Report I2017-2 All Recommendation Responses

Report I2017-2: Investigations of Improper Activities by State Agencies and Employees: Inaccurate Attendance Records, Violation of State Laws, and Misuse of State Resources (Release Date: October 2017)

Case Number I2015-0959

Recommendation #1 To: Atascadero State Hospital

The Department of State Hospitals (State Hospitals) should take appropriate disciplinary action against the psychiatric technician.

Agency Response From December 2017

State Hospitals reported that the psychiatric technician is out on extended medical leave and that he may not return to work at all, which has limited its ability to pursue disciplinary action.

California State Auditor's Assessment of Status: Pending


Agency Response From August 2017

State Hospitals stated that it would consult its legal, labor relations, and human resources departments to determine the appropriate administrative, corrective, and/or disciplinary action to take against the psychiatric technician. It also stated that it would provide training to him to ensure he is aware of the expectation and requirement to work scheduled shifts and seek approval for shift adjustments.

California State Auditor's Assessment of Status: Pending


Case Number I2015-0959

Recommendation #2 To: Atascadero State Hospital

State Hospitals should take steps to recoup the $7,540 of overtime pay from the psychiatric technician.

Agency Response From December 2017

State Hospitals reported that the psychiatric technician is out on extended medical leave and that he may not return to work at all, which has limited its ability to recoup the funds.

California State Auditor's Assessment of Status: Pending


Agency Response From August 2017

State Hospitals stated that it would consult its legal, labor relations, and human resources departments to determine appropriate action to collect the overpayment of overtime pay. It also stated that after obtaining records to support the overpayment, it would commence appropriate collection actions with the State Controller's Office.

California State Auditor's Assessment of Status: Pending


Case Number I2015-0959

Recommendation #3 To: Atascadero State Hospital

State Hospitals should take appropriate corrective actions to address the failures of the shift lead and the supervisor and to ensure they fulfill their responsibilities for recognizing and addressing attendance abuse.

Agency Response From December 2017

State Hospitals reported that its implementation of this recommendation was pending due to the psychiatric technician's extended medical leave.

California State Auditor's Assessment of Status: Pending


Agency Response From August 2017

State Hospitals stated that it would consult its legal, labor relations, and human resources departments to determine the appropriate administrative, corrective, and/or disciplinary action to take against the supervisor and shift lead. It also stated that it would provide training to them regarding attendance and timekeeping policies and procedures as well as proper use of state resources.

California State Auditor's Assessment of Status: Pending


Case Number I2016-0604

Recommendation #4 To: Water Resources, Department of

The Department of Water Resources (Water Resources) should ensure the administrative supervisor starts accounting for partial-day absences in accordance with her classification as a nonexempt employee.

Agency Response From October 2017

Water Resources reported that during the course of the investigation in December 2016 it instructed the supervisor and her manager regarding the requirement to charge leave for partial-day absences. Water Resources reported that from December 2016 through September 2017 the supervisor has used 54 hours of leave for 21 partial-day absences.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From August 2017

Water Resources reported that it directed the supervisor to begin accounting for her partial-day absences and has informed her management of the requirement as well.

California State Auditor's Assessment of Status: Partially Implemented


Case Number I2016-0604

Recommendation #5 To: Water Resources, Department of

Water Resources should ensure its management is knowledgeable about individual staff classifications and their time-reporting requirements.

Agency Response From November 2017

Water Resources provided a copy of a November 2017 memorandum from its human resources office that reminded managers and supervisors that certain supervisory classifications are required to charge leave for partial-day absences. The memorandum asked managers and supervisors to ensure they were familiar with workweek group designations for all subordinate staff and to comply with time and attendance requirements accordingly. In addition, Water Resources provided a copy of its training materials for 2017, which explained the differences in time-reporting requirements among the various workweek groups.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From August 2017

Water Resources reported that it would inform all managers and supervisors that all non-exempt employees must charge time for all partial-day absences and would include this requirement in its managers' and supervisors' training.

California State Auditor's Assessment of Status: Pending


Case Number I2016-0244

Recommendation #6 To: University of California, Davis

University of California, Davis, should require the professor to undergo travel reimbursement training that should focus specifically on appropriate and allowable expenses.

Agency Response From September 2017

University of California, Davis, reported that it provided training to the professor and his administrative assistant in September 2017.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2016-1360

Recommendation #7 To: Corrections and Rehabilitation, Department of

The Department of Corrections and Rehabilitation should issue a memo to all staff no later than November 2017, and annually thereafter, regarding the prohibition of raffles and the unauthorized sale of alcohol and ammunition.

Agency Response From November 2017

In November 2017, Corrections issued a memo to all of its employees regarding the prohibition of raffles and the unauthorized sale of alcohol and ammunition.

California State Auditor's Assessment of Status: Fully Implemented


Agency Response From August 2017

In August 2017, Corrections stated that it agreed with our findings related to the illegal raffle and that it intended to educate its staff regarding the problems associated with holding the type of raffle discussed in this report. It plans to issue guidance to employees by November 2017 about the appropriate ways to hold workplace events involving prizes, donations, or fundraising.

However, Corrections did not agree that an illegal sale of alcohol occurred. Corrections asserted that a true sale, as a matter of law, would not include an element of chance. We disagree with Corrections' assertion and reaffirm that Business and Professions Code section 23025 specifies that a sale of alcohol occurs every time the ownership of alcohol transfers from one party to another for any consideration. Since participants purchased tickets to participate in the raffle, consideration was given that resulted in the illegal sale of alcohol each time the alcohol transferred ownership to the respective winner.

California State Auditor's Assessment of Status: Pending


All Recommendations in I2017-2