Report I2020-1 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 I2020-1: Investigation of Improper Activities by State Agencies and Employees: Waste of State Funds, Misuse of Bereavement Leave, Misuse of State Resources, Dishonesty, and Supervisory Neglect of Duty (Release Date: April 2020)

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Recommendations for Case I2017-1372
Department: Fish and Wildlife, Department of
Number Recommendation Status
1

The California Department of Fish and Wildlife (Fish and Wildlife) should clearly define and train staff on procurement roles to avoid having only a few employees primarily guiding an acquisition of this magnitude.

Resolved
2

Fish and Wildlife should train staff who administer or approve contracts on the requirement for all contracts and amendments to be in writing and to work with contractors if there are issues with modifications needed pursuant to warranty.

Fully Implemented
3

Fish and Wildlife should retain a professional with appropriate expertise for future procurements of a highly technical nature to develop specifications and engineered drawings and to inspect the equipment for satisfaction of contractual specifications before accepting delivery.

Pending
4

Fish and Wildlife should consider using progress payment schedules for contracts when procuring newly constructed, high-dollar technical equipment.

Pending
5

For future acquisitions, Fish and Wildlife should immediately consult with its legal staff to resolve any probable or possible contract deviations.

Pending
6

Fish and Wildlife should create a process to ensure that any newly acquired fleet assets are registered or documented with the relevant authorities before authorizing use of the asset.

Fully Implemented
7

Fish and Wildlife should ensure that its legal staff assesses Fish and Wildlife's ability to recover the money paid to the contractor for any contract requirements that remain unfulfilled.

Fully Implemented
Recommendations for Case I2018-0364
Department: Veterans Affairs, Department of
Number Recommendation Status
8

The California Department of Veterans Affairs (CalVet) should determine the best option to recoup whatever funds it can of the nearly $38,000 it spent on the equipment, such as submitting it to the Department of General Services' state surplus property auction.

Fully Implemented
9

CalVet should train receiving staff at the home on applicable contracting manual requirements for the receipt of purchased goods.

Fully Implemented
10

CalVet should determine whether the home needs a bedbug oven and, if so, ensure that it is properly stored in accordance with its specifications.

Fully Implemented
Recommendations for Case I2018-0428
Departments: Air Resources Board, State; Employment Development Department; General Services, Department of; Human Resources, California Department of; Social Services, Department of; Transportation, Department of
Number Recommendation Status
11

The California Air Resources Board (ARB) should recoup or correct all overpayments made to the employee we determined to have take inappropriate bereavement leave.

Fully Implemented
12

The California Department of Transportation (Caltrans) should recoup or correct all overpayments made to the employees we determined to have taken inappropriate bereavement leave.

Fully Implemented
13

The Employment Development Department (EDD) should recoup or correct all overpayments made to the employee we determined to have taken inappropriate bereavement leave.

Fully Implemented
14

The Department of General Services (General Services) should recoup or correct all overpayments made to the employees we determined to have taken inappropriate bereavement leave.

Fully Implemented
15

The California Department of Social Services (Social Services) should recoup or correct all overpayments made to the employee we determined to have taken inappropriate bereavement leave.

Fully Implemented
16

The ARB should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.

Fully Implemented
17

Caltrans should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.

Fully Implemented
18

EDD should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.

Fully Implemented
19

General Services should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.

Fully Implemented
20

Social Services should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.

Fully Implemented
21

ARB should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.

Fully Implemented
22

Caltrans should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.

Fully Implemented
23

EDD should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.

Fully Implemented
24

General Services should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.

Fully Implemented
25

Social Services should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.

Fully Implemented
26

To address inconsistent bereavement leave policies, the California Department of Human Resources (CalHR) should revise its policy to mirror the requirements of Government Code section 19859.3, which requires unrepresented employees to submit substantiation for each leave request.

Pending
27

To address inconsistent bereavement leave policies, EDD should revise its policy to mirror the requirements of Government Code section 19859.3, which requires unrepresented employees to submit substantiation for each leave request.

Fully Implemented
28

To ensure that represented employees properly claim bereavement leave, CalHR should work with labor unions to change the bargaining agreements' provision to require represented employees to submit substantiation for each claim of bereavement leave as state law requires for unrepresented employees. In addition, the Legislature should require any represented employees who use bereavement leave to submit substantiation for each leave request.

