section 58.3.
(m) An ALJ presiding over a prehearing/settlement conference for a back pay claim or a request for back pay hearing shall instruct the parties, consistent with section 61, which parties have the burden to prove which portions of the case at the evidentiary hearing.
§ 57.2. Consolidated Proceedings; Separate Proceedings.
(a) When proceedings that involve a common question of law or fact are pending, the Chief ALJ or his designee on the judge’s own motion, or on the motion of a party, may order a joint hearing of any or all matters at issue in the proceedings. The Chief ALJ or his designee may order all the proceedings consolidated and may make orders concerning the procedure that may tend to avoid unnecessary costs or delay.
(b) A party who brings a motion for consolidated proceedings or separate proceedings shall comply with section 60.1.
(c) Where a motion for consolidated proceedings or separate proceedings is made on the day of the hearing, the moving party must demonstrate that the issues were not discoverable at an earlier time.
§ 58.1. Waiver of Government Code Section 18671.1.
(a) For any appeal pending before the Appeals Division, if the Appellant does not affirmatively waive the provisions of section 18671.1 of the Government Code, then the Appeals Division has the discretion to either set the matter for hearing at any location the Board determines will be able to hold the hearing in the most expeditious manner possible, or require the hearing to be held by telephonic conference call, or video conferencing pursuant to section 58.6.
§ 58.2. Requests for Priority Hearing in Appeals and Complaints from Dismissal.
(a) For appeals from actions resulting in the termination of an employee, where an evidentiary hearing has not commenced within 6 months of the filing of the appeal, an Appellant may request a priority hearing with the board. Requests for priority hearing shall be in writing, and shall be filed with the Appeals Division, with copies sent to all other parties.
(b) Upon a request for a priority hearing as provided in subdivision (a), the evidentiary hearing shall be scheduled to occur within 60 days of the request at an SPB hearing location designated by the Chief ALJ or his or her designee, and may where practicable, utilize an electronic proceeding as set forth in section 58.6, for all or part of the hearing.
§ 58.3. Dismissal of Appeals Not Brought to Hearing and Failure to Proceed.
(a) Any appeal assigned to the ALJ, hearing officer, Chief ALJ’s designee, or presiding officer, shall be dismissed unless it is brought to hearing within three years after such appeal was filed with the Board. “Brought to hearing” means when the record is opened for the purpose of initiating the evidentiary hearing pursuant to section 51.2(i).
(b) Failure of any party to proceed at a hearing or a prehearing/settlement conference, shall be deemed a withdrawal of the appeal or the action, unless the hearing is continued for good cause.
§ 58.4. Hearings Are Public.
Every appeal hearing, including the hearing of an adverse action appeal, shall be public, unless otherwise required by law to be closed to the public.
(1) To satisfy the United States Constitution, the California Constitution, federal or state statute, or other law, including but not limited to laws protecting privileged, confidential, or other protected information.
(2) To ensure a fair hearing in the circumstances of the particular case.
(3) To conduct the hearing, including the manner of examining witnesses, in a way that is appropriate to protect a minor witness or a witness with a developmental disability, as defined in section 4512 of the Welfare and Institutions Code, from intimidation or other harm, taking into account the rights of all persons.
(b) To the extent a hearing is conducted by telephone, television, or other electronic means, subdivision (a) is satisfied if members of the public have an opportunity to be physically present at the place where the presiding officer is conducting the hearing.
(c) This section does not apply to a prehearing conference or settlement conference, or proceedings for alternative dispute resolution.
§ 58.5. Exclusion of Witnesses.
Upon the motion of any party, the ALJ, hearing officer, Chief ALJ’s designee, or presiding officer shall have the authority to exclude from the hearing room any witnesses not at the time under examination; but a party to the proceeding, or the party’s counsel or other person representing a party, shall not be excluded. When a state agency is a party it is entitled to the presence of one other officer or employee in addition to its counsel or representative.
(a) The presiding ALJ may, upon the motion of a party or upon the presiding ALJ’s own motion, conduct all or part of a hearing by telephonic conference call or video conference if each participant in the proceeding has an opportunity to participate in and hear the entire proceeding while it is taking place and to observe exhibits.
(b) If a party objects, the presiding ALJ may proceed upon a finding that no party to the proceeding will be prejudiced by all or part of the hearing being conducted by telephone or other electronic means.
§ 58.7. Request for Security.
(a) Any party or participant in an evidentiary hearing may request security for the hearing. The request shall be made as soon as the need for security is known. The request shall be filed with the Appeals Division and directed to the Chief ALJ or the assigned ALJ. To ensure that appropriate safety measures are arranged, the person requesting security shall inform the Chief ALJ, or the assigned ALJ, the nature of the security risk.
(b) The Chief ALJ, or his or her designee will evaluate the request for security and make the decision whether to provide security. Costs for security are reimbursed pursuant to Government Code section 18671.2.
