Report I2017-1 All Recommendation Responses
Report I2017-1: Investigations of Improper Activities by State Agencies and Employees: Misuse of Resources, Inaccurate Attendance Records, Disclosure of Confidential Information, and Improper Payments (Release Date: March 2017)
Case Number I2016-0112
Recommendation #1 To: Corrections and Rehabilitation, Department of
The California Department of Corrections and Rehabilitation (CDCR) should require the parole agent to submit a personal use certification for the personal use of her assigned state vehicles from June 2015 to present.
Agency Response From April 2017
CDCR reported in February 2017 that the parole agent completed and submitted personal use certifications for her personal use of state vehicles from June 2015 through June 2016. In April 2017, CDCR provided us with copies of the parole agent's certifications for our review. In addition, CDCR provided a copy of the parole agent's training record to verify completion of the training related to state vehicle use that it had indicated in the January 2017 update.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2017
CDCR stated that by the end of February 2017, it will direct the parole agent to submit personal use certifications for all personal use of state vehicles from June 2015 until the present. In addition, CDCR stated that the parole agent will receive additional training on all aspects of state vehicle use.
California State Auditor's Assessment of Status: Pending
Case Number I2016-0112
Recommendation #2 To: Corrections and Rehabilitation, Department of
CDCR should review the duty statements of all employees within the parole division who have held the positions discussed in this report and who have state vehicles for their exclusive use to determine whether the assignments of state vehicles comply with the laws and policies of the State and the parole division. If CDCR determines that a vehicle assignment is appropriate, it should modify each employee's duty statement to indicate the percentage of time the employee should expect to perform fieldwork, ensure that the state vehicles assigned to these employees are not pool vehicles, and ensure that each employee has an approved home storage permit on file.
Agency Response From May 2017
CDCR stated that the state vehicles previously assigned to the identified positions were removed as the positions did not meet the requirements of having an assigned state vehicle. CDCR stated subsequently that the employees currently in the other positions identified in this report did not have state vehicles for them to return. In addition, CDCR provided us with a list of 32 parole administrators in its northern and southern parole regions who turned in their state vehicles as a result of its review of vehicle assignments.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From April 2017
CDCR stated that it reviewed the duty statements for the three positions as we recommended, and it concluded that none of these positions required either a take-home vehicle or a vehicle home storage permit. As a result, it did not revise any duty statements. However, CDCR did not specify any actions that it took to rectify the situation. In particular, if CDCR determined that the employees in these positions did not need state vehicles, we expected it to require the employees to return their state vehicles. CDCR's response did not mention any return of state vehicles; thus, we requested additional clarification in its next update.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From February 2017
CDCR stated that it would review the duty statements of the positions that we recommended it review. For each employee who the parole division deems to have a properly assigned vehicle, the division will modify the duty statement to indicate the percentage of time the employee is expected to travel overall to perform the essential functions of his or her job. In addition, CDCR stated that supervisory staff within the parole division will be instructed to review and confirm that the issuance and use of state vehicles in the performance of employees' duties comply with applicable laws, rules, policies, and regulations and that supervisory staff will confirm that vehicles assigned for exclusive use are not designated pool vehicles. CDCR committed to ensure that by the end of April 2017, parole division staff who are authorized to have assigned state vehicles at home overnight will have current and complete home storage permits on file.
California State Auditor's Assessment of Status: Pending
Case Number I2016-0112
Recommendation #3 To: Corrections and Rehabilitation, Department of
CDCR should discontinue the practice of assigning pool vehicles for the exclusive use of individuals to circumvent state laws and parole division policies.
Agency Response From June 2017
In May 2017, CDCR provided evidence to us that it amended its Department Operations Manual to clearly state that, "State pool vehicles should not be assigned exclusively to an employee and should only be checked out for short periods of time as needed for intermittent State business." However, we failed to see any evidence of it discontinuing the practice as we recommended.
