City & County of San Francisco Office of the Controller Whistleblower Program Update Fiscal Year 2014 ‐ 15 Review of Activities and Initiatives Presentation to Citizens’ General Obligation Bond Oversight Committee January 22, 2015 1
Whistleblower Program Authority The authority for Whistleblower Program investigations is derived from statute and regulation: – California Government Code 53087.6 – San Francisco Charter Appendix F – Campaign and Governmental Conduct Code Article IV 2
Matters Appropriate For Investigation The Whistleblower Program shall investigate or otherwise attempt to resolve complaints concerning: – The misuse of City funds. – Improper activities by City officers and employees. – Deficiencies in the quality and delivery of government services. – Wasteful and inefficient government practices. 3
Referral of Certain Complaints The Whistleblower Program shall refer the following complaints: – Those which another City department is required by federal, state, or local law to adjudicate. – Those which may be resolved through a grievance mechanism established by bargaining unit or contract. – Those involving violations of criminal law. – Those subject to an existing investigation. – Those which allege violations of governmental ethics laws. 4
Whistleblower Program Importance and Benefits • A fraud hotline is a critical internal control that is often noted as an operating and credit rating strength when well implemented by a municipality. • The Whistleblower Program allows complaints to be submitted anonymously and confidentially. • Whistleblower Program investigations: – Stop improper conduct and prevent further violations. – Reveal all of the relevant facts so that management can make a fully informed decision as to how best to proceed. 5
Complaints Received By Fiscal Year 500 465 450 386 400 365 347 340 350 313 291 292 300 250 230 222 200 150 100 50 0 04 ‐ 05 05 ‐ 06 06 ‐ 07 07 ‐ 08 08 ‐ 09 09 ‐ 10 10 ‐ 11 11 ‐ 12 12 ‐ 13 13 ‐ 14 6
Fiscal Year 2013 ‐ 14 ‐ Sources of Complaints Received 250 229 200 150 100 50 23 20 13 7 0 Online E ‐ mail Letter Phone Walk ‐ in 7
Fiscal Year 2014 ‐ 15 Complaint Activity Quarter 2 Quarter 1 Open Complaints at Beginning of Quarter 56 64 New Complaints Received 73 80 (Complaints Closed) 74 88 Open Complaints at End of Quarter 55 56 8
Fiscal Year 2014 ‐ 15 – 153 Complaints Received Through Quarter 2 90 80 79 80 73 73 70 63 60 51 50 2012 ‐ 13 2013 ‐ 14 40 2014 ‐ 15 30 20 10 0 Q1 Q2 9
Fiscal Year 2014 ‐ 15 – Actions Taken and Age of 162 Closed Complaints Age at Closure 1 ‐ 30 31 ‐ 90 90 ‐ 180 181 ‐ 270 271 ‐ 360 Total Action Days Days Days Days Days 2 0 0 0 0 2 Information requested and provided 15 64 30 7 1 117 Investigated and closed Merged with previous complaint under 18 1 0 0 0 19 original tracking number Outside of Whistleblower Program 11 0 0 0 0 11 jurisdiction Referred to department with Charter 7 0 0 0 0 7 jurisdiction Unable to investigate with the 3 1 2 0 0 6 information given 56 66 32 7 1 162 Total 10
Fiscal Year 2014 ‐ 15 Overview – Age of 55 Complaints Open at the End of Quarter 2 Age Count 1 ‐ 30 Days 19 31 ‐ 90 Days 24 91 ‐ 180 Days 9 181 ‐ 270 Days 3 Total 55 11
Fiscal Year 2014 ‐ 15 ‐ Summary of Selected Complaints Closed Allegation: City funds were used for activities prohibited by San Francisco Administrative Code Appendix 38. Resolution: The investigation substantiated that a grant to a nonprofit organization violated the Administrative Code, Appendix 38. The funding department disallowed reimbursement requests for prohibited activities. The nonprofit will not receive a grant in fiscal year 2014 ‐ 15. 12
Fiscal Year 2014 ‐ 15 ‐ Summary of Selected Complaints Closed Allegation: A supervisor directed staff to improperly grant pay premiums to employees and hired employees at an unnecessarily higher pay step. Resolution: The department's investigation substantiated that an employee received an incompatible combination of pay premiums. During the investigation, the department found that the subject employee hired new employees at an unnecessarily higher pay step. 13
Fiscal Year 2014 ‐ 15 ‐ Initiatives Employee Outreach • Continued outreach and education to city employees through employee presentations. • Citywide employee outreach is scheduled for Quarter 3. – Departments are required to distribute Whistleblower Program contact information to all City employees. – Departments are also required to post a notice of whistleblower protections in locations that are conspicuous and accessible to all employees. 14
Fiscal Year 2014 ‐ 15 ‐ Initiatives Fraud Hotline Webinar Series • Purpose: To create a forum that encourages dialogue and collaboration on best practices for fraud hotlines. • Participants from 67 jurisdictions have attended webinars. • Topics covered in FY 2014 ‐ 15 date: • Fraud Hotlines in a Social Housing Environment • Proactive Fraud Detection Through Data Analysis 15
Fiscal Year 2014 ‐ 15 ‐ Initiatives Complainant Survey • Survey went live on October 1, 2014. • Survey questions were designed in collaboration with the CGOBOC chair, the Whistleblower Program liaison, and public input. • The Whistleblower Program will use the survey responses to improve hotline services, resolve problems that dissuade potential complainants from submitting complaints, and address issues that compromise complainant satisfaction. 16
Recommend
More recommend
