Report I2012-1 All Recommendation Responses
Report I2012-1: Investigations of Improper Activities by State Agencies and Employees: Bribery, Conspiracy to Commit Mail Fraud, Improper Overtime Payments, Improper Use of Lease Proceeds, Improper Travel Expenses, and Other Violations of State Law (Release Date: December 2012)
Case Number I2009-0689
Recommendation #1 To: Correctional Health Care Services, California
Correctional Health Services should provide training to the manager and supervisors involved in the claim authorization process regarding the state rules applicable to claiming travel expenses.
Agency Response From January 2014
Correctional Health Services told us that it provided training regarding state travel rules to the manager, supervisors, and employees who were discussed in our investigative report and who still were employed by the department when it began the training in 2013. It also reported that as of December 2013, it has provided training regarding state travel rules to more than 1,600 additional employees and has developed a database for keeping track of its employees who have traveled on state business and not participated in the training. Correctional Health Services is notifying these untrained employees that they must attend the training. Each month the department also notifies its employees of travel training opportunities.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2013
Correctional Health Services finalized its training plan and began implementing the training in June 2013. It has not yet completed providing the training to all its employees involved in the travel claim authorization process. It intends to implement the recommendation by December 2013.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2012
Correctional Health Services reported that it was considering developing a “lesson plan” regarding state travel laws and regulations. (See 2013-406, p. 275)
California State Auditor's Assessment of Status: Pending
Case Number I2009-0689
Recommendation #2 To: Correctional Health Care Services, California
Correctional Health Services should discontinue reimbursing employees for expenses claimed in violation of state regulations.
Agency Response From May 2014
We received a copy of the report regarding the review of travel expense claims. According to the report, the review consisted of an examination of claims submitted between June 2010 and June 2013. The internal auditor who prepared the report concluded that travel expenses totaling $3,969 had been approved in violation of state regulations, and that weaknesses existed in the review and approval process for travel expense claims. The internal auditor recommended that Correctional Health Services and relevant staff at the California Department of Corrections and Rehabilitation review the claims to determine how the improper approvals occurred, develop procedures and training to prevent such improper approvals from occurring, and determine whether any of the improper travel expenses that were approved can be collected. Thus, Correctional Health Services has made efforts to ensure that it does not continue to reimburse employees for travel expenses in violation of state regulations.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2014
In January 2014, Correctional Health Services completed its spot review of travel expense claims to measure the department's compliance with state regulations governing their approval. The department reported that it will issue a report about the review very soon.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2013
Correctional Health Services stated that it is in the process of conducting a spot review of travel claims to ensure compliance with state regulations. It plans to implement the recommendation by December 2013 and forward the results of the review to the California State Auditor.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2012
Correctional Health Services reported that to help detect any improper reimbursements and to ensure compliance with policies and procedures it would initiate spot reviews of travel claims. (See 2013-406, p. 275)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2009-0689
Recommendation #3 To: Corrections and Rehabilitation, Department of
Corrections should provide training to its accounting staff regarding state regulations and the applicable collective bargaining agreements that relate to travel reimbursements.
Agency Response From October 2012
Corrections reported that it consolidated its travel functions to a regional office composed of well-trained staff. It also stated that all new regional office employees now receive training and are provided with all pertinent policies and training manuals to perform their duties effectively. (See 2013-406, p. 275)
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2009-0689
Recommendation #4 To: Corrections and Rehabilitation, Department of
Corrections should develop procedures to ensure that it provides accurate, clear responses when employees seek clarification of state travel rules.
Agency Response From October 2012
Corrections reported that it allows employees to obtain answers to travel-related questions by contacting its help desk, which is staffed and supervised by employees who have received extensive training regarding travel procedures to ensure that the information provided is clear and accurate. (See 2013-406, p. 276)
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2010-1151
Recommendation #5 To: Corrections and Rehabilitation, Department of
Corrections should collect all of the improper payments the State made to the nurse and seek corrective action for the time the nurse falsely claimed to work.
Agency Response From September 2013
Our report found that Corrections improperly paid the supervising registered nurse $8,647. However, as Corrections had made numerous errors when calculating payments to her, we asked it to review our work and collect the improper payments it identified. In September 2013, Corrections reported that it had collected from the supervising registered nurse all of the overpayments it made to her. In total, it collected $8,872 from her, which was $225 more than the amount of the overpayments we identified in our report.
