Report I2020-1 All Recommendation Responses
Report I2020-1: Investigation of Improper Activities by State Agencies and Employees: Waste of State Funds, Misuse of Bereavement Leave, Misuse of State Resources, Dishonesty, and Supervisory Neglect of Duty (Release Date: April 2020)
Case Number I2017-1372
Recommendation #1 To: Fish and Wildlife, Department of
The California Department of Fish and Wildlife (Fish and Wildlife) should clearly define and train staff on procurement roles to avoid having only a few employees primarily guiding an acquisition of this magnitude.
Agency Response From June 2020
Fish and Wildlife stated that it currently trains staff on procurement roles and responsibilities. It also stated that for purchases that exceed its purchasing authority, it relies on the guidance and expertise of Department of General Services (General Services) staff and stated that it will continue to train staff and work with General Services to follow prescribed procurement requirements.
California State Auditor's Assessment of Status: Resolved
Case Number I2017-1372
Recommendation #2 To: Fish and Wildlife, Department of
Fish and Wildlife should train staff who administer or approve contracts on the requirement for all contracts and amendments to be in writing and to work with contractors if there are issues with modifications needed pursuant to warranty.
Agency Response From February 2020
Fish and Wildlife stated that it trains staff who administer contracts on the requirement that all contracts and amendments must be in writing. In addition, Fish and Wildlife stated that it provides additional training and support when it learns that staff members are not following this requirement.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2017-1372
Recommendation #3 To: Fish and Wildlife, Department of
Fish and Wildlife should retain a professional with appropriate expertise for future procurements of a highly technical nature to develop specifications and engineered drawings and to inspect the equipment for satisfaction of contractual specifications before accepting delivery.
Agency Response From December 2020
Fish and Wildlife reported that in September and December 2020 it gave presentations on its mobile fleet asset purchase estimate process. The presentations included information on the use of technical experts in the design and approval of specifications and instructions on how to participate in inspections prior to delivery of such assets.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From October 2020
Fish and Wildlife provided no new information.
California State Auditor's Assessment of Status: Pending
Agency Response From June 2020
Fish and Wildlife stated because of its delegated purchasing authority, it must work with General Services when making purchases of this expense and technical nature. Thus, Fish and Wildlife stated that it would send a memo to its contract managers and procurement representatives that when procuring equipment that is highly technical in nature, they should work closely with the General Services engineer to identify the appropriate technical expertise during the development of the designs and technical drawings and should ensure that General Services is satisfied that the technical specifications for the equipment will ensure it meets the needs of Fish and Wildlife's use of the equipment.
California State Auditor's Assessment of Status: Pending
Case Number I2017-1372
Recommendation #4 To: Fish and Wildlife, Department of
Fish and Wildlife should consider using progress payment schedules for contracts when procuring newly constructed, high-dollar technical equipment.
Agency Response From November 2020
Fish and Wildlife reiterated the information that it reported in June 2020. In addition, Fish and Wildlife stated that it had updated its procurement manual that includes a section on the use of progress payments.
California State Auditor's Assessment of Status: Resolved
Agency Response From June 2020
Fish and Wildlife stated that it uses progress payment schedules in contracts where it finds these payments advantageous to it. For contracts and procurements that exceed its purchasing authority, Fish and Wildlife stated that it relies on General Services to establish the procurement and payment methods. It stated that it will continue to evaluate and utilize progress payments, where appropriate, for contracts within its delegated authority.
California State Auditor's Assessment of Status: Pending
Agency Response From February 2020
Fish and Wildlife disagreed that it should consider using progress payment schedules for similar purchases, as it stated that it relied on the expertise of General Services in these types of procurements, including the judgment of General Services' staff about the creation of payment schedules. It further stated that paying for the research boat in increments during construction would not have prevented the outcome.
