Report I2018-1 All Recommendation Responses

Report I2018-1: Investigations of Improper Activities by State Agencies and Employees: Misuse of State Time, Economically Wasteful Activities, and Misuse of State Property (Release Date: July 2018)

Case Number I2017-0276

Recommendation #1 To: Fresno, California State University

Take appropriate disciplinary actions against Employee A for his continued time and attendance abuse and for his dishonesty when attempting to conceal his actions.

Agency Response From March 2018

Fresno State reported that it issued formal disciplinary action to Employee A, which included a 12-week unpaid suspension.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0276

Recommendation #2 To: Fresno, California State University

Take appropriate disciplinary actions against Employee B for her continued time and attendance abuse and for her dishonesty when attempting to conceal her actions.

Agency Response From March 2018

Fresno State reported that it issued formal disciplinary action to Employee B, which included a 12-week unpaid suspension.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0276

Recommendation #3 To: Fresno, California State University

Investigate Employee B's relative for potential time and attendance abuse because the relative, who also works at Fresno State, was observed leaving campus for long periods of time.

Agency Response From March 2018

Fresno State reported that it investigated Employee B's relative for potential time and attendance abuse. It stated that it issued disciplinary action to the relative, which included a 12-week unpaid suspension, after the investigation substantiated that the relative misused state time.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0276

Recommendation #4 To: Fresno, California State University

Assign Employees A and B to a lead employee who is trained regarding his or her responsibility to ensure that these two employees perform their duties and report any time away from their assigned duties.

Agency Response From March 2018

Fresno State reported that since January 2, 2018, Employees A and B have been reporting to a lead employee who will ensure these two employees perform their work duties and account for their time.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0276

Recommendation #5 To: Fresno, California State University

Take appropriate corrective actions against the supervisor and other relevant managers for failing to adequately address these employees' substantial time and attendance abuse.

Agency Response From May 2018

Fresno State informed us that it has counseled the supervisor, along with his immediate supervisor.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From March 2018

Fresno State reported that it will counsel the supervisor to ensure that in the future employee issues are properly documented and reported directly to management and human resources.

California State Auditor's Assessment of Status: Pending


Case Number I2017-0276

Recommendation #6 To: Fresno, California State University

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.

Agency Response From February 2019

Fresno State reported that CSU does not have statutory authority to recoup wages because Government Code section 19838, which allows the State to do so, does not apply to its employees. Instead, Fresno State stated that it held the employees accountable by quickly suspending them for 60 work days without pay (the same suspensions mentioned in prior recommendations). During their respective suspensions, Employee A lost wages that totaled $11,353 while Employee's B lost wage total was $11,865.

California State Auditor's Assessment of Status: Resolved


Agency Response From November 2018

Fresno State reported that it still is exploring whether it can recover any monies as it had imposed discipline on the two employees already.

California State Auditor's Assessment of Status: Pending


Agency Response From August 2018

Fresno State reported that it is gathering information to determine if the employees can be charged for their missed work hours or if the university can recover wages paid for work not performed.

California State Auditor's Assessment of Status: Pending


Agency Response From March 2018

Fresno State reported that it will attempt to charge the employees' leave balances to account for the hours they missed on surveillance.

California State Auditor's Assessment of Status: Pending


Case Number I2016-1265

Recommendation #7 To: Corrections and Rehabilitation, Department of

Take appropriate corrective action against the employee, including documenting his attendance abuse in his personnel or supervisory file.

Agency Response From March 2018

KVSP served the employee with a letter of instruction. The letter stated that it would be placed in the employee's personnel and supervisory files for no more than one year.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From January 2018

The California Department of Corrections and Rehabilitation (CDCR) stated that by March 12, 2018, Kern Valley State Prison (KVSP) plans to take the appropriate disciplinary actions against the employee

California State Auditor's Assessment of Status: Pending


Case Number I2016-1265

Recommendation #8 To: Corrections and Rehabilitation, Department of

Require the supervisor to implement policies and procedures to ensure his subordinates account for all of their missed work hours.

Agency Response From March 2018

In March 2018 the supervisor implemented for his staff a work hours policy that requires the staff to use an accountability sign-in log, to not leave the work site without his knowledge, and to account for all leave with approval for time off.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From January 2018

CDCR stated that by March 2018, KVSP plans to implement a procedure to account for all leave, including the implementation of accountability sign-in logs to ensure that staff time is tracked and monitored.

