Report I2017-1 Recommendations

After the State Auditor's Office completes an investigation and issues a copy of its investigative report to the state department involved, the department is required by the Whistleblower Protection Act to provide the State Auditor with information about the actions it has taken in response to the report. Within 60 days of receiving the report, the department must report to the State Auditor any disciplinary action it has taken or intends to take against any employee who was a subject of the investigation. Also within 60 days, the department must report to the State Auditor any actions it has taken or intends to take to implement the recommendations made in the report to prevent the continuation or recurrence of the improper activities described in the report. When the department has not completed all of its intended actions within 60 days, the department must report on its actions monthly thereafter until all of its intended actions have been taken. Below is a listing of each recommendation the State Auditor made in the report referenced, as well as a link to a summary of what the department has reported to the State Auditor about its actions in response to the report. Information about the departmentís responsive actions and the State Auditorís assessment of those actions will be updated on this site quarterly.

Recommendations in Report I2017-1: Investigations of Improper Activities by State Agencies and Employees: Misuse of Resources, Inaccurate Attendance Records, Disclosure of Confidential Information, and Improper Payments (Release Date: March 2017)

:
Recommendations for Case I2015-0003
Department: Health Care Services, Department of
Number Recommendation Status
20

The Department of Health Care Services (DHCS) should take appropriate corrective or disciplinary action regarding the employee's misuse of state time, computer, and support staff, and for engaging in activities incompatible with her state duties.

Fully Implemented
21

DHCS should provide the employee with training related to appropriate Internet and email use, time and attendance, and ethics in the workplace.

Fully Implemented
Recommendations for Case I2015-0576
Department: State Hospitals, Department of
Number Recommendation Status
8

The Department of State Hospitals (State Hospitals) should initiate immediate action, in accordance with Government Code section 19838, to collect the overpayment from the pharmacist.

Fully Implemented
9

State Hospitals should provide counseling or training to the pharmacist and pharmacy management regarding proper time and attendance procedures.

Fully Implemented
10

State Hospitals should provide counseling or training to the responsible personnel staff regarding proper procedures for processing the attendance records.

Fully Implemented
11

State Hospitals should review the pharmacist's time and attendance records from September 2015 to present to ensure she was not overpaid for any additional hours or had leave balances that were not reduced because of absences.

Partially Implemented
Recommendations for Case I2015-0686
Department: Equalization, Board of
Number Recommendation Status
12

The State Board of Equalization (BOE) should work with the first tax technician's current employing agency to place appropriate documentation about the investigation in her official personnel file.

Fully Implemented
13

BOE should place a memo in the second tax technician's official personnel file that details the findings of its investigation, its dismissal filed and served on her, and this tax technician's retirement from BOE before the effective date of the dismissal so that other state agencies are fully aware of the findings should she return to state employment.

Fully Implemented
Recommendations for Case I2015-0736
Department: Transportation, Department of
Number Recommendation Status
6

The California Department of Transportation (Caltrans) should take appropriate corrective or disciplinary action against the analyst for her misuse of state time.

Fully Implemented
7

Caltrans should have the analyst review and sign Caltrans' policies and directives related to the misuse of state time and incompatible activities.

Fully Implemented
Recommendations for Case I2015-1088
Department: Health Care Services, Department of
Number Recommendation Status
22

The Department of Health Care Services (DHCS) should implement the action it proposed in its investigative report. Specifically, its Office of Civil Rights should conduct equal employment opportunity training and provide counseling for the division chief and the division's management team to ensure that they understand the equal employment opportunity concerns related to the do-not-hire list and that they use job-related and objective examination criteria when evaluating candidates in the future.

Fully Implemented
23

DHCS should implement the action it proposed in its investigative report. Specifically, its Office of Civil Rights should implement a series of management training sessions to ensure that DHCS management fully understand and adhere to its nondiscrimination policy to ensure equal employment opportunity for all candidates and employees.