California State Auditor's Assessment of Status: Pending
Case Number I2017-1372
Recommendation #5 To: Fish and Wildlife, Department of
For future acquisitions, Fish and Wildlife should immediately consult with its legal staff to resolve any probable or possible contract deviations.
Agency Response From October 2020
Fish and Wildlife provided a copy of the memo that it sent to its contract managers and executive staff.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From June 2020
Fish and Wildlife stated that it plans to send a memo to all of its contract managers and executive management, as a reminder, to promptly escalate to the respective regional manager or branch chief and to its legal counsel any contract performance issues that evade informal correction or resolution. Fish and Wildlife stated this will ensure that contract issues are evaluated quickly to determine how to proceed in the face of contract problems.
California State Auditor's Assessment of Status: Pending
Case Number I2017-1372
Recommendation #6 To: Fish and Wildlife, Department of
Fish and Wildlife should create a process to ensure that any newly acquired fleet assets are registered or documented with the relevant authorities before authorizing use of the asset.
Agency Response From June 2020
Fish and Wildlife reported that its fleet asset and management unit implemented a monthly process to review an asset audit report to identify assets over $500 that use specific account codes and IDs. It stated that its business management branch then verifies that the asset is properly identified in the inventory report and entered into the vehicle tracking system. Fish and Wildlife stated that boats over 30 feet long are registered with the US Coast Guard.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2017-1372
Recommendation #7 To: Fish and Wildlife, Department of
Fish and Wildlife should ensure that its legal staff assesses Fish and Wildlife's ability to recover the money paid to the contractor for any contract requirements that remain unfulfilled.
Agency Response From June 2020
Fish and Wildlife reported that it sent a letter to the contractor reserving its right to pursue legal remedies to make the research boat fully operational. However, Fish and Wildlife stated that after its legal counsel reviewed the contract, legal counsel indicated that Fish and Wildlife would have limited likelihood of success in pursuing a legal remedy. In addition, Fish and Wildlife stated it continues to negotiate with the contractor to address defects to bring the research boat into compliance with the expected standard of performance. Finally, Fish and Wildlife stated that it recently made modifications to the research boat and will request reimbursement from the contractor for the cost of these modifications.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0364
Recommendation #8 To: Veterans Affairs, Department of
The California Department of Veterans Affairs (CalVet) should determine the best option to recoup whatever funds it can of the nearly $38,000 it spent on the equipment, such as submitting it to the Department of General Services' state surplus property auction.
Agency Response From February 2020
CalVet reported that the veterans home has repaired the equipment and that it is finally operational.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0364
Recommendation #9 To: Veterans Affairs, Department of
CalVet should train receiving staff at the home on applicable contracting manual requirements for the receipt of purchased goods.
Agency Response From December 2019
In December 2019, CalVet reported that during the past two years its office of procurement and contracts has provided training to all veterans homes related to contract manager training, service order requirements, and Financial Information System for California system requirements related to receiving inventory.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0364
Recommendation #10 To: Veterans Affairs, Department of
CalVet should determine whether the home needs a bedbug oven and, if so, ensure that it is properly stored in accordance with its specifications.
Agency Response From December 2019
In December 2019, CalVet reported that the veterans home moved the equipment to a covered, fully enclosed exterior space to protect it from weather conditions.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #11 To: Air Resources Board, State
The California Air Resources Board (ARB) should recoup or correct all overpayments made to the employee we determined to have take inappropriate bereavement leave.
Agency Response From February 2020
In January 2020, ARB informed us that it agreed with our recommendation and that it planned to recoup or correct the overpayment for Employee B. The following month, ARB reported and provided evidence that Employee B used another leave category to account for the 8 hours of improper bereavement leave use.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #12 To: Transportation, Department of
The California Department of Transportation (Caltrans) should recoup or correct all overpayments made to the employees we determined to have taken inappropriate bereavement leave.