California State Auditor's Assessment of Status: Pending


Case Number I2017-0414

Recommendation #9 To: Motor Vehicles, Department of

Take appropriate disciplinary action against the employee for sleeping on the job for hours each day and failing to adequately perform her duties.

Agency Response From May 2019

DMV planned to issue disciplinary action to the employee in May 2019. The action enumerated many instances of the employee sleeping on the job during work hours. However, the employee retired one day prior to the planned issuance.

California State Auditor's Assessment of Status: Resolved


Agency Response From October 2018

DMV informed us that the employee left on medical leave but returned to work in September 2018. Upon her return, the supervisors reviewed staff expectations with her. They have since documented performance and medical issues.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From May 2018

DMV reported that it was unable to proceed with the disciplinary action known as adverse action for the employee without a proper documented history of problems with past performance. DMV stated that its legal and human resources staff determined that the previous corrective memorandums the supervisors had issued to the employee did not contain the appropriate language that would allow them to be used for such disciplinary action. Thus, DMV stated that it had issued to the employee a corrective memorandum in March 2018--after the investigation was completed--that contains the necessary language that will allow it to issue an adverse action to her if she does not correct her behavior.

California State Auditor's Assessment of Status: Pending


Agency Response From April 2018

DMV reported that it is conferring internally with its human resources, labor relations, and legal staff to determine the appropriate steps to take with the individuals listed in the report.

California State Auditor's Assessment of Status: Pending


Case Number I2017-0414

Recommendation #10 To: Motor Vehicles, Department of

Take appropriate corrective or disciplinary actions against the supervisors for failing to adequately address the employee's consistent pattern of sleeping during work hours and failing to perform her duties.

Agency Response From May 2018

DMV informed us that neither of the supervisors had previous performance issues in similar situations. Therefore, in accordance with the progressive discipline process, DMV stated that it provided training to the supervisors to ensure that a similar situation does not repeat itself in the future. The training agenda included discussions of the DMV's "Guide to Employee Discipline" and the proper steps to sure that supervisors stay on top of employee behavior concerns.

California State Auditor's Assessment of Status: Resolved


Agency Response From April 2018

DMV reported that it is conferring internally with human resources, labor relations, and legal staff to determine the appropriate steps to take with the individuals listed in the report.

California State Auditor's Assessment of Status: Pending


Case Number I2015-1129

Recommendation #11 To: Correctional Health Care Services, California

Ensure that the LVN begins performing duties appropriate for her classification as a nurse who provides patient care.

Agency Response From November 2018

In June 2018, just prior to the issuance of our report, the LVN was appointed to an analyst position that does not provide patient care.

California State Auditor's Assessment of Status: Resolved


Case Number I2015-1129

Recommendation #12 To: Correctional Health Care Services, California

Remove the LVN's scheduler access to the scheduling software.

Agency Response From May 2019

Correctional Health Care reported that the LVN is now an analyst assigned to the Nursing Services Department and her duties involve using the scheduling software because she is a designated backup for the staff scheduling function.

California State Auditor's Assessment of Status: Resolved


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review.

California State Auditor's Assessment of Status: No Action Taken


Case Number I2015-1129

Recommendation #13 To: Correctional Health Care Services, California

Utilize appropriate administrative staff to perform scheduling duties.

Agency Response From May 2019

Correctional Health Care reported that scheduling duties are overseen and approved by the nursing director and performed by the office technicians and analyst assigned to the Nursing Services Division. It also reported that in January 2019 it emailed a memorandum to supervisors and managers that presented the policy and procedures for temporary reassignments and redirection of employees based on operational needs. The former nursing director read and signed this memorandum in March 2019.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review, but CCHCS reported to SPB that it had taken some corrective actions. It reported that its human resources office had drafted a memorandum to CCHCS' Division of Health Care Services, informing management that they must first consult with human resources prior to reassigning/redirecting staff, in order to ensure proper allocation for the assignment and adherence to regulatory requirements. Lastly, human resources is in the process of developing a departmental policy and procedure to provide a standardized process for temporary assignments.

California State Auditor's Assessment of Status: Partially Implemented


Case Number I2015-1129

Recommendation #14 To: Correctional Health Care Services, California

Ensure that scheduling staff use the appropriate post codes in the scheduling software for all nursing staff so their time is accurately reported.

