Report I2020-2 All Recommendation Responses
Report I2020-2: Investigations of Improper Activities by State Agencies and Employees: Wasteful and Improper Personnel Decisions, Improper Contracting, Conflict of Interest, Misuse of State Resources, and Dishonesty (Release Date: October 2020)
Case Number I2018-0767
Recommendation #1 To: State Hospitals, Department of
Within 30 days, the Department of State Hospitals (State Hospitals) should consult with the California Department of Human Resources (CalHR) to obtain its determination about whether telepsychiatrists meet the criteria for safety retirement benefits. If CalHR determines that telepsychiatrists do not meet the criteria for safety retirement benefits, take immediate action to reclassify telepsychiatrists to the appropriate retirement category and notify all affected employees.
Agency Response From October 2023
In October 2023, State Hospitals reported that it did not have any updates to provide since its previous response in October 2022 and that it is still waiting for CalHR to review its request to approve safety retirement benefits for telepsychiatrists. State Hospitals submitted its request to CalHR in September 2020.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2022
In October 2022, State Hospitals reported that it did not have any updates to provide since its previous response in September 2021 and that it is still waiting for CalHR to review its request to approve safety retirement benefits for telepsychiatrists.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From September 2021
In September 2021, State Hospitals reported that CalHR is still reviewing State Hospital's request to approve safety retirement benefits for telepsychiatrists.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From July 2021
In July 2021, State Hospitals reported that CalHR is still reviewing State Hospital's request to approve safety retirement benefits for telepsychiatrists.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2021
Response Date: 04/06/21
In April 2021, State Hospitals reported that CalHR is still reviewing State Hospital's request to approve safety retirement benefits for telepsychiatrists.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From January 2021
In October and November 2020, CalHR requested from State Hospitals clarification on the method in which telepsychiatrists communicate with patients. State Hospitals confirmed that 100 percent of telepsychiatrists' communication with patients is conducted via cameras.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
State Hospitals consulted with CalHR on September 2, 2020, to discuss safety retirement benefits for telepsychiatrists and submitted a formal request and justification to CalHR on September 14, 2020, to request and justify safety retirement benefits for telepsychiatrists.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2018-0767
Recommendation #2 To: State Hospitals, Department of
Within 30 days, State Hospitals should consult with CalHR, the California Public Employees' Retirement System, and the State Controller's Office (SCO) to retroactively correct any errors made to affected employees' retirement contributions, including Social Security deductions.
Agency Response From October 2022
In October 2022, State Hospitals stated that it is still waiting for CalHR to reach a decision on its request to approve safety retirement benefits for telepsychiatrists. It does not plan to consult with the California Public Employees' Retirement System and the State Controller's Office to retroactively correct any errors made to affected employees' retirement contributions until it hears back from CalHR.
California State Auditor's Assessment of Status: Pending
Agency Response From September 2021
CalHR is still reviewing State Hospitals' request to approve safety retirement benefits for telepsychiatrists. State Hospitals is waiting for CalHR's determination before it consults with the California Public Employees' Retirement System and the State Controller's Office to retroactively correct any errors made to affected employees' retirement contributions.
California State Auditor's Assessment of Status: Pending
Agency Response From July 2021
CalHR is still reviewing State Hospital's request to approve safety retirement benefits for telepsychiatrists. State Hospitals is waiting for CalHR's determination before it consults with the California Public Employees' Retirement System and the State Controller's Office to retroactively correct any errors made to affected employees' retirement contributions.
California State Auditor's Assessment of Status: Pending
Agency Response From April 2021
Response Date: 4-06-21
CalHR is still reviewing State Hospital's request to approve safety retirement benefits for telepsychiatrists. State Hospitals is waiting for CalHR's determination before it consults with the California Public Employees' Retirement System and the State Controller's Office to retroactively correct any errors made to affected employees' retirement contributions.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2021
CalHR is still reviewing State Hospitals' request to maintain safety retirement benefits for telepsychiatrists. State Hospitals is waiting for CalHR's determination before it consults with the California Public Employees' Retirement System and the SCO to retroactively correct any errors made to affected employees' retirement contributions.