(c) If the request for security is made without sufficient time for appropriate security personnel to be procured, the Chief ALJ, or the assigned ALJ, has the discretion to continue the proceeding.
§ 58.8. Accommodation for Persons with Disabilities.
In proceedings where an Applicant has a disability requiring accommodation either at the hearing or at any other stage of any administrative adjudication at the State Personnel Board (SPB), the Applicant shall be responsible for requesting accommodations.
(a) “Persons with disabilities” means individuals covered by California Civil Code section 51 et seq.; the Americans With Disabilities Act of 1990 (42 U.S.C. § 12101 et seq.); or other applicable state and federal laws. This definition includes persons who have a physical or mental impairment that limits one or more of the major life activities, have a record of such impairment, or are regarded as having such an impairment.
(b) “Applicant” means any lawyer, party, witness, or other person with an interest in attending any proceeding before the SPB.
(c) “Accommodations” means actions that result in services, programs, or activities being readily accessible to and usable by persons with disabilities. Accommodations may include making reasonable modifications in policies, practices, and procedures; furnishing, at no charge, to persons with disabilities, auxiliary aids and services, equipment devices, materials in alternative formats, readers, or certified interpreters for persons with hearing impairments; relocating services or programs to accessible facilities; or providing services at alternative sites. Although not required where other actions are effective in providing access to SPB services, programs, or activities, alteration of existing facilities by the SPB may be an accommodation.
(1) Requests for accommodations may be presented ex parte on a form provided by SPB, in another written format, or orally. Requests must be forwarded to the SPB Appeals Division to the attention of the Presiding Administrative Law Judge.
(2) Requests for accommodation must include the name of the Appeal and SPB’s case number, along with a description of the accommodation sought, along with a statement of the impairment that necessitates the accommodation. The SPB, in its discretion, may require the applicant to provide additional information about the impairment.
(3) Requests for accommodation must be made as far in advance as possible, and in any event must be made no fewer that 30 days before the requested implementation date. The SPB may waive this requirement for good cause.
(4) The SPB will keep confidential all information of the Applicant concerning the request for accommodation, unless confidentiality is waived in writing by the applicant or disclosure is required by law. The Applicant’s identity and confidential information will not be disclosed to the public or to persons other than those involved in the accommodation process. Confidential information includes all medical information pertaining to the Applicant, and all oral or written communication from the Applicant concerning the request for accommodation.
(5) Permitted communication under this rule must address only the accommodation requested by the applicant and must not address, in any manner, the subject matter or merits of the proceedings before SPB.
(C) The duration of the accommodation to be provided.
(3) The requested accommodation would fundamentally alter the nature of the service, program, or activity.
(1) An Applicant or any participant in the proceedings in which an accommodation request has been granted or denied may seek review of a determination made by the Presiding ALJ within 10 days of the date of the response by submitting, in writing, a request for review to the Chief Administrative Law Judge or his or her designee.
The accommodation by the SPB must be provided for the duration indicated in the response to the request for accommodation and must remain in effect for the period specified. The SPB may provide an accommodation for an indefinite period of time for a limited period of time, or for a particular matter or appearance.
(a) As used in this section, “language assistance” means oral interpretation or written translation into English of a language other than English or of English into another language for a party or witness who cannot speak or understand English or who can do so only with difficulty.
(b) Nothing in this section limits the application or effect of section 754 of the Evidence Code to interpretation for a deaf or hearing impaired party or witness in an adjudicative proceeding.
(c) All hearings shall be conducted in English. If a party or the party’s witness needs language assistance, that party or the party’s witness must notify the Chief ALJ or the assigned ALJ, no later than 15 days before the hearing, that an interpreter is going to be utilized. Such notification must identify the interpreter, and provide evidence of certification.
Official notice may be taken of those matters specified in section 11515 of the Government Code by the ALJ, Chief ALJ’s designee, hearing officer, or presiding officer in any hearing or investigative review, in accordance with the provisions of that Section.
§ 58.11. Notice of Settlement.
(a) The parties shall promptly notify the Appeals Division of any resolution that terminates a case assigned for hearing. The Appeals Division shall vacate all hearing dates upon receipt of a written request signed by all parties notifying the Appeals Division that the appeal or complaint, or personnel action has been withdrawn through settlement.
§ 58.12. Documents Introduced into Evidence.
Each party shall bring to the hearing at least four exact copies of any document that the party intends to mark as an exhibit during the course of the hearing. Failure of a party to possess at least four copies of any document that the party proposes to introduce into evidence may prohibit its use at hearing.
At the request of any party, a hearing may be recorded by a certified court reporter approved by the Chief ALJ or his or her designee. The certified court reporter shall be retained by the board. The cost of the court reporter shall ultimately be borne by the person making the request. The board shall receive a copy of the transcript from the court reporter at no expense to the board.
