Recommendations Not Fully Implemented After One Year

Recommendations Not Fully Implemented After One Year The Omnibus Audit Accountability Act of 2006 January 2024 REPORT 2023‑041 CALIFORNIA STATE AUDITOR 621 Capitol Mall, Suite 1200 | Sacramento | CA | 95814 916.445.0255 | TTY 916.445.0033 For complaints of state employee misconduct, contact us through the Whistleblower Hotline: 1.800.952.5665 Don’t want to miss any of our reports? Subscribe to our email list at auditor.ca.gov For questions regarding the contents of this report, please contact our Communications Office at 916.445.0255 This report is also available online at www.auditor.ca.gov | Alternate format reports available upon request | Permission is granted to reproduce reports Grant Parks State Auditor Mike Tilden Chief Deputy January 4, 2024 2023‑041 The Governor of California President pro Tempore of the Senate Speaker of the Assembly State Capitol Sacramento, California 95814 Dear Governor and Legislative Leaders: Consistent with the Omnibus Audit Accountability Act of 2006 (Government Code sections 8548.7 and 8548.9), our office presents this report to the Joint Legislative Audit Committee, Joint Legislative Budget Committee, and Department of Finance regarding audit recommendations we have made that are more than one year old and that have not yet been fully implemented by the relevant agencies. From November 2016 through October 2022, our office issued 173 reports about our audits and investigations of state agencies. Those reports included 1,400 recommendations, and as of November 2023, state agencies had fully implemented 1,146 recommendations—or 82 percent. Of those recommendations that are not fully implemented, 254 are more than one year old. Our office’s website lists all of the recommendations we have made and displays agencies’ explanations of each recommendation’s implementation status. Our office’s work results in the greatest return for the State’s investment when agencies act upon our findings and recommendations. The California Department of Tax and Fee Administration (CDTFA) demonstrates an example of the benefits that can result from such action: based on our January 2021 audit report about the State’s administration of tobacco tax revenue from 2016’s Proposition 56, we found that CDFTA had not ensured the accuracy of certain tobacco tax rates. We recommended that the agency update the source of the data it used to determine such rates. As a result, CDTFA changed its calculation methodology, and in a 2022 follow-up audit, we found that CDTFA’s changes increased tax revenue by $45 million annually. If you would like more information about any of the background or recommendations in this report, please contact our Communications Office at (916) 445-0255. Respectfully submitted, GRANT PARKS California State Auditor 621 Capitol Mall, Suite 1200 | Sacramento, CA 95814 | 916.445.0255 | 916.327.0019 fax | www.auditor.ca.gov Blank page inserted for reproduction purposes only. California State Auditor Report 2023-041 v January 2024 Contents Introduction 1 Table 1 Recommendations Made to State Entities That Are More Than Five Years Old and Are Still Not Fully Implemented 5 Table 2 Recommendations Made to State Entities That Are More Than One Year Old and Are Still Not Fully Implemented 11 Table 3 Recommendations Made to Nonstate Entities That Are More Than One Year Old and Are Still Not Fully Implemented 53 vi California State Auditor Report 2023-041 January 2024 Blank page inserted for reproduction purposes only. California State Auditor Report 2023-041 1 January 2024 INTRODUCTION As required by the Omnibus Audit Accountability Act of 2006 (Accountability Act), the California State Auditor (State Auditor) presents this report on the status of recommendations that are more than one year old and have not been fully implemented by the audited entities. The Accountability Act requires state agencies audited or investigated by the State Auditor’s office that have not fully implemented an audit recommendation within one year to provide updates on their implementation of those audit recommendations. In September 2023, we provided our annual reminder to relevant state agencies about recommendations that we issued more than a year ago and that they had not yet fully implemented. Subsequently, we reviewed agencies’ responses and corresponding evidence. The following report of the status of these recommendations is current as of November 2023. Throughout the year, our website at www.auditor.ca.gov contains the most up‑to‑date information on the status of all audit recommendations. RESULTS IN BRIEF State Entities From November 2016 through October 2022, our office issued 173 reports that related to audits or investigations of state agencies. These reports were requested through the Joint Legislative Audit Committee or statute, were initiated by us through the state high‑risk program, or came about as the result of an investigation.1 We made 1,400 recommendations to the audited state agencies in those reports, of which 1,146 have been fully implemented. However, we identified 254 recommendations made to 43 agencies that had been outstanding at least one year and remain not fully implemented as of November 2023.2 Nonstate Entities From November 2017 through October 2022, our office issued 63 reports that included nonstate entities and made 632 recommendations to these entities. As of November 2023, we identified 191 recommendations issued to 46 nonstate entities that are more than one year old and not fully implemented. Importance of Implementing Recommendations Our audit and investigative efforts bring the greatest return when agencies act upon the findings and recommendations. For example, in January 2021, we released an audit concerning the State’s administration of tobacco tax revenue from Proposition 56 (2016). Our office found that the California Department of Tax and Fee Administration (CDTFA) did not ensure the accuracy of the tax rate it imposed for certain tobacco products, costing the state millions of dollars in additional revenue. To address this issue, we recommended that CDTFA update the source of the data it used for calculating the tax rate for other tobacco products, such as cigars, chewing tobacco, and 1 The statewide single audit (financial and federal compliance audits) is mandated as a condition of California receiving federal funding. We follow up on recommendations made in those audits each year in our annual report on California’s Internal Control and State and Federal Compliance. As of January 1, 2010, we began reporting as required on the status of recommendations made more than one year prior in investigative reports. We initiated the investigations in response to whistleblower complaints suggesting improper governmental activities. 2 These statistics do not include recommendations for legislative changes. 2 California State Auditor Report 2023-041 January 2024 e‑cigarettes containing nicotine. In response to these recommendations, CDTFA made changes to its methodology for calculating tax rates on these tobacco products and in a follow‑up audit issued in November 2022, we determined that the changes CDTFA made increased tax revenue to the State by $45 million annually. In September 2023, we mailed notices to audited and investigated entities regarding recommendations more than a year old and not fully implemented. The tables beginning on page 5 summarize and provide information on these recommendations. Table 1 shows recommendations more than five years old issued to state entities between November 2016 and October 2017 that have not been fully implemented as of the agencies’ latest response. Because the recommendations shown in Table 1 are more than five years old, we will not reassess them in subsequent reports. Table 2, beginning on page 11, summarizes recommendations that have not been fully implemented for audits and investigations pertaining to state entities and issued between November 2017 and October 2022. As indicated on Table 2, we did not always agree with agency assertions that certain recommendations were fully implemented. Two columns in Table 2 provide our reason for disagreement. Table 3, beginning on page 53, summarizes recommendations more than one year old made to nonstate entities and their current implementation status. The symbol appears in the tables next to the audit number whenever an audit has recommendations to more than one agency appearing in this report. Please refer to the index on page 3. California State Auditor Report 2023-041 3 January 2024 Index Reference for Reports Featuring Recommendations to Multiple Entities REPORT ENTITIES WITH RECOMMENDATIONS State Entities With Recommendations—Included in Tables 1 or 2 A 2016-126 California Department of Justice, California Department of Social Services B 2016-130 University of California, Board of Regents of the University of California C 2017-109 California Department of Public Health, Department of Health Care Services, Office of Statewide Health Planning and Development D 2017-117 Department of Health Care Services, Mental Health Services Oversight and Accountability Commission E 2018-113 California Department of Corrections and Rehabilitation, California Rehabilitation Oversight Board F 2019-046 California Department of Education, Department of Health Care Services G 2019-105 California Department of Public Health, Department of Health Care Services H 2021-112 California Department of Justice, California Department of Social Services I 2021-114 Department of General Services, Department of Housing and Community Development J 2021-117 California Public Utilities Commission, Office of Energy Infrastructure Safety K 2021-123 California Department of Justice, California Department of Public Health Nonstate Entities With Recommendations—Included in Table 3 L 2017-032 Bakersfield College, Peralta Community College District M 2017-101 Los Angeles County Sheriff's Department, Sacramento County Sheriff's Department, San Diego County Sheriff's Department N 2017-104 Los Angeles County Office of Education, Los Angeles Regional Adult Education Consortium, Montebello Unified School District O 2020-112 County of Mendocino, County of Santa Clara Office of Supportive Housing, Fresno Housing Authority Alameda County Probation Department, Contra Costa County Probation Department, Del Norte County Probation Department, Los Angeles County P 2021-113 Probation Department, San Joaquin County Probation Department State and Nonstate Entities With Recommendations—Included in Tables 2 and 3 Q 2017-102 Cerritos College, Chancellor of the California Community Colleges, Foothill-De Anza Community College District, Los Rios Community College District R 2019-103 Butte County, California Governor's Office of Emergency Services, County of Sonoma, County of Ventura S 2019-104 California Department of Education, San Bernardino City Unified School District T 2019-116 Board of State and Community Corrections, Los Angeles County Probation Department California Department of Education, California Department of Public Health, Charter Academy of the Redwoods, Gateway Public Schools, Heartland U 2019-125 Charter School, San Francisco Unified School District V 2020-102 Board of State and Community Corrections, County of Alameda, County of Fresno, County of Los Angeles W 2020-109 Butte County, California Department of Social Services, Kern County, Stanford University California Department of Corrections and Rehabilitation, City of San Bernardino Police Department, Los Angeles County Sheriff's Department, San José X 2021-105 Police Department, Stockton Police Department 4 California State Auditor Report 2023-041 January 2024 Blank page inserted for reproduction purposes only. California State Auditor Report 2023-041 5 January 2024 Table 1 Recommendations Made to State Entities That Are More Than Five Years Old and Are Still Not Fully Implemented (Reports Issued From November 2016 Through October 2017) NUMBER OF YEARS ESTIMATED REPORT TITLE, NUMBER, RECOMMENDATION RECOMMENDATION DATE OF AND ISSUE DATE HAS APPEARED IN COMPLETION THIS REPORT BUSINESS, CONSUMER SERVICES, HOUSING Board of Registered Nursing Board of Registered Nursing: 7. To ensure that BRN resolves complaints regarding nurses in a timely 6 † Significant Delays and Inadequate manner, by March 1, 2017, it should establish a plan to eliminate its Oversight of the Complaint backlog of complaints awaiting assignment to an investigator. Resolution Process Have Allowed Some Nurses Who May Pose a Risk to Patient Safety to 10. To increase its pool of expert witnesses, by June 2017, BRN should 6 Will Not Continue Practicing take the steps necessary to increase the hourly wage it pays Implement expert witnesses. 2016‑046 (December 2016) CORRECTIONS AND REHABILITATION California Department of Corrections and Rehabilitation California Department of 2. Corrections should immediately require mental health staff to score 6 Will Not Corrections and Rehabilitation: 100 percent on risk evaluation audits in order to pass. If a staff Implement It Must Increase Its Efforts member does not pass, Corrections should require the prison to to Prevent and Respond to follow its current policies by reviewing additional risk evaluations Inmate Suicides to determine whether the staff member needs to undergo additional mentoring. 2016‑131 (August 2017) 16. To ensure that prisons comply with its policies related to suicide 6 January prevention and response, Corrections should continue to develop its 2024 audit process and implement it at all prisons by February 2018. The process should include, but not be limited to, audits of the quality of prisons’ risk evaluations and treatment plans. GOVERNMENT OPERATIONS Department of General Services California Department of 3. To improve its oversight of the State’s noncompetitive contracts, 6 Will Not General Services and California General Services should, within 90 days, create plans for regularly Implement Department of Technology: performing statewide analyses to identify potential abuse or overuse Neither Entity Has Provided of noncompetitive contracts. These analyses should include, but not the Oversight Necessary to be limited to, calculating the proportional value and number of the Ensure That State Agencies State’s competitive and noncompetitive contracts and amendments, Consistently Use the Competitive examining trends in agencies’ use of noncompetitive contracts and Bidding Process amendments, and identifying unusual patterns among vendors receiving state contracts through noncompetitive means. 2016‑124 (June 2017) continued on next page . . . 6 California State Auditor Report 2023-041 January 2024 NUMBER OF YEARS ESTIMATED REPORT TITLE, NUMBER, RECOMMENDATION RECOMMENDATION DATE OF AND ISSUE DATE HAS APPEARED IN COMPLETION THIS REPORT HEALTH AND HUMAN SERVICES California Department of Social Services California Department of 10. To ensure that Social Services evaluates the risk individuals may 6 † Social Services: pose to vulnerable populations in its licensed care facilities as quickly Its Caregiver Background Check as possible, by July 2017, Social Services should establish time frames A Bureau Lacks Criminal History for staff to evaluate individuals who are present in their facilities and Information It Needs to Protect who have received administrative actions from other departments. Vulnerable Populations in In addition, it should monitor and follow up with the appropriate Licensed Care Facilities staff regarding the status of their assessments of these individuals and their final decisions. 2016‑126 (March 2017) 13. To comply with state law and better protect vulnerable populations 6 Will Not in California’s licensed care facilities, Social Services should Implement immediately change its policy to require that its exemption analysts evaluate all infraction convictions, other than minor traffic violations, before granting exemptions to individuals. If Social Services believes it is not feasible to evaluate all of these convictions, it should report to the Legislature, by June 2017, how it ensures that vulnerable populations are not at risk and should request that the Legislature change the law to eliminate infraction convictions as a crime category that Social Services must evaluate in order to grant an exemption. 