Report I2021-1 All Recommendation Responses

Report I2021-1: Investigations of Improper Activities by State Agencies and Employees (Release Date: May 2021)

Case Number I2019-2039

Recommendation #1 To: Transportation, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Caltrans should take the following action by August 2021:

Address inefficiencies in its salary advance process by considering implementation of the key strategies outlined in this report, including requiring every employee who receives a salary advance to be removed from participation in direct deposit; when processing salary advances, issuing a notice to each employee that serves as its first notice of overpayment; and creating a separate, central tracking mechanism and assigning staff to monitor the salary advance collection process.

Agency Response From February 2022

Caltrans stated that it has updated its salary advance request form to explain that when an employee receives a salary advance, the employee's direct deposit will be canceled and the employee cannot reenroll until the advance has been paid back. It provided a copy of the updated form.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From October 2021

Caltrans reported that it agrees with removing direct deposit participation when processing salary advances for its current employees. It also informed us that its legal department is reviewing the final process for the new employee notice that will detail the requirement to reimburse Caltrans for salary advances. It plans to discuss the notice with the relevant collective bargaining units.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From July 2021

Caltrans reported that its Office of Transactions Services is using a software to track all salary advances and overpayment notices. It stated that it has assigned one team to increase the monitoring of notices and collection efforts. It also stated that it is reviewing a new employee notice that details the requirement to reimburse Caltrans for overpayments, and it continues to have internal discussions on whether employees who receive a salary advance should be automatically removed from participating in direct deposit.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From April 2021

Caltrans asserted that it considered the strategies we presented in this report and has begun improving its processes, including, but not limited to, providing electronic collection notices when appropriate and creating a centralized repository for tracking salary advances. Moreover, Caltrans stated that it is exploring a permanent database solution for tracking salary advances and remains dedicated to exploring the key strategies outlined in our report. It noted that since we notified Caltrans of this issue, it has continued its positive momentum and doubled its collection efforts in fiscal year 2020-21, clearing a total of 2,214 salary advances from July 2020 through March 2021.

California State Auditor's Assessment of Status: Partially Implemented

Case Number I2019-2039

Recommendation #2 To: Transportation, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Caltrans should take the following action by August 2021:

Confer with the Department of Finance to determine whether it should write off all salary advances for which the statute of limitations has passed and it has forfeited its opportunity to collect outstanding funds. Writing off these salary advances will allow Caltrans to focus its efforts on the advances it is still able to pursue.

Agency Response From August 2021

Caltrans reported that the Department of Finance (Finance) has agreed to allow Caltrans to submit a request to write off its aged salary advances. If Finance approves the request, Caltrans will submit the documents to the State Controller's Office for reimbursement.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From July 2021

Caltrans reported that it met with the Department of Finance in June 2021 and is awaiting further direction from it.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From April 2021

Caltrans indicated that it would confer with the Department of Finance to determine whether Caltrans should write off all salary advances for which the statute of limitations has expired.

California State Auditor's Assessment of Status: Pending

Case Number I2019-2039

Recommendation #3 To: Transportation, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Caltrans should take the following action by August 2021:

Ensure that its staff have access to the equipment necessary to perform the ongoing work of tracking salary advances in a timely manner.

Agency Response From April 2021

Caltrans reported that in April 2021, it provided cell phones and laptops to all personnel specialists involved in the collection of salary advance overpayments.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2019-0989

Recommendation #4 To: Tax and Fee Administration, California Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, CDTFA should take appropriate disciplinary action against the administrator for the improper governmental activities described in this report.

Agency Response From March 2021

CDTFA reported that in March 2021, it served the administrator with disciplinary action to dismiss him for the improper governmental activities described in this report. However, the administrator retired before the effective date of his dismissal. CDTFA stated that it does not intend to add the disciplinary action to the administrator's official personnel file because he retired before its effective date. However, by not including the disciplinary action in his personnel file, CDTFA prevents other state agencies from knowing about the administrator's improper governmental activities if he applies for another state employment position. Thus, CDTFA should reconsider placing documentation in his personnel file to indicate that he resigned while under investigation.