§ 59.1. Request for Discovery; Statements; Writings; Investigative Report; Witness List.
(a) Except as otherwise provided in subsection (a)(1), each party to an appeal, complaint, or any other matter scheduled for an evidentiary hearing, is entitled to serve a request for discovery on any other named party to the complaint or appeal. All requests for discovery shall be served on the responding party no later than 90 days after filing the appeal or complaint with the board. The right to inspect documents and interview witnesses provided for under Government Code section 19574.1 is separate and distinct from a request for discovery expressed in this section and is not governed by the provisions of this section.
(1) For appeals from Notice of Adverse Action served pursuant to Government Code section 19574 or 19590, a request for discovery may only be served by the Appellant or the Appellant’s representative upon the Respondent as provided for in subdivision (a). However, a Respondent may serve a request for discovery on Appellant in said appeal no later than 15 days after the prehearing/settlement conference solely for the purpose of obtaining information relevant to any affirmative defense alleged by Appellant in the prehearing/settlement conference statement. If Appellant amends his or her prehearing/settlement conference statement after a prehearing/settlement conference to include an affirmative defense, Respondent may serve a request for discovery on Appellant no later than 15 days after receiving the amended prehearing/settlement conference statement. If Appellant alleges an affirmative defense simultaneously with filing his or her appeal, a Respondent may serve a request for discovery on Appellant no later than 90 days after the Respondent’s receipt of Appellant’s defense to the notice of proposed action.
(b) Any party seeking discovery beyond the 90 days from the filing of an appeal or complaint with the board or more than 15 days after the prehearing/settlement conference or the receipt of a prehearing/settlement conference statement, may do so only upon an order issued by the Chief ALJ or his or her designee. The party seeking discovery must file a petition showing good cause why they exceeded the 90, or 15, day periods, and shall attach a copy of the proposed discovery request. The matter will be decided upon the moving papers by the assigned ALJ, in his or her discretion, that such additional or late requests for discovery should be permitted in the furtherance of justice. No hearing on the motion will be scheduled.
(5) Investigative reports made by or on behalf of any party pertaining to the act, omission, event, decision, condition or policy which is the basis for the appeal or complaint, including all supporting materials, pertaining to the subject matter of the proceeding, to the extent that these reports: (A) contain the names and home or business addresses of witnesses or other persons having personal knowledge of the facts, omissions or events which are the basis for the proceeding, unless disclosure of the address is prohibited by law, or (B) reflect matters perceived by the investigator in the course of his or her investigation, or (C) contain or include by attachment any statement or writing described in subsection (c)(5) (A) to (B), inclusive, or summary thereof.
(d) All parties receiving a request for discovery shall produce the information requested, or shall serve a written response on the requesting party clearly specifying which of those requested matters will not be produced and the basis for the non-production, within 30 days of receipt of the discovery request. The parties may extend the deadline by mutual agreement, by no more than 30 days.
(B) Set forth the specific ground for objection, including claims of privilege, work product, or right of privacy protection.
(C) If an objection is based on a claim of privilege, the particular privilege invoked shall be stated.
(D) If an objection is based on a claim that the information sought is protected work product, that claim shall be expressly asserted.
(A) The responding party waives any objection to the request for discovery, including one based on privilege or on the protection for work product.
(ii) The responding party’s failure to serve a timely response was the result of mistake, inadvertence, or excusable neglect.
(e) Failure to produce information or material responsive to a request for discovery may result in the exclusion of a witness or other evidence at the discretion of the assigned ALJ. A responding party may, at the discretion of the assigned ALJ, and upon a showing of good cause amend a response to request for discovery no later than 30 days prior to the evidentiary hearing.
(a) On verified petition of any party, the Chief ALJ or the assigned ALJ may order the testimony of any material witness residing within or without the state be taken by deposition in the manner prescribed in Government Code section 18673.
(b) Any party who requests to submit a deposition in lieu of testimony at the hearing shall identify those portions of the deposition that are relevant to the issues of the case.
(c) At the discretion of the Chief ALJ or the assigned ALJ as set forth in section 56.1, in lieu of a deposition, witness testimony may be conducted by video conferencing.
(a) Licensed members of the California State Bar in a representative capacity, may issue subpoenas and subpoenas duces tecum to compel attendance of an individual at a hearing or production of an item at any reasonable place and time, so long as the individual being served does not reside more than 100 miles from the location where the hearing or investigation is to be held, or more than 100 miles from the location where the witness testifies or is interviewed if testimony or a statement is taken electronically pursuant to section 58.6, whichever applies.
(1) If a witness resides more than 100 miles from the hearing location, the party intending to serve the subpoena must submit an affidavit or a declaration attesting to the materiality of the witness to the Chief ALJ or his or her designee.
(b) Subpoenas and subpoenas duces tecum issued pursuant to (a)(1), or at the request of a person not licensed as a member of the State Bar, shall be issued by the Chief ALJ or his or her designee.