In addition, Corrections terminated the supervising registered nurse from state employment as of April 2013. She has appealed the decision, and a hearing regarding her termination tentatively has been set for May 2014.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Corrections reported that its office of internal affairs has approved a request to investigate the nurse's actions. Corrections' legal counsel is reviewing the documents obtained from the state auditor. If the facility sustains the misconduct and imposes a penalty, it expects to serve the adverse action by March of 2013. (See 2013-406, p. 277)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2010-1151
Recommendation #6 To: Corrections and Rehabilitation, Department of
Corrections should provide training to the supervisor related to timekeeping requirements and the proper procedures for taking disciplinary actions.
Agency Response From January 2013
Corrections reported that in January 2012, it provided training to the supervisor related to the proper procedures for taking disciplinary action. In January 2013, it provided proof of the supervisor's attendance.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Corrections reported that it issued a memorandum that required its wardens and chief executive officers to ensure on-the-job training regarding timekeeping requirements is provided to all staff, including supervisors and managers within 45 days of the issuance of the memorandum. The department completed the training on November 30, 2012. Training on disciplinary actions is still pending. (See 2013-406, p. 277)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2010-1151
Recommendation #7 To: Corrections and Rehabilitation, Department of
Corrections and Correctional Health Services should seek corrective action for the supervisor's failure to monitor and discipline the nurse adequately.
Agency Response From November 2013
In January 2013, Corrections submitted evidence establishing that the letters and appraisals mentioned in its December 2012 update were given to the supervisor to address her improper actions.
In addition, Corrections reported in November 2013 that the supervisor resigned from state employment in October 2013.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Corrections reported that it issued a letter of expectation to the supervisor regarding the nurse's time sheets. It also issued a letter of instruction to the supervisor regarding her approval of the nurse's March, June, and July 2010 time sheets. Lastly, Corrections and Correctional Health Services' reported that they completed a performance appraisal summary and individual development plan for the supervisor identifying improvements needed in supervising the work of others and personnel management practices. Corrections is considering taking additional disciplinary actions against the supervisor. (See 2013-406, p. 278)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2010-1151
Recommendation #8 To: Correctional Health Care Services, California
Corrections and Correctional Health Services should seek corrective action for the supervisor's failure to monitor and discipline the nurse adequately.
Agency Response From November 2013
In January 2013, Corrections submitted evidence establishing that the letters and appraisals identified in its December 2012 update were given to the supervisor to address her improper actions. Corrections reported subsequently that the supervisor resigned from state employment in October 2013. As Corrections submitted the requested information, Correctional Health Services' progress on this recommendation is deemed fully implemented.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Correctional Health Services' reported that they completed a performance appraisal summary and individual development plan for the supervisor identifying improvements needed in supervising the work of others and personnel management practices. (See 2013-406, p. 278)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2010-1151
Recommendation #9 To: Corrections and Rehabilitation, Department of
Corrections should provide training to the facility's personnel office staff related to the application of the terms of the collective bargaining agreements for medical staff, the processing of docked pay, and the processing of on-call hours.
Agency Response From March 2013
In February 2013 Corrections provided evidence that personnel staff at the Correctional Training Facility (facility) attended training provided by the State Controller's Office about personnel action records, payroll processing, disability benefits, corrective actions, salary determinations, advanced salary determinations, and workers compensation. It also provided evidence that the facility's personnel staff attended training on the following topics: timekeeping, attendance records, contracts, docking pay, on-call and call back hours. As part of that evidence, it provided information about the specific topics discussed at the training and samples of the documents provided to staff at the training.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Corrections reported that it has and will continue to send all personnel specialists to training provided by the State Controller's Office. In addition, it stated that the facility's personnel supervisors met with all of its personnel specialist and trained them on docking employees, bargaining unit contracts, and the rules and regulations for on-call hours. The state auditor has not yet received evidence that the training occurred. (See 2013-406, p. 278)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2010-1151
Recommendation #10 To: Corrections and Rehabilitation, Department of
Corrections' should implement additional controls within the facility's personnel office to ensure that supervisors regularly monitor and review their staff's processing of time sheets.