26. To ensure that regional offices pursue legal actions in a timely 6 † manner, by July 2017, Social Services’ headquarters should identify a resource—such as a unit—to monitor and follow up with the regional offices regarding the status of their legal actions related to substantiated address matches of registered sex offenders at licensed facilities. HIGHER EDUCATION The California State University California State University: 3. To improve the oversight of CSU’s management personnel, the 6 June Stronger Oversight Is Needed Chancellor’s Office should work with campuses, bargaining unit 2024 for Hiring and Compensating representatives, the Public Employment Relations Board, and Management Personnel and for others as necessary to come to an agreement on the appropriate Monitoring Campus Budgets classification of coaches. The Chancellor’s Office should take into account the concerns that San Diego State has raised about the labor 2016‑122 market for these employees. (April 2017) 10. The Chancellor’s Office should finish developing the Common 6 May Human Resources System and implement it as scheduled by 2028 December 2019. University of California The University of California 5. To determine the amount of money that it can reallocate to campuses 6 † Office of the President: and to ensure that it publicly presents comprehensive and accurate It Failed to Disclose Tens of budget information, by April 2018, the Office of the President should B Millions in Surplus Funds, and Its implement our recommended budget presentation shown in Budget Practices Are Misleading Figure 11 on page 40 [of the audit report]. Specifically, the Office of the President’s budget presentation to the regents should include a 2016‑130 comparison of its proposed budget to its actual expenditures for the (April 2017) previous year. It should also include all its expenditures and identify changes to the discretionary and restricted reserves. The Office of the President should combine both the disclosed and undisclosed budgets into one budget presentation. California State Auditor Report 2023-041 7 January 2024 NUMBER OF YEARS ESTIMATED REPORT TITLE, NUMBER, RECOMMENDATION RECOMMENDATION DATE OF AND ISSUE DATE HAS APPEARED IN COMPLETION THIS REPORT 22. To determine the amount of money that it can reallocate to 6 † campuses and to ensure that it publicly presents comprehensive and accurate budget information, by April 2019, the Office of the President should continue to present a comprehensive budget based on the presentation in Figure 11 to the regents, the Legislature, and the public. 23. To ensure that its staffing costs align with the needs of campuses and 6 † other stakeholders, by April 2019, the Office of the President should set targets for any needed reductions to salary amounts using the results from its public and private sector comparison and adjust its salaries accordingly. 32. To determine the amount of money that it can reallocate to 6 † campuses and to ensure that it publicly presents comprehensive and accurate budget information, by April 2020, the Office of the President should evaluate its budget process to ensure that it is efficient and has adequate safeguards that ensure that staff approve and justify all budget expenditures. If the Office of the President determines that its safeguards are sufficient, it should begin developing a multiyear budget plan. 34. To ensure that its staffing costs align with the needs of campuses and 6 † other stakeholders, by April 2020, the Office of the President should adjust its salary levels and ranges to meet its established targets. 36. To ensure that its staffing costs align with the needs of campuses and 6 Will Not other stakeholders, by April 2020, the Office of the President should Implement reallocate funds to campuses when adjustments to its salaries and benefits result in savings. 39. To ensure that its staffing costs align with the needs of campuses 6 Will Not and other stakeholders, by April 2020, the Office of the President Implement should report to the regents on the amount of funds it reallocates to campuses as a result of implementing our recommendations. The University of California 8. To ensure that the university achieves its goals of obtaining services 6 Will Not Office of the President: at the lowest cost or best value and of providing vendors with fair Implement It Has Not Adequately Ensured access to contracting opportunities, the Office of the President Compliance With Its Employee should revise the university’s contract manual to incorporate the best Displacement and Services practices found in the State Contracting Manual for limiting the use Contract Policies of amendments to repeatedly extend existing contracts. 2016‑125.1 9. To ensure that the university achieves its goals of obtaining services 6 Will Not (August 2017) at the lowest cost or best value and of providing vendors with fair Implement access to contracting opportunities, the Office of the President should revise the university’s contract manual to narrow the exemption from competition to only selected professional services, similar to the State Contracting Manual. Board of Regents of the University of California The University of California 7. To ensure the ongoing accountability of the Office of the President, 6 † Office of the President: the regents should require it to implement our recommendations It Failed to Disclose Tens of and report periodically on its progress. B Millions in Surplus Funds, and Its 14. To ensure that the Office of the President’s staffing levels are 6 † Budget Practices Are Misleading justified and that costs are reasonable and align with the needs of 2016‑130 campuses and other stakeholders, the regents should require the (April 2017) Office of the President to implement our recommendations and report periodically on its progress. continued on next page . . . 8 California State Auditor Report 2023-041 January 2024 NUMBER OF YEARS ESTIMATED REPORT TITLE, NUMBER, RECOMMENDATION RECOMMENDATION DATE OF AND ISSUE DATE HAS APPEARED IN COMPLETION THIS REPORT K–12 EDUCATION California Department of Education California Department of 1. To strengthen its administrative reviews and help ensure that 6 Will Not Education: school food authorities comply with the Buy American requirement, Implement It Has Not Ensured That School Education should update its written procedures to include a Food Authorities Comply With requirement that reviewers collect and retain evidence for all items the Federal Buy American they evaluate for compliance with the Buy American requirement. Requirement This update should occur no later than October 1, 2017. 2016‑139 (July 2017) School Library Services: 23. To better understand the condition of school libraries statewide 6 Will Not Vague State Laws and a Lack of and to raise stakeholders’ awareness of the State Education Board’s Implement Monitoring Allow School Districts adopted model standards, Education should identify school districts to Provide a Minimal Level of that reported employing significantly fewer teacher librarians in Library Services fiscal year 2015–16 than in previous years and verify the accuracy of their fiscal year 2015–16 reports. 2016‑112 (November 2016) Uniform Complaint Procedures: 3. To ensure that it consistently processes complaints and appeals 6 † The California Department of in a timely manner and that it investigates and reviews all Education’s Inadequate Oversight UCP complaints and appeals in compliance with state law and Has Led to a Lack of Uniformity regulations, by July 2017, Education should designate a central and Compliance in the Processing office to receive all complaints and appeals. This central office of Complaints and Appeals should distribute complaints and appeals to the correct divisions for investigation or review. 2016‑109 (January 2017) 4. To ensure that it consistently processes complaints and appeals 6 † in a timely manner and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations, by July 2017, Education should designate a central office to receive all complaints and appeals. This central office should establish a single database to record and track all investigations of complaints and reviews of appeals. This database should capture all data necessary for Education to effectively make informed decisions related to UCP complaints or appeals. At a minimum, the database should capture the date on which Education received each complaint or appeal, the date on which it forwarded the complaint or appeal to the appropriate division for investigation or review, and the date on which it sent the decision to the complainant. The database should also include the type of complaint or appeal, the LEA involved, and the decision. 5. To ensure that it consistently processes complaints and appeals 6 † in a timely manner and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations, by July 2017, Education should designate a central office to receive all complaints and appeals. This central office should track the divisions’ progress in processing complaints and appeals to ensure the divisions meet all UCP requirements, including documenting exceptional circumstances that constitute good cause for extending investigations beyond 60 days. California State Auditor Report 2023-041 9 January 2024 NUMBER OF YEARS ESTIMATED REPORT TITLE, NUMBER, RECOMMENDATION RECOMMENDATION DATE OF AND ISSUE DATE HAS APPEARED IN COMPLETION THIS REPORT 6. To ensure that it consistently processes complaints and appeals 6 † in a timely manner and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations, by July 2017, Education should designate a central office to receive all complaints and appeals. This central office should work with divisions to establish policies and procedures for the divisions to follow when investigating UCP complaints and reviewing appeals. The procedures should identify the individuals or units responsible for investigating complaints and reviewing appeals, the steps and time frames for conducting investigations and reviews, the requirements for issuing decisions, and the documentation that should be retained in the files. 7. To ensure that it consistently processes complaints and appeals 6 † in a timely manner and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations, by July 2017, Education should designate a central office to receive all complaints and appeals. This central office should establish and distribute a standard investigation report format that includes the required elements for the divisions to use when processing UCP complaints. 8. To ensure that it consistently processes complaints and appeals 6 † in a timely manner and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations, by July 2017, Education should designate a central office to receive all complaints and appeals. This central office should monitor the divisions’ decisions and reports on complaints and appeals to ensure that they comply with requirements. 16. To increase the efficiency and effectiveness of LEAs’ UCP processes, 6 Will Not Education should work with those LEAs throughout the State that Implement receive a disproportionately high number of non-UCP complaints through the UCP process to assess the potential benefits of establishing similar mechanisms. 22. To ensure that its regulations are consistent and align with state 6 Will Not and federal requirements, Education should revise its regulations to Implement allow LEAs to extend investigations under exceptional circumstances that constitute good cause if the LEAs document and support with evidence the reasons for the extensions. 23. After it makes the recommended regulatory changes to allow 6 Will Not extensions under exceptional circumstances, Education should Implement review LEAs’ extensions to investigations as part of its Federal Program Monitoring to ensure that LEAs’ documentation is sufficient and that their reasons adequately justify such extensions. LEGISLATIVE, JUDICIAL, AND EXECUTIVE California Department of Justice California Department of 20. To ensure that it is receiving all arrest information from law 6 Will Not Social Services: enforcement agencies, at a minimum, Justice should consider trends Implement A Its Caregiver Background Check in the number of arrest reports each law enforcement agency sends Bureau Lacks Criminal History it and the number of reports that it might expect to receive from Information It Needs to Protect an agency given the agency’s size, location, and reporting history. Vulnerable Populations in Whenever Justice identifies a law enforcement agency that it Licensed Care Facilities determines may not be reporting all required information, it should request that the agency forward all required arrest information. 2016‑126 (March 2017) continued on next page . . . 10 California State Auditor Report 2023-041 January 2024 NUMBER OF YEARS ESTIMATED REPORT TITLE, NUMBER, RECOMMENDATION RECOMMENDATION DATE OF AND ISSUE DATE HAS APPEARED IN COMPLETION THIS REPORT Secretary of State’s Office Santa Clara County Registrar 11. The Secretary of State should adopt regulations establishing clear 6 2025 of Voters: criteria for mistakes in election-related materials that constitute Insufficient Policies and reportable errors and require counties to report these errors to it Procedures Have Led to Errors after each election. That May Have Reduced 12. Beginning in December 2018, the Secretary of State should 6 2024 Voters’ Confidence in the implement annual risk-based reviews of a selection of county Registrar’s Office election officials' offices to ensure their compliance with state 2017‑107 election laws and regulations. (October 2017) 13. To inform and enhance the guidance it provides to county election 6 2024 officials, the Secretary of State should analyze error reports and its risk-based review results to focus its guidance on topics most relevant to improving elections throughout the State. State Bar of California The State Bar of California: 7. To assign purchasing cards only to appropriate staff, to ensure that 6 † It Needs Additional Revisions to Its the State Bar's records of employees' credit limits reflect those Expense Policies to Ensure That It established with the bank, and to verify that staff use purchasing Uses Funds Prudently cards only for allowable and necessary expenses, the State Bar should immediately restrict the use of purchasing cards to its 2017‑030 original purpose, which was for low-dollar and frequently occurring (June 2017) purchases. For purchases above $5,000, the State Bar should require the vendor to bill for payment. 