California State Auditor's Assessment of Status: Resolved

Case Number I2019-0989

Recommendation #5 To: Tax and Fee Administration, California Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, CDTFA should ensure that the administrator signs an Outside Employment Declaration form annually, as the agency's Incompatible Activities Statement requires.

Agency Response From March 2021

California State Auditor's Assessment of Status: Resolved

Case Number I2019-0989

Recommendation #6 To: Tax and Fee Administration, California Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, CDTFA should send a reminder to all of its employees identifying prohibited activities.

Agency Response From July 2021

CDTFA reported that it made minor non-substantive revisions to its incompatible activities policy and notified all of its employees of the revised policy in July 2021.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2019-1405

Recommendation #7 To: State Hospitals, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, DSH should take appropriate disciplinary action against the employee for her dishonesty in submitting an application that contained false information about her dates of employment and experience.

Agency Response From March 2021

DSH reported that it served the employee with appropriate disciplinary actions in March 2021. It stated that the employee has up to 30 days to appeal the disciplinary action.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2019-1405

Recommendation #8 To: State Hospitals, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, DSH should take appropriate disciplinary action against the hiring manager for failing to ensure that the hiring process for the associate analyst position was based on merit and involved a fair, competitive process.

Agency Response From March 2021

DSH reported that it served the hiring manager with appropriate disciplinary actions in March 2021. It stated that the hiring manager has up to 30 days to appeal the disciplinary action.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2019-1405

Recommendation #9 To: State Hospitals, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, DSH should strengthen its hiring process to ensure that successful candidates meet the established minimum qualifications for civil service positions.

Agency Response From September 2021

DSH reported that, as of the end of August 2021, all managers in the affected division had attended the training that was facilitated by human resources staff.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From May 2021

DSH reported in May 2021 that it updated its recruitment memo that requires hiring managers to use either the DSH Employment Reference Check form or the hiring manager must obtain approval from a classifications and pay analyst to use a different form. It also added an additional box to verify specific dates of employment to the Employment Reference Check form. An existing box is in place to include the candidates' area of responsibility. Further, DSH reported that training for managers and supervisors in the affected division is scheduled for June 2021. The training content has been created, and DSH human resources team members will facilitate the trainings.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From March 2021

DSH reported that it will strengthen its current process by requiring the verification of relevant work history and experience during reference checks and—to ensure that the additional verification occurs—by updating the recruitment memo that managers are expected to complete during the hiring process. Finally, DSH reported that it will provide training on the revised process for supervisors in the affected division by June 30, 2021.

California State Auditor's Assessment of Status: Pending

Case Number I2019-1172

Recommendation #10 To: Los Angeles, California State University

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Cal State LA should take appropriate disciplinary action against each employee for misusing state time to work at a second job.

Agency Response From May 2021

Cal State LA reported in May 2021 that it issued notices of suspension without pay to Employees 1 and 2.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From April 2021

Cal State LA reported that it intends to take corrective and disciplinary actions to address the activities included in this report.

California State Auditor's Assessment of Status: Pending

Case Number I2019-1172

Recommendation #11 To: Los Angeles, California State University

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Cal State LA should provide the two employees with a written expectation of their work schedule, work hours, and work duties. It should ensure that the employees adhere to to these expectations and that they understand that any secondary employment must not conflict with their Cal State LA duties. In addition, it should ensure that the employees know the process for requesting to change their work schedule.

Agency Response From May 2021

Cal State LA reported that it sent letters to Employees 1 and 2 to provide 1) written expectation of each employee's work schedule, work hours, and work duties; 2) assurance that each employee understands that any secondary employment must not conflict with each employee's Cal State LA responsibilities and duties; 3) an explanation of the process for requesting to change their work schedules.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2019-1172

Recommendation #12 To: Los Angeles, California State University

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Cal State LA should provide training to the supervisor of these employees about how to manage staff and ensure that staff work their required number of hours during their scheduled shifts.

Agency Response From May 2021

Cal State LA reported that it provided training to the supervisor of these employees about how to manage staff and ensure that employees work their required number of hours during their scheduled shifts.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From April 2021

Cal State LA reported that it will provide training to the supervisor of the two employees to ensure that his employees work the requisite number of hours during their scheduled shifts.