Agency Response From February 2013
Initially, Corrections reported that it would conduct supervisory audits of all time sheets to ensure the integrity of time and attendance reporting at the Correction Training Facility (facility). Upon asking for additional details regarding this new control, Corrections responded that it would conduct supervisory audits monthly, which would entail reviewing 10 percent of all time sheets processed by the specialists at the facility. Corrections stated that when an error is found in the processing of a time sheet through a monthly audit, the facility would provide additional training and clarification to the specialist who processed the time sheet erroneously. This specialist then would be given the time sheet to review again and make necessary adjustments or changes to the employee's pay, recorded leave, or dock. Next, the specialist would be required to look through his or her entire caseload to ensure that the same mistake had not been made when processing other time sheets. If the specialist identifies such errors, he or she must make necessary changes to the employee's pay, recorded leave, or dock.
Corrections also reported that, in October 2012, it implemented a policy that required specialists to complete a new monthly review form when processing the time sheet of each employee every month. It created this form to ensure that the most critical components involved in processing leave transactions are completed correctly by specialists. Supervisors of the specialists are required to review and audit a random sample of 100 monthly review forms each quarter. Each sample must include forms completed for a broad range of custody and non-custody staff. As part of this review, the supervisors are required to verify that information from the time sheets of the employees selected for the sample has been keyed into the electronic leave accounting system correctly. At the end of each calendar year, the monthly review form for each employee is filed with the employee's time sheets.
By imposing the supervisory audits and use of the monthly time sheet review, Corrections has implemented controls to ensure that supervisors regularly monitor and review specialists' processing of time sheets.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Corrections reported that it will conduct supervisory audits of personnel specialists' time sheet files to ensure the integrity of its time and attendance reporting. However, Corrections did not specify how supervisory audits will ensure that all time sheets are processed correctly. (See 2013-406, p. 278)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2011-1083
Recommendation #11 To: Education, Department of
Education should block The Sacramento Bee's Web site from the employee's computer station for a specified period.
Agency Response From December 2012
Education reported that the employee resigned in November 2012, and that the recommendation no longer is applicable. (See 2013-406, p. 279)
California State Auditor's Assessment of Status: Resolved
Case Number I2011-1083
Recommendation #12 To: Education, Department of
Education should evaluate the necessity of the employee's direct access to The Sacramento Bee's Web site and take appropriate actions to prevent further abuses of state resources. These actions may include blocking other specific Web sites or periodically monitoring the employee's Internet usage.
Agency Response From December 2012
Education reported that the employee resigned in November 2012, and that the recommendation no longer is applicable. (See 2013-406, p. 279)
California State Auditor's Assessment of Status: Resolved
Case Number I2011-1083
Recommendation #13 To: Education, Department of
Education should take appropriate corrective action against the employee for misusing state resources.
Agency Response From August 2013
Initially, Education asserted that the recommendation no longer applied as prior to issuance of the public report, the employee left Education to work for another state agency. However, we disagreed with this assertion and asked Education to place a letter of reprimand in the employee's official personnel file describing the employee's misuse of state resources while he was an Education employee.
In May 2013, Education reported to us that it asked the employee's new employer whether it would agree to place some form of disciplinary notice in the employee's personnel file. In July 2013, Education reported that the employee's new employer denied its request to insert a disciplinary notice into the employee's personnel file. As Education made a reasonable effort to take some action against the employee but was prevented in completing the action due to the new employer, no further action is needed.
California State Auditor's Assessment of Status: Resolved
Agency Response From December 2012
Education reported that the employee resigned in November 2012, and that the recommendation no longer is applicable. However, Education had at least one month after we notified it of the activity in October 2012 to pursue corrective action, and could still take action to ensure that employee's misconduct is noted in the employee's official personnel file. (See 2013-406, p. 279)
California State Auditor's Assessment of Status: No Action Taken
Case Number I2011-1083
Recommendation #14 To: Education, Department of
Education should take appropriate corrective action against Supervisor A for failing to adequately monitor and discipline the employee.