Agency Response From January 2020
Caltrans reported in August 2019 that it revised the accrued leave for Employee A to correct the overpayment. However, since Employee G left Caltrans to work at another state agency, it was unable to directly revise the employee's leave credits. In November 2019, the state agency where Employee G works revised the accrued leave for the employee to correct for the overpayment.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #13 To: Employment Development Department
The Employment Development Department (EDD) should recoup or correct all overpayments made to the employee we determined to have taken inappropriate bereavement leave.
Agency Response From January 2020
EDD corrected the improper bereavement use of Employee F by using another category of accrued leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #14 To: General Services, Department of
The Department of General Services (General Services) should recoup or correct all overpayments made to the employees we determined to have taken inappropriate bereavement leave.
Agency Response From January 2020
DGS reported that Employee E chose to correct the overpayment by using accrued leave and that Employee D chose to correct the overpayment through an accounts receivable.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #15 To: Social Services, Department of
The California Department of Social Services (Social Services) should recoup or correct all overpayments made to the employee we determined to have taken inappropriate bereavement leave.
Agency Response From January 2020
CDSS corrected the overpayment by having Employee C change her timesheet to reflect another appropriate leave category.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #16 To: Air Resources Board, State
The ARB should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.
Agency Response From February 2020
In February 2020, ARB sent a memo to all of its employees regarding bereavement leave requirements and where additional information can be found.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #17 To: Transportation, Department of
Caltrans should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.
Agency Response From June 2020
In June 2020, Caltrans provided evidence that it notified all of its employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #18 To: Employment Development Department
EDD should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.
Agency Response From March 2020
In February 2020, EDD sent a memo to all of its employees regarding bereavement leave requirements and where they can find additional information specific to bereavement leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #19 To: General Services, Department of
General Services should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.
Agency Response From January 2020
DGS notified its employees in January 2020 that it had updated its policy regarding bereavement leave, including the requirements and resources for its use.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #20 To: Social Services, Department of
Social Services should notify all employees of bereavement leave requirements and where they can find additional information specific to bereavement leave.
Agency Response From January 2020
CDSS sent a memo to its employees in October 2019 regarding bereavement leave requirements and the availability of additional information specific to bereavement leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #21 To: Air Resources Board, State
ARB should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.
Agency Response From February 2020
ARB sent a memo to all of its employees in February 2020 wherein supervisors were reminded of their responsibilities as recommended.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #22 To: Transportation, Department of
Caltrans should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.
Agency Response From June 2020
Caltrans provided evidence that it issued an email to all managers and supervisors regarding their bereavement leave responsibilities.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #23 To: Employment Development Department
EDD should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.
Agency Response From January 2020
EDD stated that it completed this recommendation in May 2019 and provided us with a copy of its reminders to supervisors.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #24 To: General Services, Department of
General Services should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.
Agency Response From January 2020
DGS sent a notification to its employees in January 2020 that describes the responsibilities of supervisors to ensure that employees charge leave properly and to not allow employees to exceed the allowable limits for bereavement leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #25 To: Social Services, Department of
Social Services should remind supervisors of their responsibilities to ensure that employees charge leave properly, including bereavement leave, and to not allow employees to exceed the allowable limits that the bargaining agreements and state law provide.
Agency Response From March 2020
CDSS provided to us a copy of a memo it sent to supervisors reminding them of their responsibilities with respect to bereavement leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #26 To: Human Resources, California Department of
To address inconsistent bereavement leave policies, the California Department of Human Resources (CalHR) should revise its policy to mirror the requirements of Government Code section 19859.3, which requires unrepresented employees to submit substantiation for each leave request.
