Report I2023-1 All Recommendation Responses
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)
Case Number I2021-1875
Recommendation #1 To: Unnamed State Agency (I2023-1)
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.
Agency Response From May 2023
In May 2023, the agency reported that it has developed an ATO policy and has distributed it to HR staff. The policy includes language related to the appropriate uses and approval process for ATO.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2021-1875
Recommendation #2 To: Unnamed State Agency (I2023-1)
Work with CalHR to develop appropriate training for HR staff to understand their role in receiving and disseminating CalHR guidance in writing to management.
Agency Response From May 2023
In May 2023, the agency reported that it will meet with HR staff to discuss receiving and disseminating guidance from control agencies.
California State Auditor's Assessment of Status: Resolved
Case Number I2021-1875
Recommendation #3 To: Unnamed State Agency (I2023-1)
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.
Agency Response From May 2023
The state agency reported that it updated its remote work policy to specify that it is the supervisor's responsibility to ensure that employees have the necessary equipment and supplies to perform their work when the employee is required to work remotely for a prolonged period of time.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2021-1822
Recommendation #4 To: Food and Agriculture, Department of
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.
Agency Response From December 2023
CDFA reported in December 2023 that the DAA board met in October 2023 and took appropriate corrective action against the executive.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From November 2023
CDFA reported in November 2023 that there was no change since its report in October 2023 when it reported that the DAA board will consider recommendations for action related to this recommendation at the October 2023 board meeting.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From June 2023
CDFA will work with the DAA board of directors to take appropriate corrective action against the executive and to make sure the DAA implements a policy that all contracts must be in written form in a manner to protect the State's interests. CDFA anticipates completing this action by October 2023.
California State Auditor's Assessment of Status: Pending
Case Number I2021-1822
Recommendation #5 To: Food and Agriculture, Department of
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.
Agency Response From October 2023
CDFA reported in October 2023 that it provided contracting training to DAA staff in August 2023 that addressed contracting laws related to contracts for services.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From June 2023
CDFA will work with the board of directors to ensure the DAA receives training on conflicts of interest and implements best practices related to contracts for services. The CDFA anticipates completing this action by October 2023.
California State Auditor's Assessment of Status: Pending
Case Number I2021-1822
Recommendation #6 To: Food and Agriculture, Department of
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.
Agency Response From June 2024
CDFA reported in June 2024 that it worked with the DAA's committee to review its contract and procurement policy and recommended changes to match state contract policy. The committee also instructed the executive and designated staff to stay up to date on ethics training and fill out a Form 700 annually.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From December 2023
CDFA reported in December 2023 that it plans to provide training to the DAA board in February or March 2024 to ensure that the DAA complies with contracting and conflict-of-interest laws.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From October 2023
CDFA reported in October 2023 that its legal office will be working with attorneys representing the DAA to review current contracting policies to ensure they comply with contracting and conflict-of-interest laws.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From June 2023
CDFA stated it will work with the DAA to ensure contracting policies are sufficient and that the DAA complies with contracting and conflict of interest prevention requirements. The CDFA anticipates completing this action by October 2023.
California State Auditor's Assessment of Status: Pending
Case Number I2021-0320
Recommendation #7 To: Correctional Health Care Services, California
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.
Agency Response From September 2023
Correctional Health Care reported in September 2023 that it continues to wait for the SCO to establish an accounts receivable for the employee.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From May 2023
Correctional Health Care reported in March 2023 that the employee submitted his missing timesheets to HR and that HR adjusted the employee's leave balance and issued accounts receivable based on the personal leave the employee recorded on these timesheets. As of May 2023, Correctional Health Care was still waiting for the SCO to establish the accounts receivable for the employee.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2021-0320
Recommendation #8 To: Correctional Health Care Services, California
Create internal procedures to ensure that HR tracks missing timesheets and notifies the appropriate staff of missing timesheets each month.
Agency Response From February 2023
Correctional Health Care responded in the report that it has a monthly audit process to review and correct leave input errors and to detect missing timesheets, but that HR had failed to follow this process. In February 2023, Correctional Health Care reported that it reminded all staff during its all-staff meeting about the requirement to process timesheets in a timely manner and to conduct monthly timesheet audits. Correctional Health Care added that it will remind staff of these requirements every six months. Correctional Health Care also stated that it met with the psychiatric program's personnel specialists to go over expectations, existing processes, and deadlines related to timesheet processing and auditing.
California State Auditor's Assessment of Status: Resolved
Case Number I2021-0320
Recommendation #9 To: Correctional Health Care Services, California
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.
Agency Response From August 2023
Correctional Health Care reported in August 2023 that its review of the 52 other employee timesheets was delayed due to staff vacancy. It now anticipates completing its review by December 29, 2023.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From February 2023
Correctional Health Care reported that timesheets for 52 other employees in the supervising registered nurse II classification require review and that it anticipates completing its review by September 30, 2023.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2021-0320
Recommendation #10 To: Correctional Health Care Services, California
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.
Agency Response From March 2023
Correctional Health Care reported in March 2023 that it has filled all personnel specialist vacancies at the psychiatric program's HR unit.