California State Auditor's Assessment of Status: Pending
Agency Response From October 2020
State Hospitals is waiting for CalHR's determination regarding safety retirement benefits for telepsychiatrists before it consults with the California Public Employees' Retirement System and the SCO to retroactively correct any errors made to affected employees' retirement contributions.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0767
Recommendation #3 To: State Hospitals, Department of
Within 60 days, State Hospitals should distribute CalHR's policy on the safety retirement benefits designation to HR staff at each state hospital facility and instruct staff to consult with CalHR as the law requires.
Agency Response From October 2022
In October 2022, State Hospitals reported that it is still waiting for CalHR's decision on its request for safety retirement benefits for telepsychiatrists. State Hospitals said that it plans to wait to implement this recommendation until it receives CalHR's decision.
California State Auditor's Assessment of Status: Pending
Agency Response From September 2021
CalHR is still reviewing State Hospitals' request to approve safety retirement benefits for telepsychiatrists. State Hospitals is awaiting CalHR's determination before distributing CalHR's policy on the safety retirement designation to HR staff at each state hospital and instructing staff to consult with CalHR as the law requires.
California State Auditor's Assessment of Status: Pending
Agency Response From July 2021
CalHR is still reviewing State Hospitals' request to approve safety retirement benefits for telepsychiatrists. State Hospitals is awaiting CalHR's determination before distributing CalHR's policy on the safety retirement designation to HR staff at each state hospital and instructing staff to consult with CalHR as the law requires.
California State Auditor's Assessment of Status: Pending
Agency Response From April 2021
Response Date: 04/06/2021
CalHR is still reviewing State Hospitals' request to approve safety retirement benefits for telepsychiatrists. State Hospitals is awaiting CalHR's determination before distributing CalHR's policy on the safety retirement designation to HR staff at each state hospital and instructing staff to consult with CalHR as the law requires.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2021
CalHR is still reviewing State Hospitals' request to maintain safety retirement benefits for telepsychiatrists. State Hospitals is awaiting CalHR's determination before distributing CalHR's policy on the safety retirement designation to HR staff at each state hospital and instructing staff to consult with CalHR as the law requires.
California State Auditor's Assessment of Status: Pending
Agency Response From October 2020
State Hospitals reported that if CalHR determines that telepsychiatrists do not meet the criteria for safety retirement benefits, it will distribute CalHR's policy on safety retirement designation to human resources staff at each state hospital and instruct staff to consult with CalHR as required by law. State Hospitals is awaiting CalHR's determination.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0745
Recommendation #4 To: Education, Department of
The California Department of Education (Education) should Immediately cease approving any exemptions from advertising vacant positions without appropriate legal authority.
Agency Response From November 2020
Education reported that it has not used the waiver exemption request process since 2018.
California State Auditor's Assessment of Status: Resolved
Case Number I2018-0745
Recommendation #5 To: Education, Department of
Education should immediately cease any higher-than-minimum salary approvals without proper justification.
Agency Response From December 2020
Education reported that its human resources office implemented the new processes in October 2019 and notified staff of the tracking log and form. Education provided to us a copy of the HAM (hiring-above-minimum) process and the form.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2020
Education reported that it believes this recommendation is resolved because it revised its internal higher-than-minimum salary approval process to incorporate the CalHR HAM Request form (form) to ensure that hiring-above-minimum justifications are documented properly. We requested that Education provide a copy of the form to us.
California State Auditor's Assessment of Status: No Action Taken
Case Number I2018-0745
Recommendation #6 To: Education, Department of
Education should work with the California Department of Human Resources (CalHR) to determine whether Education's delegated authority to approve higher-than-minimum salaries should be withdrawn. If CalHR allows Education to retain the authority, Education should work with CalHR to develop eligibility, review, and documentation criteria for higher-than-minimum salary approval and to provide training to HR staff.
Agency Response From October 2021
Response Date: 10/26/2021
Education provided CalHR with an update regarding its higher-than-minimum policy on September 30, 2021. Education also reported that it developed two internal forms to guide human resources staff through the higher-than-minimum review process and will provide training to staff in the Classification and Pay Unit by October 31, 2021. The focus of the training will be on the changes made to the higher-than-minimum policy, the two new forms, and the internal processes and controls that will go into effect beginning November 1, 2021.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From September 2021
Education reviewed its internal HAM policy and is making updates to the policy. Once completed, Education plans to submit the updated internal HAM policy to CalHR for review by September 30, 2021.