9. To ensure that its costs are reasonable and appropriate, the State Bar 6 † should update its meal and catering policy to align with the meal policy of the State's Executive Branch and should require individuals attending committee meetings for the State Bar to comply with standard meal per diem rates. Superior Court of California, County of San Mateo Judicial Branch Procurement: 13. To ensure that it properly authorizes payments and purchases only 6 Will Not The Five Superior Courts We allowable items, the San Mateo court should process payments in Implement Reviewed Mostly Adhered to accordance with the requirements and recommended practices of Required and Recommended the Judicial Council and the State. Specifically, the San Mateo court Practices, but Some Improvements should amend its bottled water service contract to ensure that water Are Needed is purchased for use by jurors and court room staff only. 2016‑301 (November 2016) NATURAL RESOURCES Department of Water Resources Department of Water Resources: 7. To ensure that DWR manages WaterFix in an effective manner, DWR 6 Summer The Unexpected Complexity of should complete both the economic analysis and financial analysis 2024 the California WaterFix Project for WaterFix and make the analyses publicly available as soon Has Resulted in Significant Cost as possible. Increases and Delays 2016‑132 (October 2017) † Contrary to our determination, the audited agency believes it has fully implemented the recommendation. California State Auditor Report 2023-041 11 January 2024 Table 2 Recommendations Made to State Entities That Are More Than One Year Old and Are Still Not Fully Implemented (Reports Issued From November 2017 Through October 2022) STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION BUSINESS, CONSUMER SERVICES, HOUSING Board of Registered Nursing Board of 6. To ensure that BRN is using up-to-date, accurate, 3 December Registered Nursing: and objective information to inform the governing 2023# It Has Failed to Use board's enrollment decisions and to assess clinical Sufficient Information capacity for student placements, by April 1, 2021, When Considering BRN should do the following: Enrollment Decisions • Compile and aggregate the information from for New and Existing the facility approval forms into a database Nursing Programs and take reasonable steps to ensure that the 2019‑120 information is accurate and current. (July 2020) 7. To ensure that BRN is using up-to-date, accurate, 3 December and objective information to inform the governing 2023# board's enrollment decisions and to assess clinical capacity for student placements, by April 1, 2021, BRN should do the following: • Annually publish clinical capacity information on its website for public use. 9. To identify additional facilities that might offer 3 December clinical placement slots, by October 1, 2021, and 2023# annually thereafter, BRN should compare its nursing program database with OSHPD's list of health care facilities. BRN should share the results of its comparison with nursing programs by publishing this information on its website. Department of Housing and Community Development • California 16. To ensure that it is able to meet its administrative 5 † Department of monitoring obligations and that it uses housing Housing and bond funds in compliance with state law, Community regulations, and program guidelines, HCD should Development: develop a long-term plan by January 1, 2019, for Its Oversight of how it will avoid exceeding the administrative Housing Bond Funds cost limits of those programs in the most Remains Inconsistent immediate danger of overage and for how it will address instances when it has exceeded 2018‑037 administrative cost limits. The plan should identify (September 2018) the programs at risk of exceeding the limit; the actions HCD will take for each program to gain efficiencies; its plan for moving staff between programs; a request for more money or legislative changes such as modifying the statutory limit on administrative spending, if necessary; and an evaluation of the consequences of not fulfilling its monitoring obligations. continued on next page . . . 12 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • 18. To ensure that it complies with state law, prudently 5 † uses administrative funding, and promotes transparency, HCD should calculate and retain only funds equal to its actual administrative costs in instances when it does not disburse awarded funds to a recipient and subsequently grants the funds to another recipient. • 19. To ensure that it does not exceed administrative 5 † cost restrictions and that it maximizes the funds intended to address target populations' housing needs, HCD should estimate when it will run out of administrative funds for any specific program, document its projection methodology, and provide underlying data and support for its estimates. The projections should include, but not be limited to, actual staff time spent on the program, the number of awards being monitored, and the length of monitoring. Staff should provide these projections and methodologies to management for review and approval by December 1, 2018, and then at least biannually thereafter. California 3. To ensure its ability to more quickly provide 2 August Department of CoCs with access to emergency funding that the 2023# Housing and federal government allocates to the State in Community the future, such as additional ESG-CV funding, the Development: department should, by December 2021, develop a It Failed to Expedite strategy that it can use in emergency situations to Access to Federal more efficiently complete or amend contracts and Funding to Address make funding available to recipients. the Impact of the 5. To ensure that it has the data necessary to 2 July COVID Pandemic on measure the effect the ESG-CV program has in 2023# California’s Homeless addressing homelessness, the department should Population immediately develop and implement a plan to 2020‑611 collect outcome information either independently (August 2021) or through HDIS. Also, by March 2022, the department should begin reporting annually the outcome information it collects so that it can demonstrate the effectiveness of its programs and so that decision makers can use the reported data to inform budget and policy decisions. • Regional Housing 4. To ensure that it adequately supports the vacancy 1 † Needs Assessments: rate adjustments it makes to needs assessments, The Department by February 2023, HCD should perform a formal of Housing and analysis of healthy vacancy rates and historical Community trends to inform those adjustments. Development Must Improve Its Processes to Ensure That Communities Can Adequately Plan for Housing 2021‑125 (March 2022) California State Auditor Report 2023-041 13 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION State Surplus 11. To better promote development of affordable 1 May Property: housing on local surplus land, HCD should, by 2023# The State Should Use January 2023, update its guidelines on the local I Its Available Property surplus property law to indicate how it will respond More Effectively to to instances where local agencies do not notify it of Help Alleviate the their intention to sell property before disposing Affordable Housing of it, and where DGS was unable to issue a notice of Crisis violation before the sale. Further, HCD should seek legislative changes to the extent it believes they are 2021‑114 needed to clarify its authority or the law. (March 2022) 12. To better promote development of affordable 1 May housing on local surplus land, HCD should, by 2023# January 2023, update its guidelines related to the local surplus property law to provide information on how it will assess and support good faith negotiations to mitigate the risk that local agencies may negotiate with developers in bad faith. CORRECTIONS AND REHABILITATION Board of State and Community Corrections • • Juvenile Justice 20. To ensure that counties include accurate 3 † Crime Prevention information in their comprehensive plans and T Act: Weak Oversight year-end reports, Community Corrections should Has Hindered review the information counties submit to it and Its Meaningful follow up with them to obtain missing information Implementation or to clarify information that seems incorrect. 2019‑116 21. To better promote effective local efforts related to 3 Will Not (May 2020) the JJCPA, Community Corrections should include Implement on its website the capability for stakeholders, counties, and other interested parties to review and easily compare the JJCPA information of multiple counties. Specifically, its website should allow users to be able to select a specific type of JJCPA-funded program and easily review information the counties submitted for all programs associated with that program type. Community Corrections should determine the cost of providing this additional service and, if necessary, request additional resources. • • Board of State 4. To ensure that it efficiently and effectively 2 † and Community administers state and federal grants, including Corrections: any future emergency funds it might receive, Its Administration Community Corrections should improve its of Coronavirus standard grant policies and procedures by Emergency December 2021 to address the circumstances Supplemental under which it will deviate from its solicitation Funds Has Been requirements and the steps it will take to ensure Marred by Delays, that it informs all applicants—and potential Unfair Awards, applicants—of the deviations, such as by and Insufficient including this information in its grant solicitation Monitoring or in subsequent communications made available to all potential applicants. 2021‑616 (October 2021) continued on next page . . . 14 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • • 5. To ensure that it efficiently and effectively 2 † administers state and federal grants, including any future emergency funds it might receive, Community Corrections should improve its standard grant policies and procedures by December 2021 to address a thorough and documented evaluation of grant applications, including the justification for awards and an explanation of how it will solve instances in which an application does not comply with the solicitation’s requirements, so that its decision to approve each application is justified. • • 6. To maximize the number of applicants that apply 2 † for grant funding, Community Corrections should ensure that its grant requirements are not overly burdensome and that they are achievable within the grant period. • • 8. To comply with federal and state requirements, 2 † and to ensure transparency, consistency, and fairness in its grant process, Community Corrections should post its grant procedures publicly on its website once it has improved its standard grant procedures. 9. To ensure that CDCR and the counties spend 1 June CESF funds appropriately and in a timely manner, 2023# Community Corrections should immediately develop and implement a plan to begin monitoring the use of CESF funds. This plan should include steps to ensure that it obtains and reviews required reports on time, takes action based on what it finds, and employs a strategy to identify potential instances of counties using CESF funds to supplant other funding. Public Safety 19. To ensure that the county Partnership 2 Will Not Realignment: Committees report consistent and complete, and Implement V Weak State and comparable information regarding their public County Oversight safety realignment funding and activities, by Does Not Ensure September 2021, the Corrections Board should That Funds Are develop and distribute guidance to counties of its Spent Effectively expectations for reporting financial information related to all public safety realignment accounts. 2020‑102 • • (March 2021) 20. To ensure that the county Partnership 2 † Committees report consistent and complete, and comparable information regarding their public safety realignment funding and activities, by September 2021, the Corrections Board should develop and implement a process to review and analyze the information that counties provide about their realignment activities and expenditures each year. 21. To ensure that the county Partnership 2 April Committees report consistent and complete, and 2021# comparable information regarding their public safety realignment funding and activities, by September 2021, the Corrections Board should develop definitions for terms its asks counties to report on, including assault on staff and inmate risk level. California State Auditor Report 2023-041 15 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 23. To ensure that the counties’ detention facilities 2 December address health, fire, and life safety deficiencies 2022# in a timely manner and that the Governor and the Legislature are aware of these deficiencies, beginning with its next biennial report, the Corrections Board should incorporate inspection information that the state fire marshal and county departments of public health provide to counties into its corrective action process and its reports to the Governor and the Legislature. 24. To ensure that it provides state leadership and 2 Unknown promotes best practices for counties to use, by March 2022, the Corrections Board should conduct an independent analysis of best practices, such as effective practices for restitution or rehabilitative programs, related to public safety realignment and publish the results. 25. To ensure that it provides state leadership and 2 June promotes best practices for counties to use, 2023# by March 2022, the Corrections Board should categorize the best practices it lists on its website for ease of reference to the counties. 26. To ensure that it provides state leadership and 2 December promotes best practices for counties to use, 2023# by March 2022, the Corrections Board should determine common county needs stemming from realignment and promote specific best practices that meet the common needs of counties, including best practices developed and adopted by California counties. California Department of Corrections and Rehabilitation California 1. To increase public safety and reduce the likelihood 3 December Department of of recidivism, Corrections should establish a 2026 Corrections and separate category in the appropriate data system Rehabilitation: to track the individuals who would have qualified It Has Poorly for the integrated services program. It should Administered the also ensure that staff in the institutions, including Integrated Services mental health clinicians and staff involved in for Mentally Ill prerelease planning, coordinate with parole to Parolees Program, assign these individuals to parole agents with and With Current specialized caseloads who have the training and Funding Cuts, It experience to serve this population. Corrections Must Find Ways to should focus its efforts on at least the eight Transition Parolees to counties that are losing the integrated services County Services program and complete the steps noted in this recommendation by February 2021. 2020‑103 (August 2020) continued on next page . . . 16 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 2. To increase public safety and reduce the likelihood 3 December of recidivism, Corrections should continue to meet 2026 with the appropriate staff in the behavioral health departments of the eight counties where the integrated services program currently operates to facilitate coordination among Corrections' staff, the providers, and the counties. The coordination should focus on smoothly transitioning current program participants to the county services they need and on developing processes for future parolees with mental illness and issues with homelessness who will transition to county services. Corrections should begin holding these meetings by October 2020 and continue them until all necessary processes are in place. 4. To determine whether parolees with mental 3 April illness who have housing needs are receiving 2024 necessary services and support during their parole terms, Corrections should review its processes for connecting these individuals to county services by determining the appropriate metrics to evaluate its processes and by setting goals related to those metrics. 5. To determine whether parolees with mental 3 April illness who have housing needs are receiving 2024 necessary services and support during their parole terms, Corrections should review its processes for connecting these individuals to county services by ensuring that it is collecting sufficient, consistent data to review those metrics. 6. To determine whether parolees with mental 3 April illness who have housing needs are receiving 2024 necessary services and support during their parole terms, Corrections should review its processes for connecting these individuals to county services by establishing a timeline for conducting reviews regularly, but at least every three years. Corrections should develop its plan by July 2021 and include at least the eight counties formerly served by the integrated services program. Corrections should complete its first review by December 2021. 