As a result, CDCR reported in late May 2017 that the subject of our investigation was the only person who returned a state vehicle. We expressed concern that the investigation revealed that many parole administrators had state vehicles and, if CDCR had concluded in recommendation 2 that state vehicles were not necessary for parole administrators, we would have expected to see all parole administrators return their state vehicles. In June 2017, CDCR reported that 32 parole administrators from its northern and southern parole regions had returned their pool vehicles.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From April 2017
CDCR reissued its policy on the authorized use of state vehicles. However, the policy was not amended to include specific direction to not issue or allow pool vehicles for the exclusive use of any one employee. CDCR also stated that its pool vehicle coordinators completed training in February 2017 regarding all applicable laws, regulations, rules, and policies pertaining to the assignment and use of state vehicles. Regardless, CDCR did not specify any actions it took to actually discontinue the practice of assigning pool vehicles for the exclusive use of individuals in the parole division. For example, CDCR has remained silent about whether it required the parole agent to return her pool vehicle and whether it asked others in the same position to return their pool vehicles. Thus, we requested clarification from CDCR.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From February 2017
CDCR reported that it will identify all parole division vehicles that are pool vehicles. It also stated that it would train all staff using state vehicles on the definition, use, and documentation required for using pool vehicles by mid-February 2017. Additionally, CDCR stated that it would reissue its policy on the authorized use of state vehicles after amending the policy to include specific direction to not issue or allow pool vehicles for the exclusive use of any division.
California State Auditor's Assessment of Status: Pending
Case Number I2016-0112
Recommendation #4 To: Corrections and Rehabilitation, Department of
CDCR should train all parole division employees who drive state vehicles about how to properly document their use of a state vehicle on their mileage logs, how to obtain a home storage permit and for whom it is necessary, how and when to submit a personal use certification reporting all personal commutes driven in a state vehicle.
Agency Response From April 2017
We requested that CDCR provide a copy of the comprehensive training plan it identified in January 2017. In April 2017, CDCR informed us that its comprehensive training plan consisted of an email it sent to employees that reissued the existing CDCR policy about state vehicles. CDCR also required employees to sign a roster indicating that they had completed the "training" after they read the policy. As the existing policy states how employees should document their use of state vehicles on their mileage logs, how they should obtain a home storage permit and for whom it is necessary, and how and when to submit a personal use certification, we deemed the recommendation as fully implemented.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2017
CDCR affirmed that the parole division would develop a comprehensive training plan related to state vehicle assignment, use, documentation, home storage, and certification. CDCR stated that the training plan will be delivered to supervisory staff who will provide the training to subordinate staff by the end of April 2017. CDCR also stated that it will track state vehicles in a recently developed database but did not describe how this database would help fulfill this recommendation.
California State Auditor's Assessment of Status: Pending
Case Number I2016-0112
Recommendation #5 To: Corrections and Rehabilitation, Department of
CDCR should train all parole division supervisors who oversee employees with state vehicles regarding the department's policy for the proper usage and storage of state vehicles.
Agency Response From April 2017
We requested that CDCR provide a copy of the comprehensive training plan it identified in January 2017. In April 2017, CDCR informed us that its comprehensive training plan consisted of an email sent to its employees that reissued the existing CDCR policy about state vehicles. CDCR also required employees to sign a roster indicating that they had completed the "training" after they read the policy. Further, CDCR provided us with a copy of the email it sent requiring employees to review the policy and with reports indicating that all active employees completed the training. As the existing policy outlines the proper usage and storage of state vehicles, we deemed the recommendation as fully implemented.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2017
CDCR reported that the parole division will ensure that the comprehensive training plan mentioned in response to our fourth recommendation is presented in a timely manner to all supervisors who have staff using state vehicles. CDCR estimated that it will complete this task by the end of February 2017.
California State Auditor's Assessment of Status: Pending
Case Number I2015-0736
Recommendation #6 To: Transportation, Department of
The California Department of Transportation (Caltrans) should take appropriate corrective or disciplinary action against the analyst for her misuse of state time.
Agency Response From February 2017
Caltrans reported that in January 2017 the division issued a letter of warning to the analyst for misuse of state time .
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-0736
Recommendation #7 To: Transportation, Department of
Caltrans should have the analyst review and sign Caltrans' policies and directives related to the misuse of state time and incompatible activities.
