Corrections should take appropriate disciplinary actions against the employee and pursue collection efforts for the compensation she did not earn.
As stated in previous years, Corrections has declined to implement this response.
As stated previously, Corrections has declined to implement this recommendation.
As stated previously, Corrections has declined to implement this recommendation.
As Corrections stated previously that it declined to implement this recommendation, we have modified the status of its response accordingly.
Corrections maintains its position that the employee did not engage in misconduct. Accordingly, it is declining to implement this recommendation.
Corrections reported in September 2012 that, based on its review of the findings, the employee did not engage in any misconduct. Therefore, it has declined to implement our recommendation. Corrections did not provide us any information or evidence that would call into question the accuracy of our findings.
Obtain monthly logs from the alarm company and verify that overtime reported for responding to building alarm activations is consistent with the logs.
Corrections reported in November 2012 that it completed a comparison of the logs as recommended.
Establish a protocol to ensure that upon receiving credible information that a medical professional may not be capable of treating patients competently, it promptly relieves that professional from treating patients, pending an investigation.
Corrections reported that it established a task force to discuss its policies and procedures for removing medical professionals from the treatment of patients when an investigation is pending. Corrections further stated that its Office of Internal Affairs would communicate with the proper authorities to determine whether employees under investigation have been removed from their primary duties. To assist in this process, Corrections reported that in June 2011 it established policies and procedures for collecting information about the costs related to health care employees who are either assigned alternate duties or on administrative time off.
Increase the priority that its Office of Internal Affairs assigns to the investigation of high-salaried employees.
Corrections reported that it established a task force to discuss its policies and procedures for removing medical professionals from the treatment of patients when an investigation is pending. In addition, Corrections reported that to reduce the fiscal impact to the State, its Office of Internal Affairs would ensure that it considers expediting investigations that involve high-salaried employees who are assigned alternate duties. Further, Corrections identified various factors it will consider when giving priority to investigations that involve high-salaried employees.
Develop procedures to ensure that the Office of Internal Affairs assigns a higher priority for completion of investigations into employee misconduct involving employees who have been assigned alternate duties.
Corrections stated in December 2010 that its Office of Internal Affairs would communicate with the proper authorities to determine whether employees under investigation have been removed from their primary duties and would consider expediting the completion of investigations involving high-salaried staff assigned alternate duties to reduce the fiscal impact on the State. In addition, as of August 2011, Corrections reported that on several occasions it had presented to different staff involved in the disciplinary process a training session on the need to consult with the Office of Internal Affairs.
Ensure that managers or their designees review exception reports within two working days, as required by Motor Vehicles' policy.
In December 2010 Motor Vehicles reported that it agreed with our recommendation to ensure that managers or their designees review exception reports within two working days. Specifically, it stated that it would provide additional training to all of its field supervisors to ensure compliance with its exception report review policies.
Determine whether corrective or disciplinary action is necessary for the employee's manager.
Motor Vehicles reported in July 2010 that it had issued a counseling memo to the employee's manager regarding her failure to properly adhere to the exception report review process. In addition, Motor Vehicles stated that it had given the manager's designee, another supervisor, a memo of discussion since the designee had been inconsistent in her review of exception reports. Motor Vehicles stated that it had provided training to the manager and the designee to ensure that the proper review of exception reports occurs in the future. Further, Motor Vehicles temporarily assigned the supervisor to another Motor Vehicles field office to receive additional training regarding her role as a supervisor in overseeing the exception report review process.
Take appropriate corrective action against the employees responsible for the improper purchases.
The Conservation Corps reported in December 2010 that it had issued a corrective action memorandum to each employee responsible for the improper purchases.
Implement controls to ensure that staff do not split contracts to evade competitive bidding requirements and that staff obtain and document in the procurement file the appropriate number of price quotations from certified small businesses prior to purchasing goods.
The Conservation Corps informed us that it created a procedure in February 2011 that requires field staff to submit bid information with every purchase or service order to ensure that the staff follow the proper procedures regarding bidding documents and price quotations. The procedure also requires business services staff to review the information to ensure compliance.
Provide adequate training to staff responsible for preparing and approving purchases.