California State Auditor's Assessment of Status: Pending

Case Number I2019-1172

Recommendation #13 To: Los Angeles, California State University

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Cal State LA should determine whether other employees are working in similar classifications and ensure that these employees are following their required schedules.

Agency Response From May 2021

Cal State LA reported that its human resources management sent emails to college deans and department heads who have staff in classifications similar to Employees 1 and 2 to alert their supervisory staff to ensure that employees are following their assigned work schedules and that requests for a change in work schedule needs to follow the language in the appropriate collective bargaining agreement.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2018-1047

Recommendation #14 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation substantiated, and to prevent those activities from recurring, General Services should take appropriate disciplinary actions against Employees A and B for their misuse of state time and for their dishonesty when interviewed by General Services' representatives.

Agency Response From April 2021

General Services served Employees A and B with termination notices for their misuse of state time and dishonesty. Employees A and B resigned before their terminations took effect. General Services stated that it placed a letter in each employee's official personnel file identifying that the resignation occurred under unfavorable circumstances.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2018-1047

Recommendation #15 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation substantiated, and to prevent those activities from recurring, General Services should recover overpayments made to Employees A and B or adjust their leave balances to account for their missed work time.

Agency Response From April 2021

General Services stated that it initiated an accounts receivable to collect $3,495 from Employee A and that it adjusted Employee B's leave balance by 60 hours.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2018-1047

Recommendation #16 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation substantiated, and to prevent those activities from recurring, General Services should implement procedures that provide more accountability for work performed by facilities division maintenance employees,

Agency Response From April 2021

General Services reported that it implemented oversight procedures that provide more accountability for maintenance employees. Specifically, it stated that it now requires maintenance employees to clock in and out near their respective supervisor's office location. In addition, General Services stated that facilities division supervisors will validate that each work order has a reasonable amount of time charged for each task, review each work order daily, and approve each work order for recording in the PAL system. Further, General Services stated that supervisors now meet with their employees at the beginning of their shifts to ensure the employees are at work and have appropriate work assignments and resources and that they also now perform impromptu worksite inspections each day to check the progress of work they assign to their employees. Finally, General Services stated that supervisors review daily vehicle mileage logs to ensure their employees log reasonable mileage based on the locations noted in the logs.

California State Auditor's Assessment of Status: Fully Implemented

Case Number I2019-0068

Recommendation #17 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, the employee's supervisor should make intermittent contact at the beginning or end of shifts to ensure that his subordinate employees adhere to General Services' expectations.

Agency Response From May 2021

General Services provided the revised program manual that instructs employees to send a message to the supervisor at the end of the shift.

California State Auditor's Assessment of Status: Resolved

Agency Response From March 2021

General Services reported that it agrees with the recommendation. It stated that division management will implement procedures that require the employee's current supervisor to make intermittent contact with the employee during late evening shifts to ensure that he adheres to attendance expectations.

California State Auditor's Assessment of Status: Partially Implemented

Case Number I2019-0649

Recommendation #18 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, General Services should take appropriate corrective or disciplinary action against Custodian Supervisor A for misusing his work computer to view personal videos for up to two hours each day and for allowing his subordinate to not devote her full time and attention to her work duties.

Agency Response From June 2021

General Services issued a corrective memorandum to Custodian Supervisor A outlining the findings of the investigation and informing him that formal adverse action will be taken if his behavior continues.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From March 2021

General Services reported that it plans to issue a corrective action memorandum to Supervisor A.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0649

Recommendation #19 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, General Services should take appropriate corrective action against Custodian Supervisor B for allowing two of his subordinates to not devote their full time and attention to their work duties.

Agency Response From June 2021

General Services provided us with a copy of a letter that it placed in Custodian Supervisor B's personnel file noting that his resignation occurred under unfavorable circumstances.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From June 2021

General Services reported that Custodian Supervisor B retired from state service prior to the conclusion of the investigation. We subsequently requested that General Services consider placing a notice of this investigation in Custodian Supervisor B's personnel file.