(c) Subpoenas and subpoenas duces tecum issued under this section shall be on a form provided by the board, (SPB-76, Revised 12/09), attached as Appendix “A” to these regulations.
(d) A person served with a subpoena or subpoena duces tecum may object to its terms by a motion for a protective order and/or for a motion to quash. The motion shall be made within 15 days after receipt of the subpoena.
(e) Witness fees are to be remitted pursuant to Government Code section 18674.
§ 59.4. Abuse of the Discovery Process; Sanctions.
(1) Persisting, over objection and without substantial justification, in an attempt to obtain information or materials that are outside the scope of permissible discovery.
(2) Employing a discovery method in a manner or to an extent that causes unwarranted annoyance, embarrassment, or oppression, or undue burden and expense.
(3) Failing to respond or to submit to an authorized method of discovery.
(4) Making, without substantial justification, an unmeritorious objection to discovery.
(5) Making an evasive response to discovery.
(6) Disobeying an order to provide discovery.
(7) Making or opposing, unsuccessfully and without substantial justification, a motion to compel or to limit discovery.
(8) Failure to meet and confer for an informal resolution of a discovery dispute.
(3) Any other order as the Chief ALJ or assigned ALJ may deem appropriate under the circumstances.
§ 60.1. Law and Motion; Procedures; Motions.
(1) Failure to State a Cause of Action: Will only be heard where it pertains to Discrimination, Harassment, Retaliation, and Whistleblower Retaliation Cases.
(4) Motion to suppress evidence based upon a party’s failure to timely file or fully disclose all required items in the prehearing/settlement conference statement pursuant to section 57.1, subdivision (f)(10).
(c) Other motions shall be filed with the Appeals Division no later than 15 days after learning of the basis for the motion.
(d) The board shall provide a motion form for use by a party who is representing him or herself. A party representing him or herself is not required to use the motion form to file a motion. If such a party does not use the motion form to file a motion, and does not otherwise comply with this section, the Chief ALJ or his or her designee may reject the motion.
(e) Prior to the filing and service of any law and motion matter under subdivision (a), the moving party must secure a date and time for the hearing on the motion from the Appeals Division Calendar Clerk, and this information shall be included on all copies of the motion filed with the SPB and served on all parties. The moving party shall file their motion with the Chief ALJ or his or her designee, and serve all parties no later than 30 days prior to the hearing date scheduled with the Appeals Division Calendar Clerk. No hearing shall be held on any motion filed pursuant to subdivisions (b) and (c), unless determined necessary by the Chief ALJ or his or her designee.
(f) Motions, Oppositions to Motions, and Replies to Oppositions must be filed with the Chief ALJ or his or her designee, and served on all parties pursuant to section 52.10.
(g) Oppositions to Motions must be filed with the Chief ALJ or his or her designee, and served on all parties no later than 15 days after service of the motion.
(h) Replies to Oppositions must be filed with the Chief ALJ or his or her designee, and served on all parties no later than 8 days after service of the Opposition.
(i) If the motion is to be heard via a telephonic conference call, the party requesting the telephonic conference call is responsible for making arrangements with a telephone service provider, such that the assigned ALJ shall be provided the opportunity to call into the conference call at the designated date and time of the hearing. Calling instructions shall be provided to the Appeals Division within 5 days prior to the hearing.
(j) Motions and Oppositions shall be limited to 15 pages. In addition, the motion may be supported by such documentation as affidavits, declarations, depositions, and matters of which official notice shall or may be taken. Replies to Oppositions shall be limited to 5 pages.
(1) Where a motion or opposition is supported by additional documentation, the motion must specifically identify the relevant portions of each piece of documentation. Failure to identify the relevant portions may, at the discretion of the Chief ALJ or his or her designee, result in the supporting documentation not being considered.
(k) Failure to comply with the requirements of subdivisions (a) through (i) may, in the discretion of the assigned ALJ, constitute sufficient ground for denial of the motion.
§ 60.2. Motions for Hearing Continuances.
(a) Motions for continuance of a hearing shall be considered only upon the moving papers. No hearing on the motion will be scheduled.
(D) A party’s excused inability to obtain essential testimony, documents, or other material evidence despite diligent efforts.
(2) Motions for continuances by mutual agreement of the parties shall be considered only if filed no later than 90 days prior to the hearing. The motion must be signed by all parties or their representatives.
(3) When the acts or omissions that lead to an adverse action or rejection also lead to criminal charges being filed against the Appellant, continuances shall be granted when the parties mutually concur to allow for completion of the criminal proceedings, subject to the three year limitation in section 58.3.
(1) The moving party must meet and confer with all other parties on the motion prior to filing the motion with the Appeals Division, directed to the Chief ALJ or his or her designee pursuant to section 52.5.
(H) All factual assertions must be accompanied by a declaration under penalty of perjury, that the facts are true and correct.
