Report I2022-1 All Recommendation Responses
Report I2022-1: Investigations of Improper Activities by State Agencies and Employees: Inexcusable Neglect of Duty, Inefficiency, Improper Payments, Misuse of State Resources, Attendance Abuse, and Improper Hiring (Release Date: May 2022)
Case Number I2020-0180
Recommendation #1 To: Developmental Services, Department of
The Department of Developmental Services (Developmental Services) should create written procedures to ensure compliance with the FLSA and include instructions specific to submission of the renewal application to the U.S. Department of Labor. The procedures should also include instructions for the required corrective actions related to retroactive payments when errors are identified.
Agency Response From April 2022
Developmental Services reported in April 2022 that it has drafted an administrative policy to comply with this recommendation. The policy includes instructions for submitting the application to the federal Department of Labor, instructions for how to address payroll errors, and requirements for training to employees responsible for submission of the renewal application.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2020-0180
Recommendation #2 To: Developmental Services, Department of
Developmental Services should provide formal training pertaining to compliance with applicable sections of the FLSA to all employees responsible for the wage program and submission of the renewal application, including supervisors and management. The training should include how to develop prevailing wage surveys, time studies, and wage rates, and how to maintain proper recordkeeping.
Agency Response From April 2022
Developmental Services reported in April 2022 that staff completed the following training in February and March 2022:
- DOL Guidelines and Information - Wage & Hour Division for Subminimum Wage
- DOL Training for time study schedules, payroll recording, DOL Probationary Status, & Fact Sheets
- DOL Training for payroll recording and inputting in 4DATA
- DOL Training for conducting and recording a time study
- DOL Training for completing a vocational assessment
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2020-2058
Recommendation #3 To: Corrections and Rehabilitation, Department of
The California Department of Corrections and Rehabilitation (CDCR) should reconcile the unaccounted for or unapproved leave use that we identified for the eight employees whose records we reviewed to ensure that their union leave since January 2019 has been correctly recorded, supported with approved requests, and paid for by the correct source.
Agency Response From October 2022
CDCR reported in October 2022 that the OLR met with the union and completed its reconciliation of the union leave hours we identified in our report as unaccounted for or unapproved.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From June 2022
CDCR initially responded in March 2022 that it will review the hours identified in the report and will follow up with the union after our report is published to attempt to locate documentation that may help address the unaccounted for and unapproved hours. CDCR reported in June 2022 that is still reviewing the report to identify if additional supporting documentation is available. It anticipates completing this recommendation by July 31, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2020-2058
Recommendation #4 To: Corrections and Rehabilitation, Department of
CDCR should require the state employees who work on the reconciliation of employee-funded union leave to routinely cross-check that hours used are supported by union leave requests. They should further ensure that the dates and hours requested are consistent by including and thoroughly reviewing union members' union leave requests as part of the reconciliation process.
Agency Response From July 2022
CDCR reported in July 2022 that the OLR completed the updates to its internal union leave process and procedures, which include requiring labor relations analysts to perform monthly union leave reconciliations in collaboration with their local personnel offices and OLR staff.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From June 2022
CDCR initially responded that it is updating its union leave reconciliation procedures to ensure the clarity of the reconciliation requirements, including the requirements for the analysts who perform the reconciliation. The updates will provide direction for working with personnel offices at individual institutions and OLR staff to fix discrepancies and require monthly reconciliations. In June 2022, CDCR reported that OLR management meets weekly to review and finalize the updated union leave reconciliation procedures and the steps for providing direction statewide. It anticipates completing this recommendation by June 30, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2020-2058
Recommendation #5 To: Corrections and Rehabilitation, Department of
CDCR should establish written policies and procedures instructing its individual institutions to reconcile employees' timesheets with union leave requests when the employees report taking union leave.
Agency Response From July 2022
CDCR reported in July 2022 that it issued a memorandum to its institutions to ensure that appropriate documentation and proper leave codes are used for approving, tracking, and reconciling union leave. CDCR reported that it plans to schedule a training on the updated union leave documentation requirements and reconciliation procedures with labor relations analysts, OLR staff, California Correctional Health Care Services Labor Relations Unit staff, and institutional personnel officers.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From June 2022
CDCR initially responded that it created a team to develop written procedures for union leave requests. CDCR reported in June 2022 that this team meets weekly and that the team has surveyed all institutional personnel offices regarding their current union leave procedures to assist with team's work to develop new procedures. It anticipates completing this recommendation by June 30, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2019-0204
Recommendation #6 To: Parks and Recreation, Department of
The Department of Parks and Recreation (State Parks) should take appropriate corrective or disciplinary action against the district administrative officer and the district superintendent for their failures to follow state law and civil service rules when they assigned the employee to perform duties of a classification other than one to which her position was allocated.
Agency Response From May 2022
State Parks issued a memo to the district administrative officer and the district superintendent in May 2022 regarding Human Resources policies and procedures they are expected to follow.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0204
Recommendation #7 To: Parks and Recreation, Department of
State Parks should take appropriate corrective or disciplinary action against the HR liaison who violated the law by breaching the confidentiality of our investigation.
Agency Response From May 2022
State Parks issued a memo to the HR liaison in May 2022 about adhering to confidentiality directives from the California State Auditor.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0204
Recommendation #8 To: Parks and Recreation, Department of
State Parks should provide training to all relevant staff about the confidential nature of the State Auditor's work specific to whistleblower investigations.
