Report I2010-1 All Recommendation Responses

Report I2010-1: Investigations of Improper Activities by State Employees: Misuse of State Time and Resources, Improper Gifts, Inadequate Administrative Controls, and Other Violations of State Law January 2009 Through December 2009 (Release Date: June 2010)

Case Number I2008-1100

Recommendation #1 To: Architects Board

Take appropriate disciplinary steps to deal with the employee's improper actions.

Agency Response From August 2010

The Architects Board gave the employee a counseling memorandum in August 2010. The memorandum included a statement of the Architects Board's position that it will not tolerate the re-creation or fabrication of invoices in the future. The memorandum also advised the employee to follow the submittal requirements for travel expense claims, the travel rules against filing fictitious claims, and the rules regarding incompatible work activities.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1100

Recommendation #2 To: Architects Board

Require the employee to repay the State for the expenses that she claimed but did not incur.

Agency Response From May 2010

In May 2010 Consumer Affairs reported that the Architects Board had conducted a preliminary investigation. According to Consumer Affairs, the Architects Board's preliminary findings indicated that the employee initially paid for two nights at the hotel and that the hotel's failure to charge the employee for the other two nights resulted from a billing error.

California State Auditor's Assessment of Status: Resolved


Case Number I2008-1100

Recommendation #3 To: Architects Board

Reinforce with the appropriate staff through training, redistribution of policies, or other appropriate methods the existing rules regarding fictitious claims and incompatible activities.

Agency Response From May 2010

Consumer Affairs reported that the Architects Board had reinforced existing rules on fictitious claims and incompatible activities by redistributing Consumer Affairs' policies.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0644

Recommendation #4 To: Water Resources, Department of

Require its purchasing staff to comply with state contracting rules for all purchases and to document the steps involved in their compliance, including, when applicable, the techniques used to determine whether a price quote is fair and reasonable.

Agency Response From July 2010

In June 2010, Water Resources reported that it implemented practices in 2008 to ensure it receives a fair and reasonable price for its purchases after concerns about the integrity of its purchasing process were raised by staff in 2008. These practices included the division office instituting changes to its purchasing process to allow for physical inspections, inventory of goods received, and comparison to purchase orders or invoices. In addition, Water Resources reported that it changed its purchasing software in July 2010 to ensure segregation of duties among its employees.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0644

Recommendation #5 To: Water Resources, Department of

Provide additional training to its warehouse staff, reaffirming that they should confirm the receipt of ordered items by visually inspecting the items once received and comparing them to corresponding purchase orders or invoices. This training should also emphasize the importance of the role that warehouse staff play in ensuring that division office staff follow the purchasing process.

Agency Response From July 2010

In July 2010, Water Resources reported that it provided a memorandum to management, purchasing, and warehouse staff in the division office that identified their responsibilities in the purchasing process, and it sent a similar memorandum to its other employees throughout the State who perform related tasks.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0885

Recommendation #6 To: Channel Islands, California State University

Place a memorandum in the employee's personnel file indicating that the employee retired during the course of an investigation that substantiated his improper governmental activity.

Agency Response From June 2010

Channel Islands reported that it had placed a memorandum in the employee's personnel file and sent out a campus-wide email reiterating the university's conflict-of-interest policies as recommended.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0885

Recommendation #7 To: Channel Islands, California State University

Distribute a memorandum to all Channel Islands employees reiterating the university's conflict-of-interest policies and the reporting required by state law for gifts received from
contractors or vendors.

Agency Response From June 2010

Channel Islands reported that it had sent out a campus-wide email reiterating the university's conflict-of-interest policies, as recommended.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0908

Recommendation #8 To: Motor Vehicles, Department of

Monitor the employee's work to ensure that he is completing only those duties assigned to his classification.

Agency Response From May 2010

In May 2010, Motor Vehicles reported that the employee's manager and supervisor routinely monitor the employee to ensure that he is performing only the duties assigned to his classification.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0908

Recommendation #9 To: Motor Vehicles, Department of

Distribute to its managerial staff a memorandum reminding them that employees are to perform work within their classifications.