Agency Response From February 2017
Caltrans reported that in January 2017 the analyst reviewed and signed the employee expectation memorandum and policies and directives related to misuse of state time and incompatible activities.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-0576
Recommendation #8 To: State Hospitals, Department of
The Department of State Hospitals (State Hospitals) should initiate immediate action, in accordance with Government Code section 19838, to collect the overpayment from the pharmacist.
Agency Response From April 2017
State Hospitals provided documentation supporting that in February 2017, it reduced the pharmacist's compensating time off balance by 99 hours.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-0576
Recommendation #9 To: State Hospitals, Department of
State Hospitals should provide counseling or training to the pharmacist and pharmacy management regarding proper time and attendance procedures.
Agency Response From April 2017
State Hospitals provided documentation to support that in February 2017, it trained the pharmacist and pharmacy management on the proper policies and procedures for keeping complete and accurate time and attendance records.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-0576
Recommendation #10 To: State Hospitals, Department of
State Hospitals should provide counseling or training to the responsible personnel staff regarding proper procedures for processing the attendance records.
Agency Response From April 2017
State Hospitals provided documentation to support that in February 2017, it trained the responsible personnel staff regarding the proper procedures for processing attendance records.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-0576
Recommendation #11 To: State Hospitals, Department of
State Hospitals should review the pharmacist's time and attendance records from September 2015 to present to ensure she was not overpaid for any additional hours or had leave balances that were not reduced because of absences.
Agency Response From May 2017
State Hospitals stated that it completed an audit of the pharmacist's attendance records from September 2015 through December 2016 and discovered an additional 5.75 hours that were not properly reduced from the pharmacist's leave balances. State Hospitals reported that it notified the pharmacist and reduced her leave balances accordingly.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From April 2017
State Hospitals stated that it is currently auditing the pharmacist's attendance records from September 2015 through December 2016 to ensure she was not overpaid and that her absences were accounted for appropriately. State Hospitals stated that it planned to complete its review by the end of April 2017.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2015-0686
Recommendation #12 To: Equalization, Board of
The State Board of Equalization (BOE) should work with the first tax technician's current employing agency to place appropriate documentation about the investigation in her official personnel file.
Agency Response From February 2017
BOE reported that it placed in the first tax technician's official personnel file the appropriate documentation regarding the investigation. In addition, BOE stated that it was coordinating efforts with the first tax technician's current employing agency to take additional action about her conduct.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2017
BOE reported that it plans to work with the first tax technician's current employing agency to place a letter in her official personnel file that details the findings of the investigation.
California State Auditor's Assessment of Status: Pending
Case Number I2015-0686
Recommendation #13 To: Equalization, Board of
BOE should place a memo in the second tax technician's official personnel file that details the findings of its investigation, its dismissal filed and served on her, and this tax technician's retirement from BOE before the effective date of the dismissal so that other state agencies are fully aware of the findings should she return to state employment.
Agency Response From February 2017
BOE reported that it placed in the second tax technician's official personnel file a letter that details the findings of the investigation, the dismissal filed and served on her, and her retirement before the effective date of the dismissal.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From January 2017
BOE reported that it plans to place in the second tax technician's official personnel file a letter that details the findings of the investigation, the dismissal filed and served on her, and her retirement from the BOE prior to the effective date of dismissal so that other state agencies are fully aware of the findings should she return to state employment.
California State Auditor's Assessment of Status: Pending
Case Number I2016-0015
Recommendation #14 To: Corrections and Rehabilitation, Department of
The California Department of Corrections and Rehabilitation (CDCR) should seek repayment from the program chief for the $2,520 in improper payments.
Agency Response From April 2017
CDCR reported that in February 2017 it issued to the program chief a notification of overpayment that she was overpaid $3,600 from December 2014 through September 2015, which consisted of $1,080 paid to her from December 2014 through February 2015 and $2,520 paid to her from March 2015 through September 2015.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2016-0015
Recommendation #15 To: Corrections and Rehabilitation, Department of
CDCR should revise the Institutional Worker Supervision Pay (IWSP) procedure to require that personnel staff review and ensure that an employee's direct supervisor signs the qualifying employee's timesheets and IWSP documents each month.
