City & County of San Francisco Office of the Controller Whistleblower Program Update Review of Activities and Initiatives Presentation to Citizens’ General Obligation Bond Oversight Committee May 25, 2017
Whistleblower Program Authority The authority for Whistleblower Program investigations is derived from state and city law: – California Government Code, Section 53087.6 – San Francisco Charter, Appendix F – San Francisco Campaign and Governmental Conduct Code, Article IV 2
Matters Appropriate for Investigation The Whistleblower Program shall investigate or otherwise attempt to resolve complaints concerning: – 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 complaints that: – Another city department is required by federal, state, or local law to adjudicate – May be resolved through a grievance mechanism established by bargaining unit or contract – Involve violations of criminal law – Are subject to an existing investigation – 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 relevant facts so that management can make a fully informed decision on how best to proceed 5
Complaint Activity Fiscal Year 2016-17 Through Q3 • Complaints Open at July 1, 2016 69 • Complaints Received in Fiscal Year 2016-17 325 • Complaints Closed in Fiscal Year 2016-17 334 • Complaints Open at March 31, 2017 60 6
Complaints Received By Quarter July 2012-March 2017 350 325 a 325 316 291 292 300 94 101 95 77 250 89 200 Q4 68 75 72 Q3 128 79 Q2 150 Q1 73 72 63 100 51 103 50 80 79 77 73 0 FY12-13 FY13-14 FY14-15 FY15-16 FY16-17 a Year-to-date 7
Investigated and Closed by Department Fiscal Year 2016-17 Through Q3 As a % of Total Complaints Investigated and Closed Budgeted FTE Year-to-Date Department Positions as a % Quarter 1 Quarter 2 Investigated Quarter 3 of Total Workforce and Closed Public Health 14 6 11 15.35% 21.19% Municipal Transportation 14 6 12 15.84% 17.41% Police - 14 2 7.92% 8.97% Public Utilities 1 1 7 4.46% 6.95% Human Services 8 9 6 11.39% 6.69% Fire 1 2 - 1.49% 5.29% Airport 4 - 1 2.48% 4.98% Public Works 7 3 4 6.93% 4.40% Sheriff 5 2 2 4.46% 3.12% Recreation and Park 2 4 2 3.96% 3.05% City Administrator 1 4 4 4.46% 2.46% Library 1 1 1 1.49% 2.01% Building Inspection - - 2 0.99% 0.95% City Attorney 1 3 - 1.98% 0.93% District Attorney - 1 - 0.50% 0.85% Controller 1 - - 0.50% 0.82% Juvenile Probation 2 1 - 1.49% 0.80% Emergency Management 1 1 - 0.99% 0.79% Port - - - - 0.79% Technology - 1 2 1.49% 0.78% Treasurer/Tax Collector 1 - 1 0.99% 0.71% Planning - 1 - 0.50% 0.64% Human Resources 1 1 - 0.99% 0.57% All Other Departments* 8 5 6 9.41% 4.86% 8 Total 73 66 63 100.00% 100.00%
Age of Complaints Closed Fiscal Year 2016-17 Through Q3 180 158 160 140 119 120 100 80 60 39 40 20 12 4 2 0 30 Days or Less 31-90 Days 91-180 Days 181-270 Days 271-360 Days More Than 360 Days Quarter 1 Quarter 2 Quarter 3 9
Complaint Dispositions Fiscal Year 2016-17 Through Q3 • Of the 202 complaints investigated and closed, 35 percent led to a corrective or preventive action • Whistleblower Program investigations resulted in departments taking action against employees who: – Lived with a subordinate employee, creating the appearance of favoritism in the workplace – Received leave pay when they were ineligible for it – Excessively used a work phone for personal business 10
Age of 60 Complaints Open A t March 31, 2017 25 22 22 20 15 10 10 5 3 3 0 30 Days or Less 31-90 Days 91-180 Days 181-270 Days 271-360 Days 11
Initiatives Fiscal Year 2016-17 The Whistleblower Program published bulletins to make employees aware of the red flags associated with the costly occupational frauds of split purchasing and mischaracterized expenses: 12
Initiatives Fiscal Year 2016-17 To ensure that department investigations are impartial and prompt, the Whistleblower Program developed an on-demand training video. The video is available on YouTube. The Whistleblower Program will distribute the video to department liaisons. 13
Initiatives Fiscal Year 2016-17 The Whistleblower Program has hosted the following webinars this fiscal year: – Califorensics (Computer Forensics and eDiscovery in Fraud Cases) Arizona Auditor General – (Fraud in the Governmental Sector) U.S. Postal Service – Office of Inspector General – (Conducting Investigations and Triaging Complaints) – Florida Department of Transportation (Investigative Planning and Proof Analysis) 14
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