California State Auditor's Assessment of Status: Resolved
Case Number I2020-1306
Recommendation #11 To: State Hospitals, Department of
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.
Agency Response From April 2023
DSH reported that although the technician no longer works for the department, it identified approximately $4,500 in overpayments and took action to seek repayment. DSH reported that the technician submitted a check for the full amount.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From February 2023
DSH reported that it is in the process of reviewing relevant documentation related to overpayments made to the technician and will complete an accounts receivable to recover the overpayments. DSH estimated that it will complete this process by April 2023.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From December 2022
DSH reported that it is in the process of reviewing relevant documentation related to overpayments made to the technician and will complete an accounts receivable to recover the overpayments. DSH estimated that it will complete this process by January 2023.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From September 2022
DSH reported that it is in the process of reviewing relevant documentation related to overpayments made to the technician and will complete an accounts receivable to recover the overpayments. DSH estimated that it will complete this process by November 2022.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2020-1306
Recommendation #12 To: State Hospitals, Department of
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.
Agency Response From September 2023
DSH reported that the supervisor did not return from his leave of absence and recently retired from state service.
California State Auditor's Assessment of Status: Resolved
Agency Response From September 2022
DSH initially informed us that the supervisor went on an extended leave of absence from his position earlier in 2022 and did not have a planned return date. DSH stated that the supervisor is still without an anticipated return date.
California State Auditor's Assessment of Status: Pending
Case Number I2020-1306
Recommendation #13 To: State Hospitals, Department of
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.
Agency Response From August 2022
In its initial response to our report, DSH reported that the technician no longer worked for the department.
California State Auditor's Assessment of Status: Resolved
Case Number I2020-0593
Recommendation #14 To: Industrial Relations, Department of
In accordance with applicable law and regulations, calculate the cost of the vehicle misuse and pursue reimbursement from the supervisor.
Agency Response From March 2023
DIR provided evidence to support that the supervisor agreed to repay the State $4,200 for his vehicle misuse. DIR informed the supervisor that if he failed to make the agreed upon monthly payments, it would deduct the amount from his paychecks.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2020-0593
Recommendation #15 To: Industrial Relations, Department of
Take appropriate corrective or disciplinary action against the supervisor for his misuse of the vehicle.
Agency Response From March 2023
DIR issued a counseling memorandum to the supervisor to address the vehicle misuse.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2020-1845
Recommendation #16 To: Corrections and Rehabilitation, Department of
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.
Agency Response From November 2023
After investigating further, CDCR provided documentation supporting that it has dismissed the employee from state service.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From August 2023
CDCR informed us that it needed additional information and is completing additional investigative steps before moving forward with appropriate disciplinary action. It plans to fully implement the recommendation by December 2023.
California State Auditor's Assessment of Status: Partially Implemented
Case Number I2021-0603
Recommendation #17 To: Parks and Recreation, Department of
Take appropriate corrective or disciplinary action against the supervisor for misusing the boat dock for personal purposes.
Agency Response From March 2023
State Parks reported that its Park Operations Management and Human Resources Management conferred and have reviewed all activity and took appropriate actions, including requiring the supervisor to remove the boat, meeting with the supervisor to establish expectations, and requiring the supervisor to complete training.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2021-0603
Recommendation #18 To: Parks and Recreation, Department of
Correct the supervisor's reportable housing benefits to comply with state policy and to ensure compliance with federal tax law.
Agency Response From May 2023
While State Parks continues to disagree with the recommendation to correct the supervisor's reportable housing benefits, it reported that management continues to analyze the department's housing policy.
California State Auditor's Assessment of Status: Will Not Implement
Agency Response From March 2023
While State Parks continues to disagree with the recommendation to correct the supervisor's reportable housing benefits, it met with district administrative staff to review duty statements and housing agreements, processes, templates, and potential updates to department policy.
California State Auditor's Assessment of Status: Will Not Implement
Case Number I2021-0603
Recommendation #19 To: Parks and Recreation, Department of
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.
Agency Response From March 2023
State Parks reported that management staff will meet with all district administrative staff to gather, organize, and review all duty statements and housing agreements. In addition, State Parks is requiring districts to share and update employee housing files with the Park Operations Headquarters Division, which includes in the Employee Housing Division.
California State Auditor's Assessment of Status: Fully Implemented
Case Number I2021-0603
Recommendation #20 To: Parks and Recreation, Department of
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.
Agency Response From August 2023
State Parks reported that as a part of reviewing the housing documentation in the supervisor's district, it completed a site visit, had discussions with staff, and reviewed paper and digital files. State Parks identified errors, including errors with duty statements, residence category justifications, and missing procedural steps. State Parks reported that all of these errors have been corrected, that district staff have been trained, and that staff at headquarters will provide ongoing oversight of the district.
California State Auditor's Assessment of Status: Fully Implemented
Agency Response From July 2023
State Parks reported that it has nearly completed its review of housing paperwork for employees in the supervisor's district. State Parks expects the results of the review to be provided to executive management in early August 2023.
California State Auditor's Assessment of Status: Partially Implemented
Agency Response From May 2023
State Parks reported that it continues updating its state-owned housing policy and that management continues to work with district administrative staff to review all district housing agreements.