Agency Response From January 2021
In January 2021, CalHR issued an updated policy about bereavement leave that requires substantiation to be provided for excluded employees and provided examples of satisfactory substantiation. As the policy has been officially implemented, we have deemed this recommendation fully implemented.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2020
CalHR reported that it is coordinating across its divisions to complete this item and stated that it anticipates the completion date likely is early December 2020, given the existing workload. Per our request, CalHR stated that it will provide a draft policy to us for review by the end of November 2020.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From July 2020
CalHR stated that it still plans to revise its internal policy but did not provide a timeline by which it will complete the revision.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2020
CalHR stated that it has directed staff to revise its policy to mirror the Government Code requirements.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0428
Recommendation #27 To: Employment Development Department
To address inconsistent bereavement leave policies, EDD should revise its policy to mirror the requirements of Government Code section 19859.3, which requires unrepresented employees to submit substantiation for each leave request.
Agency Response From March 2020
EDD distributed a policy in February 2020 that requires excluded employees to provide substantiation to support their request to use bereavement leave.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0428
Recommendation #28 To: Human Resources, California Department of
To ensure that represented employees properly claim bereavement leave, CalHR should work with labor unions to change the bargaining agreements' provision to require represented employees to submit substantiation for each claim of bereavement leave as state law requires for unrepresented employees. In addition, the Legislature should require any represented employees who use bereavement leave to submit substantiation for each leave request.
Agency Response From January 2021
In January 2021, CalHR issued an updated policy about bereavement leave that requires substantiation be provided for excluded employees and provides examples of satisfactory substantiation. For represented employees, departments are required to follow memorandums of understanding (MOU); however, the policy provides, "If the MOU allows departments to request substantiation, CalHR recommends that the same or similar process for excluded employees is followed... at a minimum, departments should identify the category of eligible relationship for which leave is granted." As the policy has been officially implemented, we have deemed this recommendation as resolved.
California State Auditor's Assessment of Status: Resolved
Agency Response From November 2020
CalHR reported that it plans to advise departments how to better manage the issue of substantiation through its revised policy being prepared for Recommendation 27. It believes that this policy will help provide CalHR with data about substantiation that can be addressed through collective bargaining.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From July 2020
CalHR stated that it plans to work with employer representative organizations to review the labor agreements that are inconsistent with the statute.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2020
CalHR stated that upon publication of our report, it will begin to address with the appropriate labor representatives the issues we raised.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0428
Recommendation #29 To: Human Resources, California Department of
To prevent further misuse of bereavement leave, CalHR should proactively issue guidance to all state entities reminding them of the bereavement leave requirements and how they differ between represented and unrepresented employees.
Agency Response From January 2021
In January 2021, CalHR issued an updated policy about bereavement leave that reminds state employees of the bereavement leave requirements and how they differ between represented and unrepresented employees. As the policy has been executed, we have deemed this recommendation fully implemented.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2020
CalHR reported that it is coordinating across its divisions to complete this item. CalHR anticipates the completion date for these items likely is early December 2020, given its existing workload. Per our request, CalHR stated that a draft policy will be provided to our office for review by the end of November 2020.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From July 2020
CalHR stated that it plans to issue guidance to departments concerning the requirements for the statute for both represented and excluded employees.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2020
CalHR stated that as needed, it will inform all departments about any changes or clarifications to bereavement leave requirements that occur.
California State Auditor's Assessment of Status: Pending
Case Number I2019-0010
Recommendation #30 To: Energy Commission, California
The California Energy Commission (commission) should immediately and permanently remove the supervisor's responsibility for issuing and tracking the parking permits.
Agency Response From January 2020
The commission reported that it eliminated 23 of its 25 agency-assigned parking permits, transferring them back to the Department of General Services (DGS). The two parking permits that the commission retained are specifically assigned to two state vehicles that the commission leases from DGS and uses for state business.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2020
The commission reported that it eliminated 23 of its 25 agency-assigned parking permits, transferring them back to the Department of General Services (General Services). The two parking permits that the commission retained specifically are assigned to two state vehicles that the commission leases from General Services and uses for state business.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0010
Recommendation #31 To: Energy Commission, California
Within 60 days, the commission should take appropriate corrective or disciplinary action against the supervisor for her misuse of state resources.