Agency Response From November 2021
CDCR reported that it updated its IWSP procedures in February 2021 to require that its personnel staff review and ensure that the employees' direct supervisors sign the qualifying timesheets and IWSP documents each month.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From October 2020
CDCR reported that it updated its IWSP procedures in December 2019 and distributed them to its personnel offices. However, the documentation it provided did not indicate whether the new procedures require that personnel staff review and ensure that an employee's direct supervisor signs the qualifying employee's timesheets and IWSP documents each month.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2019
CDCR reported that it is updating the IWSP procedural manual to include revised procedures. It plans to complete the update by December 31, 2019.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2018
CDCR reported that it made changes to the IWSP procedural manual following additional reviews. It stated that it plans to release the manual on November 30, 2018.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2017
CDCR reported that it needs to further revise its IWSP procedural manual. CDCR anticipates its release on 12/29/2017.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2017
CDCR reported that it established an operational procedure for IWSP, which includes an annual audit requirement. In addition, CDCR reported that it drafted a statewide IWSP procedural manual and anticipated its release on November 29, 2017.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2017
CDCR reported that the personnel officer at the California Institution for Women (CIW) identified several factors that led to this overpayment. In an effort to correct these factors, on March 1, 2017, CIW conducted training with its personnel staff about IWSP program requirements, including the signature of direct supervisor on each qualifying employee's IWSP dcouments and timesheets. CDCR also reported that it plans to revise its local IWSP policy by April 28, 2017, to meet this recommendation. However, we expressed our concern to CDCR that it is solely applying this recommendation at the institutional level rather than department-wide as we intended.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2016-0015
Recommendation #16 To: Corrections and Rehabilitation, Department of
CDCR should ensure that all CDCR and California Correctional Health Care Services (Correctional Health Care) organization charts are current and accurate and that the assigned personnel specialist has access to them.
Agency Response From January 2018
In January 2017, Correctional Health Care reported that all of its organization charts were accurate for all facilities; however, the organization chart for the affected program at CIW still reflected an inaccurate reporting structure for the inmate-supervising employee. CDCR also confirmed that Correctional Health Care has been providing organization charts monthly to the CIW personnel officer.
In January 2018, Correctional Health Care reported that its organization charts are updated with each request for personnel action resulting in an employee or position change. Correctional Health Care also reported that it has an annual organization chart process that requires organization charts to be sent to each institution's Chief Executive Officer (CEO) for review and approval. The organization chart that Correctional Health Care sent to the State Auditor had been approved by CIW's CEO as current and accurate.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2017
Correctional Health Care reported that the regional personnel administrator (regional administrator) has arranged to email to the CIW personnel officer the organization charts and the master roster on the first of each month. It stated that the CIW personnel officer will then give them to the appropriate personnel specialist. In addition, the regional administrator has also ensured that all responsible Correctional Health Care staff members are aware of the requirement to submit organization charts to the personnel officer on the first of each month once the organization charts have been updated. In May 2017, Correctional Health Care stated that it provided the CIW personnel officer with position rosters and organization charts in February 2017 and April 2017. Finally, it stated that it has made arrangements to ensure this happens monthly since the documents were not provided for March 2017.
CDCR reported that its Office of Personnel Services is revising the IWSP procedures for CDCR personnel offices department-wide and will include the process for obtaining Correctional Health Care's organizational charts. CDCR also reported that it drafted the IWSP procedural manual and anticipated its release on November 29, 2017.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2017
In January 2017, Correctional Health Care reported that its position rosters and organization charts were current and accurate. In addition, Correctional Health Care stated that each month, and as updated, it would electronically transmit updated position rosters and organization charts to each facility's personnel officer.
CDCR reported that on February 20, 2017, the personnel officer at the California Institution for Women (CIW) obtained the updated Correctional Health Care organization charts. On March 1, 2017, CIW completed a meeting and training with personnel staff, wherein it informed personnel specialists that they must access organization charts as part of the monthly IWSP review.