Agency Response From July 2013
In January 2013 Education informed us that it would take action against the supervisor by monitoring his ability to supervise. In reply, we urged Education to add a letter of reprimand to the supervisor's official personnel file. In April 2013 Education stated that it disagreed with our recommendation and it believed that training it had instituted for the supervisor was sufficient to address his supervisory failures as described in our report. We asked Education subsequently to provide details regarding its monitoring of the supervisor's ability to supervise. In response, Education stated that, in addition to adhering to its regular practice of performing ongoing evaluations of the supervisor and communicating with him, it instructed his direct supervisor to report any concerns about his performance so that appropriate action could be taken.
In July 2013 Education stated that the supervisor participates in weekly staff, manager, and individual meetings with his division director. Education purported that through these meetings, the division director ensures that the supervisor is assigning work appropriately and equitably to staff members. Education also stated that no employee in the supervisor's unit was without sufficient duties and assignments.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Education reported that Supervisor A attended its in-house training on personnel management. Education claimed that this training was designed to improve the supervisor's personnel management knowledge and skills, including awareness of incompatible activities, progressive discipline, and employee disciplinary actions. However, this training does not constitute taking corrective action against the supervisor for neglecting his duty to monitor and discipline the employee. (See 2013-406, p. 280)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2009-1341
Recommendation #15 To: Athletic Commission, State
The athletic commission immediately should cease paying the 18 athletic inspectors discussed in the report an overtime rate for work they perform and inform all athletic inspectors that it will compensate them at the classification's straight-time rate unless their work meets the criteria for receiving overtime under the Fair Labor Standards Act of 1938.
Agency Response From December 2012
The athletic commission ceased paying overtime to the employees in October 2012. It is working with the Department of Consumer Affairs to recoup overpayments that it made the last three years. (See 2013-406, p. 281)
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2009-1341
Recommendation #16 To: Athletic Commission, State
The athletic commission should make greater efforts to broaden its hiring and increase the number of applicants who are not full-time state employees by posting hiring announcements at locations where the athletic commission has a presence, such as gyms and venues at which it holds events.
Agency Response From February 2013
As of February 2013, the Athletic Commission has hired at least six additional inspectors as a result of the effort of posting job announcements at locations where the commission has a presence. At the time of hire, these individuals were not otherwise employed by the state. The executive officer reported that he personally posted job announcements at several gyms. In addition, the executive officer reported that he received an application from a gym where he did not post an announcement, indicating the announcement may have spread through word of mouth.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
The athletic commission is exploring options to broaden the applicant pool for the athletic inspector classification. (See 2013-406, p. 281)
California State Auditor's Assessment of Status: Pending
Case Number I2009-1218
Recommendation #17 To: Fish and Wildlife, Department of
Fish and Game should seek either corrective or disciplinary action against the supervisor for his failure to ensure that Fish and Game used lease proceeds in accordance with the terms of the lease and to ensure that these proceeds were accounted for in the State Treasury where necessary.
Agency Response From July 2013
The Department of Fish and Wildlife (Fish and Wildlife), formerly known as the Department Fish and Game, reported that in July 2009, the supervisor was reprimanded informally by his supervisor for failing to ensure that lease proceeds were used by Fish and Wildlife in accordance with the terms of the lease and that lease proceeds were accounted for in the State Treasury.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Fish and Game has failed to provide a response. (See 2013-406, p. 283)
California State Auditor's Assessment of Status: No Action Taken
Case Number I2009-1218
Recommendation #18 To: Fish and Wildlife, Department of
Fish and Game should amend the terms of its leases either to require that the lessee make lease payments to the State or to include specific improvements and repairs of comparable value that the lessee must perform in lieu of making lease payments. In either instance, Fish and Game should include a provision in the lease for payment if the lessee owes money to the State at the end of the lease period. If it decides that future leases should require a lessee to make specific improvements and repairs, Fish and Game should do the following:
• Develop a system to track all pertinent information related to a lessee's cost for improvements and repairs to be credited against the lease.
• Require the supervisor to reconcile payment records at least annually with each lessee to ensure that the State's records are accurate and that the State receives full benefit from leasing the state property.