Agency Response From February 2020
The commission reported that it served the supervisor with a notice of termination after conducting its own investigation into the supervisor's misconduct. The supervisor subsequently retired. The commission also reported that it interviewed subordinate staff identified in the report and will counsel them.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0010
Recommendation #32 To: Energy Commission, California
Within 30 days, the commission should establish and disseminate to all executive staff the policies for the parking permits to minimize future misuse.
Agency Response From January 2020
The commission reported that with the elimination of 23 of the 25 agency-assigned parking permits, it no longer needs a policy regarding the parking permits use. The commission stated that the only allowed use of the remaining two parking permits is for two state vehicles used for state business.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0010
Recommendation #33 To: Energy Commission, California
The commission should reevaluate the number of parking permits the commission pays for and reduce the number of permits if business need warrants a reduction.
Agency Response From January 2020
The commission reported that it evaluated the number of parking permits required to support its business needs and it reduced the number of assigned permits from 25 to two to be used specifically for the two state vehicles to conduct state business.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0675
Recommendation #34 To: Transportation, Department of
The California Department of Transportation (Caltrans) should take appropriate corrective actions against the two employees for failing to obtain storage permits and for misusing their state vehicles to commute between their homes and headquarters.
Agency Response From February 2020
In February 2020, Caltrans reported that it documented verbal warnings issued to the employees regarding the improper use of state vehicles and the need to apply for storage permits.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0675
Recommendation #35 To: Transportation, Department of
Caltrans should require these employees to obtain storage permits
Agency Response From February 2020
In February 2020, Caltrans reported that it issued storage permits to both employees after evaluating their applications and determining that they both met the requirements to receive these permits.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0675
Recommendation #36 To: Transportation, Department of
Caltrans should determine whether other maintenance employees who work in the same region have been allowed to park at or in the vicinity of their homes without storage permits. If so, require all applicable employees to obtain these permits.
Agency Response From February 2020
In February 2020, Caltrans reported that it identified an additional employee in the region who also should apply for a storage permit. Caltrans subsequently issued a storage permit to that employee after evaluating his business need.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0489
Recommendation #37 To: State Hospitals, Department of
Within 60 days, the Department of State Hospitals (State Hospitals) should take appropriate corrective or disciplinary action against the technician for improperly reporting hours worked.
Agency Response From March 2020
State Hospitals served a notice of termination to the technician for reasons that included improperly reporting hours worked. It informed us that the technician is appealing the termination.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0489
Recommendation #38 To: State Hospitals, Department of
State Hospitals should recover overpayments made to the technician or adjust the technician's leave balances to account for the missed work time.
Agency Response From March 2020
State Hospitals has initiated an accounts receivable to collect $1,585 from the technician.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0489
Recommendation #39 To: State Hospitals, Department of
State Hospitals should ensure that supervisory staff are present at the beginning and end of the employee's work shifts to ensure proper time reporting.
Agency Response From March 2020
State Hospitals reassigned the technician to a schedule with additional supervision before it placed the technician on administrative time off and served the notice of termination.
California State Auditor's Assessment of Status: Resolved
Case Number I2018-0756
Recommendation #40 To: Public Health, Department of
The California Department of Public Health (Public Health) should take appropriate corrective or disciplinary actions against employees A and B for their misuse of state time and for their dishonesty during the investigation.
Agency Response From February 2021
Public Health confirmed that it placed a counseling memorandum in Employee A's personnel file. It previously confirmed to us that it had placed a counseling memorandum in Employee B's personnel file.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
Public Health stated that Employee A refused to sign the counseling memo and now works for another state department. Thus, Public Health indicated that its HR staff will work with that department to ensure that a counseling memo is placed in her personnel file.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From September 2020
Public Health reported that it issued counseling memorandums to Employees A and B, outlining their misuse of state time and dishonesty during the investigation.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From August 2020
Public Health reported that Employees A and B provided documentation to attempt to demonstrate that they worked certain hours during the time in question. Public Health has reviewed the documentation and its human resources office is finalizing a plan of action with these employees.
