Report I2023-1 Recommendations

After the State Auditor's Office completes an investigation and issues a copy of its investigative report to the state department involved, the department is required by the Whistleblower Protection Act to provide the State Auditor with information about the actions it has taken in response to the report. Within 60 days of receiving the report, the department must report to the State Auditor any disciplinary action it has taken or intends to take against any employee who was a subject of the investigation. Also within 60 days, the department must report to the State Auditor any actions it has taken or intends to take to implement the recommendations made in the report to prevent the continuation or recurrence of the improper activities described in the report. When the department has not completed all of its intended actions within 60 days, the department must report on its actions monthly thereafter until all of its intended actions have been taken. Below is a listing of each recommendation the State Auditor made in the report referenced, as well as a link to a summary of what the department has reported to the State Auditor about its actions in response to the report. Information about the departmentís responsive actions and the State Auditorís assessment of those actions will be updated on this site quarterly.

Recommendations in Report I2023-1: Investigations of Improper Activities by State Agencies and Employees: Wasteful Decisions, Poor Contract Oversight, Overpayments, Misuse of State Resources, and Attendance Abuse (Release Date: May 2023)

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Recommendations for Case I2020-0593
Department: Industrial Relations, Department of
Number Recommendation Status
14

In accordance with applicable law and regulations, calculate the cost of the vehicle misuse and pursue reimbursement from the supervisor.

Fully Implemented
15

Take appropriate corrective or disciplinary action against the supervisor for his misuse of the vehicle.

Fully Implemented
Recommendations for Case I2020-1306
Department: State Hospitals, Department of
Number Recommendation Status
11

Take appropriate corrective or disciplinary action against the technician, including, but not limited to, initiating the recovery process for any overpayments made to the technician.

Fully Implemented
12

Take appropriate corrective action against the supervisor and provide the supervisor with relevant training to ensure that he fully understands his supervisorial responsibilities to ensure accurate timekeeping and to take appropriate corrective action.

Resolved
13

Either implement additional internal controls to ensure that the technician's attendance is monitored while she works independently or make changes to the rotation of staff who perform team recorder duties to minimize opportunities for avoiding accountability for time and attendance.

Resolved
Recommendations for Case I2020-1845
Department: Corrections and Rehabilitation, Department of
Number Recommendation Status
16

Proceed with appropriate disciplinary action against the employee for his misuse of state resources and his dishonesty, including gathering additional evidence as necessary to support the action.

Fully Implemented
Recommendations for Case I2021-0320
Department: Correctional Health Care Services, California
Number Recommendation Status
7

To the extent the law allows, adjust the employee's leave balances to account for all the leave hours that he reported on submitted timesheets or would have reported on his missing timesheets based on other corroborating records.

Partially Implemented
8

Create internal procedures to ensure that HR tracks missing timesheets and notifies the appropriate staff of missing timesheets each month.

Resolved
9

Determine whether other employees in the supervising registered nurse II classification have any missing timesheets for the period from January 2020 through December 2021, and review available attendance records to identify and account for absences. If other employees' timesheets do not align with the data that HR staff entered into the SCO leave accounting system, correct the leave balances to the extent possible.

Partially Implemented
10

Assess HR staffing levels and determine whether the department needs more personnel specialists to accurately record employee leave use, and follow up with supervisors when timesheets are missing.

Resolved
Recommendations for Case I2021-0603
Department: Parks and Recreation, Department of
Number Recommendation Status
17

Take appropriate corrective or disciplinary action against the supervisor for misusing the boat dock for personal purposes.

Fully Implemented
18

Correct the supervisor's reportable housing benefits to comply with state policy and to ensure compliance with federal tax law.

Will Not Implement
19

Require that districts provide the housing division with complete, accurate, and updated information regarding employees' duties, positions, and locations so that State Parks can comply with state policy and federal law related to reporting housing benefits.

Fully Implemented
20

Review the associated documentation for all employees in the supervisor's district who have housing benefits that are excluded from their incomes to determine whether the unreported housing benefits comply with state policy, and subsequently take actions, including working with CalHR and the State Controller's Office if necessary, to correct any deficiencies it identifies in its review.

Fully Implemented
Recommendations for Case I2021-1822
Department: Food and Agriculture, Department of
Number Recommendation Status
4

Work with the DAA's board of directors to take appropriate corrective action against the executive for failing to ensure that the DAA had written contracts with Contractors A and B.

Fully Implemented
5

Ensure that the DAA receives training on both applicable state contracting requirements and best practices related to contracts for services, including the use of written contracts, and on requirements related to preventing conflicts of interests.

Fully Implemented
6

Work with the DAA to ensure that its contracting policies are sufficient to ensure that it complies with contracting requirements and conflict-of-interest prevention requirements in state law.

Partially Implemented
Recommendations for Case I2021-1875
Department: Unnamed State Agency (I2023-1)
Number Recommendation Status
1

Develop policies and procedures that identify the appropriateness and extent of ATO use, including specifying the person or position in the agency responsible for approving ATO.

Fully Implemented
2

Work with CalHR to develop appropriate training for HR staff to understand their role in receiving and disseminating CalHR guidance in writing to management.

Resolved
3

Develop policies and procedures to ensure that the appropriate divisions are involved in providing staff with the equipment needed to perform their duties either in the office or remotely.

Fully Implemented


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