Agency Response From November 2013
Fish and Wildlife created new lease templates for agricultural land use and vegetation control which have been approved by the Department of General Services. It stated that all new leases will be drafted using these new templates. The templates include provisions that require the lessee to make payments in advance to the State and prohibits improvements and repairs to be made in lieu of making lease payments.
Fish and Wildlife reported that effective November 2013, it terminated its lease of land in the wildlife area described in our report. The termination letter directed the farmer to work with Fish and Wildlife's regional manager to reconcile the payments and credits owed regarding the lease. In addition, Fish and Wildlife stated that, for the remaining existing agricultural land use and vegetation control leases, some leases were cancelled and others will be allowed to expire according to the terms of the lease agreement. Fish and Wildlife stated that it will draft any new leases for these areas using the templates described above.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
Fish and Game has failed to provide a response. (See 2013-406, p. 283)
California State Auditor's Assessment of Status: No Action Taken
Case Number I2009-1218
Recommendation #19 To: Fish and Wildlife, Department of
Fish and Game should provide training to those involved with the lease to ensure that it properly accounts for and reconciles future work and payments related to the leased property, that it does not pay operational and equipment expenses with proceeds derived from the lease, and that all parties understand what work Fish and Game expects as the result of the agreement.
Agency Response From April 2014
Fish and Wildlife reported that it provided training in January 2014 that covered its new policy on land lease agreements, required forms and approvals, process flow, fiscal issues, and agreements with outside entities such as resource conservation districts. Fish and Wildlife stated that regional and headquarters staff, including regional managers, program managers, and other regional and headquarters staff, attended the training at its headquarters.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From October 2013
Fish and Wildlife's new lease templates prohibit improvements and repairs be made in lieu of making lease payments. As such, it is not necessary to train staff to ensure that it properly accounts for and reconciles the work and payments made for improvements against the lease. However, we still recommend that Fish and Wildlife provide training to those involved with its leasing process. For this, Fish and Wildlife reported that it issued a department bulletin regarding its policies, procedures, and processes governing land lease agreements. The bulletin includes discussions of Fish and Wildlife's expectations of its employees throughout the leasing process, including soliciting and selecting lessees, drafting lease agreements, reviewing and approving a lease, and managing the agreement once it has been executed. Fish and Wildlife stated that it would work with regional staff to ensure they are properly trained on the new process and expects training to take place prior to February 2014.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2012
Fish and Game has failed to provide a response. (See 2013-406, p. 284)
California State Auditor's Assessment of Status: No Action Taken
Case Number I2008-1217
Recommendation #20 To: Employment Development Department
To minimize the potential for unauthorized changes to employers' wage information, EDD should strengthen its controls surrounding employees' access and authorization to change data for companies reporting employment information used in EDD's unemployment system.
Agency Response From October 2012
EDD reported that it created a new daily transaction report to alert managers when changes are made to employment records. Most importantly, this report identifies changes made to names, social security numbers, or wage records on the unemployment system by EDD employees when no business need for such changes appears to exist. Finally, this new report provides managers with a tool to monitor transactions performed by accounting technicians. (See 2013-406, p. 285)
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2009-1321
Recommendation #21 To: Natural Resources Agency, California
Resources should designate the employee's headquarters as Resources headquarters in Sacramento.
Agency Response From October 2012
Resources reported that previously it had designated the employee's headquarters in Sacramento. (See 2013-406, p. 289)
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2009-1321
Recommendation #22 To: Natural Resources Agency, California
Resources should discontinue reimbursing employees improperly for their commute-related expenses and lodging and for meal expenses incurred within 50 miles of their headquarters.
Agency Response From October 2012
Resources should discontinue reimbursing employees improperly for their commute-related expenses and lodging and for meal expenses incurred within 50 miles of their headquarters. (See 2013-406, p. 289)
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2010-1022
Recommendation #23 To: University of California
To address the improper acts we identified, the university should collect $1,802 from the official for the wasteful expenses he claimed for lodging and meals during his trip to England, the expenses he incurred within the vicinity of his headquarters, and the business meal expenses.
Agency Response From October 2018
As the university has collected $506 from the official, who retired several years ago, and it believes that the travel expense payments were made in accordance with the university's policies and procedures in effect at the time, we consider this recommendation resolved.