Agency Response From July 2010

In July 2010, Motor Vehicles issued a memorandum to managerial staff in the department reiterating the need to ensure that employees perform duties only within their job classifications.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0920

Recommendation #10 To: Corrections and Rehabilitation, Department of

Formally remind the supervisor about the duties delineated by job classifications for employees that the supervisor oversees.

Agency Response From August 2010

Corrections reported that, in June 2010, it provided the clinical administrator overseeing the supervisor with a directive to ensure that all staff in medical classifications perform their assigned duties.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0920

Recommendation #11 To: Corrections and Rehabilitation, Department of

Seek corrective action against the supervisor for his misuse of the two employees' time.

Agency Response From July 2010

Corrections stated that, rather than pursue disciplinary action, it had verbally chastised the supervisor for his misuse of the employees' time.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1020

Recommendation #12 To: Highway Patrol, California

Monitor the employee's use of state time and equipment after he returns to his former position.

Agency Response From May 2010

In May 2010, the CHP reported to us that it demoted the employee in May 2009 and that it had directed the employee's division chief to monitor the employee's performance to ensure that he does not engage in other employment activities during state time or with state resources.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1020

Recommendation #13 To: Highway Patrol, California

Redistribute to its employees the relevant laws and policies and provide training as necessary.

Agency Response From May 2010

The CHP stated that it was considering requiring all of its employees to annually review its policy on the proper use of state-owned resources. In addition, the CHP emphasized that it requires its employees to sign and acknowledge that they received forms about incompatible activities, appropriate use of information systems, and, if appropriate, secondary employment, which its commanders are required to review annually.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1066

Recommendation #14 To: Industrial Relations, Department of

Take appropriate corrective action against the Cal/OSHA inspector for her improper acts and against her manager for his failure to adequately supervise the inspector.

Agency Response From August 2010

Industrial Relations reported that in August 2010 it filed a civil lawsuit against the former inspector in an effort to obtain reimbursement from her and that in January 2011 it planned to depose her. In addition, in October 2010 it formally reprimanded the inspector's direct supervisor.

In May 2012, a judgment was filed against the inspector and she was required to pay the State $57,926.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1066

Recommendation #15 To: Industrial Relations, Department of

Evaluate current controls designed to ensure that inspectors work the required number of hours and implement changes as necessary to ensure that time and attendance abuse does not recur.

Agency Response From October 2010

Industrial Relations stated that in October 2010 it provided training to Cal/OSHA supervisors to ensure that they understood and complied with the policies regarding accurate reporting of time and attendance. At this training, it reiterated the need for proper controls to ensure that employees do not determine their own work hours and make up hours informally.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1066

Recommendation #16 To: Industrial Relations, Department of

Establish controls to ensure that it does not allow employees to work schedules in which they determine their own hours and in which they track absences and make up hours informally.

Agency Response From October 2010

Industrial Relations informed us that it completed a survey of more than 400 members of the Cal/OSHA staff and determined that the inspector's improper conduct was an aberration. However, at the training conducted for recommendation #15, it reiterated the need for proper controls to ensure that employees do not have work schedules in which they determine their own work hours and in which they track absences and make up hours informally.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0629

Recommendation #17 To: Food and Agriculture, Department of

Take appropriate corrective action against the employee and others who failed to ensure that the timekeeping records were accurate.

Agency Response From June 2010

In June 2010 fair management reported that the employee, employee's supervisor, and the staff responsible for processing time and attendance records were all counseled on the importance of accurate records, and fair management provided a refresher training on the proper procedures for time reporting. It also stated that monitoring of the employees would continue and that further corrective action would be taken promptly if further deficiencies were noted.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0629

Recommendation #18 To: Food and Agriculture, Department of

Verify that the employee and staff who review time sheets are trained properly regarding timekeeping procedures.

Agency Response From May 2010

In May 2010 fair management reported its employees and supervisors received detailed training on timekeeping procedures.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0629

Recommendation #19 To: Food and Agriculture, Department of

Implement additional controls over its time sheet review process, including a verification that all work and leave is accounted for in weeks that overlap monthly pay periods.

