Report I2016-2 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 I2016-2: Investigations of Improper Activities by State Agencies and Employees: Conflict of Interest, Violation of Post-Employment Ethics Restrictions, Waste of State Funds, Misuse of State Resources, and Incompatible Activities (Release Date: August 2016)

:
Recommendations for Case I2014-0934
Department: Transportation, Department of
Number Recommendation Status
13

Pursue rent and utility payments due from the mobile home park's tenants on a regular and timely basis. This will require that Caltrans develop a means to read the submeters of the mobile home park's tenants.

Fully Implemented
14

Initiate appropriate collection procedures and, if necessary, eviction procedures for tenants who are delinquent in the payment of rent, utilities, or late fees.

Resolved
15

Immediately begin eviction procedures against the two individuals illegally occupying two mobile homes within the mobile home park.

Fully Implemented
26

Provide training to right-of-way agents and their supervisors in District 10 regarding the challenges it faces with this mobile home park.

Fully Implemented
Recommendations for Case I2015-0034
Department: Public Health, Department of
Number Recommendation Status
8

Immediately cease any further reimbursements to the official for travel from Sonoma County to Sacramento.

Fully Implemented
9

Ensure that all Public Health records reflect the official's headquarters as Sacramento.

Fully Implemented
10

Determine whether it should have reported the official's reimbursements as a taxable fringe benefit and, if so, amend any relevant tax documents.

Fully Implemented
11

Revise its policies regarding travel expense processing to ensure that its travel unit staff looks for travel patterns and other indications of improper travel expense claims.

Fully Implemented
12

Provide training to all approving supervisors and managers who oversee staff who travel for work purposes to ensure that they understand how to properly determine and establish headquarters locations for their employees.

Fully Implemented
Recommendations for Case I2015-0680
Department: Parks and Recreation, Department of
Number Recommendation Status
16

Take appropriate corrective or disciplinary action against the officer for failing to follow policy in accepting items of value from a vendor who did business with State Parks.

Fully Implemented
17

Take appropriate corrective or disciplinary action against the supervisor for his failure to properly direct the officer to take appropriate action regarding the sunglasses and for purchasing a pair of the sunglasses.

Fully Implemented
18

Provide training to relevant staff on the appropriate actions to take if they receive something of value from any individual or entity that does business with State Parks.

Fully Implemented
Recommendations for Case I2015-0849
Department: Water Resources Control Board
Number Recommendation Status
1

Take appropriate corrective action against the district engineer and the supervisors for their participation in or failure to address the conflict of interest.

Partially Implemented
2

Through training and other appropriate means, take steps to ensure the district engineer and others in similar positions do not participate in decisions involving their own economic interests.

Fully Implemented
3

Provide training to those responsible for reviewing statements of economic interests regarding how to identify conflicts of interests and when to consult with legal counsel.

Partially Implemented
4

Refer this case to the Fair Political Practices Commission (FPPC) so it can determine whether further action is warranted.

Fully Implemented
Recommendations for Case I2015-1073
Department: Napa State Hospital
Number Recommendation Status
19

Take appropriate corrective or disciplinary action against the executive for wasting $2,970 by failing to explore placing the employee in an additional position.

Resolved
20

Request that CalHR conduct the necessary assessment to determine whether additional appointments are permissible if State Hospitals deems it necessary to have employees perform duties not related to their current positions.

Resolved
21

Cease allowing the investigator to perform communications operator duties unless she is appointed to an additional position after a competitive selection process.

Fully Implemented
22

Provide training to the executive about when full-time employees may perform duties that are significantly different from those of their own job classifications and how to make additional appointments when permissible.

Fully Implemented
Recommendations for Case I2015-1105
Department: Parks and Recreation, Department of
Number Recommendation Status
23

Determine the total cost of the charges that the supervisor incurred due to her misuse of the state-issued cell phone and seek repayment.

Fully Implemented
24

Determine whether the supervisor misused state-compensated time to conduct personal business during her normal work hours by reviewing her cell phone records and identifying the time and duration of calls that occurred during her workdays.

Fully Implemented
25

Take appropriate corrective and disciplinary action against the supervisor for misusing her state-issued cell phone for personal purposes and, if applicable, for conducting private business during state-compensated time.

Fully Implemented
Recommendations for Case I2016-0011
Department: Health Care Services, Department of
Number Recommendation Status
5

Conduct a review of all staff in the former section chief's division to ensure that all appropriate personnel have completed the required ethics training within the last two years, as state law requires.

Fully Implemented
6

Designate a specific individual within the former section chief's division to track division staff's completion of ethics training. Health Care Services should ensure it maintains a copy of the staff's certificates of completion for five years as required by state law and department policy.

Fully Implemented
7

Develop procedures for handling similar situations involving the one-year ban on former state employees engaging in prohibited communications should they occur in the future.

Fully Implemented


Print all recommendations and responses.


Report type

Report type
















© 2013, California State Auditor | Privacy Policy | Conditions of Use | Download Adobe PDF Reader