7. To determine whether parolees with mental 3 April illness who have housing needs are receiving 2024 necessary services and support during their parole terms, Corrections should review its processes for connecting these individuals to county services by reporting on its success in meeting its goals to the Council on Criminal Justice and Behavioral Health and the public. Corrections should develop its plan by July 2021 and include at least the eight counties formerly served by the integrated services program. Corrections should complete its first review by December 2021. California State Auditor Report 2023-041 17 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 8. To determine whether parolees with mental 3 December illness who have housing needs are receiving 2024 necessary services and support during their parole terms, Corrections should review its processes for connecting these individuals to county services by using the reviews to identify changes to improve its processes for connecting parolees to resources, including improving training for Corrections' staff. Corrections should develop its plan by July 2021 and include at least the eight counties formerly served by the integrated services program. Corrections should complete its first review by December 2021. Law Enforcement 9. To communicate to both the public and its 1 January Departments Have officers its commitment to performing its 2024 Not Adequately duties in a fair and impartial manner, CDCR X Guarded Against should formalize a policy that aligns with best Biased Conduct practices by, at minimum, declaring that biased conduct is prohibited, describing in detail what 2021‑105 constitutes biased conduct, and outlining key (April 2022) compliance mechanisms. 14. To proactively identify signs that officers may need 1 January additional training or supports to address possible 2024 biased behavior, CDCR should, by April 2023, adopt a policy and implement procedures that align with best practices for an effective early intervention system. The system should do the following: • Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention. • Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias. • Require monitoring of the officers who receive intervention to evaluate whether their performance improves or whether additional interventions are needed. 15. To ensure that it adequately responds to 1 January potentially biased conduct, CDCR should continue 2024 to carry out its planned reforms of its misconduct investigation process. In doing so, it should adopt a clear and comprehensive definition of biased conduct, specify criteria for determining whether conduct meets that definition, document formal analysis of officers' conduct using the criteria, and provide training about how to perform these assessments. continued on next page . . . 18 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 16. CDCR should specify options for corrective actions 1 March beyond punitive discipline that are designed to 2024 change officer behaviors associated with biased conduct and require that, when appropriate, these corrective actions—such as training and education—be part of the discipline that officers receive when they are found to have engaged in biased conduct. 17. To improve its ability to effectively investigate 1 Will Not allegations of officer misconduct, by April 2023, Implement CDCR should establish a time frame for equipping its remaining facilities with body-worn cameras and begin implementing that plan. California 1. To ensure that Corrections has reliable tools for 4 December Department of assessing the needs of its inmate population, it 2024 Corrections and should validate COMPAS and CSRA by January 2020 E Rehabilitation: and revalidate all of its assessment tools at least Several Poor every five years. Administrative • 8. To increase the space available for rehabilitation 4 † Practices Have programs, by January 2020, Corrections should Hindered Reductions analyze and report on its current infrastructure in Recidivism and capacity compared to its needs for the programs. Denied Inmates The report should include the current space Access to In-Prison available and the square footage needed. If the Rehabilitation report indicates that additional space is necessary, Programs Corrections should work with the Legislature to 2018‑113 address those needs. (January 2019) 13. To ensure that Corrections effectively and 4 May efficiently allocates resources and reduces 2024 recidivism, it should collaborate with C-ROB during fiscal year 2019–20 to establish annual targets for reducing recidivism and determining the cost-effectiveness of the programs. Corrections should also request federal grants tied to setting targets for recidivism reduction. California Prison Industry Authority California Prison 9. CalPIA should, in consultation with the Personnel 2 Unknown Industry Authority: Board, consider voiding appointments and It Gave Nearly requiring employees who acted in bad faith to $1.3 Million in return all compensation as the Table on page 22 Unlawful Gifts to [of the audit report] shows. Other State Agencies and Repeatedly Violated Merit-Based Employment Principles I2019‑0559 (July 2021) ‡ California State Auditor Report 2023-041 19 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION California Rehabilitation Oversight Board California 16. To ensure that Corrections is taking steps to 4 Will Not Department of reduce recidivism, C-ROB should monitor Implement Corrections and whether Corrections is developing appropriate E Rehabilitation: recidivism targets and, in its annual report, should Several Poor evaluate Corrections' progress toward meeting Administrative those targets. Practices Have Hindered Reductions in Recidivism and Denied Inmates Access to In-Prison Rehabilitation Programs 2018‑113 (January 2019) ENVIRONMENTAL PROTECTION California Air Resources Board • California Air 1. To improve its ability to isolate each of its 2 † Resources Board: incentive programs’ additional GHG reductions, Improved Program by February 2022, CARB should establish a Measurement Would process to formally identify its incentive programs’ Help California Work overlap with other programs that share the More Strategically same objectives. As part of that process, CARB to Meet Its Climate should document how it will account for the Change Goals overlap to allow the most accurate program measurement possible. 2020‑114 (February 2021) 3. To improve its ability to identify the effectiveness 2 February of each of its incentive programs in reducing 2024 GHG emissions, by August 2021, CARB should develop a process to define, collect, and evaluate data on the behavioral changes that result from each of its incentive programs. Having done so, by February 2022, CARB should collect and analyze relevant survey information for all consumer-focused incentive programs, as well as information about the behavioral effects of programs that other entities offer, such as the federal tax credit. 4. To better assist the State in achieving its GHG 2 Unknown goals, CARB should use the information we describe to refine its GHG emissions estimates for its incentive programs in its annual reports to the Legislature, the funding plans approved by its board, and any longer-term planning documents or reports. continued on next page . . . 20 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 11. To better demonstrate the socioeconomic 2 Winter benefits that its incentive programs achieve, by 2024 February 2022, CARB should do the following: • Identify clear and measurable metrics it will use to assess each of the socioeconomic benefits it intends its programs to achieve. • Develop a process to collect data or use existing data to measure and report on each metric. • In its funding plans and annual reports, CARB should report to the Legislature and its board on those metrics. 12. To provide transparency to the Legislature and 2 Winter other stakeholders, beginning in 2022 and using 2025 the metrics and data described above, CARB should make funding and design recommendations in its funding plans and annual reports based on which programs are effective in producing socioeconomic benefits and at what cost. 14. To ensure that its incentive programs promote 2 Fall effective and equitable job training, by August 2021, 2024 CARB should develop a process to assess which programs should include a job training element. For those programs it identifies, by February 2022, CARB should direct its staff or its external program administrators to collect and report on the quality of job trainings and outcomes experienced by participants, including who received training, the credentials participants received as a result, any actual or expected wages they received as a result of participating in the training or for developing the relevant expertise, and the number of participants from disadvantaged communities or low-income communities and households. Department of Toxic Substances Control California 3. To ensure that the public and policy makers have 3 October Department of Toxic the information they need to make informed 2025 Substances Control: decisions, DTSC should, by no later than April 2021, The State’s Poor identify and publicize a date by which it expects Management of the to complete cleanup for all properties that meet Exide Cleanup Project or exceed the standard for lead contamination of Has Left Californians 80 ppm identified in DTSC’s cleanup plan. It should at Continued Risk of post this information on its website and, at least Lead Poisoning every six months, publish an update that indicates whether it is on track to meet that expected 2020‑107 completion date based on its rate of progress. (October 2020) California State Auditor Report 2023-041 21 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 4. To ensure that it has sufficient funding to clean up 3 October all lead-contaminated properties in the cleanup 2025 site, DTSC should do the following: • Identify the full amount of funding it needs to complete the cleanup of the 3,200 most contaminated properties and the remaining 4,600 contaminated properties. It should submit a request for funding in time for spring 2021 budget discussions that includes a range of funding options that spans from funding for the full cleanup to funding for only a portion of the remaining contaminated properties. • Immediately revise its cost estimation methods to encompass the factors that it now knows will affect its overall costs. If needed, it should contract for expertise in determining accurate and complete estimates of the remaining cleanup cost. State Water Resources Control Board State and Regional 7. If the State Water Board believes regulations are 5 July Water Boards: necessary to ensure that the regional boards and 2024 They Must Do More local jurisdictions follow its guidance regarding to Ensure That Local adequate and consistent information pertaining to Jurisdictions’ Costs their costs for storm water management, the State to Reduce Storm Water Board should adopt such regulations. Water Pollution 11. The State Water Board should revise its trash policy 5 Will Not Are Necessary and to focus it on local jurisdictions that have water Implement Appropriate bodies that are harmed by trash, as identified 2017‑118 by the polluted waters list. In addition, the State (March 2018) Water Board should review the polluted waters list at least biannually to identify any additional water bodies recently determined to be harmed by trash and impose its trash policy on the applicable jurisdictions. • • State Water 7. To minimize the prolonged periods during which 1 † Resources Control Californians suffer without safe drinking water, Board: It Lacks the the State Water Board should, by January 2023, Urgency Necessary develop metrics and performance benchmarks to Ensure That Failing for key phases of the application and funding Water Systems processes, including the number of days it should Receive Needed take to execute a funding agreement after it Assistance in a receives a complete application. It should also Timely Manner review recent past applications in light of these new metrics to identify common reasons for 2021‑118 delays—including an increase in consolidation (July 2022) projects—and develop processes to overcome these delays. • • 8. To minimize the prolonged periods during which 1 † Californians suffer without safe drinking water, the State Water Board should, by January 2023, determine whether to change the way it assigns staff to projects, including whether to dedicate staff to working only on applications or on monitoring projects under construction. continued on next page . . . 22 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • • 14. To ensure that it has sufficient staff to process 1 † funding applications in a timely manner, by July 2023, the State Water Board should evaluate its progress in meeting its performance goals and assess whether its current staffing levels are sufficient. If the State Water Board finds that it needs additional staff to meet its goals or to prevent a backlog of applications, it should request additional funding from the Legislature to meet its staffing needs. • • 16. To ensure that it is maximizing the number of 1 † water systems that are aware of available technical assistance and funding options, including failing water systems and water systems serving disadvantaged communities, the State Water Board should immediately amend the contract with its current outreach provider to coordinate with the State Water Board to ensure that the provider does not work with systems already receiving technical assistance. The State Water Board should also develop a plan by January 2023 to avoid future outreach work that duplicates the efforts of its providers or of its staff. GENERAL GOVERNMENT California Department of Food and Agriculture Investigations of 23. To remedy the effects of the improper governmental 2 Unknown Improper Activities activities this investigation identified and to prevent by State Agencies those activities from recurring, Food and Agriculture and Employees should require the DAA to establish a housing policy that outlines expectations for employees who I2021‑1 stay overnight and includes a section on adequate (May 2021)‡ recordkeeping to ensure that it charges applicable employees each time they stay overnight. 24. To remedy the effects of the improper governmental 2 Unknown activities this investigation identified and to prevent those activities from recurring, Food and Agriculture should require the DAA to submit annual housing surveys to CalHR and to validate fair market value to determine the daily rate employees must pay each time they stay overnight and to subsequently charge employees that appropriate daily rate. 25. To remedy the effects of the improper governmental 2 Unknown activities this investigation identified and to prevent those activities from recurring, Food and Agriculture should review other DAAs that provide state-owned housing to ensure that they have housing policies and that they charge employees appropriate daily rates for any overnight stays. California State Auditor Report 2023-041 23 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION California 6. To improve the effectiveness of marketing of 3 Will Not Department of Food the Pet Lover’s program, by August 2020, Food Implement and Agriculture: and Agriculture should contract with an eligible Poor Management nonprofit organization, as state law allows, to Threatens the carry out additional marketing and promotional Success of the Pet activities for the program. Lover’s Specialized License Plate Program 2019‑121 (March 2020) California Department of Veterans Affairs California 10. To ensure that the veterans homes receive all of 4 Will Not Department of the funding to which they are entitled, by the Implement Veterans Affairs May 2019 budget revision, CalVet should seek an and Department of augmentation to its appropriation for the homes General Services: equal to the lease revenues it generated from The Departments’ July 2015 through June 2018. If CalVet believes the Mismanagement of state law requiring lease proceeds to augment its the Veterans Home appropriation is outdated, it should seek a change Properties Has Not to state law. Served the Veterans’ Best Interests and Has Been Detrimental to the State 2018‑112 (January 2019) California Public Utilities Commission • Electrical System 8. To ensure that it does not authorize cost recovery, 1 † Safety: California's and the resulting rate increases, for activities J Oversight of that were part of a utility's previous general rate the Efforts by case, the CPUC should perform audits of the Investor-Owned utilities' wildfire mitigation costs before approving Utilities to Mitigate recovery of those costs. In addition, the CPUC the Risk of Wildfires should implement sufficient safeguards to ensure Needs Improvement the appropriateness of the costs passed on to customers. 