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*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: January 2017

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*

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.

  • Response Date: May 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

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.

  • Response Date: February 2017

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*

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.

  • Response Date: June 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

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.

  • Response Date: February 2017

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*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: January 2017

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*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: January 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*

Caltrans reported that in January 2017 the division issued a letter of warning to the analyst for misuse of state time .

  • Response Date: February 2017

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*

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.

  • Response Date: February 2017

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*

State Hospitals provided documentation supporting that in February 2017, it reduced the pharmacist's compensating time off balance by 99 hours.

  • Response Date: April 2017

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*

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.

  • Response Date: April 2017

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*

State Hospitals provided documentation to support that in February 2017, it trained the responsible personnel staff regarding the proper procedures for processing attendance records.

  • Response Date: April 2017

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*

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.

  • Response Date: 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*

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.

  • Response Date: February 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: January 2017

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*

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.

  • Response Date: February 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: January 2017

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*

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.

  • Response Date: April 2017

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*

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.

  • Response Date: April 2017

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 organization charts are current and accurate and that the assigned personnel specialist has access to them.

Agency Response*

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.

  • Response Date: April 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*

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.

  • Response Date: April 2017

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*

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.

  • Response Date: April 2017

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 Institutional Worker Supervision Pay (IWSP) procedure and Pay Differential 67.

Agency Response*

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.

  • Response Date: April 2017

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*

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.

  • Response Date: February 2017

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*

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.

  • Response Date: February 2017

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*

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.

  • Response Date: 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*

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.

  • Response Date: January 2017

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*

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.

  • Response Date: November 2017

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

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.

  • Response Date: July 2017

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

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.

  • Response Date: March 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*

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.

  • Response Date: June 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: February 2017

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*

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.

  • Response Date: June 2017

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

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.

  • Response Date: February 2017

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*

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.

  • Response Date: April 2017

California State Auditor's Assessment of Status: Fully Implemented


All Recommendations in I2017-1


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