(9) Any other fact or circumstance relevant to the fair determination of the motion.
§ 60.3. Motion to Compel Discovery.
(a) A petition or motion to compel a request to inspect documents under Government Code section 19574.1 is governed by the procedures provided in Government Code section 19574.2. Motions to compel a request for discovery issued pursuant to section 59.1 are governed by the procedures stated in subdivisions (b) through (e).
(b) Any party seeking further responses to a request for discovery shall meet and confer with the responding party.
(c) After complying with subdivision (b), a party may serve and file with the Appeals Division a motion to compel discovery, naming as responding party any party who has refused or failed to provide discovery as required by section 59.1. A copy of the motion shall be served on the responding party on the same date the motion is filed with the Appeals Division. The motion shall be served upon the responding party and filed with the Appeals Division within 14 days after the responding party first evidenced his or her failure or refusal to comply with section 59.1.
(d) The matter will be decided upon the moving papers, as well as any responses and replies unless ordered otherwise.
(e) The motion shall state facts showing the responding party failed or refused to comply with section 59.1, a description of the matters sought to be discovered, the reason or reasons why the matter is discoverable under that section, that a reasonable and good faith attempt to contact the responding party for an informal resolution of the issue has been made, and the grounds of the responding party’s refusal.
(f) Motions, responses and replies shall be limited to 15 pages. In addition, the motion may be supported by such documentation as affidavits, declarations, depositions, and matters of which judicial notice shall or may be taken.
(2) The responding party shall have a right to file an opposition to the motion within 15 days of service of the motion. Any reply to the opposition shall be filed with the Chief ALJ or his or her designee and served on the moving party within 10 days of service of the opposition motion.
§ 61. Claims for Back Pay and Requests for Back Pay Hearings.
(D) revoking or modifying a non-punitive termination, demotion, or transfer.
(b)(1) Any Appellant described in subdivision (a) may file a claim with the board for back pay, if Respondent has not restored the Appellant’s salary, with appropriate interest, and, if appropriate, the reinstatement of all relevant benefits. Appellant shall, consistent with section 52.4, serve Respondent with a copy of a back pay claim.
(2) Any Respondent that is a party to a proceeding in which the board has directed the payment of appropriate salary, benefits, and interest to an Appellant described in subdivision (a) may file a request for a back pay hearing, in the event that the Respondent and the Appellant are unable to agree to the salary, benefits, and interest, if any, due to Appellant. Respondent shall, consistent with section 52.4, serve Appellant with a copy of the request for back pay hearing.
(8) A statement of any other issues that remain unresolved between Appellant and Respondent.
(8) A statement of any other issues which remain unresolved between Appellant and Respondent.
(e) A claim for back pay or request for back pay hearing which meets all of the requirements of this section shall be scheduled for an evidentiary hearing, as described in Article 6.
(f) Prior to the parties’ prehearing/settlement conference, as described in section 57.1, the Appellant and Respondent shall meet and confer to determine the issues which remain unresolved between the parties and the facts to which the parties can stipulate.
(4) Respondent shall have the burden to prove that Appellant was not ready, able, and willing to perform the duties of his or her position for any period of time that the Appellant was subject to the improper action or rejection.
§ 63.1. Name Clearing Hearing Procedures.
(a) In those situations where an employee’s Limited Term (LT), Seasonal, or Temporary Authorization (TAU) appointment is terminated for fault, based on charges of misconduct which might stigmatize his or her reputation, or seriously impair his or her opportunity to earn a living, or which might seriously damage his or her standing or association in his community, the employee shall be entitled to file a request for a “Name Clearing” Hearing to be conducted by the appointing authority.
(c) Upon conclusion of the hearing, the appointing authority’s representative shall determine whether the allegations contained in the notice of termination are supported. If the allegations are not supported, a decision shall be issued to reflect that the employee’s termination was without fault. Such a decision will not, however, require that the appellant be reinstated to his or her position, except as otherwise required by law.
(d) The Board does not conduct Name Clearing Hearings, nor is there any right of appeal to the Board from a decision by an appointing authority, except as otherwise required by law.
§ 64.1. Discrimination; Harassment; Retaliation; Denial of Reasonable Accommodation.
Any state civil service employee, or applicant for state civil service employment, who reasonably believes that he or she has been subjected to discrimination, harassment, retaliation, or denied reasonable accommodation for a known physical or mental disability in state employment, on any basis listed in section 19701 or 19702 of the Government Code, or subdivision (a) of section 12940 of the Government Code, as those bases are defined in Sections 12926 and 12926.1 of the Government Code, may file a complaint by complying with the provisions of Sections 64.2 through 64.6.
§ 64.2. Prerequisites for Filing a Discrimination Complaint with the Board.