2021‑117 • (March 2022) 9. To ensure that utilities do not over-recover, or 1 † charge ratepayers more than they should for the activities they perform, the CPUC should make certain that if utilities request reimbursement for the costs questioned in the contractor audits, the utilities provide sufficient quantifiable and detailed analyses to substantiate that the costs were not paid for through the utilities' previously approved rates. continued on next page . . . 24 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION GOVERNMENT OPERATIONS California Department of Technology State High‑Risk 4. To ensure that it understands the statewide 1 December Update, Information security status of reporting entities, CDT should 2024 Security: increase its capacity to perform timely compliance The California audits of high-risk entities, which may entail hiring Department of more staff or securing additional contracted audit Technology's support. Further, CDT should prioritize calculating Inadequate Oversight maturity metric scores for the nine entities that Limits the State's it has audited but that do not yet have scores Ability to Ensure because it has not evaluated their privacy controls. Information Security CDT should complete these steps by the conclusion of the four-year oversight life cycle in June 2022. 2021‑602 (January 2022) 5. Until it is able to conduct timely, objective 1 July audits of reporting entities, CDT should provide 2024 additional guidance to them by April 2022 on what constitutes a critical IT system and follow up annually to ensure that they complete the required self-assessments of those systems. 6. To ensure that it understands the statewide 1 June security status of reporting entities, CDT should 2024 utilize the information from the entities' self- assessments of their systems, as well as from the nationwide review, to annually help identify common areas that require improvement across multiple reporting entities. Department of General Services State Surplus 5. To determine whether additional viable properties 1 March Property: The exist for affordable housing development, DGS 2023# State Should Use Its should, by September 2022, contact the related I Available Property agencies for the remaining properties it identified More Effectively as potentially viable but for which it has not yet to Help Alleviate gathered additional information and make a the Affordable determination as to the viability of the parcels Housing Crisis those agencies possess. 2021‑114 6. To identify additional state-owned land suitable 1 September (March 2022) for affordable housing development, DGS should, 2023# by September 2022, develop a set of criteria to consistently evaluate state parcels for suitability as affordable housing sites. 7. To identify additional state-owned land suitable 1 July for affordable housing development, DGS should, 2024 beginning by July 2023 and every four years thereafter, conduct and document a review of all state-owned property and identify parcels that are potentially viable for affordable housing based on the established criteria. Once this review is complete, DGS should follow up with all possessing agencies to finalize property availability. Finally, DGS should work with HCD to prioritize the identified properties for development. California State Auditor Report 2023-041 25 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 8. To increase the number of properties offered for 1 March affordable housing annually and to conduct a 2023# periodic review of all state owned properties, DGS should seek additional staffing as appropriate to provide dedicated support to the program, either by transferring existing positions or seeking a budget change for additional positions. 10. To improve the State's ability to track public 1 February property, DGS should do the following: 2026 • By September 2022, begin reconciling the SPI and county assessors' real property records and update the SPI as necessary. • Ensure that county and state real property records remain in alignment by reviewing records and resolving any mismatches in the year before each periodic review occurs. HEALTH AND HUMAN SERVICES California Department of Public Health California Hospice 1. Until such time as the Legislature authorizes 1 December Licensure and Public Health to issue the emergency regulations 2023# Oversight: to protect the health and safety of current and K The State's Weak prospective hospice patients, Public Health should Oversight of Hospice pursue its standard regulatory authority to address Agencies Has Created these issues. Opportunities for Large-Scale Fraud and Abuse 2021‑123 (March 2022) Childhood Lead 11. To better ensure that children with lead poisoning 3 Spring Levels: Millions of are identified and treated, CDPH should prioritize 2024 Children in Medi-Cal meeting legislative requirements related to these G Have Not Received issues, including doing the following by March 2020: Required Testing for • Finish developing the lead risk evaluation Lead Poisoning regulations and include in them multiple 2019‑105 risk factors, such as those used in lead risk (January 2020) evaluation questionnaires in other states. It should also commence the formal rulemaking process. Skilled Nursing 11. To improve the availability and transparency 5 December Facilities: of information, Public Health should upload all 2023# C Absent Effective inspection findings to Cal Health Find and review State Oversight, ownership data by May 2019. Substandard Quality of Care Has Continued 2017‑109 (May 2018) continued on next page . . . 26 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Youth Suicide 6. To support LEAs’ efforts to provide mental 3 Unknown Prevention: health services, Public Health should establish U Local Educational the support program for school health centers Agencies Lack the as state law requires. If Public Health lacks the Resources and funding to do so, it should request additional Policies Necessary to funds as needed. The support program should Effectively Address assist LEAs in establishing school health centers Rising Rates of and in identifying and applying for available Youth Suicide and funding as authorized by law, such as Medi-Cal Self-Harm reimbursement and MHSA funds. 2019‑125 (September 2020) Department of Rehabilitation Department of 3. To comply with state laws and regulations and help 5 August Rehabilitation: ensure that staff involved in making governmental 2024 Its Inadequate decisions during the grant process are impartial, Guidance and Rehabilitation should ensure that they receive Oversight of the ethics training, which includes conflict-of-interest Grant Process Led training, at least every two years. to Inconsistencies 13. To ensure that it provides sufficient oversight of 5 August and Perceived Bias the grant process, Rehabilitation should ensure 2024 in Its Evaluations that the technical review teams it assigns to and Awards of grants provide the director and chief deputy with Some Grants a memorandum summarizing the evaluation 2017‑129 process and the evaluators' recommended grant (July 2018) awardees. Rehabilitation should also designate an individual responsible for reviewing and approving the memorandum and recommended awardees before it publishes its notice of intent to award. 14. If it finds errors in an evaluation that merit 5 December restarting the grant process, rescoring of 2024 applications, or convening a new evaluation panel, Rehabilitation should resolve any issues before it begins the rescoring process. It should also notify applicants to ensure that they are aware of any changes to the process due to the errors. Further, it should consider promulgating regulations and amending its grant manual to permit staff to request evaluators to rescore applications or convene a new evaluation panel when it finds issues with an evaluation. 15. To ensure that it consistently and thoroughly 5 December evaluates appeals, Rehabilitation should establish 2024 in state regulations and its grant manual that staff at the appropriate level of authority are to acknowledge all appeal requests, notify intended awardees that could be affected by the appeals, and inform the appellant of the qualifications of the review committee members. Staff at the appropriate level of authority must also notify all affected parties of the review committee’s final decision within the time frame Rehabilitation establishes in regulations. California State Auditor Report 2023-041 27 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 16. To ensure that Rehabilitation has appropriate 5 August oversight of its grant process and can sufficiently 2024 demonstrate that it followed the process, it should designate staff, separate from those involved in the respective grant process, to conduct a review of each grant process for procedural errors and evaluator prejudice, and whether evaluators supported their scores with evidence from the relevant applications before it awards grants. 17. To comply with federal and state requirements, 5 December and to ensure consistency and fairness in its grant 2024 process, Rehabilitation should revise and formalize the policies and procedures in its grant manual to incorporate the rules adopted by state regulation and to address the recommendations in this report. The grant manual should specify that any deviations from the required grant process must be for good cause and be documented. 18. To ensure that it consistently and thoroughly 5 December evaluates appeals, Rehabilitation should establish 2024 in state regulations and its grant manual a process for the review committees to request additional information from appellants or program staff. To allow time for an adequate review of any additional information, Rehabilitation should consider extending the time for review committees to issue their decision on appeals from 30 days to 45 days. 19. To ensure that it consistently and thoroughly 5 December evaluates appeals, Rehabilitation should establish in 2024 state regulations and its grant manual that to be able to rescore applications when necessary, the review committee members should be subject-matter experts or, if they are not subject-matter experts, the review committee should have the authority to recommend a new evaluation panel instead of rescoring applications itself when it identifies a reason to invalidate previous evaluations. California Department of Social Services The Child Abuse 10. Until the Legislature amends state law and DOJ 1 February Central Index: develops processes to use CWS/CMS, Social 2025 H The Unreliability of Services should immediately develop a process to This Database Puts collaborate with DOJ and counties to review the Children at Risk list of 27,000 reports of substantiated child abuse and May Violate that were not in CACI and ensure that all eligible Individuals' Rights missing reports are forwarded to DOJ. 2021‑112 11. Until the Legislature amends state law and DOJ 1 January (May 2022) develops processes to use CWS/CMS, Social 2024 Services should, by November 2022, develop monthly reports from CWS/CMS of cases of child abuse substantiated during the month and another list of cases that changed from substantiated to not substantiated, and then provide these reports to the counties and to DOJ. continued on next page . . . 28 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 12. Until the Legislature amends state law and DOJ 1 Unknown develops processes to use CWS/CMS, Social Services should, by November 2022, ensure that all counties develop policies and procedures to review the monthly reports produced by Social Services and ensure that they have sent all appropriate reports to DOJ. 13 Until the Legislature amends state law and DOJ 1 February develops processes to use CWS/CMS, Social 2025 Services should, by November 2022, collaborate with DOJ to identify and reconcile all reports that should have been submitted to CACI by counties and work with counties to send all reports to CACI by May 2023. This collaboration should not be limited to the reports of our four-year audit period. In‑Home Supportive 4. To help ensure that all recipients throughout the 2 Will Not Services Program: State receive prompt approval for services and Implement It Is Not Providing receive all approved services, by August 2021 and W Needed Services annually thereafter, Social Services should require to All Californians counties to submit required annual plans. These Approved for plans should include, at a minimum, a description the Program, Is of how each county will ensure that services are Unprepared for promptly approved and that recipients promptly Future Challenges, receive the approved services. and Offers Low Pay to 5. To help counties prepare to meet future needs 2 Will Not Caregivers for IHSS services, Social Services should revise its Implement 2020‑109 regulations to require counties to include long-range (February 2021) projections and strategies in their annual plans. 6. To help ensure that recipients receive timely care, 2 Will Not Social Services should, by August 2021, begin Implement monitoring counties’ compliance with the following: Approval of IHSS applications within 30 days, unless an extension for obtaining a medical certification applies. Prompt approval of IHSS applications for which the 45-day extension for a medical certification applies. Provision of services within 15 days of application approval. 7. For counties that struggle to comply with its 2 Will Not regulations regarding providing timely services, Implement Social Services should require—and regularly follow up on—corrective action plans from these counties. Pandemic Food 4. In implementing our recommendations, CDSS 2 September Assistance should ensure that it does not unduly slow 2022# Programs: the delivery of P-EBT payments and that its The California notifications allow families sufficient time to use Department of P-EBT payments before the payments expire. Social Services Has Struggled to Deliver Timely Food Assistance Because of Unclear Federal Expectations and Other Factors Beyond Its Control 2021‑613 (October 2021) California State Auditor Report 2023-041 29 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Department of Developmental Services Department of 1. To ensure that regional centers can better meet the 1 June Developmental required caseload ratios for all consumer groups, 2024 Services: DDS should work with the regional centers, the It Has Not Ensured Association of Regional Center Agencies (ARCA), That Regional and other state entities as necessary to update the Centers Have the core staffing formula to align with actual regional Necessary Resources center staffing costs by June 2023. to Effectively Serve 2. To ensure that regional centers can better meet the 1 Unknown Californians With required caseload ratios for all consumer groups, Intellectual and DDS should review and update as necessary Developmental the core staffing formula annually to ensure the Disabilities continued adequacy of regional centers' salaries. 