California State Auditor's Assessment of Status: Pending
Agency Response From July 2021
Education reported that CalHR determined that Education inappropriately granted a higher-than-minimum salary for a former employee. In July 2021, CalHR issued a directive to Education to revoke the inappropriate higher-than-minimum salary and correct the former employee's salary back to the date of hire. Education stated that it is working on implementing the directive. Additionally, CalHR directed Education to develop an internal hiring above minimum (HAM) policy within 60 days, and Education stated that it is developing the written policy.
California State Auditor's Assessment of Status: Pending
Agency Response From April 2021
Education reported it met with CalHR and the SPB in late March 2021. It stated that CalHR and SPB continue to review the documents provided by Education and will schedule another meeting with Education to discuss the outcome.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2021
Education reported that it contacted CalHR regarding the recommendation and indicated that it will schedule a meeting soon.
California State Auditor's Assessment of Status: Pending
Agency Response From November 2020
Education reported that it believes this recommendation is resolved because the State Personnel Board's (SPB) compliance review report issued in June 2020 demonstrates Education's full compliance with all civil services laws, SPB rules, and CalHR policies and guidelines for appointments with a higher-than-minimum salary. We have requested a copy of SPB's compliance review report showing that Education was in compliance. However, as the SPB report covered nine months in 2019 only, we believe that Education should work with CalHR to review the time frame covered by this investigation.
California State Auditor's Assessment of Status: No Action Taken
Case Number I2018-0745
Recommendation #7 To: Education, Department of
Education should ensure that all HR staff and managers attend training on the State's hiring process to understand the constitutional requirement that appointments to state civil service be based on merit and open to competition.
Agency Response From November 2020
Education reported that it believes this recommendation is resolved because in the last two years Education's human resources (HR) staff members have participated in various trainings offered by CalHR, including "Best Hiring Practice." Education stated that it will continue to provide training opportunities to appropriate HR staff as courses become available through CalHR.
California State Auditor's Assessment of Status: Resolved
Case Number I2018-0745
Recommendation #8 To: Education, Department of
Education should work with CalHR and the State Personnel Board to determine whether any of the appointments that involved Manager B and Manager C's waiver process were illegal and take appropriate steps to void those appointments.
Agency Response From September 2021
Education reported that the SPB found that the former employee was preselected and Education voided the appointment in July 2021. Further, the SPB reviewed the documentation that Education provided regarding appointments using the waiver process and has closed the investigation. Specifically, the SPB reviewed all of Education's appointments from 2015 through 2018 where Education made exemptions from advertising vacant positions. The SPB found several anomalies, but could not determine that the anomalies rose to the level of bad faith by either Education or the employee. Therefore, all of these appointments will be permitted to stand and no further action is required by Education.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From July 2021
Education reported that CalHR and the SPB reviewed the responsive documents submitted regarding the unlawful appointment investigation that Education was directed to conduct. In July 2021, the SPB requested additional information and also had follow-up questions. Education stated that it is working on responding to the SPB's request.
California State Auditor's Assessment of Status: Pending
Agency Response From April 2021
Education reported it met with CalHR and the SPB in late March 2021. It stated that CalHR and SPB continue to review the documents provided by Education and will schedule another meeting with Education to discuss the outcome.
California State Auditor's Assessment of Status: Pending
Agency Response From January 2021
Education reported that it contacted CalHR regarding the recommendation and indicated that it will schedule a meeting soon.
California State Auditor's Assessment of Status: Pending
Agency Response From November 2020
Education reported that it believes this recommendation is resolved because it has not used the waiver process since 2018. It also stated that appointments cannot be voided unless the action to void such appointments is taken within one year after the appointment. In addition, Education stated that all hires made prior to 2018 using the waiver process were made in good faith, are considered lawful, and cannot be voided. However, we believe that Education should work with CalHR to ensure that Education's hires before and during the period of investigation complied with relevant statutes.
