Whistleblower Program Update Review of Activities and Initiatives - - PowerPoint PPT Presentation

Whistleblower Program Update

Review of Activities and Initiatives

Presentation to Citizens’ General Obligation Bond Oversight Committee May 25, 2017 City & County of San Francisco Office of the Controller

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

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Matters Appropriate for Investigation

The Whistleblower Program shall investigate or

• therwise 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

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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

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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

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Complaint Activity Fiscal Year 2016-17 Through Q3

69

• Complaints Open at July 1, 2016

325

• Complaints Received in Fiscal Year 2016-17

334

• Complaints Closed in Fiscal Year 2016-17

60

• Complaints Open at March 31, 2017

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Complaints Received By Quarter July 2012-March 2017

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79 73 80 77 103 63 51 73 72 128 72 79 68 75 94 77 89 95 101 50 100 150 200 250 300 350 FY12-13 FY13-14 FY14-15 FY15-16 FY16-17

Q4 Q3 Q2 Q1

292 316 325 325a 291

a Year-to-date

Investigated and Closed by Department Fiscal Year 2016-17 Through Q3

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Department Complaints Investigated and Closed As a % of Total Year-to-Date Investigated and Closed Budgeted FTE Positions as a %

• f Total Workforce

Quarter 1 Quarter 2 Quarter 3 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% Total 73 66 63 100.00% 100.00%

Age of Complaints Closed Fiscal Year 2016-17 Through Q3

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20 40 60 80 100 120 140 160 180

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

119 39 12 4 2 158

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

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Age of 60 Complaints Open At March 31, 2017

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22 22 10 3 3 5 10 15 20 25 30 Days or Less 31-90 Days 91-180 Days 181-270 Days 271-360 Days

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:

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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.

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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)

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