We expressed our concern to CDCR that it is solely applying this recommendation at the institutional level rather than department-wide as intended. In additon, CDCR did not provide an update regarding whether Correctional Health Care has provided the CIW personnel officer with position rosters and organization charts each month as indicated in January 2017.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2016-0015
Recommendation #17 To: Corrections and Rehabilitation, Department of
CDCR should enforce its current procedure to retain Institutional Worker Supervision Pay (IWSP) documentation.
Agency Response From December 2022
CDCR reported that it has updated its IWSP procedural manual in December 2022 and has required its personnel staff, IWSP recipients, and their managers to complete the mandatory IWSP training by December 31, 2022.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From October 2022
CDCR reported that it would conduct training on its updated IWSP procedures for all personnel staff, IWSP supervisors, and their managers by December 31, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2021
CDCR reported that it will conduct training for all personnel staff, IWSP supervisors, and their managers by July 31, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
CDCR reported that it updated its IWSP procedures in December 2019 and distributed them to its personnel offices. It did not provide any information on whether it provided training on the updated procedures to applicable staff.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2019
CDCR reported that it plans to complete updates to the IWSP procedural manual by December 31, 2019, and it will provide the relevant training by January 31, 2020.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2018
CDCR reported that because it revised the completion date for its IWSP procedural manual, it also revised the completion date of its training to January 31, 2019.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2017
Correctional Health Care reported that it has provided all of its field analysts with training on the retention of the IWSP documentation for initial IWSP approval. However, Correctional Health Care deferred to CDCR regarding the retention of the actual payroll documentation that is required monthly. In addition, Correctional Health Care stated that it provided informal direction and training to its human resources field staff in April 2017 to remind them of the IWSP retention requirements. Finally, Correctional Health Care stated that it would provide formal training once its policy is distributed.
CDCR reported that once its IWSP procedures are updated, its Office of Personnel Services anticipates completing training for CDCR personnel offices department-wide by February 28, 2018.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2017
CDCR reported that on March 1, 2017, CIW completed a meeting and training to inform personnel staff of its IWSP record retention requirements. We expressed our concern to CDCR that it is solely applying this recommendation at the institutional level rather than department-wide as we intended.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2016-0015
Recommendation #18 To: Corrections and Rehabilitation, Department of
CDCR should enforce its current procedure for personnel staff to conduct annual audits of the Institutional Worker Supervision Pay (IWSP) program.
Agency Response From November 2019
CDCR revised its audit process and provided direction to personnel staff in a personnel information bulletin in June 2019.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2018
CDCR reported that because it had revised the completion date for its IWSP procedural manual, it had revised the completion date of its training to January 31, 2019.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2017
CDCR reported that it is revising and updating its IWSP procedures manual. In addition, CDCR stated that its Office of Personnel Services (personnel services) anticipates completing training at CDCR personnel offices department-wide by February 28, 2018. Further, CDCR stated that personnel services will monitor the institutions to ensure completion of the annual audits of the IWSP program.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2017
CDCR reported that on March 1, 2017, the personnel officer at CIW completed a meeting and training with personnel staff to reiterate the expectation for personnel staff to conduct a monthly IWSP audit and an annual IWSP audit each January.
We expressed our concern to CDCR that it is solely applying this recommendation at the institutional level rather than department-wide as we intended. We also asked CDCR to specify the steps it will take to ensure that the personnel officer at CIW will complete the required annual audit since one had not been done since 2013.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2016-0015
Recommendation #19 To: Corrections and Rehabilitation, Department of
CDCR should train all employees, supervisors, and personnel staff who receive, approve, or issue the extra pay to ensure that they are familiar with the requirements of the IWSP procedure and Pay Differential 67.
