Report I2009-0640 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 department’s responsive actions and the State Auditor’s assessment of those actions will be updated on this site quarterly.

Recommendations in Report I2009-0640: California Department of Transportation: Caltrans Employees Engaged in Inexcusable Neglect of Duty, Received Overpayment for Overtime, Falsified Test Data, and Misappropriated State Property (Release Date: March 2013)

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Recommendations for Case I2009-0640
Department: Transportation, Department of
Number Recommendation Status
1

To address the false claims for overtime and differential work hours submitted by Technician A and approved by his supervisor, we recommend that Caltrans seek $6,834 in reimbursement from Technician A for the overtime and pay differential payments that he received improperly. (See I2009-0640 ,p. 23)

Resolved
2

To address the false claims for overtime and differential work hours submitted by Technician B and approved by his supervisor, we recommend that Caltrans seek $6,954 in reimbursement from Technician B for the overtime and pay differential payments that he received improperly. (See I2009-0640 ,p. 23)

Resolved
3

To address the false claims for overtime and differential work hours submitted by technicians A and B and approved by their supervisor, we recommend that Caltrans establish a system to enforce the requirement that specific overtime hours be preapproved for an employee to be compensated for the hours. (See I2009-0640, p. 23)

Fully Implemented
4

To address the false claims for overtime and differential work hours submitted by technicians A and B and approved by their supervisor, we recommend that Caltrans reinforce with Caltrans supervisors that they have a duty to verify that overtime and specially compensated work actually has been performed prior to authorizing payment for the work. (See I2009-0640, p. 23)

Fully Implemented
5

To address the false claims for overtime and differential work hours submitted by technicians A and B and approved by their supervisor, we recommend that Caltrans require the hours of overtime and differential work claimed by an employee to be matched with specific projects before they are approved for payment to help ensure that the hours claimed are legitimate. (See I2009-0640, p. 23)

Fully Implemented
6

To address the lack of controls that allowed the falsification of gamma gamma logging testing data by Technician A and the engineer, we recommend that Caltrans require that Foundation Testing Branch technicians submit to an engineer both the raw data file and log ASCII data file for every gamma gamma logging test performed for a project to help ensure that testing data has not been falsified. (See I2009-0640, p. 24)

Fully Implemented
7

To address the lack of controls that allowed the falsification of gamma gamma logging testing data by Technician A and the engineer, we recommend that Caltrans implement the recommendations of the GAMDAT peer reviewers intended to improve the gamma gamma logging testing procedures of the Foundation Testing Branch. (See I2009-0640, p. 24)

Fully Implemented
8

To address the lack of controls that allowed the falsification of gamma gamma logging testing data by Technician A and the engineer, we recommend that Caltrans implement any recommendations made by the GAMDAT team intended to strengthen the integrity of the gamma gamma logging testing performed by the Foundation Testing Branch. (See I2009-0640, p. 24)

Resolved
9

To address the lack of controls that allowed the falsification of gamma gamma logging testing data by Technician A and the engineer, we recommend that Caltrans implement a policy to ensure that engineers perform analyses on properly collected data and do not misrepresent gamma gamma logging test results. (See I2009-0640, p. 24)

Fully Implemented
10

To address the misappropriation of state property by the supervisor, we recommend that Caltrans obtain an estimate of the value of the materials the supervisor removed from Caltrans facilities and placed on his property (aside from the steel beams) as well as the value of the state employee time spent refashioning and transporting those materials. (See I2009-0640, p. 24)

Resolved
11

To address the misappropriation of state property by the supervisor, we recommend that Caltrans seek reimbursement from the supervisor for the $2,000 cost of transporting the steel beams that he placed on his land back to a Caltrans facility. (See I2009-0640, p. 24)

Resolved
12

To address the misappropriation of state property by the supervisor, we recommend that Caltrans seek reimbursement from the supervisor for the cost of the Caltrans materials (aside from the steel beams) that he transported to his land and the cost of the state employee time spent transporting and refashioning those materials. (See I2009-0640, p. 24)

Resolved
13

To address the misappropriation of state property by the supervisor, we recommend that Caltrans establish controls to ensure that materials intended for a construction project are tracked properly, and that when materials intended for a federal highway project are not used for the project, the materials are reused for other federal projects or returned to the Highway Administration. (See I2009-0640, p. 24)

Resolved
14

To address the misappropriation of state property by the supervisor, we recommend that Caltrans establish controls to ensure that scrap materials are recycled and not taken for personal use by Caltrans employees. (See I2009-0640, p. 24)

Fully Implemented


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