Agency Response From May 2010

In May 2010 fair management stated that when a workweek overlaps two months, it will require employees to provide timekeeping data for the entire workweek so that the appropriate staff can verify the completion of the 40-hour requirement as they review and process attendance reports. In addition, the fair commented that it had improved its review process by requiring its staff to submit both time sheets and attendance reports to human resources for auditing purposes.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0629

Recommendation #20 To: Food and Agriculture, Department of

Correct the errors identified by collecting the $1,206 paid to the employee for the 53 hours he did not work or by charging his leave balances accordingly.

Agency Response From May 2010

To address the overpayments to the employee, fair management informed us that it had accounted for the 53 hours and deducted them from the employee's leave balances. Furthermore, fair management stated that it had identified an additional 38 hours it failed to charge against the employee's leave balances in 2009, and indicated that it had also deducted those hours from his leave balances.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0637

Recommendation #21 To: Justice, Department of

Charge the employee's leave balances for the 82 hours that she did not work from February 2007 through March 2008, or it should dock the employee for these hours if the employee has no leave credits remaining.

Agency Response From May 2010

Justice reported in May 2010 that the employee amended her time sheets to account for the 82 hours of leave identified in this report. Because the employee had exhausted her leave balances, Justice stated that it had established an account receivable so that the employee can reimburse the State for the hours she did not work. In addition, Justice stated that in June 2009 it issued a memorandum to the employee that detailed her failure to follow its policies and procedures on time reporting and leave use.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-0637

Recommendation #22 To: Justice, Department of

Provide training to the manager and his staff regarding policies and procedures for time reporting.

Agency Response From July 2010

Justice reported that in July 2010 it conducted training for the manager and his staff—including the employee—about its policies and procedures for proper leave use and time reporting.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1037

Recommendation #23 To: Northridge, California State University

Formally remind its staff about the specific actions that must be taken before outside individuals and entities may use university facilities.

Agency Response From May 2010

Northridge implemented a new policy that bans the use of the specified facilities, equipment, and supplies for industry use, and it notified faculty and staff of this new policy.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1037

Recommendation #24 To: Northridge, California State University

Develop policies and procedures to specifically address the use of laboratory facilities and university equipment and supplies by individuals and entities not affiliated with the university.

Agency Response From May 2010

Northridge implemented a new policy that bans the use of the specified facilities, equipment, and supplies for industry use, and it notified faculty and staff of this new policy.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2008-1037

Recommendation #25 To: Northridge, California State University

Recover the amount owed for the misuse of its facilities, equipment, and supplies.

Agency Response From May 2010

In May 2010 Northridge provided information indicating that as of August 2009 it had received $20,790 from the business owner's company as compensation for the unauthorized use of Northridge's facility, equipment, and supplies.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0701

Recommendation #26 To: Social Services, Department of

Discontinue its practice of using the public recreation program exemption to exempt heritage schools from child care licensing requirements.

Agency Response From May 2010

In May 2010 Social Services reported it no longer exempts heritage schools from child care licensing requirements under the public recreation program exemption.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0701

Recommendation #27 To: Social Services, Department of

Require heritage schools to apply for child care licenses, unless state law is enacted to provide an exemption.

Agency Response From May 2010

Social Services indicated that it had revised its relevant policies and procedures and removed any policies that were not supported by law. In addition, in April 2010 Social Services issued a memorandum to its child care management emphasizing the need to apply existing statutes and regulations when evaluating allegations of unlicensed child care facilities. Social Services notified us that it held a training session with its regional child care managers regarding the memorandum and that the regional managers would train their respective staff members by June 30, 2010. Social Services also stated that it had investigated numerous complaints of unlicensed facilities, which resulted in several facilities applying for a child care license. It commented that facilities not applying for a license or ceasing operation would be subject to civil penalties.

California State Auditor's Assessment of Status: Fully Implemented


Case Number I2009-0701

Recommendation #28 To: Social Services, Department of

Notify heritage schools that were previously exempted from licensing that Social Services now requires these schools to obtain child care licenses.

Agency Response From May 2010

By June 30, 2010, Social Services planned to send a letter to all known heritage schools that it had previously exempted, notifying them of their responsibility to obtain a child care license.

California State Auditor's Assessment of Status: Fully Implemented


All Recommendations in I2010-1


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