California State Auditor's Assessment of Status: Pending
Case Number I2018-0745
Recommendation #9 To: Education, Department of
Education should take appropriate corrective and disciplinary actions against the managers and HR staff discussed in this report regarding the actions they took or their failures to take action.
Agency Response From December 2020
Education reported that it considered the State's disciplinary system, under which formal department corrective and disciplinary actions are subject to challenge before the SPB through the State's disciplinary appeal process, and it decided to not take any corrective or disciplinary action for any of the individuals mentioned in the report. In addition, Education reported that Managers B and C retired from state service in December 2020.
California State Auditor's Assessment of Status: Resolved
Case Number I2019-0044
Recommendation #10 To: Industrial Relations, Department of
Within the next 60 days, the Department of Industrial Relations (Industrial Relations) should complete the process of voiding the candidate's appointments to the SSM I, SSM II, and SSM III positions.
Agency Response From January 2021
Industrial Relations confirmed with documentation that it voided the candidate's appointments.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
Industrial Relations reported that it had voided the candidate's appointments and that it would provide us with relevant documentation in January 2021.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
Industrial Relations reiterated that it issued an unlawful appointment notice to the candidate and that it has taken steps to void the candidate's appointments to the staff services manager I, staff services manager II, and staff services manager III positions.
California State Auditor's Assessment of Status: Pending
Case Number I2019-0044
Recommendation #11 To: Industrial Relations, Department of
Within the next 60 days, Industrial Relations should initiate an accounts receivable to collect the overpayments given to the candidate to prevent additional funds from exceeding the statute of limitations.
Agency Response From January 2021
Industrial Relations reported that the candidate has fully paid the remaining balance.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2020
Industrial Relations reported that the candidate has agreed to pay back the remaining balance in connection with the overpayments.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
Industrial Relations reported that it has collected a portion of the amount the candidate owed and that it plans to send demand letters to the candidate to collect the remaining balance.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2019-0044
Recommendation #12 To: Industrial Relations, Department of
Industrial Relations should take corrective action against any civil servant who facilitated the candidate's unlawful appointment.
Agency Response From January 2021
Industrial Relations reported that it considered the possible actions it could take in connection with these officials, and it ultimately decided to place in each of their official personnel files, for one year, a notation stating that any reviewer of the file must contact the director of human resources at Industrial Relations to discuss the factual circumstances of each former official's departure.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
We asked an Industrial Relations representative about whether Industrial Relations would place a notice of this investigation in the personnel files of the officials discussed in the report. The representative stated that she would discuss this with management.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
Industrial Relations reported that it served one of the human resources officials with adverse action for a prior investigation and that this official separated from the department in November 2019. In addition, Industrial Relations stated that the other human resources official and the administration official have retired.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2019-0044
Recommendation #13 To: Industrial Relations, Department of
Industrial Relations should work with the executive official's current employer to take appropriate steps to ensure she is prevented from taking similar actions. In addition, Industrial Relations should work with her current employer to ensure she undergoes California Department of Human Resources or State Personnel Board training on the requirements for making good-faith appointments.
Agency Response From December 2020
Industrial Relations provided us with documentation confirming that the former executive official completed the training.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From October 2020
Industrial Relations reported that it conferred with the former executive official's current employer, which informed Industrial Relations that the official had completed relevant training to prevent any reoccurrence of similar actions.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2018-0519
Recommendation #14 To: Veterans Affairs, Department of
Within 60 days, the California Department of Veterans Affairs (CalVet) should work with the Governor's Office to take corrective action against the senior executive for his decisions related to the improper emergency justifications.
Agency Response From September 2020
CalVet's agency secretary issued a written admonishment in the form of an expectations memorandum to the senior executive in August 2020.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0519
Recommendation #15 To: Veterans Affairs, Department of
Within 60 days, CalVet should request that the Department of General Services provide training to the senior executive, the Homes Division's management, and the veteran homes' management regarding the appropriate use of emergency exceptions for contracts.