2021‑107 3. To ensure that regional centers conduct vendor 1 June (June 2022) monitoring as state law requires, DDS should, by 2023# October 2022, provide an initial training to all regional centers about the statutory requirements for vendor monitoring. This training should include the information the regional centers must assess as part of their quality and qualification reviews for each type of vendor, as well as best practices for ensuring that they complete all required reviews. 5. To ensure that regional centers conduct vendor 1 † • monitoring as state law requires, DDS should, by January 2023, identify best practices among regional centers for tracking their quality reviews to ensure that they are completed as frequently as state law requires. 6. To ensure that regional centers conduct vendor 1 † • monitoring as state law requires, DDS should develop guidelines for all regional centers to follow to ensure that they complete all required quality reviews. 7. To ensure that its processes are sufficient for 1 June identifying regional centers' noncompliance, DDS 2023# should, by January 2023, evaluate its processes for monitoring regional centers' performance of quality and biennial reviews. 8. To ensure that consumers have convenient access 1 Unknown to services, DDS should establish standards for measuring consumers' access to services by January 2023. 9. To ensure that consumers have convenient access to 1 Unknown services, DDS should continue to develop its new system for consumer records and ensure that the new system has the capability to allow regional centers to enter specific data elements that will enable them to assess the convenience of consumers' access to services using the established standards. 11. To ensure that regional centers provide statutorily 1 † • required information to consumers about how to file a consumer rights complaint, DDS should, by January 2023, review all the written information that regional centers provide to consumers and the regional centers' procedures for providing this complaint process information to consumers. continued on next page . . . 30 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION In‑Home Respite 7. To ensure that it has sufficient data to better 1 Fiscal Year Services: The identify usage barriers and disparities, DDS should 2025–26 Department of update its in-home respite data by February 2023 Developmental to periodically track the amount of respite hours Services Has Not authorized and used by each regional center, and Adequately Reduced the usage of each service delivery option (Agency, Barriers to Some EOR, or FMS). DDS should use this information Families' Use of and the data it already collects from the regional In-Home Respite centers to identify potential limits, trends, and Services disparities related to in-home respite services. DDS should, at a minimum, analyze the usage of 2021‑120 and authorization for in-home respite services (August 2022) across the categories we list in the report. That analysis should identify any disparities statewide, at individual regional centers, or among regional centers. If DDS identifies problematic disparities that suggest barriers to the use of in-home respite services, then it should take action to address them. For example, DDS should direct regional centers with low FMS usage to conduct additional outreach to ensure that families are aware of the benefits of this option. • 8. DDS should review the policies of all 21 regional 1 † centers by October 2022 to ensure that they do not contain provisions imposing overall limits on the amount of in-home respite service hours authorized for families to receive each quarter and require revisions as necessary. 9. DDS should develop standard outreach materials 1 September by February 2023 that present key information 2023# about each respite service delivery option, including a description of each option and its benefits and drawbacks. It should provide these outreach materials in multiple languages on its website and to all regional centers to include on their websites and disseminate to all of the families that use centers' services so that they have the knowledge and opportunity to select the option that best fits their needs. 10. DDS should amend its contracts with the 1 † • 21 regional centers by February 2023 to require all regional centers to have a plan for ensuring that they have an adequate number of service providers for all in-home respite service delivery options, including the FMS option. 11. DDS should amend its contracts with the 1 August 21 regional centers by February 2023 to direct 2024 them to train their service coordinators to explain the benefits of each of the in-home respite service delivery options so that families can determine which option will work best for them. California State Auditor Report 2023-041 31 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Department of Health Care Services Childhood Lead 1. Because of the severe and potentially permanent 3 January Levels: Millions of damage that lead poisoning can cause in children, 2022# Children in Medi-Cal DHCS should ensure that all children in Medi-Cal G Have Not Received receive lead tests by finalizing, by December 2020, Required Testing for its performance standard for lead testing of one- Lead Poisoning and two-year-olds. DHCS should use its existing data to assess the progress of managed care 2019‑105 plans in meeting that performance standard and (January 2020) impose sanctions or provide incentive payments as appropriate to improve performance. 2. To ensure that families know about the lead 3 December testing services that their children are entitled to 2021# receive, DHCS should send a reminder to get a lead test for children who missed required tests. It should send this reminder in the required annual notification it is developing to send to families of children who have not used preventive services over the course of a year. 3. To increase California’s lead testing rates and 3 Will Not improve lead test reporting, DHCS should, by no Implement later than June 2020, incorporate into its contracts with managed care plans a requirement for the plans to identify each month all children with no record of receiving a required test and remind the responsible health care providers of the requirement to test the children. DHCS should also develop and implement a procedure to hold plans accountable for meeting this requirement. • • Department 4. By September 2019, and periodically thereafter, 4 † of Health Care DHCS should conduct another risk assessment and Services: Although ensure that it includes a comprehensive evaluation Its Oversight of of which contract areas—including conflicts Managed Care Health of interest—it should focus on in its annual Plans Is Generally medical audits. Sufficient, It Needs • 5. Going forward, DHCS should conduct a 4 † to Ensure That Their comprehensive risk assessment and ensure that it Administrative reviews health plans’ conflict-of-interest controls at Expenses Are least once every three years. Reasonable and • Necessary 6. DHCS should develop and issue an All-Plan 4 † letter or other binding guidance by March 2020 2018‑115 to the health plans that specifically defines (April 2019) what constitutes reasonable and necessary administrative expenses. 7. DHCS should provide guidance to health plans on 4 Will Not what is a reasonable bonus program. In doing so, Implement DHCS should perform the necessary oversight to ensure health plans comply with this direction. continued on next page . . . 32 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Department 1. To reduce inappropriate payments made to 2 April of Health Care medical providers and ensure eligible individuals’ 2024 Services: Despite access to care, Health Care Services should, by the COVID-19 Public August 2021, begin monitoring statewide alerts Health Emergency, related to individuals identified as eligible for the Department Can Medi-Cal in a county eligibility data system but not Do More to Address identified as eligible in the state eligibility system. Chronic Medi-Cal 3. To reduce inappropriate payments made to 2 May Eligibility Problems medical providers and ensure eligible individuals’ 2024 2020‑613 access to care, Health Care Services should, by (July 2021) August 2021, expand its workgroup planning efforts to address all high-risk eligibility alerts included in the pilot program. 4. To reduce inappropriate payments made to 2 May medical providers and ensure eligible individuals’ 2024 access to care, Health Care Services should, by August 2021, resume monitoring pilot program counties’ progress in resolving high-risk eligibility alerts. 6. To ensure that it is addressing weaknesses in 2 May the counties’ processes for making eligibility 2024 redeterminations, Health Care Services should resume county monitoring via focus reviews within four months of the end of the public health emergency. Department 1. To ensure that beneficiaries in Regional Model 4 Will Not of Health Care counties have adequate access to care, DHCS Implement Services: It Has should identify by August 2020 the locations Not Ensured requiring additional providers and the types That Medi-Cal of providers required. It should also develop Beneficiaries in Some strategies for recruiting and retaining providers in Rural Counties Have those locations. If it requires additional funding to Reasonable Access complete this assessment or to implement actions to Care to address its findings, DHCS should determine the amounts it needs and request that funding from 2018‑122 the Legislature. (August 2019) 11. To ensure that it makes informed decisions 4 Will Not regarding the extension or renewal of its contracts Implement with managed care health plans, DHCS should immediately begin the practice of requesting annual feedback from the counties that the health plans serve and of using that feedback in its decision-making process. 13. To ensure that beneficiaries in the Regional 4 Will Not Model counties have reasonable access to care, Implement DHCS should evaluate by June 2020 whether the structural characteristics of a COHS Model would be better suited to providing reasonable access to care in the Regional Model counties and notify the counties whether a COHS would improve beneficiaries’ access to care. If some or all of these counties desire to transition to a COHS, DHCS should assist them in making that change after their current contracts expire. California State Auditor Report 2023-041 33 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 14. To ensure that beneficiaries in the Regional 4 Will Not Model counties have reasonable access to care, Implement DHCS should evaluate by June 2020 whether it has the financial resources to provide assistance to counties interested in establishing a COHS or other managed care model after the current Regional Model contracts expire. If DHCS does not have the required financial resources, it should seek an appropriate amount of funding from the Legislature. Department 2. To recover inappropriately spent funds, prevent 5 March of Health Care future erroneous payments, and ensure eligible 2024 Services: It individuals’ access to care, Health Care Services Paid Billions in should resolve the discrepancies we identified and Questionable recover erroneous payments where allowable by Medi-Cal Premiums June 30, 2019. and Claims Because 3. To prevent future erroneous payments, Health 5 March It Failed to Follow Care Services should implement procedures by 2024 Up on Eligibility December 31, 2018 to ensure the timely resolution Discrepancies of system discrepancies. These procedures should 2018‑603 include Health Care Services regularly following (October 2018) up on recurring, unresolved system discrepancies with the responsible county. 4. To prevent future erroneous payments, Health 5 March Care Services should establish procedures by 2024 December 31, 2018 that define when it will use its authority as defined in state law to sanction unresponsive counties that do not remedy known discrepancies. 6. To assist counties in addressing discrepancies, 5 March Health Care Services should reevaluate and update 2024 its guidance to the counties related to prioritizing MEDS alerts by December 31, 2018. Department 6. To increase access to preventive health services 4 Will Not of Health Care for children in areas where they are needed most, Implement Services: Millions of DHCS should identify by September 2019 where Children in Medi-Cal more providers who see children are needed and Are Not Receiving propose to the Legislature funding increases to Preventive Health recruit more providers in these areas. Services 8. To ensure that eligible children and their families 4 March 2018‑111 know about all the preventive services they are 2023# (March 2019) entitled to through Medi-Cal, DHCS should include by May 2019 clearer and more comprehensive information about those services in its written materials and by September 2019 ensure annual follow-up with any children and their families who have not used those services. 11. To ensure that plans address underutilization of 4 July children's preventive services, DHCS should require 2023# plans by September 2019 to use their utilization management programs to identify barriers to usage specifically for these services and hold the plans accountable to address the barriers they identify. continued on next page . . . 34 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 12. To better ensure the accuracy of its data and 4 January ensure that California receives all available 2023# federal Medicaid funding, DHCS should require its EQRO to perform its encounter data validation studies annually using the most recent set of data available, and it should implement recommendations from its EQRO studies. 13. To ensure that plan provider directories are 4 September accurate, by September 2019, DHCS should 2023# begin using a 95 percent confidence level and not more than a 10 percent margin of error on its statistical sampling tool and should require at least 95 percent accuracy before approving a plan's provider directory. In addition, DHCS should ensure that its staff adhere to its policy to retain all documentation related to its review of provider directories for at least three years. 14. To mitigate health disparities for children of 4 January differing ethnic backgrounds and language 2023# needs, DHCS should revise by September 2019 the methodology for its EQRO's health disparity study to enable it to better make demographic comparisons, and it should use the findings to drive targeted interventions within plan service areas. It should publish this study annually. 16. To help increase utilization rates, DHCS should 4 2023# begin by September 2019 to monitor and identify effective incentive programs at the plan level and share the results with all plans. 18. To improve its ability to ensure that children 4 January are receiving recommended preventive health 2023# services, DHCS should create by September 2019 an action plan to annually address the EQRO's recommendations relating to children's preventive services, including recommendations left unaddressed from the previous two years' reports. • Follow‑Up: Children 2. To ensure that health plans address underutilization 1 † in Medi‑Cal: of children's preventive services, DHCS should The Department of require plans to use their utilization management Health Care Services programs to identify barriers to usage specifically Is Still Not Doing for these services and hold the plans accountable Enough to Ensure to address the barriers they identify. That Children in 3. To better ensure the accuracy of its data and ensure 1 † • Medi-Cal Receive that California receives all available federal Medicaid Preventive Health funding, DHCS should require its External Quality Services Review Organization (external reviewer) to perform 2022‑502 its encounter data validation studies annually using (September 2022) the most recent set of data available, and it should implement recommendations from its external reviewer studies. California State Auditor Report 2023-041 35 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 4. To mitigate health disparities for children of 1 † • differing ethnic backgrounds and language needs, DHCS should revise the methodology for its external reviewer's health disparity study to enable it to better make demographic comparisons, and it should use the findings to drive targeted interventions within health plan service areas. It should publish this study annually. 