California State Auditor's Assessment of Status: Pending
Agency Response From May 2020
Public Health reported that it still is in the process of implementing this recommendation.
California State Auditor's Assessment of Status: Pending
Agency Response From March 2020
Public Health reported that it notified Employees A and B of their potential missed work time and that the employees have until March 20, 2020 to provide any evidence of hours worked. Public Health will then determine the action to take after considering any responses from these employees.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0756
Recommendation #41 To: Public Health, Department of
Public Health should 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 January 2021
Public Health reported that the accounts receivable have been set up for both employees.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
Public Health reported that it contacted the State Controller's Office (SCO) about whether the SCO had established accounts receivable for these employees and stated that the SCO had not done so yet.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
Public Health reported that, through a combination of reducing leave balances and paying the State back through accounts receivable, Employees A and B will account for 99.5 hours and 102.5 hours, respectively. Public Health stated that the accounts receivable have not yet been set up, but added that it will notify us once they have been.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From September 2020
Public Health reported that it has set up accounts receivables for both employees. We subsequently asked Public Health to provide us with documentation demonstrating that the accounts receivables have been set up and specific details on the total amount Employees A and B will be required to pay back.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From August 2020
Public Health reported that Employees A and B provided documentation to attempt to demonstrate that they worked certain hours during the time in question. Public Health has reviewed the documentation and its human resources office is finalizing a plan of action with these employees.
California State Auditor's Assessment of Status: Pending
Agency Response From May 2020
Public Health reported that it still is in the process of implementing this recommendation.
California State Auditor's Assessment of Status: Pending
Agency Response From March 2020
In March 2020, Public Health reported that after reviewing any information provided by Employees A and B regarding any work they completed during the alleged missed work time, it will determine the total amount of time missed and will subsequently implement a plan to recoup unearned wages.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0756
Recommendation #42 To: Public Health, Department of
Public Health should take appropriate corrective or disciplinary actions against the employees' supervisor for failing to verify that his subordinates accurately reported their attendance.
Agency Response From March 2020
In March 2020, Public Health reported that it administered corrective action against the supervisor in May 2019.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0756
Recommendation #43 To: Public Health, Department of
Public Health should require that these employees, along with any other employees who may be using the outdated version, fill out the most updated version of the State's standard monthly timesheet.
Agency Response From May 2020
Public Health reported that its new time reporting system, which uses the State's current monthly timesheet, will be implemented on June 1, 2020. Public Health also provided us with documentation supporting that it had notified staff of the new system.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From March 2020
In March 2020, Public Health reported that it met with internal partners to ensure that its internal time leave reporting system uses the current version of the State's standard monthly timesheet. In addition, Public Health informed us that no later than September 2020, it will launch a new time leave reporting system that will include the current version of the timesheet. We will request available documentation from Public Health to support its actions.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2018-1274
Recommendation #44 To: Franchise Tax Board
The Franchise Tax Board (FTB) should require the administrator to repay the State for the three days that she reported working but did not work.
Agency Response From February 2020
FTB reported in February 2020 that it adjusted the administrator's leave balances to account for the three days she reported working but did not work.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1274
Recommendation #45 To: Franchise Tax Board
The FTB should ensure that FTB staff members who telework have an approved telework agreement on file and follow all the requirements set forth in the agreement, including pre-approval on telework days, if required.
Agency Response From February 2020
FTB reported that it added a segment on teleworking to its leadership and human resources training provided to new and existing supervisors. Similarly, FTB added a segment on teleworking to its security and disclosure training that is completed annually by all FTB employees. Further, it asked all supervisors with staff members who telework to ensure that those employees have a telework agreement on file and that the employees have received proper training on teleworking. To further address the improper activities, FTB stated that, in January 2020, it sent an internal communication to all employees with a telework agreement reminding them that a telework form must be submitted to their supervisors annually.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1274
Recommendation #46 To: Franchise Tax Board
The FTB should ensure that managerial employees know the work schedules of their staff members and require those staff members to adhere to their expected work schedules.