Any state civil service employee or applicant for state civil service employment who reasonably believes that he or she has been subjected to discrimination, harassment, retaliation, or denied reasonable accommodation for a known physical or mental disability in employment shall first file a written complaint with the appointing power’s Equal Employment Opportunity Office, or other office or individual designated by the appointing power to investigate such complaints, prior to filing a discrimination complaint with the SPB.
§ 64.3. Appointing Power Discrimination Complaint Process.
(a) Each appointing power shall establish in writing its own internal discrimination complaint process through which a complainant may obtain review of, and a written response to, an allegation of discrimination, harassment, retaliation, or denial of reasonable accommodation for a known physical or mental disability.
(b) Each complaint filed with the appointing power shall be in writing and shall state the facts upon which the complaint is based, and the relief requested, in sufficient detail for the appointing power to understand the nature of the complaint and to determine the individuals involved. The complained of act, omission, event, decision, condition, or policy must have occurred no more than one year prior to the date that the complaint is filed with the appointing power. This period may be extended by not more than 90 days in those cases where the complainant first obtained knowledge of the facts of the alleged discrimination more than one year from the date of its occurrence.
§ 64.4. Response of Appointing Power to Discrimination Complaint.
(a)The appointing power shall provide the complainant a written decision within 90 days of the complaint being filed. If the appointing power has not completed its review and/or is unable to provide a written decision within the 90 day time period, the appointing power shall, within that same time period, inform the complainant in writing as to the reason(s) it is unable to issue its decision within the required time period.
(b) Upon the expiration of the 90 day time period stated in this section, Complainant may thereafter file a discrimination complaint with the SPB as provided in section 64.5. However, a discrimination complaint may not be filed with the SPB more than 150 days after the complainant filed his or her complaint of discrimination with the appointing power.
§ 64.5. Requirements for Filing Discrimination Complaint with the Spb.
(a) The complaint shall be filed with the Appeals Division within 30 days of the date the appointing power served its decision concerning the complaint of discrimination on the Complainant. If the appointing power has failed to provide a decision to the Complainant within 90 days of the complaint being filed, the Complainant may file a complaint with the Appeals Division within 150 days of the date the Complainant filed his or her complaint of discrimination with the appointing power.
(b) The Complainant shall submit to the Appeals Division a complaint and any attachments, and enough copies for the SPB to serve each entity and person alleged to have engaged in discriminatory conduct and against whom damages and/or disciplinary action is sought.
(5) be limited to a maximum of 15 pages of double-spaced typed or printed text. Additional pages may be allowed upon a showing of good cause. The Complainant shall submit a separate document with the complaint stating the reasons for good cause. The 15 page limit does not apply to any documents attached to the complaint pursuant to the requirements of subdivisions (3) of this section, or any other exhibits.
(d) The above procedures do not apply in those cases where a complaint raises discrimination as an affirmative defense to any case scheduled for hearing. A party who raises discrimination solely as an affirmative defense shall not be entitled to the relief specified in section 19702 of the Government Code, unless that party has also complied with all filing requirements set forth in sections 64.2 through 64.6.
§ 64.6. Acceptance of Complaint; Notice.
(a) If, after review of the complaint, the Appeals Division determines that the complaint does not meet all filing requirements, the Appeals Division shall notify the Complainant in writing of the reasons for its determination. The Complainant may file an amended complaint within 20 days of receipt of the notice of rejection of the complaint.
(b) Upon acceptance of the complaint or amended complaint, the Appeals Division shall serve the operative complaint on the named Respondents by mailing a copy of the complaint to the legal office, or other designated office, of the appointing power, and to the business address of any individually named respondent.
(c) The provisions of Article 6 of these regulations apply to discrimination complaints accepted by the Appeals Division.
§ 66.1. Merit Issue Complaints.
(a) Merit issue complaints are complaints that the State Civil Service Act or Board regulation or policy has been violated by a state agency. These complaints include but are not limited to, interference with promotional opportunities, interference with a person’s access to any SPB appeals process, and the designation of managerial positions pursuant to Government Code section 3513. Merit issue complaints do not include appeals of actions that are specifically provided for elsewhere in law or in Board regulations. Each state agency shall establish and publicize to its employees its process for addressing merit issue complaints. That process shall include provisions for informing employees of their right to appeal the state agency’s decision on the merit issue complaint to the Appeals Division. Failure of a state agency to respond to a merit issue complaint within 90 days of receipt of the complaint shall be deemed a denial of the complaint’s allegations and shall release the appellant to file an appeal directly with the Appeals Division. An appeal of a merit issue complaint shall be filed with the Appeals Division within 30 days of the state agency’s denial of the complaint.
(b) Merit Issue Complaints are assigned to investigative review by an Investigative Officer pursuant to section 53.2.
§ 67.1. Whistleblower Retaliation Complaints.
§ 67.2. Requirements for Filing Whistleblower Retaliation Complaint with the State Personnel Board.