Pending
29

To prevent further misuse of bereavement leave, CalHR should proactively issue guidance to all state entities reminding them of the bereavement leave requirements and how they differ between represented and unrepresented employees.

Pending
Recommendations for Case I2018-0675
Department: Transportation, Department of
Number Recommendation Status
34

The California Department of Transportation (Caltrans) should take appropriate corrective actions against the two employees for failing to obtain storage permits and for misusing their state vehicles to commute between their homes and headquarters.

Fully Implemented
35

Caltrans should require these employees to obtain storage permits

Fully Implemented
36

Caltrans should determine whether other maintenance employees who work in the same region have been allowed to park at or in the vicinity of their homes without storage permits. If so, require all applicable employees to obtain these permits.

Fully Implemented
Recommendations for Case I2018-0756
Department: Public Health, Department of
Number Recommendation Status
40

The California Department of Public Health (Public Health) should take appropriate corrective or disciplinary actions against employees A and B for their misuse of state time and for their dishonesty during the investigation.

Pending
41

Public Health should determine the amount of time employees A and B can be charged to account for their missed work hours, reduce their leave balances accordingly, and, if applicable, seek to recover from them any wages paid to them for time they did not work.

Pending
42

Public Health should take appropriate corrective or disciplinary actions against the employees' supervisor for failing to verify that his subordinates accurately reported their attendance.

Fully Implemented
43

Public Health should require that these employees, along with any other employees who may be using the outdated version, fill out the most updated version of the State's standard monthly timesheet.

Fully Implemented
Recommendations for Case I2018-1274
Department: Franchise Tax Board
Number Recommendation Status
44

The Franchise Tax Board (FTB) should require the administrator to repay the State for the three days that she reported working but did not work.

45

The FTB should ensure that FTB staff members who telework have an approved telework agreement on file and follow all the requirements set forth in the agreement, including pre-approval on telework days, if required.

46

The FTB should ensure that managerial employees know the work schedules of their staff members and require those staff members to adhere to their expected work schedules.

Recommendations for Case I2018-1820
Department: Prison Industry Authority
Number Recommendation Status
47

The California Prison Industry Authority (CalPIA) should establish new procedures or enforce the rules whereby supervisors are responsible for ensuring the accuracy of subordinates' timesheets.

Fully Implemented
48

CalPIA should take appropriate corrective or disciplinary actions against the supervisors who failed to ensure that the timesheets they approved were complete and accurate.

Fully Implemented
49

CalPIA should take appropriate corrective or disciplinary actions against the employee for dishonesty when providing conflicting accounts of his attendance during the investigation.

Fully Implemented
50

CalPIA should reconcile the employee's attendance records to determine whether he owes the State any time for failing to report his actual work hours or whether the State owes him for unreported overtime during the period reviewed.

Fully Implemented
Recommendations for Case I2018-1932
Department: Social Services, Department of
Number Recommendation Status
51

The California Department of Social Services (Social Services) should determine whether corrective action is appropriate for the manager in the human resource services branch who was aware of the salary overpayment yet failed to promptly initiate action to recover the funds.

Resolved
52

Social Services should ensure that procedures are in place to monitor employees' use of bereavement leave so that all such claims comply with state law or union bargaining agreements.

Fully Implemented
Recommendations for Case I2019-0010
Department: Energy Commission, California
Number Recommendation Status
30

The California Energy Commission (commission) should immediately and permanently remove the supervisor's responsibility for issuing and tracking the parking permits.

Fully Implemented
31

Within 60 days, the commission should take appropriate corrective or disciplinary action against the supervisor for her misuse of state resources.

Fully Implemented
32

Within 30 days, the commission should establish and disseminate to all executive staff the policies for the parking permits to minimize future misuse.

Fully Implemented
33

The commission should reevaluate the number of parking permits the commission pays for and reduce the number of permits if business need warrants a reduction.

Fully Implemented
Recommendations for Case I2019-0489
Department: State Hospitals, Department of
Number Recommendation Status
37

Within 60 days, the Department of State Hospitals (State Hospitals) should take appropriate corrective or disciplinary action against the technician for improperly reporting hours worked.

Fully Implemented
38

State Hospitals should recover overpayments made to the technician or adjust the technician's leave balances to account for the missed work time.

Fully Implemented
39

State Hospitals should ensure that supervisory staff are present at the beginning and end of the employee's work shifts to ensure proper time reporting.

Resolved


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