Agency Response From December 2022
CDCR reported that it has updated its IWSP procedural manual in December 2022 and has required its personnel staff, IWSP recipients, and their managers to complete the mandatory IWSP training by December 31, 2022.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From October 2022
CDCR reported that it would conduct training on its updated IWSP procedures for all personnel staff, IWSP supervisors, and their managers by December 31, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2021
CDCR reported that it will conduct training for all personnel staff, IWSP supervisors, and their managers by July 31, 2022.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2020
CDCR reported that it updated its IWSP procedures in December 2019 and distributed them to its personnel offices. It did not provide any information on whether it provided training on the updated procedures to applicable staff.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2019
As CDCR again revised the completion date for its IWSP procedural manual, it subsequently revised the completion date for the relevant training.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2018
CDCR reported that because it revised the completion date for its IWSP procedural manual, it also revised the completion date of the relevant training to May 31, 2019.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From January 2018
In January 2018, Correctional Health Care reported that it is committed to releasing its IWSP Policy and Procedure, which it has already developed and approved. The policy will provide definitions, eligibility criteria, and procedures for IWSP to all Correctional Health Care employees. Once Correctional Health Care releases its policy, it stated that it will reinforce the policy through required training for appropriate managers, supervisors, and staff.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2017
In May 2017, Correctional Health Care reported that it had not released its IWSP policy yet because it was making changes to incorporate new language from a memorandum of understanding. Correctional Health Care stated it would ensure that all impacted staff members are trained on the new policy once it is released. Although Correctional Health Care stated that it did not have an anticipated release date for the policy, it indicated that human resource personnel administrators would provide a timeline for training after the policy's release.
CDCR reported that all assigned employees and supervisors who receive or approve IWSP at the CIW completed training in May 2017. CDCR provided a training participation sign-in sheet for all employees who attended the training. CDCR also reported that CIW would monitor for new employees requiring IWSP training. CDCR further reported that it is revising and updating the IWSP procedural manual. CDCR stated that once its IWSP procedures are updated, the office of personnel services anticipates completing training for CDCR personnel offices department-wide by February 28, 2018.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From November 2017
CDCR reported that because it had revised the completion date for its IWSP procedural manual, it had revised the completion date of its training to May 31, 2019.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2017
In January 2017, Correctional Health Care reported that it would release its own IWSP policy and stated that it would reinforce the policy through training with the appropriate managers and supervisors and with Correctional Health Care human resource staff who approve, issue, or receive the IWSP pay.
In April 2017, CDCR reported that personnel staff at CIW were trained on March 1, 2017, about the requirements of the IWSP procedure and Pay Differential 67. In addition, it stated that all employees and supervisors who receive or approve IWSP pay will be trained by May 31, 2017. However, CDCR did not provide an update regarding whether Correctional Health Care has disseminated its own IWSP policy and whether its staff have been trained.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2015-0003
Recommendation #20 To: Health Care Services, Department of
The Department of Health Care Services (DHCS) should take appropriate corrective or disciplinary action regarding the employee's misuse of state time, computer, and support staff, and for engaging in activities incompatible with her state duties.
Agency Response From February 2017
DHCS reported that it provided the employee with a counseling memo after the investigation. DHCS also stated that it provided the employee with other work-related tools that will reduce the employee's need for assistance from support staff.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-0003
Recommendation #21 To: Health Care Services, Department of
DHCS should provide the employee with training related to appropriate Internet and email use, time and attendance, and ethics in the workplace.
Agency Response From February 2017
DHCS reported that it had provided the employee with privacy and security training related to Internet use and with training regarding time and attendance. DHCS stated also that it would continue to provide the time and attendance training on an ongoing basis. Finally, DHCS reported that the employee completed the ethics training.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-1088
Recommendation #22 To: Health Care Services, Department of
The Department of Health Care Services (DHCS) should implement the action it proposed in its investigative report. Specifically, its Office of Civil Rights should conduct equal employment opportunity training and provide counseling for the division chief and the division's management team to ensure that they understand the equal employment opportunity concerns related to the do-not-hire list and that they use job-related and objective examination criteria when evaluating candidates in the future.
Agency Response From January 2017
DHCS reported that in December 2016 and January 2017 its Office of Civil Rights provided equal employment opportunity training to division employees at the staff management III level and above. In addition, DHCS subsequently stated that it provided the training to all other managers and supervisors in January 2017.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2015-1088
Recommendation #23 To: Health Care Services, Department of
DHCS should implement the action it proposed in its investigative report. Specifically, its Office of Civil Rights should implement a series of management training sessions to ensure that DHCS management fully understand and adhere to its nondiscrimination policy to ensure equal employment opportunity for all candidates and employees.