(a) The complaint shall be filed with and received by the Appeals Division within one year of the most recent alleged act of reprisal. The complaining party shall submit an original complaint and copy of all attachments, and enough copies of the complaint and attachments for the Appeals Division to serve each entity and person alleged to have engaged in retaliatory conduct and against whom damages and/or disciplinary action is sought.
(6) Whether the Complainant has filed a complaint of retaliation with the Office of the Inspector General pursuant to Penal Code section 6129, and if so, the date the complaint was filed.
(c) If adverse action is sought against any individually named Respondent, pursuant to the provisions of Government Code section 19574, the complaint must clearly state the facts constituting the cause or causes for adverse action in such detail as is reasonably necessary to enable the accused employee to prepare a defense thereto.
(d) Each complaint shall be limited to a maximum of 15 pages of double-spaced typed or printed text, not including exhibits. Additional pages may be allowed upon a showing of good cause. The Complainant shall submit a separate document with the complaint stating the reasons for good cause.
(e) The above procedures do not apply in those cases where an Appellant raises retaliation as an affirmative defense when appealing a notice of adverse action, pursuant to Government Code sections 19575 or 19590, when appealing a notice of rejection during probation, pursuant to Government Code section 19175, when appealing a notice of medical action, pursuant to Government Code section 19253.5, when appealing a notice of non-punitive action, pursuant to Government Code Section 19585, or when appealing a notice of career executive assignment termination pursuant to Government Code section 19889.2. Neither the remedies nor the relief available to a complaining party pursuant to the provisions of Government Code sections 8547.8 or 19683, shall, however, be available to a party who raises whistleblower retaliation as either an affirmative defense or as a separate cause of action in any other SPB hearing, unless that party has first complied with all filing requirements set forth in this section.
§ 67.3. Acceptance of Whistleblower Complaint.
(a) Within 10 business days of receipt of the complaint, the Appeals Division shall determine whether it has jurisdiction over the complaint and whether the Complainant meets the filing requirements set forth in section 67.2. The Appeals Division shall also determine whether the complainant has complied with all other requirements for filing a retaliation complaint, as set forth in Government Code sections 8547-8547.12 and 19683 and/or Education Code sections 87160-87164.
(b) If the Appeals Division determines that the complaint does not meet all filing requirements, it shall notify the complaining party in writing that the complaint has not been accepted and the reason(s) for that determination. The complaining party may thereafter be permitted to file an amended complaint within 10 business days of service of the notice of non-acceptance of the complaint.
(3) schedule the case for an informal hearing before a hearing officer in accordance with the provisions of section 67.5.
(d) Except for those complaints amended pursuant to subsection (b), any amendment for a whistleblower retaliation complaint may only be accepted upon a showing of good cause.
(e) In accordance with the provisions of Penal Code section 6129, the SPB shall be entitled to defer review of a complaint filed by an employee of the Department of Corrections and Rehabilitation in those cases where the employee has filed a similar complaint with the Office of the Inspector General.
§ 67.4. Cases Referred to Investigation.
(a) If the Executive Officer assigns a complaint for investigation, the Executive Officer or the assigned investigator(s) shall conduct the investigation in the manner and to the degree they deem appropriate, and shall have full authority to question witnesses, inspect documents, and visit state facilities in furtherance of their investigations. All state agencies and employees shall cooperate fully with the investigators, or be subject to disciplinary action for impeding the investigation. The investigators, pursuant to the provisions of Government Code section 18671, shall have authority to administer oaths, subpoena and require the attendance of witnesses and the production of books or papers, and cause the depositions of witnesses residing within or without the state to be taken in the manner prescribed by law for like depositions in civil cases in the superior court of this state under Article 3 (commencing with section 2016) of Chapter 3 of Title 4 of Part 4 of the Code of Civil Procedure, in order to ensure a fair and expeditious investigation.
(b) The Executive Officer shall issue findings regarding the allegations contained in the complaint and a recommended remedy, if any, based on the investigation, in accordance with the provisions of section 67.6.
§ 67.5. Cases Referred to Informal Hearing.
(2) require each named respondent to serve on the Complainant and file with the Appeals Division, at least 10 days prior to the informal hearing, a written response to the complaint, signed under penalty of perjury, specifically addressing the allegations contained in the complaint.
(b) The informal hearing shall be conducted in conformance with those procedures set forth in Government Code section 11445.10 et seq., and may in the discretion of the Hearing Officer, include such supplemental proceedings as ordered by the Hearing Officer, and as permitted by section 11445.10 et seq., of the Government Code, to ensure that the case is heard in a fair and expeditious manner. The Hearing Officer shall have full authority to question witnesses, inspect documents, visit state facilities in furtherance of the hearing, and otherwise conduct the hearing in the manner and to the degree he or she deems appropriate. The informal hearing and any supplemental proceedings shall be recorded by the Hearing Officer. All parties shall, upon request and payment of applicable reproduction costs, be provided with a transcript or a copy of the recording of the informal hearing.