California State Auditor's Assessment of Status: Resolved
Agency Response From November 2017
The university's position on this recommendation has not changed.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2016
As stated previously, the university's position on this recommendation remains unchanged.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2015
The university's position on this recommendation continues to remain unchanged.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2014
The university's position on this recommendation has remained unchanged since its November 2013 update.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2013
After performing an additional review with university staff of the expenses we determined to be wasteful, we concluded that $154 of the total was proper for payment, leaving $1,638 as the amount we are recommending the university collect from the official. The university collected $342 of that amount in May 2011. The university subsequently received an additional $396 from the official, but this amount was unrelated to the recommendation. Accordingly, the university still must collect $1,296 from the official to implement this recommendation fully.
However, in March 2013 the university advised us that it would not make any further effort to collect from the official the remaining $1,296 that he received in improper expense payments because the official no longer is employed by the university. In November 2013, the university reiterated its position that it would not pursue collection of the expense payments because it now views the payments to have been proper according to university policies and practices in effect at the time the payments were made. In addition, the university determined that its process for approving reimbursemts was flawed at the time the official received expense reimbursements for business meals, lodging costs, and expenses incurred within the vicinity of his headquarters.
With specific regard to the reimbursed expenses the official incurred within the vicinity of his headquarters, the university stated that it frequently grants exceptions to the rule prohibiting reimbursement for lodging expenses within the vicinity of headquarters when an employee participates in meetings or other business activities near headquarters that run late into the evening and resume early the following morning. The university concluded that these same circumstances held true regarding the official's expenses within the vicinity of his headquarters and opined that it would have been unsafe and unfair not to pay for the official's overnight lodging, as failing to do so would have required him to secure lodging at his own expense or drive up to 80 miles late at night to return to his home and then return the next morning. However, as it was the the official's choice to live 80 miles from his headquarters, accommodating that choice by providing lodging for the official in the vicinity of his headquarters was not the responsibility of the university and, therefore, constituted a waste of state resouces.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2012
The university reported that it has notified the official of the expenses to be collected. In May 2011, the official reimbursed the university $738 for expenses incurred in England as well as other expenses. The university reported the official is obligated to pay the balance before he leaves the university in December 2012. (See 2013-406, p. 291)
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2010-1022
Recommendation #24 To: University of California
The university should revise the policies to allow employees to claim only actual lodging expenses up to established rates for international travel.
Agency Response From September 2015
The university issued its revised travel policy in April 2015, which now requires employees to claim actual lodging expenses up to established rates for international travel.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2014
Although the university stated in January 2014 that it would not revise its travel policy further to fully address our recommendation, the university reversed its decision in December 2014 and agreed to revise its policy as originally recommended. The university expects the revisions to be implemented by the spring of 2015.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From January 2014
In January 2014, the university provided us with a revised travel policy. One part of the policy states that an employee only may be reimbursed for the actual cost of lodging for foreign travel up to the federal per diem amount. However, another part of the revised policy suggests that an employee may be reimbursed for the cost of lodging for foreign travel up to the federal per diem amount without mention of the actual cost of the lodging. We therefore asked the university to revise its policy further to resolve the ambiguity that we noted. The university refused to revise its policy further. Consequently, the university has implemented this recommendation only partially.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2013
In April 2013, the university provided us with a revised travel policy. After reviewing the revised policy, we pointed out to the university that while the revised policy restricts employees to claiming only their actual lodging costs when traveling outside the United States for 30 days or longer, it still allows employees traveling outside the United States for less than 30 days to claim a full per diem lodging rate rather than their actual lodging costs. The university responded in May 2013 that it would add language to its revised policy that allows employees traveling internationally for less than 30 days to claim only their actual lodging costs up to established rates.
In November 2013, the university provided us with the language it is intending to present to its policy committee, as an addition to its revised travel policy, to address our concern about employees being able to claim lodging expenses above their actual lodging costs for international travel of less than 30 days. However, we found this language to be inadequate to address our concern, so we have asked the university to propose different language.