Agency Response From April 2020
In February 2020 FTB sent an email to all staff clarifying that supervisors are expected to know their employees' work schedules and that all staff, including employees who are exempt from the Fair Labor Standards Act, are expected to adhere to their work schedules and may not use leave credits, or leave the office, without notifying and receiving approval from their supervisors or designees.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From February 2020
FTB reported that by March 2020 it will send a communication to its staff clarifying that supervisors are expected to know their employees' work schedules and that all staff, including employees who are exempt from the Fair Labor Standards Act, are expected to adhere to their work schedules and may not use leave credits, or leave the office, without notifying and receiving approval from their supervisors or designees.
California State Auditor's Assessment of Status: Pending
Case Number I2018-1820
Recommendation #47 To: Prison Industry Authority
The California Prison Industry Authority (CalPIA) should establish new procedures or enforce the rules whereby supervisors are responsible for ensuring the accuracy of subordinates' timesheets.
Agency Response From March 2020
CalPIA reported that it understands that attendance must be accurately accounted for and attendance records must be accurately maintained. CalPIA reported that, in addition to standard policy, it reinforced this requirement through a memo sent to all managers and supervisors in March 2020. The memo included reminders pertaining to accurate leave credit use, time accounting, and thorough review and audit by employees and supervisors.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1820
Recommendation #48 To: Prison Industry Authority
CalPIA should take appropriate corrective or disciplinary actions against the supervisors who failed to ensure that the timesheets they approved were complete and accurate.
Agency Response From March 2020
CalPIA reported that it provided Supervisor 1 with the appropriate level of progressive discipline. CalPIA stated that it did not take progressive disciplinary action against Supervisors 2 and 3.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1820
Recommendation #49 To: Prison Industry Authority
CalPIA should take appropriate corrective or disciplinary actions against the employee for dishonesty when providing conflicting accounts of his attendance during the investigation.
Agency Response From March 2020
CalPIA reported in March 2020 that the employee received progressive discipline.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1820
Recommendation #50 To: Prison Industry Authority
CalPIA should reconcile the employee's attendance records to determine whether he owes the State any time for failing to report his actual work hours or whether the State owes him for unreported overtime during the period reviewed.
Agency Response From March 2020
CalPIA reported in March 2020 that, in conjunction with the California Department of Corrections and Rehabilitation's personnel office, it completed a thorough review of the employee's timesheets and determined that no overtime is owed to the employee. In addition, CalPIA reported that it identified 20.5 hours the employee was overpaid and it initiated efforts to recover the overpayment through an accounts receivable.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1932
Recommendation #51 To: Social Services, Department of
The California Department of Social Services (Social Services) should determine whether corrective action is appropriate for the manager in the human resource services branch who was aware of the salary overpayment yet failed to promptly initiate action to recover the funds.
Agency Response From January 2020
Social Services reported that the manager who was aware of the salary overpayment left in July 2019; therefore, it lacks authority to take corrective action.
California State Auditor's Assessment of Status: Resolved
Case Number I2018-1932
Recommendation #52 To: Social Services, Department of
Social Services should ensure that procedures are in place to monitor employees' use of bereavement leave so that all such claims comply with state law or union bargaining agreements.
Agency Response From May 2020
Social Services provided evidence that it audited bereavement leave use for a sample of employees in January, February, and March 2020.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2020
Social Services reported it has established procedures to ensure that bereavement leave complies with state law or union agreements. Specifically, it stated that a personnel specialist will audit bereavement leave on employees' timesheets and will refer to an internal bereavement leave reference guide to ensure that the leave used is allowed in the relevant bargaining agreement. Finally, Social Services stated that it will audit bereavement leave from February through April 2020 and provide training in March and September 2020.