Agency Response From November 2020
CalVet provided evidence showing that in October 2020 the two executives mentioned in this report, the Homes Division's management, and the veterans homes' management attended a training provided by the Department of General Services regarding the appropriate use of emergency exceptions for contracts.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0519
Recommendation #16 To: Veterans Affairs, Department of
Within 60 days, CalVet should implement written procedures within the emergency justification approval process to require (1) an evaluation of whether another procurement option is viable for each proposed emergency justification request and (2) a legal review of whether the situation described in the justification meets the elements of an emergency as defined by state law.
Agency Response From November 2020
CalVet updated its policies and procedures, which now clearly state that homes should utilize SB/DVBE options where possible and that the emergency memorandum includes an evaluation of other procurement options. The updated policies and procedures also require a legal review of each emergency memorandum.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1988
Recommendation #17 To: Forestry and Fire Protection, Department of
The California Department of Forestry and Fire Protection (CAL FIRE) should consider placing a notice of the investigation in each of the chiefs' personnel file, as all three chiefs are no longer employed by CAL FIRE.
Agency Response From February 2021
CAL FIRE provided us with confirmation that it placed documentation in each chief's official personnel file.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2020
CAL FIRE reported that it placed documentation in each former chief's official personnel file stating that each chief failed to follow appropriate contracting procedures and that each was a subject in this investigation. We subsequently asked CAL FIRE to provide us with copies of these documents so we can verify that this recommendation has been fully implemented.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2018-1988
Recommendation #18 To: Forestry and Fire Protection, Department of
CAL FIRE should establish a process regarding procurement decisions to ensure that contracts undergo applicable state requirements.
Agency Response From November 2020
CAL FIRE reported that at least once a year, its business services office will send information bulletins to all CAL FIRE employees to provide them with refresher information and direction on key procurement and contracting requirements.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1988
Recommendation #19 To: Forestry and Fire Protection, Department of
CAL FIRE should provide contract and procurement training to applicable CAL FIRE employees, including those involved in drafting, negotiating, or approving contracts. The training should include a review of the State Contracting Manual to ensure that staff understand the policies, rules, and statutes applicable to external review and to procuring vendors and awarding contracts.
Agency Response From November 2020
CAL FIRE reported that it has required all employees who are responsible for--or involved in--the acquisition of goods and services to take a basic purchasing class (BPC). In addition, CAL FIRE stated that it will develop a BPC refresher course to ensure that employees receive consistent and updated training. Furthermore, CAL FIRE noted that its business services staff are required to take contracting courses and workshops offered by the Department of General Services.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-0236
Recommendation #20 To: Business, Consumer Services and Housing Agency, California
The department for which the attorney worked should document in the attorney's personnel file that he was under investigation for misuse of state time and resources when he retired.
Agency Response From January 2021
The department reported that it placed a letter about the attorney's misuse of state time and resources in the attorney's official personnel file.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2020
The department reported that it is working with CalHR to implement the recommendation.
California State Auditor's Assessment of Status: Pending
Case Number I2018-1979
Recommendation #21 To: Transportation, Department of
Within 60 days, the California Department of Transportation (Caltrans) should initiate appropriate corrective actions against the employees and their supervisors where necessary for misusing state vehicles to commute.
Agency Response From October 2020
Caltrans' reported that it issued letters of warning to the five employees who were still working for Caltrans at the time of our report. It stated that it notified the retired employee that the investigative findings will be placed in the employee's official personnel file.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1979
Recommendation #22 To: Transportation, Department of
Within 60 days, Caltrans should determine the options available for cost recovery and recoup the costs associated with the vehicle misuse, if feasible.
Agency Response From December 2020
Caltrans reported that officials from the district in question met with representatives that cover accounting, human resources, labor relations, legal affairs, and employee discipline and determined that the corrective action it took was appropriate and that it would not pursue cost recovery. Specifically, it stated that it decided against recouping the cost of the vehicle misuse because it had already taken corrective action against the employees prior to receiving our recommendation and because it recognized that vehicle misuse had become a practice within the district, which Caltrans stopped once it became aware of the misuse.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2018-1979
Recommendation #23 To: Transportation, Department of
Within 120 days, Caltrans should determine whether other individuals within the employees' division regularly drive state vehicles home. If so, it should determine whether they have a legally permissible reason for doing so, ensure that they meet the qualifications for and have received storage permits, and investigate vehicle misuse as necessary.