Fully Implemented
Recommendations for Case I2015-1146
Department: Social Services, Department of
Number Recommendation Status
25

The Department of Social Services (Social Services) should continue to monitor the supervisor's duties related to addressing the work performance of her subordinate employees and continue to take appropriate corrective or disciplinary action when necessary.

Partially Implemented
26

Social Services should require that the supervisor undergo supervisory training, specifically about managing employee performance and appropriately applying the steps of progressive discipline.

Partially Implemented
Recommendations for Case I2016-0015
Department: Corrections and Rehabilitation, Department of
Number Recommendation Status
14

The California Department of Corrections and Rehabilitation (CDCR) should seek repayment from the program chief for the $2,520 in improper payments.

Fully Implemented
15

CDCR should revise the Institutional Worker Supervision Pay (IWSP) procedure to require that personnel staff review and ensure that an employee's direct supervisor signs the qualifying employee's timesheets and IWSP documents each month.

Partially Implemented
16

CDCR should ensure that all CDCR and California Correctional Health Care Services organization charts are current and accurate and that the assigned personnel specialist has access to them.

Partially Implemented
17

CDCR should enforce its current procedure to retain Institutional Worker Supervision Pay (IWSP) documentation.

Partially Implemented
18

CDCR should enforce its current procedure for personnel staff to conduct annual audits of the Institutional Worker Supervision Pay (IWSP) program.

Partially Implemented
19

CDCR should train all employees, supervisors, and personnel staff who receive, approve, or issue the extra pay to ensure that they are familiar with the requirements of the Institutional Worker Supervision Pay (IWSP) procedure and Pay Differential 67.

Partially Implemented
Recommendations for Case I2016-0112
Department: Corrections and Rehabilitation, Department of
Number Recommendation Status
1

The California Department of Corrections and Rehabilitation (CDCR) should require the parole agent to submit a personal use certification for the personal use of her assigned state vehicles from June 2015 to present.

Fully Implemented
2

CDCR should review the duty statements of all employees within the parole division who have held the positions discussed in this report and who have state vehicles for their exclusive use to determine whether the assignments of state vehicles comply with the laws and policies of the State and the parole division. If CDCR determines that a vehicle assignment is appropriate, it should modify each employee's duty statement to indicate the percentage of time the employee should expect to perform fieldwork, ensure that the state vehicles assigned to these employees are not pool vehicles, and ensure that each employee has an approved home storage permit on file.

Partially Implemented
3

CDCR should discontinue the practice of assigning pool vehicles for the exclusive use of individuals to circumvent state laws and parole division policies.

Partially Implemented
4

CDCR should train all parole division employees who drive state vehicles about how to properly document their use of a state vehicle on their mileage logs, how to obtain a home storage permit and for whom it is necessary, how and when to submit a personal use certification reporting all personal commutes driven in a state vehicle.

Fully Implemented
5

CDCR should train all parole division supervisors who oversee employees with state vehicles regarding the department's policy for the proper usage and storage of state vehicles.

Fully Implemented
Recommendations for Case I2016-0195
Department: San Diego, California State University
Number Recommendation Status
24

San Diego State University should continue to collect repayment until the entire amount has been repaid.

Partially Implemented
Recommendations for Case I2016-0276
Department: Fresno, California State University
Number Recommendation Status
27

California State University, Fresno (Fresno State) should continue to implement the recommendations it made regarding the investigation. Specifically, Fresno State recommended that the library employee's supervisor and lead staff member identify alternative work that the library employee can complete while he is serving as the official library resource, instruct the library employee to limit his Internet use on his work computer during both breaks and lunch, identify online work-related training for the library employee to access during work time if he has completed all of his assigned work for that shift or has other available time during his work hours, and provide more direct supervision of the library employee to ensure that he uses his work time to benefit the needs of the library.

Fully Implemented


Print all recommendations and responses.


Report type

Report type
















© 2013, California State Auditor | Privacy Policy | Conditions of Use | Download Adobe PDF Reader