Agency Response From July 2022
State Parks reported that it notified all employees in June 2022 of the new training requirement about the Whistleblower Protection Act. All employees are required to complete the training by July 31, 2022.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From May 2022
State Parks reported that the training has been developed and they are developing a plan to communicate the information with staff.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2019-0204
Recommendation #9 To: Parks and Recreation, Department of
State Parks should recover the amount improperly paid to the employee to the extent permitted by state law.
Agency Response From September 2022
State Parks consulted with CalHR regarding its authority to recover overpayments to the employee. CalHR reported that State Parks' actions created a misallocation and that under state law, CalHR's authority to correct misallocations does not include authority to recover wages. State Parks transferred the employee to an analyst position in November 2019, which is one of the acceptable remedies for correcting the misallocation.
California State Auditor's Assessment of Status: Resolved
Agency Response From August 2022
State Parks reported that it is still waiting for information from CalHR related to its authority to collect the overpayment.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From May 2022
State Parks reported that it will follow-up with CalHR to determine if there is a legal and regulatory means to recover any amounts improperly paid to the employee.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From March 2022
State Parks reported it is working with the Department of Human Resources (CalHR) to determine if there is a legal and regulatory means to recover any amounts improperly paid to the employee.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2021-0011
Recommendation #10 To: Transportation, Department of
The California Department of Transportation (Caltrans) should consider including notice of this investigation in the superintendent's personnel file.
Agency Response From May 2022
Caltrans reported that it placed a letter regarding the investigation in the superintendent's personnel file.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2021-0011
Recommendation #11 To: Transportation, Department of
Caltrans should calculate the cost of the vehicle misuse and pursue collection of the funds from the superintendent.
Agency Response From October 2023
Caltrans reported that it calculated the cost of the vehicle misuse and will pursue collection of the funds from the superintendent. However, based on the information Caltrans provided, it did not calculate the full cost. Caltrans stated that it will provide us its methodology for the calculation prior to beginning the collection process. Caltrans plans to fully implement the recommendation by January 2024.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From August 2022
Caltrans reported that it is still in the process of determining the cost of the superintendent's vehicle misuse and plans to complete the calculation in October 2022.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From May 2022
Caltrans reported that it plans to calculate the cost of the superintendent's vehicle misuse. In addition, Caltrans stated that it had informed the superintendent that it will be seeking reimbursement from him.
California State Auditor's Assessment of Status: Pending
Case Number I2021-0011
Recommendation #12 To: Transportation, Department of
Caltrans should improve management oversight procedures as appropriate and take steps to ensure that the Caltrans employees who use state vehicles at the superintendent's facility are doing so for state business only.
Agency Response From July 2022
Caltrans reported that it completed all of the following: (1) It reviewed vehicle home storage permits and confirmed that employees at the superintendent's facility with vehicle home storage permits meet the eligibility requirements. (2) It reviewed vehicle usage reports and did not identify any irregularities at the superintendent's facility. (3) It held a meeting with district employees regarding vehicle home storage permit requirements and the state law that requires that state-owned vehicles be used only in the conduct of state business. (4) It sent a department-wide memorandum to all staff regarding the importance of adhering to state vehicle policies and procedures.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From May 2022
Caltrans reported that it plans to review vehicle home storage permits for the superintendent's district to ensure that employees meet eligibility requirements. In addition, it stated that it plans to review vehicle usage reports to identify any irregularities regarding the use of state vehicles at the superintendent's facility. Further, Caltrans stated that it plans to conduct a meeting for district employees by May 31, 2022, to review the requirements for vehicle home storage permits and its policy for using state-owned vehicles.
Caltrans also plans to send a memorandum to all Caltrans managers reminding them to adhere to state vehicle policies and procedures and to review such policies and procedures with subordinates, as applicable.
California State Auditor's Assessment of Status: Pending
Case Number I2019-1845
Recommendation #13 To: Lottery Commission, California State
The California State Lottery (Lottery) should take appropriate corrective or disciplinary action against the managers involved to ensure that they provide adequate supervision of their subordinates in the future.
Agency Response From November 2021
The Lottery provided corrective counseling to Manager B and placed letters in both the senior manager's and Manager A's personnel files.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-1845
Recommendation #14 To: Lottery Commission, California State
The Lottery should initiate and pursue reimbursement, whether through direct payment or reduced leave balances, from Employees A and B for the hours for which they were paid but did not work.
Agency Response From July 2022
The Lottery has received full repayment from Employee A and has finished establishing a repayment schedule for Employee B.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2021
The Lottery has entered into repayment agreements with both employees to recoup payment for hours the employees did not work.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2020-1033
Recommendation #15 To: Emergency Services, Office of
The California Governor's Office of Emergency Services (Cal OES) should, within the next 60 days, work with the CalHR and the State Personnel Board to complete the process of voiding the junior manager's unlawful appointment to the midlevel manager position.
Agency Response From November 2021
Cal OES reported in November 2021 that it has completed the process of voiding the junior manager's appointment to the mid-level manager position.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2020-1033
Recommendation #16 To: Emergency Services, Office of
Cal OES should, by June 2022, conduct the planned training on the merit-based hiring process for all employees involved in Cal OES's hiring and selection process.
Agency Response From June 2022
Cal OES reported in June 2022 that it is providing the mandatory merit-based training to all Cal OES supervisors and managers and expects to fully implement this recommendation by the end of the month.