Agency Response From December 2020
Caltrans reported that it initiated an independent quality assurance process and reviewed storage permits for the division to ensure that employees were meeting eligibility requirements. It stated that the review determined that the permits issued were valid. It reported that it later reviewed GPS and other vehicle reports to identify any irregularities regarding use of state vehicles. The process involves a staff member providing monthly reports to executive management and researching potential misuse to determine if corrective action is needed. Caltrans provided an example of one of the monthly reports, which included findings regarding vehicles stored at non-state facilities without storage permits or identified drivers. These findings were flagged for additional research.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0939
Recommendation #24 To: Justice, Department of
The California Department of Justice (DOJ) should initiate appropriate corrective or disciplinary actions against the analyst and secretary for their time abuse and dishonesty.
Agency Response From July 2021
In June 2021, DOJ took disciplinary action against the analyst and secretary by reducing their salaries for a specified period of time.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
DOJ reported that the notices of disciplinary action are going through several levels of review and approval, and it still plans to serve them in January 2021.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
DOJ reported that it has taken steps to initiate appropriate disciplinary action against the analyst and secretary by reviewing the documentation from its investigation and drafting a notice of disciplinary action for each employee. It anticipates serving the notices by January 2021.
California State Auditor's Assessment of Status: Pending
Case Number I2019-0939
Recommendation #25 To: Justice, Department of
DOJ should determine whether it can quantify any of the overpayments made to the secretary and either recover overpayments made to both the analyst and secretary or adjust their leave balances to account for the missed work time.
Agency Response From July 2021
In June 2021, DOJ served the employees with collection notices for the overpayments. The collection notices indicated that the analyst and secretary missed 118 and 161 work hours, respectively, resulting in repayment amounts of $4,518 and $4,673. DOJ reported that it had submitted the necessary documents to the State Controller's Office to begin the collection process.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
DOJ reported that it has begun calculating the overpayment amounts for both employees and plans to include the assessed amounts in the notices of disciplinary action that it plans to serve in January 2021.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
DOJ reported that it is still determining whether it can quantify overpayments made to the secretary and whether it can recover the overpayments made to both employees.
California State Auditor's Assessment of Status: Pending
Case Number I2019-0939
Recommendation #26 To: Justice, Department of
DOJ should initiate steps to improve supervision of the analyst and secretary, including ensuring that their supervisors work in close proximity to them to monitor their arrival and departure times.
Agency Response From February 2021
DOJ reported that the respective supervisors are continuing to routinely monitor the analyst's and the secretary's attendance. In addition, DOJ reported that the supervisors received the mandatory 80 hours of basic supervision training as well as training on effective communication and performance management.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2020
DOJ reported that the secretary's supervisor now routinely monitors the secretary's attendance while they are in the office and sends daily check-in emails to her to ensure that she is completing her duties while teleworking during the COVID-19 pandemic. It further reported that the analyst's supervisor is monitoring the analyst's attendance and requiring her to use leave hours in 15-minute increments for any missed time. It did not provide an update on its assessment of training needs for the supervisors.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
DOJ reported that it reminded the supervisors to monitor the secretary's and the analyst's attendance. In addition, DOJ stated that it is assessing appropriate training needs for the supervisors.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2019-0873
Recommendation #27 To: Franchise Tax Board
The Franchise Tax Board (FTB) should take appropriate corrective or disciplinary action against the staff trainer for improperly reporting hours worked and misusing her state-issued computer.
Agency Response From August 2020
As noted in our report, FTB delivered to the staff trainer a notice of termination for misconduct, including her misuse of state resources and her dishonesty.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2019-0873
Recommendation #28 To: Franchise Tax Board
FTB should recover overpayments made to the staff trainer or adjust the staff trainer's leave balances to account for the missed work time.
Agency Response From January 2021
FTB provided documentation that it has fully recovered the overpayments the staff trainer received.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From September 2020
FTB reported that it recovered the overpayments made to the staff trainer by deducting the amount due from her final paycheck. We subsequently asked FTB to provide documentation that it recouped the overpayments, but it has not yet provided the documentation.