Agency Response From November 2020

Correctional Health Care Services reported that it provided in-person and webinar training for scheduling staff before updating its scheduling software in November 2019. The training covered appropriate use of post codes. It further reported that it holds statewide scheduler meetings each month to answer any questions and identify issues related to its scheduling software. Correctional Health Care Services further reported that it is working on a plan to revamp oversight of the scheduling software by summer 2021. So far, it reported that it has reviewed and removed duplicate post codes to decrease errors and noted that, although there is no way to remove the possibility of human error, it has minimized the number of available overtime codes from 82 to approximately 30 options. Lastly, it reported that it has developed an oversight expectation for the scheduling software team that will include a quarterly audit and regional assignments.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From October 2019

Correctional Health Care reported that it is updating the scheduling software and stated that its staff is reviewing additional ways to improve how the software is used statewide to minimize human error and to ensure that nursing staff work time is reported accurately.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From May 2019

Correctional Health Care reported that nurse scheduling staff attended scheduling software training in June 2017, which included instruction for posting codes and proper documentation of ad hoc post assignments. However, it provided attendance rosters from the training that showed that several scheduling staff members did not attend this training, including the subjects of our investigation.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review.

California State Auditor's Assessment of Status: No Action Taken


Case Number I2015-1129

Recommendation #15 To: Correctional Health Care Services, California

Ensure that all other nursing staff assignments to ad hoc posts are appropriate, and require schedulers to enter a note in the scheduling software indicating an employee's duties while in a general ad hoc post.

Agency Response From November 2020

Correctional Health Care Services reported that it provided in-person and webinar training for scheduling staff before updating its scheduling software in November 2019. The training covered appropriate use of post codes. It further reported that it holds statewide scheduler meetings each month to answer any questions and identify issues related to its scheduling software. Correctional Health Care Services further reported that it is working on a plan to revamp oversight of the scheduling software by summer 2021. In addition, it stated that its scheduling software does not have the capability to require a note for general ad hoc posts; however, it said that it trained scheduling staff to add a note. Further, it reported that if it discovers an increase in the use of general ad hoc posts without notes during its quarterly audits, it will notify appropriate leadership and provide additional training.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From October 2019

Correctional Health Care reported that it is updating the scheduling software and stated that its staff is reviewing additional ways to improve how the software is used statewide to minimize human error and to ensure that nursing staff work time is reported accurately.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From May 2019

Correctional Health Care reported that nurse scheduling staff attended scheduling software training in June 2017, which included instruction for posting codes and proper documentation of ad hoc post assignments. However, it provided attendance rosters from the training that showed that several scheduling staff members did not attend this training, including the subjects of our investigation.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review.

California State Auditor's Assessment of Status: No Action Taken


Case Number I2015-1129

Recommendation #16 To: Correctional Health Care Services, California

Provide training to the nursing director regarding the requirements for temporary employee reassignments, including proper documentation.

Agency Response From May 2019

Correctional Health Care reported that in January 2019 its human resources staff emailed a memorandum to supervisors and managers. The memorandum presented the policy and procedures for temporary reassignments and redirection of employees based on operational needs, and in March 2019 the former nursing director certified having reviewed it.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review.

California State Auditor's Assessment of Status: No Action Taken


Case Number I2015-1129

Recommendation #17 To: Correctional Health Care Services, California

Provide training to the nursing director and the LVN on Correctional Health Care's policy on personal relationships in the employment setting.

Agency Response From May 2019

Correctional Health Care reported that it provides standard training to all staff upon hire regarding nepotism and fraternization and it will remind its staff statewide of its nepotism and fraternization policy. It also reported that in April 2019 it provided an updated nepotism and fraternization policy to its staff statewide and launched a mandatory training for this policy.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review.

California State Auditor's Assessment of Status: No Action Taken


Case Number I2015-1129

Recommendation #18 To: Correctional Health Care Services, California

Consider disciplinary action against the nursing director and the LVN for being dishonest when interviewed and for violating Correctional Health Care's policy on personal relationships in the employment setting.

Agency Response From May 2019

Correctional Health Care reported that the CEO for the prison conducted an extensive review of our findings, interviewed the nursing director and the LVN about their relationship, and discussed the nepotism and fraternization policy with them. It further stated that the CEO concluded that the employees had not violated the nepotism and fraternization policy and decided against disciplinary action.

California State Auditor's Assessment of Status: Resolved


Agency Response From November 2018

CCHCS reported that on August 10, 2018, the State Personnel Board (SPB) contacted its human resources office and initiated a review of the LVN's temporary assignment. In September 2018, it further reported that it does not intend to implement our recommendations until after SPB's review is complete. As of November 2018, SPB had not concluded its review.