California State Auditor's Assessment of Status: Pending

Agency Response From March 2021

General Services reported that it plans to issue a corrective action memorandum to Custodian Supervisor B.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0649

Recommendation #20 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, General Services should take appropriate corrective or disciplinary action against the three custodians for failing to devote their full time and attention to their work duties during work hours.

Agency Response From June 2021

General Services issued corrective memorandums to the three custodians regarding their improper activities.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From March 2021

General Services reported that it plans to issue corrective action memorandums to the three custodians.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0649

Recommendation #21 To: General Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, General Services should require the two custodian supervisors to implement specific procedures to ensure that their subordinate custodians devote their full time and attention to their work duties.

Agency Response From June 2021

General Services provided us with the documents we requested to support that custodian supervisors are conducting floor inspections and noting staff work in their daily floor review logs.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From March 2021

General Services informed us that custodian supervisors will conduct floor inspections by "walking" the buildings and noting in their daily floor review logs that staff work has been completed. General Services added that building management will review the daily floor logs and adjust their shifts to provide more oversight to custodians. We requested that General Services provide us with any relevant documentation supporting that these actions are being completed.

California State Auditor's Assessment of Status: Partially Implemented

Case Number I2019-0663

Recommendation #22 To: Food and Agriculture, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Food and Agriculture should work with the DAA's board of directors to take appropriate disciplinary action against the executive for allowing a relative to stay in state-owned housing and for failing to establish processes at the DAA to ensure that employees' use of state-owned housing is consistent with applicable state laws, regulations, and policies.

Agency Response From June 2022

In December 2021, Food and Agriculture reported that it took disciplinary action against the executive. However, Food and Agriculture has not provided us with any evidence to corroborate this statement despite our repeated requests. In addition, Food and Agriculture reported that the executive is no longer employed with the DAA.

California State Auditor's Assessment of Status: Resolved

Agency Response From March 2022

In December 2021, Food and Agriculture reported that it took disciplinary action against the executive. However, it has failed to provide us evidence to corroborate this statement despite repeated requests. Thus, this recommendation is not fully implemented until Food and Agriculture is able to provide evidence that it took disciplinary action against the executive.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From December 2021

Food and Agriculture reported in December 2021 that it has taken disciplinary action against the executive. However, Food and Agriculture has not provided evidence to support this statement. Once Food and Agriculture provides evidence to confirm that it took disciplinary action against the executive, we will consider this recommendation fully implemented.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From October 2021

Food and Agriculture informed us that the DAA board of directors met and discussed possible disciplinary action against the executive. Food and Agriculture added that the board of directors will vote subsequently on the possible disciplinary action.

California State Auditor's Assessment of Status: Pending

Agency Response From June 2021

Food and Agriculture reported that it will discuss and decide on disciplinary action at the next two meetings of the DAA board of directors. Food and Agriculture stated that it anticipates completing the recommendation by September 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From April 2021

Food and Agriculture reported that it will begin working with the DAA's board of directors to take appropriate disciplinary action against the executive.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0663

Recommendation #23 To: Food and Agriculture, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Food and Agriculture should require the DAA to establish a housing policy that outlines expectations for employees who stay overnight and includes a section on adequate recordkeeping to ensure that it charges applicable employees each time they stay overnight.

Agency Response From October 2023

Food and Agriculture reported in October 2023 that it has developed a housing policy that is applicable to all DAAs and addresses record keeping and overnight stays. Food and Agriculture added that it anticipates distributing the policy to all DAAs by the end of January 2024.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From November 2022

Food and Agriculture reported that it has developed a housing policy applicable to all DAAs and that the policy addresses recording keeping and overnight stays. Food and Agriculture added that the policy is in its final review and will be distributed to the DAAs in approximately 10 calendar days. Food and Agriculture also reported that a DAA interested in developing its own policy would need to have Food and Agriculture concurrence before any new policy can be adopted.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From June 2022

Food and Agriculture reported that the housing policy that it initially reported as being under review in December 2021 is still under review and that it now expects the policy to be finalized by July 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From March 2022

Food and Agriculture reported that the housing policy is still under review and that it expects it to be finalized by May 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From December 2021