(c) Following the informal hearing and any supplemental proceedings, the Hearing Officer shall issue findings for consideration by the Executive Officer regarding the allegations contained in the complaint, together with all recommended relief, if any, proposed to remedy any retaliatory conduct.
(2) remand the case back to the Hearing Officer, or refer the matter to an ALJ for further proceedings.
§ 67.6. Findings of the Executive Officer.
(a) The Executive Officer shall issue a Notice of Findings within 60 business days of the date the Executive Officer accepts the complaint pursuant to section 67.3, unless the complaining party agrees, in writing, to extend the period for issuing the findings, or unless the time period is otherwise tolled.
(b) In those cases where the Executive Officer concludes that the allegations of retaliation were not proven by a preponderance of the evidence, the Executive Officer shall issue a Notice of Findings dismissing the complaint and that decision shall be deemed the final decision of the Board. The Notice of Findings shall notify the Complainant that his or her administrative remedies have been exhausted and that the Complainant may pursue whatever judicial remedies are available to him or her.
(c) In those cases where the Executive Officer concludes that the Complainant proved one or more of the allegations of retaliation by a preponderance of the evidence, the Notice of Findings shall identify the allegations deemed substantiated, and the named Respondents deemed to have engaged in retaliatory acts. If the Notice of Findings concludes that any individual manager, supervisor, or other employee engaged in improper retaliatory acts, the Notice of Findings shall identify the legal causes for discipline under section 19572 of the Government Code.
(d) The Notice of Findings shall inform any Respondent found to have engaged in retaliatory acts of his or her right to request a hearing regarding the Notice of Findings. Any such request shall be filed with the Executive Officer, and served on all other parties within 30 days of the issuance of the Notice of Findings. Upon receipt of a timely request for hearing, the Board shall, at its discretion, schedule a hearing before the Board, or an evidentiary hearing before an ALJ, regarding the findings of the Executive Officer. The hearing shall be conducted in accordance with Article 6, beginning with section 56.1. If a timely request for hearing is not filed with the SPB, the Board may order any appropriate relief, including, but not limited to, reinstatement, back pay, restoration of lost service credit, if appropriate, compensatory damages, and the expungement of any adverse records of the state employee or applicant for state employment who was the subject of the alleged acts of misconduct prohibited by section 8547.3 of the Government Code.
§ 67.7. Disciplinary Action for Proven Retaliatory Acts.
(a) In those cases where the Board issues a final decision that finds that a manager, supervisor, or other state civil service employee has engaged in improper retaliatory acts, the Board shall order the appointing authority to place a copy of the Board’s decision in that individual’s Official Personnel File within 30 days of the issuance of the Board’s order and to also, within that same time period, notify the Office of the State Controller of the disciplinary action taken against the individual. The appointing authority shall also, within 40 days of the issuance of the Board’s order, notify the Board that it has complied with the provisions of this subdivision.
(1) In accordance with the provisions of Penal Code section 6129, subdivision (c)(3), any employee of the Department of Corrections and Rehabilitation found to have engaged in retaliatory acts shall be disciplined by, at a minimum, a suspension without pay for 30 days, unless the Board determines that a lesser penalty is warranted. In those instances where the Board determines that a lesser penalty is warranted, the decision shall specify the reasons for that determination.
(b) In those cases where the Board issues a final decision that finds that any community college administrator, supervisor, or public school employer, has engaged in improper retaliatory acts, the Board shall order the appointing authority to place a copy of the Board’s decision in that individual’s Official Personnel File within 30 days of the issuance of the Board’s order and also, within 40 days of the issuance of the Board’s order, notify the Board that it has complied with the provisions of this subdivision.
(c) Any decision, as described in subdivision (a) or (b), shall be deemed a final decision of the Board and the individual against whom the disciplinary action was taken shall not have any further right of appeal to the Board concerning that action, with the exception of a Petition for Rehearing.
(4) a decision has been issued by the Board after a hearing before that body and no Petition for Rehearing concerning that decision has been filed with the Board.
§ 67.8. Consolidation with Other Hearings.
(a) The Executive Officer or the assigned ALJ shall possess the requisite discretion to direct that separate, reasonably related cases be consolidated into a single hearing. Whenever two or more cases are consolidated, the assigned administrative law judge shall permit the parties a reasonable opportunity to conduct discovery prior to the first scheduled hearing date, if the discovery provisions set forth in sections 59.1 through 59.4 are negatively impacted by the consolidation.
(b) In those cases where one or more individually named Respondents have been joined in the consolidated hearing, the administrative law judge may, in his or her discretion, make such orders as may appear just in order to prevent any named Respondent from being embarrassed, delayed, or put to undue expense, and may order separate hearings or make such other order as the interests of justice may require.
(6) to present oral and/or written argument to the decision-maker concerning allegations and issues raised in the whistleblower retaliation complaint.

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