6. To ensure that eligible children and their families 1 † • know about all the preventive services they are entitled to through Medi-Cal, DHCS should include clearer and more comprehensive information about those services in its written materials and ensure annual follow-up with any children and their families who have not used those services. 7. To ensure that health plan provider directories are 1 July accurate, DHCS should begin using a 95 percent 2024 confidence level and not more than a 10 percent margin of error on its statistical sampling tool and should require at least 95 percent accuracy before approving a health plan's provider directory. In addition, DHCS should ensure that its staff adhere to its policy to retain all documentation related to its review of provider directories for at least three years. 8. To increase access to preventive health services 1 Will Not for children in areas where they are needed most, Implement DHCS should identify where more providers who see children are needed and propose to the Legislature funding increases to recruit more providers in these areas. Mental Health 6. To ensure that local mental health agencies 5 December Services Act: The appropriately spend MHSA funds, Health Care 2021# State Could Better Services should publish its proposed regulations D Ensure the Effective in the California Regulatory Notice Register Use of Mental Health by September 2018. It should then develop Services Act Funding and implement an MHSA fiscal audit process, independent of the Medi-Cal reviews, to review 2017‑117 revenues and expenditures for the most recent (February 2018) fiscal year. Proposition 56 12. To ensure that it awards funds to applicants 2 Will Not Tobacco Tax: State who address the need for providers in health Implement Agencies’ Weak professional shortage areas, Health Care Services F Administration should amend its application selection process to Reduced Revenue require by June 2021 that all participants practice by Millions of in geographic areas that have shortages of such Dollars and Led to health care professionals, and annually verify that the Improper Use participants continue to practice in such areas. and Inadequate Disclosure of Funds 2019‑046 (January 2021) continued on next page . . . 36 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • • Skilled Nursing 12. Health Care Services should use current data to 5 † Facilities: revise and update the peer groups it uses to set Absent Effective Medi-Cal rates. In doing so, it should take into C State Oversight, consideration the consolidation of the nursing Substandard facility industry. Quality of Care Has Continued 2017‑109 (May 2018) Department of State Hospitals Investigations of 1. Within 30 days, the Department of State Hospitals 3 Unknown Improper Activities (State Hospitals) should consult with the California by State Agencies Department of Human Resources (CalHR) to obtain and Employees: its determination about whether telepsychiatrists Wasteful and meet the criteria for safety retirement benefits. Improper Personnel If CalHR determines that telepsychiatrists do Decisions, Improper not meet the criteria for safety retirement Contracting, Conflict benefits, take immediate action to reclassify of Interest, Misuse of telepsychiatrists to the appropriate retirement State Resources, and category and notify all affected employees. Dishonesty 2. Within 30 days, State Hospitals should consult with 3 Unknown I2020‑2 CalHR, the California Public Employees’ Retirement (October 2020)‡ System, and the State Controller’s Office (SCO) to retroactively correct any errors made to affected employees’ retirement contributions, including Social Security deductions. 3. Within 60 days, State Hospitals should distribute 3 Unknown CalHR’s policy on the safety retirement benefits designation to HR staff at each state hospital facility and instruct staff to consult with CalHR as the law requires. Mental Health Services Oversight and Accountability Commission • Mental Health 10. To ensure that the MHSA-funded triage grants are 5 † Services Act: The effective, the Oversight Commission should require State Could Better that local mental health agencies uniformly report D Ensure the Effective data on their uses of triage grants. It should also Use of Mental Health establish statewide metrics to evaluate the impact Services Act Funding of triage grants by July 2018. 2017‑117 (February 2018) California State Auditor Report 2023-041 37 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Office of Statewide Health Planning and Development Skilled Nursing 10. To ensure that it provides the public with 5 Unknown Facilities: nursing facility information that is accurate and C Absent Effective comprehensible, Health Planning should update State Oversight, its regulations to do the following: Substandard • Append additional schedules to the template for Quality of Care Has the annual cost report to enable nursing facilities Continued to fully disclose related-party transactions. 2017‑109 • Provide a single location in the annual cost (May 2018) report template for nursing facilities to enter related-party transaction amounts next to the amounts they are claiming for Medi-Cal reimbursement. • Create an additional schedule in the cost report template that depicts how a company is investing in quality-of-care improvements. HIGHER EDUCATION Chancellor of the California Community Colleges • California 4. To ensure that students with disabilities have equal 5 † Community access to instructional materials, by June 2018, Colleges: The the Chancellor’s Office should develop guidance Q Colleges Reviewed for the community colleges on periodically Are Not Adequately monitoring the accessibility of instructional Monitoring Services materials and on providing training to all for Technology instructors in making their materials accessible to Accessibility, students with disabilities. and Districts and 7. To assist all community colleges in increasing 5 Will Not Colleges Should transparency of their shared governance Implement Formalize Procedures decision-making processes, by September 2018, for Upgrading the Chancellor’s Office should issue guidance Technology to the community colleges on establishing 2017‑102 procedures to document the attendees, input (December 2017) received, and agreements reached during department meetings, including those to consider technology equipment requests. • K–12 Strong 2. To enhance the quality of information the selection 1 † Workforce Program: committees have available when determining State and Regional whether applications best meet the workforce Administrative program's goals, beginning with the fiscal Shortcomings year 2022–23 grant application period, the Limit the Program's Chancellor's Office should provide examples that Effectiveness in address all of the eligibility criteria. Supporting Grant Applicants 2021‑101 (February 2022) continued on next page . . . 38 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION The California State University • California State 3. To improve CSU’s financial transparency with 4 † University: It Failed students and other stakeholders, the Chancellor’s to Fully Disclose Its Office, with the approval of the trustees, should $1.5 Billion Surplus, revise CSU policy by October 2019 to require that and It Has Not it publish information about CSU’s discretionary Adequately Invested surplus. At a minimum, the Chancellor’s Office in Alternatives should revise its reserve policy to establish and to Costly Parking justify a minimum sufficient level of reserve for Facilities economic uncertainty and require the Chancellor’s Office to provide additional oversight to ensure 2018‑127 that CSU maintains that level. This oversight (June 2019) should include monitoring, approving, and notifying the trustees of any uses of the reserve for economic uncertainty. 9. The Chancellor’s Office should require that, by 4 March October 2019, the campuses publish the names of 2020# the alternate transportation committee members, the committee meeting minutes, and the committee meeting schedule on their parking and transportation services websites. • • California State 3. To ensure that CSU campuses adequately identify 3 † University: the need for their proposed mandatory fee The Mandatory amounts, the Chancellor’s Office should revise its Fees Its Campuses fee policy to require campuses to justify amounts Charge Receive for new or increasing fees by providing supporting Little Oversight Yet documentation demonstrating the need for the They Represent an fees, how they calculated the fee amounts, and Increasing Financial how they determined that no other source of Burden to Students funding could pay for the needed services. • • 2019‑114 4. To ensure that CSU campuses adequately identify 3 † (May 2020) the need for their proposed mandatory fee amounts, the Chancellor’s Office should extend its review responsibilities to include increases to existing mandatory fees. • • 5. To ensure that CSU campuses adequately identify 3 † the need for their proposed mandatory fee amounts, the Chancellor’s Office should increase the rigor of its fee proposal review and approval process to better ensure that it detects campuses’ violations of the fee policy. University of California • The University of 1. To protect the fairness and integrity of its 3 † California: Qualified admissions processes, the Office of the President Students Face an should establish systemwide protocols for Inconsistent and admissions processes by the fall 2021 admissions Unfair Admissions cycle that prohibit the following: System That Has • Giving authority to any one person to make a Been Improperly final admissions decision. Influenced by • Consideration of an applicant’s familial or other Relationships and personal relationships to university staff or Monetary Donations faculty in an admissions decision. 2019‑113 • Communication between a campus’s (September 2020) development office and its admissions office about applicants and prospective applicants. California State Auditor Report 2023-041 39 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • 2. To protect the campuses’ athletics admissions 3 † process from abuse, the Office of the President should require each campus to do the following by the fall 2021 admissions cycle: • Have at least two reviewers verify the athletic talent of all prospective student athletes before their admittance. At least one of these reviewers should be from a department other than the athletics department. Each campus should develop standards for the level of talent that prospective student athletes for each of its teams must possess and then use those standards to verify the talent. • Track student athletes’ participation in the sport for which they were recruited. If a student does not participate in the sport for longer than one year, the campus should determine the reason why the athlete stopped participating and, if necessary, conduct a review of the circumstances that led to the student’s admission to identify signs of inappropriate admissions activity. • Review donations to athletic programs to determine whether those donations made before or after an athlete’s admission may have influenced the athletic department’s decision to request the athlete’s admission. 4. Beginning with the fall 2021 admissions cycle, 3 Will Not the Office of the President should oversee Implement UC Berkeley’s admissions process for at least three years. The Office of the President should ensure that all admissions decisions are merit-based and conform to the university’s policies on admissions. Further, the Office of the President should facilitate the establishment of a culture of ethical conduct in admissions by providing regular training to admissions and development staff, conducting reviews of admissions decisions, and monitoring the admissions office’s communications about applicants to ensure no inappropriate factors influence admissions activities. continued on next page . . . 40 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • 5. To ensure that the university maintains a fair and 3 † consistent admissions process, the Office of the President should require each campus to take the following actions: • By March 2021, document and implement a selection methodology that describes how it will choose applicants for admission, particularly when the applicants have received similar ratings from application readers. Further, the selection strategy should specify the reasons why a campus may choose an applicant with a low or uncompetitive rating instead of an applicant with a higher rating. • Develop and implement processes to use when selecting applicants for admission for identifying applicants whom it has selected for admission and who are not eligible for admission to the university, and record their rationale for admitting those applicants despite their ineligibility. • 7. To ensure that the university maintains a fair and 3 † unbiased admissions process, the Office of the President should require each campus to take the following actions: • By March 2021, establish acceptable levels of application reader proficiency and maintain training and monitoring programs that ensure that its readers attain and sustain those levels. In addition, it should report annually to BOARS on those efforts and on reader consistency levels, including the frequency with which reader ratings align with campus guidelines for rating applications. • Beginning with the academic year 2021–22 admissions cycle, require each campus that does not admit all eligible transfer applicants to ensure that two readers review all transfer applications. • Beginning with the academic year 2021–22 admissions cycle, ensure that the second readers cannot see the ratings of first readers for both freshman and transfer applications. 8. To better ensure that implicit bias in the evaluation 3 Will Not of applications does not affect applicants’ chances Implement at admission, the Office of the President should remove potentially biasing information from the application information that campuses can access. California State Auditor Report 2023-041 41 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • 10. To better safeguard the integrity of the university’s 3 † admissions processes, the Office of the President should, by July 2021, begin conducting regular audits of the admissions processes at each of its undergraduate campuses, ensuring that it reviews each campus at least once every three years. These audits should be conducted by systemwide audit staff and include, but not be limited to, verification of special talents, communication between admissions staff and external parties regarding applicants, and other avenues for inappropriate influence on admissions discussed in this report. The audits should also endeavor to identify inappropriate admissions activity and deficiencies in the admissions process. The Office of the President should make the results of the audits public. University of California, Merced • • Higher Education 14. To maximize the available HEERF funds, UC Merced 1 † Emergency Relief should review expenses it incurred in response to Fund: Some the pandemic since January 2020 and submit all University Campuses eligible expenses to FEMA for reimbursement. The Did Not Maximize campus should reallocate any HEERF funds initially Available Federal spent for these expenses to other purposes, such Pandemic Funds, as replacing lost revenue or providing additional and They Prioritized student aid. Students Differently • • 15. To ensure that UC Merced receives all available 1 † When Awarding federal funds, its office of student affairs should Relief Funds monitor its emails for grant award notifications 2021‑611 and develop policies and procedures to review (November 2021) all federal award announcements to determine whether it is named as a recipient. • • 16. To comply with federal regulation, UC Merced 1 † should promptly spend the remainder of its CARES MSI funds and return the interest earned on those funds in excess of $500 to the federal government. K–12 EDUCATION California Department of Education Community Child 4. To make its appeal process more accessible 5 Will Not Care Council to families who may not receive a satisfactory Implement of Santa Clara resolution from its contractors, Education should, County: Because by October 2018, require that its contractors It Disadvantaged share key information in their communications Some Families and with families about the process for appealing Misused State Funds, notices. The required information should include It Could Benefit From valid grounds for a family to file an appeal as Increased Monitoring well as information or documentation Education by the California would need in order to review the family's appeal Department of of adverse decisions regarding their child-care Education services. Education should also require contractors to incorporate this information into contractually 2017‑116 mandated staff training and into publicly available (April 2018) policies and procedures. continued on next page . . . 