Food and Agriculture reported that it has drafted a housing policy, which is under review before it is issued. Due to key staff vacancies, it expects to fully complete this recommendation by February 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From October 2021

Food and Agriculture reported that it expects to complete this recommendation by November 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From June 2021

Food and Agriculture informed us that it will assist the DAA in establishing a housing policy that includes expectations for employees staying overnight and language regarding having adequate recordkeeping. Food and Agriculture stated that it anticipates completing this recommendation by August 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From April 2021

Food and Agriculture reported that it will require the DAA to establish a housing policy consistent with CalHR requirements to promote adequate recordkeeping and to ensure that, where applicable, employees are charged each time they stay overnight.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0663

Recommendation #24 To: Food and Agriculture, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Food and Agriculture should require the DAA to submit annual housing surveys to CalHR and to validate fair market value to determine the daily rate employees must pay each time they stay overnight and to subsequently charge employees that appropriate daily rate.

Agency Response From October 2023

Food and Agriculture reported in October 2023 that its housing policy that it anticipates distributing to DAAs by the end of January 2024, includes language requiring DAAs to provide annually to CalHR a housing survey with the updated fair-market value information to charge employees applicable rates for overnight stays.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From November 2022

Food and Agriculture reported that its housing policy includes language requiring DAAs to provide annually to CalHR a housing survey with updated fair-market value information to charge employees the applicable rate for overnight stays. Food and Agriculture expects the DAAs to report this information to CalHR by February 2023.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From June 2022

Food and Agriculture previously reported in December 2021 that its proposed housing policy will include language about submitting annual housing surveys and validating fair market value. It now expects to complete this recommendation after the housing policy is finalized in July 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From March 2022

Food and Agriculture reported in March 2022 that the housing policy, which it previously indicated will include language about submitting annual housing surveys and validating fair market value, is still under review and that it expects it to be finalized by May 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From December 2021

Food and Agriculture reported that the proposed housing policy that is under review includes language about submitting annual housing surveys and validating fair market value. It expects to fully complete this recommendation by February 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From October 2021

Food and Agriculture reported that it expects to complete this recommendation by November 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From June 2021

Food and Agriculture stated that it will work with the DAA's board of directors and its executive to complete the annual housing surveys. Food and Agriculture stated that it anticipates completing this recommendation by September 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From April 2021

Food and Agriculture stated that it will take appropriate actions to promote the DAA's compliance regarding CalHR's requirements on housing surveys.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0663

Recommendation #25 To: Food and Agriculture, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Food and Agriculture should review other DAAs that provide state-owned housing to ensure that they have housing policies and that they charge employees appropriate daily rates for any overnight stays.

Agency Response From October 2023

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From November 2022

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From June 2022

Food and Agriculture reported that when the housing policy is finalized, which is now expected in July 2022, it intends to send a letter to DAAs with state-owned housing of the need to adopt a housing policy.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From March 2022

In March 2022, Food and Agriculture provided us with a copy of the survey it completed to ensure an accurate inventory of DAAs with state-owned housing. By May 2022, Food and Agriculture intends to inform the DAAs with state-owned housing of the need to adopt a housing policy.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From December 2021

Food and Agriculture reported that it initiated a survey of all DAAs to ensure an accurate inventory of DAAs with state-owned housing in September 2021 and that its Fairs and Expositions Branch will draft a circular letter to inform DAAs of the need to adopt a housing policy and will follow up with fairs that have state-owned housing to make sure policies are implemented. However, Food and Agriculture has not provided evidence that confirms the surveys have been completed. Food and Agriculture reported in December 2021 that it expects to complete this recommendation by February 2022.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From October 2021

Food and Agriculture reported that it still expects to complete this recommendation by November 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From June 2021

Food and Agriculture reported that by September 2021, it will initiate a survey of all DAAs to ensure an accurate inventory of DAAs with state-owned housing. Food and Agriculture added that it is in the process of providing a letter to DAAs informing them of the need to adopt a housing policy and that it will follow up with DAAs with state-owned housing to ensure that policies are implemented. Food and Agriculture stated that it anticipates completing this recommendation by November 2021.