Agency Response From January 2017
DHCS reported that it had developed the management training and that its Office of Civil Rights began conducting small group training for managers and supervisors in December 2016. In addition, it reported that it provided this training for all managers and supervisors in January 2017. Further, DHCS stated that it intends to repeat the training every two years and that the training will also be available as needed.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2016-0195
Recommendation #24 To: San Diego, California State University
San Diego State University should continue to collect repayment until the entire amount has been repaid.
Agency Response From February 2018
San Diego State reported that it had collected the entire repayment amount of $2,106 as of January 2018.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2017
San Diego State continues to collect repayment from the employee and reported that it has collected a total of $1,592. It still expects to complete the collection in January 2018.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From July 2017
San Diego State continues to collect repayment from the employee and reported that it has collected a total of $1,086. It anticipates completing the collection in January 2018.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From April 2017
San Diego State continues to collect repayment from the employee and reported that it has collected a total of $615. In addition, San Diego State updated the employee's repayment schedule with the SCO to include additional repayments from July through September 2017.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From March 2017
San Diego State reported that it has collected a total of $463 from the employee for repayment and that it has established a schedule with the State Controller's Office (SCO) for the employee's additional repayments from April through June 2017.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2015-1146
Recommendation #25 To: Social Services, Department of
The Department of Social Services (Social Services) should continue to monitor the supervisor's duties related to addressing the work performance of her subordinate employees and continue to take appropriate corrective or disciplinary action when necessary.
Agency Response From June 2017
Social Services reported that it continued to monitor the supervisor's duties and responsibilities. Specifically, it stated that management visited the supervisor's office, regularly communicated with her, and documented conversations, issues, and activities related to the supervisor and her staff. In addition, Social Services stated that the supervisor prepared individual development plans for her staff and issued a corrective action memo to the employee mentioned in the report. Further, Social Services stated that the supervisor submitted a tracking log that documents her efforts to track the progress of her staff. Social Services indicated that the supervisor plans to submit the tracking log monthly.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From February 2017
Social Services reported that after the supervisor received the memos about her responsibilities when handling an employee who is not performing to the standard of his or her classification, the supervisor took steps to actively monitor her subordinates and to involve management to prepare appropriate responses as needed.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2015-1146
Recommendation #26 To: Social Services, Department of
Social Services should require that the supervisor undergo supervisory training, specifically about managing employee performance and appropriately applying the steps of progressive discipline.
Agency Response From June 2017
Social Services reported that the supervisor attended training in February 2017, March 2017, and May 2017, respectively; thus, the supervisor has completed all training related to supervising employees and progressive discipline.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From February 2017
Social Services stated that the supervisor is scheduled to attend training in February 2017 and March 2017 related to supervising employees and in May 2017 related to progressive discipline.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2016-0276
Recommendation #27 To: Fresno, California State University
California State University, Fresno (Fresno State) should continue to implement the recommendations it made regarding the investigation. Specifically, Fresno State recommended that the library employee's supervisor and lead staff member identify alternative work that the library employee can complete while he is serving as the official library resource, instruct the library employee to limit his Internet use on his work computer during both breaks and lunch, identify online work-related training for the library employee to access during work time if he has completed all of his assigned work for that shift or has other available time during his work hours, and provide more direct supervision of the library employee to ensure that he uses his work time to benefit the needs of the library.
Agency Response From April 2017
Fresno State reported that it assigned the library employee with additional duties and responsibilities within his job classification, which have been included in his position description form (duty statement). In addition, Fresno State issued to the library employee a notice of outcome letter, which advises him to limit his Internet use. Fresno State also provided the library employee with training related to his additionally assigned responsibilities. Further, Fresno Stated assigned the library employee to a new work schedule (day shift on Monday through Friday) and stated that the additional duties will not allow him any downtime. Finally, Fresno State stated that the library employee's supervisors meet with him bi-weekly to discuss the status of his assignments and to ensure that his duties are completed.