Report I2019-3 Recommendation 5 Responses

Report I2019-3: Investigations of Improper Activities by State Agencies and Employees: Wasteful and Improper Travel Payments, Improper Promotion and Hiring Practices, and Misuse of State Resources (Release Date: May 2019)

Case Number I2017-0706

Recommendation #5 To: Transportation, Department of

Within 90 days, Caltrans should provide training to human resources staff to ensure that they follow proper procedures for changing an employee's headquarters and retaining the appropriate documentation.

Agency Response From June 2019

Caltrans reported that in April 2019, its division of human resources verbally reiterated to staff the requirement of retaining all documentation associated with changing an employee's headquarters.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From May 2019

Caltrans reported that its division of human resources provided training to human resources staff in April 2019 and that a verbal announcement was made on the proper identification of an employee's headquarters location and when it is appropriate to change an employee's county code.

In addition, Caltrans reported that new information in its hiring guide was presented at the training. Specifically, upon appointment a position must report to the specific county location for which the position was advertised, if applicable. Changes to a position's location must be submitted to the division of human resources for approval prior to the movement of any employee. Additionally, when a position is filled in a specific location, the employee must remain in that location for at least one year prior to requesting any changes. This ensures that the position is appropriately recruited for and allows for all interested candidates to apply for the position in the intended position location. If the position could potentially occupy multiple counties, staff should speak with human resources about possibly advertising statewide.

Furthermore, Caltrans reported that its division of human resources currently retains all related hiring files for a minimum of five years, in accordance with California Code of Regulations, title 2, section 26.

California State Auditor's Assessment of Status: Partially Implemented


All Recommendations in I2019-3