California State Auditor's Assessment of Status: Pending

Agency Response From April 2021

Food and Agriculture stated that they will work with the network of DAAs that provide state-owned housing to ensure that they have housing policies and that they charge employees appropriate daily rates for any overnight stays.

California State Auditor's Assessment of Status: Pending

Case Number I2019-0645

Recommendation #26 To: Social Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Social Services should determine the extent of underreported leave during the past three years by conducting a survey of all salaried employees who work nonstandard schedules and reduce leave balances accordingly or recover any overpayments as state law requires.

Agency Response From October 2023

Social Services reported in October 2023 that it completed its review for the remaining seven employees in January 2023. Human Resources met with employees, their managers, and union representatives to discuss the findings and received revised timesheets and reduced leave balances accordingly.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From November 2022

Social Services reported in November 2022 that after meeting with employees, their direct supervisors, and union representatives, Social Services determined that 18 of the 50 affected employees were not working an alternate schedule, and 25 of the remaining 32 employees have submitted revised timesheets and have had their leave balances reduced. Social Services anticipates fully implementing this recommendation in January 2023.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From August 2022

Social Services reported that it has completed adjusting leave records for five of the 50 affected employees, is awaiting corrected timesheets for 34 employees, and will need to review timesheets for nine employees because of new information. Employees were given until August 1, 2022, to submit corrected timesheets. The remaining two employees are on extended leave of absence. Social Services notes that this information is fluid and subject to change as the agency receives new information. Finally, Social Services noted that Government Code section 19838(d) limits its ability to recover all the hours owed to the State. Thus, while it has identified hours owed to the State, Social Services is unable to recover a portion of those hours.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From March 2022

Social Services reported that it identified more than 2,000 hours of underreported leave from 2018 through 2021. It has already started the process of adjusting leave balances for the affected employees.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From December 2021

Social Services reported in December 2021 that it identified more than 50 affected employees and is working on contacting them to discuss and correct the time reporting issues.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From August 2021

Social Services stated that it is still reviewing the timesheets and that a meeting is scheduled during the first full week in September 2021 to discuss the next steps.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From June 2021

Social Services stated that its audit identified, throughout the department, 50 staff members in work week groups E and SE who work non-standard schedules. Social Services is reviewing three years of timesheets (which equals 1,800 timesheets), as we requested, for these employees to verify whether they are actually working non-standard schedules and, if so, whether they are charging the appropriate hours.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From April 2021

Social Services stated it is conducting an audit of work week group E employees to determine if any are working non-standard schedules.

California State Auditor's Assessment of Status: Partially Implemented

Case Number I2019-0645

Recommendation #27 To: Social Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Social Services should adapt the electronic system so that salaried employees can accurately charge the correct number of hours of leave used when reporting nonstandard whole-workday increments.

Agency Response From October 2021

Social Services reported that its new timekeeping system has now been deployed to all divisions within the department.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From August 2021

Social Services reported that the rollout process is ongoing.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From June 2021

Social Services provided a copy of a memo to its staff about the new timekeeping system and announcing that the rollout begins in July 2021 and ends in October 2021. Social Services also provided a copy of an email that discusses the training that will be given to staff as the rollout progresses.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From April 2021

Social Services stated that it purchased a new timekeeping system that will allow salaried employees to report non-standard work schedules.

California State Auditor's Assessment of Status: Partially Implemented

Case Number I2019-0645

Recommendation #28 To: Social Services, Department of

To remedy the effects of the improper governmental activities this investigation identified and to prevent those activities from recurring, Social Services should create policies that address accurate time reporting for salaried employees working nonstandard schedules and provide training to staff regarding these policies.

Agency Response From August 2021

Social Services developed a policy to instruct work week group E and SE salaried employees about how to accurately report work hours and leave time.

California State Auditor's Assessment of Status: Fully Implemented

Agency Response From June 2021

Social Services stated that the policies are under discussion.

California State Auditor's Assessment of Status: Partially Implemented

Agency Response From April 2021

Social Services reported that it was developing policies to instruct all employees, including work week group E and SE salaried employees, about how to accurately report time in the new timekeeping system.