California State Auditor's Assessment of Status: Pending
Agency Response From December 2012
The university has assigned its chief financial officer (CFO) to analyze this recommendation and the feasibility of incorporating it into university policy. The CFO has convened the campus controllers to begin the process of reviewing existing policies. (See 2013-406, p. 291)
California State Auditor's Assessment of Status: Pending
Case Number I2010-1022
Recommendation #25 To: University of California
The university should include a policy specific to parking to assist supervisors in determining appropriate expenses.
Agency Response From November 2013
In April 2013, the university provided us with a revised travel policy which establishes that travelers should seek out long-term parking accommodations at airports or common carriers when travel is expected to exceed 24 hours. More generally, the revised policy states that when traveling between an airport and home, travelers should be good stewards of the university's resources and mindful of the costs associated with the transportation method they select.
As the university included a provision in its travel policy that guides supervisors in determining proper parking expenses, this recommendation has been implemented fully.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2012
The university has assigned its CFO to analyze this recommendation and the feasibility of incorporating it into university policy. The CFO has convened the campus controllers to begin the process of reviewing existing policies. (See 2013-406, p. 291)
California State Auditor's Assessment of Status: Pending
Case Number I2010-1022
Recommendation #26 To: University of California
The university should clarify policies to include a distance test for expenses that employees incur within the vicinity of their headquarters.
Agency Response From January 2014
In January 2014, the university provided us with a revised travel policy, which stated, "Regardless of the length of time for business travel, the traveler must be at least 40 miles from the headquarters location or home, whichever is closer, to be reimbursed for an overnight stay." Thus, the university has implemented the recommendation to provide a clear distance test for reimbursable expenses within the vicinity of headquarters..
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2013
In April 2013, the university provided us with a revised travel policy establishing a distance test that prohibits reimbursement for meal and lodging expenses incurred within 40 miles of headquarters during trips lasting 24 hours or more. However, the university failed to establish a similar distance test for trips lasting less than 24 hours.
In November 2013, the university reported that it would propose to its policy committe the addition of language to its revised travel policy that would impose the same distance test for trips lasting less than 24 hours that now applies to trips lasting 24 hours or more. It stated that the updated revised policy should be issued before the end of 2013.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2012
The university has assigned its CFO to analyze this recommendation and the feasibility of incorporating it into university policy. The CFO has convened the campus controllers to begin the process of reviewing existing policies. (See 2013-406, p. 292)
California State Auditor's Assessment of Status: Pending
Case Number I2010-1022
Recommendation #27 To: University of California
The university should revise policies to establish defined maximum limits for the reimbursement of domestic lodging costs and establish controls that allow for exceptions to the limits under specific circumstances only.
Agency Response From November 2017
In October 2017 the university revised its travel policy to include a $275 per night maximum reimbursement rate (before taxes and mandatory hotel fees) for domestic lodging. The revised policy allows for exceptions and requires university travelers to submit additional documentation that supports the rationale for higher lodging rates.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2016
The university's position on this recommendation remains unchanged since its October 2015 update.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2015
The university stated that it plans to take no further action on this recommendation.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2014
The university's position on this recommendation has remained unchanged since its November 2013 update.
California State Auditor's Assessment of Status: No Action Taken
Agency Response From November 2013
In April 2013, the university provided us with a revised travel policy. The revised policy contained additional language that recommended travelers submit additional documentation when seeking payment for lodging expenses exceeding 200 percent of the federal per diem lodging rate. When we informed the university that this language did not satisfy our recommendation to establish defined maximum limits for domestic lodging costs and failed to establish controls to allow exceptions to the limits only under specific circumstances, the university reported that it would not take any additional action on this recommendation.
Subsequently, in November 2013, the university stated that its travel council had reviewed our recommendation and decided not to impose a defined maximum limit for the reimbursement of domestic lodging costs because much of the university travel involves academic conferences and conventions where staying at a host hotel often is integral to the event.
Thus, the university is refusing to implement our recommendation to establish defined maximum limits for the reimbursement of domestic lodging costs and establish controls that allow exceptions to the limits only under specific circumstances.
California State Auditor's Assessment of Status: No Action Taken
Agency Response From December 2012
The university has assigned its CFO to analyze this recommendation and the feasibility of incorporating it into university policy. The CFO has convened the campus controllers to begin the process of reviewing existing policies. (See 2013-406, p. 292)