Conservation Corps stated that it had provided procurement training to its staff in 2007, 2008, and 2009. In March 2011 it also held training for business services officers that focused on proper bidding procedures and other procurement activities.
Correct inconsistent accounting practices and require staff to associate expenditures directly with the purchase orders that authorized the expenditures.
The Conservation Corps created a procedure in February 2011 that requires field staff to submit bid information with every purchase or service order to ensure that the staff follow the proper procedures regarding bidding documents and price quotations. The procedure also requires business services staff to review the information to ensure compliance.
Provide training to its employees, emphasizing the need to protect confidential information from misuse and reiterating that employees are prohibited from hiding documents or storing them at home.
The claims board reported that it provides training to its employees emphasizing the need to protect confidential information when it annually reviews with staff its policies related to the protection of confidential information. It also reported that it has incorporated the importance of maintaining the confidentiality of claims board information and documents as a regular part of its new staff training. In addition, the claims board stated that it regularly discusses information security issues at manager and all-staff meetings.
Implement a protocol that requires management and staff to search for and locate missing claim files and file documents immediately after the discovery of them missing.
In 2008 the claims board implemented an automated claims processing system. In this system, claims board staff in its scan unit scan all documents into the system and electronically transmit them as files are assigned to individuals for processing. The claims board also stated that it maintains hard copies of the files in a secure room separate from claims processing staff. Further, it stated that its scan and intake units maintain and report daily statistics about mail received and processed. Thus, the claims board indicated that it identifies, investigates, and takes appropriate action for any fluctuations. Consequently, the claims board stated that, under its automated processing system, an employee would neither have access to nor be able to accumulate mail as the employee in this investigation did.
Take appropriate disciplinary action against the employee's supervisor for failing to monitor the employee's actions after becoming aware that the employee had hidden claims board documents.
The claims board responded that it takes a proactive approach in addressing personnel issues, including disciplinary matters, through risk management meetings. It also stated that it holds its managers accountable for their actions or lack of action.
Verify that the two engineers follow the directives outlined in their reprimands.
Caltrans reported that the supervisor and his manager established a plan to verify that the employees are following the directives outlined in their reprimands.
Require that the supervisor establish practices that enable him to ensure that his subordinates work their entire shifts.
Caltrans reported that the supervisor established practices to ensure that his subordinates work their entire shifts.
Take appropriate adverse or corrective action against the supervisor for his failure to adequately monitor his subordinates' attendance.
Caltrans stated that it verbally reprimanded the supervisor for his failure to adequately monitor his subordinates' attendance and gave him a "letter of warning" for his poor performance.
Take appropriate disciplinary action against the supervisor and manager.
Corrections reported that, based on its review of the findings, it did not find any misconduct on the part of the supervisor or the manager. Therefore, it declined to take any disciplinary action against them. Instead, Corrections provided to these and other employees on-the-job training relevant to the issues in the investigation. Nevertheless, Corrections did not provide us any information or evidence that would call into question the accuracy of our findings.
Evaluate the employee's position, duties, and workload to determine how best to avoid the waste of state time in the future. For example, an earlier start time might allow the employee to make deliveries throughout his entire shift. Other options might include converting the position to part-time or assigning other tasks to the employee for the last two hours of his shift.
Corrections reported that the facility's business manager reiterated to staff the expectation that employees should report to a supervisor when they have completed tasks or duties to receive new assignments. In addition, Corrections stated that it had revised the employee's duty statement to include additional duties consistent with State Personnel Board guidelines and that it had changed the employee's work schedule to an earlier start time.
Seek reimbursement from the manager for the costs associated with his misuse of state vehicles.
General Services and the manager signed an agreement directing the manager to reimburse the State the $12,379 in costs arising from his misuse of state vehicles. The terms of the agreement require the manager to repay the State $200 a month from June 2011 through August 2016. The manager made his first installment payment in June 2011.
Issue a memorandum regarding the appropriate use of state-owned vehicles to all division employees with access to state vehicles.
General Services stated that in March 2010, prior to the completion of our investigation, it issued a number of operating policies to its employees that prohibit the use of state-owned vehicles for travel to and from an employee's home without express permission.