Report 2012-107 Recommendation 10 Responses

Report 2012-107: Developmental Centers: Poor-Quality Investigations, Outdated Policies, Leadership and Staffing Problems, and Untimely Licensing Reviews Put Residents at Risk (Release Date: July 2013)

Recommendation #10 To: Developmental Services, Department of

To make certain that residents receive an adequate level of care and are protected from harm, the department should encourage Human Resources—which is responsible for negotiating labor agreements with employee bargaining units—to include provisions in future collective agreements to cap the number of voluntary overtime hours an employee can work and/or require departments to distribute overtime hours more evenly among staff. If, in the next round of negotiating bargaining unit agreements, Human Resources does not include provisions to cap the number of voluntary overtime hours an employee can work, the department should continue to advocate for these changes for future agreements. In the meantime, the department should adjust its overtime scheduling and monitoring practices to strengthen, where possible, procedures designed to ensure that staff working overtime do not compromise residents' health and safety.

1-Year Agency Response

The Department has fully implemented the new overtime authorization procedures noted in the six-month response. Following this implementation, the DC system has seen a 16 percent decrease in the amount of overtime accrued.

The Department continues to closely monitor overtime, both mandatory and voluntary, to ensure guidelines are adhered to and each facility monitors its need. There have been no changes to the bargaining unit agreements related to overtime; however, managers and supervisors continue to monitor overtime usage to ensure employees working overtime are alert and able to perform the functions of the job.

In addition, the DCD continues to work directly with each Administrative Services Director (ASD) at each facility to explore the roots of overtime need and undelivered staffing including the impact of the Family Medical Leave Act, sick leave, NDI, IDL and other types of approved leave including bid vacation increases and ad hoc calendar impacts.

California State Auditor's Assessment of 1-Year Status: Resolved

6-Month Agency Response

As reported previously, DDS has notified the California Department of Human Resources of the State Auditor's recommendation. Also, DDS is closely tracking the use of both voluntary and mandatory overtime through monthly monitoring of overtime at each facility.

The DDS Human Resources Branch coordinated a statewide effort to develop standardized timekeeping procedures related to receiving, reviewing, posting and keying leave time and overtime. Procedures were formalized and the process was implemented in September 2013. Attendance Reporting training was provided to all DC Personnel Offices between September and October 2013.

The Developmental Centers Division (DCD) conducted a review of high earners of overtime and their reporting documents at all facilities. As a result of the audit findings, DCD is working with DC Administrative Services Directors and Clinical Directors to explore the roots of the high usage of overtime, including undelivered staff, and to determine if alternatives are available to managers and supervisors before approving overtime, especially for those individuals identified as high overtime users. In addition, based on the audit findings and to better document the overtime authorization approval and reporting, immediate recommendations were made and Timekeeping Procedures were developed by the DDS Human Resources Branch which were implemented statewide, as described above. A Timekeeping Policy is also being developed to establish further expectations and supplement the current Timekeeping Procedures.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

DDS has notified the California Department of Human Resources of the State Auditor's recommendation. DDS is closely tracking the use of both voluntary and mandatory overtime, through monthly monitoring of overtime at each facility. Additionally, the Deputy Director of the Developmental Centers Division issued a directive to all facilities on May 14, 2013 requiring them to review overtime procedures and standardize overtime record keeping. As noted in our initial response, the Department's Human Resources Office is coordinating a statewide effort, working with facility Personnel Offices, to develop a standardized timekeeping process related to receiving, reviewing, posting and keying all time, including overtime. This process will be finalized with training occurring during the month of September 2013.

The Developmental Centers Division is conducting a review of high earners of overtime at all facilities and is working with the Executive Directors to develop action plans, as needed, to manage individual overtime hours and ensure resident safety.

The Department is committed to recruitment and hiring to fill vacant positions at the developmental centers, working to reduce reliance on overtime, and to provide essential services to residents.

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2012-107

Agency responses received are posted verbatim.