California State Auditor's Assessment of Status: No Action Taken


Case Number I2017-0453

Recommendation #19 To: Corrections and Rehabilitation, Department of

Seek repayment from the analyst for the $2,925 in improper payments.

Agency Response From March 2018

In March 2018 CDCR began collecting $325 per month from the analyst. It collected the final amount in November 2018.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0453

Recommendation #20 To: Corrections and Rehabilitation, Department of

Fully implement and continue to follow recommendations from prior investigative reports involving similar inappropriate inmate supervision pay at other CDCR facilities, including the recommendation to train all employees who receive, approve, or issue the inmate supervision pay.

Agency Response From October 2020

CDCR reported that it updated its inmate supervision pay procedures in December 2019 and distributed them to its personnel offices. It did not provide any information on whether it provided training on the updated procedures to applicable staff.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From November 2019

CDCR stated that it still plans to complete its revisions to the IWSP procedural manual by December 31, 2019, and it will provide relevant training subsequently.

California State Auditor's Assessment of Status: Partially Implemented


Agency Response From August 2019

In response to our recommendations from prior investigative reports, CDCR reported that it is still revising its procedures for the inmate supervision program and plans to finalize them by December 31, 2019. Upon completion, CDCR plans to provide department-wide training for the inmate supervision program.

California State Auditor's Assessment of Status: Partially Implemented


Case Number I2017-0453

Recommendation #21 To: Corrections and Rehabilitation, Department of

Provide additional training to the individuals involved in this investigation regarding the eligibility requirements for inmate supervision pay and overpayment procedures.

Agency Response From December 2018

CDCR reported that it has provided training to its personnel staff on processing inmate supervision pay. It also indicated that it provided instruction to the associate warden and the analyst regarding the eligibility requirements.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0453

Recommendation #22 To: Corrections and Rehabilitation, Department of

Revise the prison's inmate supervision pay approval form to include the date on which the employee received inmate supervision pay training and require signatures on each form from the employee, supervisor, and personnel staff to show that they received the training and are aware of the rules regarding inmate supervision pay.

Agency Response From March 2018

CDCR revised its inmate supervision pay approval form at the prison to include training dates and signatures of employees who receive, approve, and issue inmate supervision pay. It stated that it planned to implement a statewide form when it releases its revised procedures for the inmate supervision program.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0195

Recommendation #23 To: Dominguez Hills, California State University

Implement a cost-effective plan to install and use the quick charger in a campus project or develop plans to transfer it to another university or state agency.

Agency Response From August 2018

California State University, Dominguez Hills reported that it sold the quick charger via a public auction in July 2018 for $2,500, which exceeded its depreciated value of $684.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0195

Recommendation #24 To: Dominguez Hills, California State University

Establish a check-and-balance process regarding procurement decisions to prevent future wasteful purchases.

Agency Response From August 2018

California State University, Dominguez Hills updated its purchasing policy to require approval from its vice president of administration and finance prior to the purchase of any electric vehicle charging system.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2017-0912

Recommendation #25 To: Forestry and Fire Protection, Department of

Take appropriate disciplinary action against the assistant chief.

Agency Response From June 2018

CAL FIRE stated that it served the assistant chief with a formal adverse action for a 30-day suspension. In addition, CAL FIRE stated that it served the unit chief with a corrective letter.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From April 2018

CAL FIRE reported that it agreed with this recommendation and that it had already begun the process to take disciplinary action against the assistant chief.

California State Auditor's Assessment of Status: Pending


Case Number I2017-0912

Recommendation #26 To: Forestry and Fire Protection, Department of

Modify its standard rental agreement with tenants to limit the State's potential liability by providing more specificity with regard to making improvements or alterations to its rental properties, ensuring that tenants maintain renter's insurance, clarifying that CAL FIRE is not responsible for any personal property damage or loss, and ensuring the tenants and their guests do not interfere with the convenience of other residents of rental properties.

Agency Response From March 2019

CAL FIRE reported that it had modified its standard rental agreement with tenants to include the specific items that we recommended.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From November 2018

CAL FIRE reported that it still is finalizing the revised rental agreement.

California State Auditor's Assessment of Status: Pending


Agency Response From August 2018

CAL FIRE informed us that its technical services, business services, and accounting offices were working together to revise the rental agreement. It expected the revision to be completed by November 1, 2018.

California State Auditor's Assessment of Status: Pending


Agency Response From June 2018

CAL FIRE reported that it agreed with this recommendation. It requested information from us to assist with its research related to modifying the agreement.

California State Auditor's Assessment of Status: Pending


All Recommendations in I2018-1