42 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 11. To ensure that its contractors can effectively make 5 Will Not program improvements and maintain successes Implement in ways that are meaningful to their stakeholders, Education should adopt measures to ensure its contractors follow the terms of their contracts by demonstrating that their board members conduct a critical appraisal of each education program. • California 3. To ensure that LEAs effectively use their ESSER 2 † Department of and GEER funds before the spending deadlines to Education: It mitigate the effects of the pandemic on students, Needs to Provide Education should develop a robust process for Better Oversight tracking LEAs’ spending of these funds. As part to Ensure That of this process, Education should regularly assess Local Educational LEAs’ spending data to identify those that may be Agencies Promptly in jeopardy of not spending all of their allocations and Effectively Use before the deadlines. This assessment should Federal COVID-19 include projecting LEAs’ future spending based on Funds their spending patterns. • 2021‑614 4. To ensure that LEAs effectively use their ESSER 2 † (October 2021) and GEER funds before the spending deadlines to mitigate the effects of the pandemic on students, Education should develop a robust process for tracking LEAs’ spending of these funds. As part of this process, Education should follow up with identified LEAs to determine whether they have plans for spending all of their funds before the deadlines and whether these plans are reasonable. • Proposition 56 16. To obtain its full share of the fiscal year 2017–18 2 † Tobacco Tax: Proposition 56 revenues, Education should negotiate State Agencies’ with Finance and Public Health to ensure that it F Weak Administration receives the full amount of its proportional share Reduced Revenue of the fiscal year 2017–18 Proposition 56 funds. by Millions of Dollars and Led to the Improper Use and Inadequate Disclosure of Funds 2019‑046 (January 2021) Youth Experiencing 34. To ensure that it has the resources necessary to 3 Will Not Homelessness: effectively meet its responsibilities under federal Implement S California’s Education law, Education should complete a staffing analysis System for K–12 by May 2020 to determine the resources needed Inadequately to meet its responsibilities for homeless education. Identifies and This analysis should consider the resources needed Supports These Youth to implement all of the recommendations in this report. 2019‑104 (November 2019) 35. If Education determines that it needs additional 3 Will Not resources, it should take the necessary steps, Implement including reallocating existing resources within the department, to secure the needed resources. California State Auditor Report 2023-041 43 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Youth Suicide 2. To promote the adoption of the best practices 3 October Prevention: that it has identified, Education should remind 2024 Local Educational LEAs of the elements in its model policy. To do so, U Agencies Lack the it should annually send a notice to all LEAs that Resources and describes suicide prevention resources, such as the Policies Necessary to model policy, and encourages their use. Education Effectively Address should also work with external organizations that Rising Rates of maintain model policies, including the School Youth Suicide and Boards Association, to encourage the development Self-Harm of policies that are consistent with state law and best practices by no later than September 2021. 2019‑125 (September 2020) 3. To encourage LEAs to incorporate elements of 3 October suicide prevention training that provide teachers 2024 and staff with the knowledge necessary to assist students at risk of self-harm and suicide, Education should remind all LEAs of the statutorily required elements for suicide prevention training. LABOR AND WORKFORCE DEVELOPMENT Department of Industrial Relations • • Department 4. To ensure consistency and transparency in 3 † of Industrial overseeing QMEs, DWC should, by April 2020, Relations: Its Failure develop and implement written policies and to Adequately procedures that define and specify its internal Administer the processes for disciplining QMEs, including Qualified Medical timelines for taking disciplinary action and Evaluator Process for scheduling hearings or responding to May Delay Injured settlement proposals. Workers’ Access to • • 5. To ensure consistency and transparency in 3 † Benefits overseeing QMEs, DWC should, by April 2020, 2019‑102 develop and implement written policies and (November 2019) procedures that define its internal process for reappointing QMEs and how that process should proceed if any disciplinary investigations are pending. LEGISLATIVE, JUDICIAL, AND EXECUTIVE California Department of Justice Bureau of 7. To minimize the degree to which its process to 4 Fall Gambling Control change its regulations may result in the disparate 2023# and California treatment of card room owners, the bureau should Gambling Control temporarily approve or deny its backlogged games Commission: Their applications by July 2019. Licensing Processes Are Inefficient and Foster Unequal Treatment of Applicants 2018‑132 (May 2019) continued on next page . . . 44 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 12. To better align the revenue in the Gambling 4 Spring Fund with the costs of the activities that the 2024 fund supports, the bureau and the commission should conduct cost analyses of those activities by July 2020. At a minimum, these cost analyses should include the following: • The entities’ personnel costs, operating costs, and any program overhead costs. • Updated time estimates for their core and support activities, such as background investigations. • The cost of their enforcement activities. Using this information, the bureau and commission should reset their regulatory fees to reflect their actual costs. Before conducting its fee study, the bureau should implement our recommendations to improve its processes for assigning applications, ensuring the completeness of applications, and developing time-reporting protocols. 21. To ensure that it can provide useful and accurate 4 Unknown data on the locations where enforcement employees spend their time, the bureau should equip its time-reporting system by November 2019 with the capacity to track all hours employees spend at each card room and casino. California Hospice 2. To improve its ability to investigate possible 1 Fall Licensure and fraud and abuse, DOJ should provide guidance 2023# Oversight: The to Public Health about the types of information K State's Weak Public Health should include when it refers Oversight of Hospice complaints that allege fraud to DOJ. Further, Agencies Has Created DOJ should also document a procedure for Opportunities for following up on complaints that do not include Large-Scale Fraud adequate information. and Abuse 2021‑123 (March 2022) Hate Crimes 4. To increase the effectiveness of hate crime 5 Fiscal Year in California: prevention and response efforts, DOJ should 2025–26 Law Enforcement provide additional guidance to law enforcement Has Not Adequately agencies by analyzing reported hate crimes in Identified, Reported, various regions in the State and sending advisory or Responded to notices when it detects hate crimes happening Hate Crimes across multiple jurisdictions. It should also seek the resources to implement these efforts, if necessary. 2017‑131 (May 2018) California State Auditor Report 2023-041 45 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION Indian Gaming 6. To ensure that its employees allocate their activities 1 January Special Distribution to the correct funding sources, the Bureau should: 2025 Fund: The State • Formalize procedures for employees on how Could Better Manage to properly track their time, including which Its Distribution Fund activities may be charged to the distribution and Its Problem fund, and provide training on those procedures Gambling Programs by October 2022. 2021‑102 • Conduct quarterly audits of employee (August 2022) timekeeping to ensure that employees appropriately track their time and that supervisors appropriately review and approve employee timesheets, beginning with the first quarter of fiscal year 2022–23. • Continue with its planned rollout of a new timekeeping system in January 2025 and ensure that the new system does not allow employees to charge nontribal activities to the distribution fund. The Child Abuse 3. Until the Legislature amends state law and DOJ 1 Unknown Central Index: develops processes to use the CWS/CMS data H The Unreliability of for child abuse background checks, DOJ should This Database Puts immediately develop a process for responding Children at Risk to child abuse background checks that includes and May Violate checking CACI and the list of 298 reports of child Individuals' Rights abuse that were not supported by county records, and working with the California Department of 2021‑112 Social Services to check the list of 27,000 reports (May 2022) of substantiated child abuse that were not contained in CACI. If the individual is on either list, DOJ should follow up with the relevant county to determine whether the individual's report should be included in CACI. 4. Until the Legislature amends state law and DOJ 1 Unknown develops processes to use the CWS/CMS data for child abuse background checks, DOJ should collaborate with Social Services by November 2022 to identify and reconcile all reports that should have been submitted to CACI by counties. Work with counties to enter all missing reports into CACI by June 2023. This collaboration should not be limited to the reports in our four-year audit period. 7. Until the Legislature amends state law and DOJ 1 Unknown develops processes to use the CWS/CMS data for child abuse background checks, and to prevent omissions in CACI reporting, DOJ should develop policies and procedures by November 2022 to reconcile CACI with monthly reports from Social Services to verify that counties have submitted— and DOJ has entered or deleted as appropriate— all reports into CACI. continued on next page . . . 46 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION • 8. To ensure that authorized users have accurate and 1 † complete information, by July 2022, DOJ should send revised letters for the suspects whose reports of child abuse were omitted from CACI and for individuals inappropriately included in CACI. To ensure that it is able to revise expedited letters if they are later determined to be incorrect, DOJ should immediately begin maintaining a history of all responses to expedited background checks. 9. To ensure that suspects' information is deleted 1 Unknown from CACI in accordance with state law, by November 2022, DOJ should research and address the 36,000 reports in CACI lacking birth dates by entering the suspect's correct birth date and removing suspects who no longer meet the CACI requirements. California Department of Tax and Fee Administration The Bradley‑Burns 6. To help address California’s e-commerce tax 5 Will Not Tax and Local gap and further ensure out-of-state retailers’ Implement Transportation compliance with state law regarding nexus, Tax Funds: Changing the Administration should implement a two-year pilot Allocation Structure of its authorized reward program for information for the Bradley-Burns resulting in the identification of unreported sales Tax Would Result and use taxes. in a More Equitable Distribution of Local Transportation Funding 2017‑106 (November 2017) California Governor’s Office of Emergency Services California Is Not 12. To ensure that it fulfills its responsibilities 3 April Adequately Prepared under state law, Cal OES should, by no later 2024 to Protect Its Most than June 2020, issue the guidance that state R Vulnerable Residents law requires it to produce related to access From Natural and functional needs, including guidance Disasters related to establishing disaster registries and guidance on evacuating people with access and 2019‑103 functional needs. (December 2019) 13. To ensure that it adequately equips local 3 October jurisdictions to send alert and warning messages 2023# in languages that their residents will easily understand, Cal OES should do the following: • Provide clear direction to individuals who speak English so that they know which of the translated messages they should use in what specific circumstances; revise the messages it has provided so that local jurisdictions can more easily adapt them for use in a variety of disaster situations; expand its style guide to include terminology that emergency managers are likely to need to effectively modify their local messages and also to include translations for the other commonly spoken languages in the State. California State Auditor Report 2023-041 47 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION California State Lottery Commission California State 4. To adhere to the Lottery Act’s education funding 3 Will Not Lottery: The Lottery requirements, beginning with fiscal year 2020–21, Implement Has Not Ensured That the Lottery Commission should require its staff to It Maximizes Funding demonstrate that they have planned for education for Education funding to be maximized and aligned with the proportionality requirement of the Lottery Act, 2019‑112 and approve only those budgets that plan for (February 2020) such funding. It should then monitor actual education funding and ensure that it complies with the requirement. 7. To ensure that it receives value for the funding it 3 July spends on its fairs program, by January 2021, the 2024 Lottery should determine whether the program has increased its brand strength, customer loyalty, customer satisfaction, ticket sales, and profits. If the analysis determines that the Lottery has not achieved these benefits, it should terminate the program. California Tax Credit Allocation Committee California’s Housing 5. To ensure that the allocation of bonds aligns 2 Will Not Agencies: The State with the State’s housing priorities and that its Implement Must Overhaul awards process is sufficiently transparent, the Its Approach to Tax Committee should, by May 2021, establish Affordable Housing regulations to do the following: Development to • Consistently allocate bonds based on factors Help Relieve Millions including demand for bond resources, use of Californians’ of previously allocated bonds, documented Burdensome Housing legislative priorities, and risk of allocated bonds Costs being lost. 2020‑108 • Document and disclose annually in its public (November 2020) meetings and on its website the extent of any bonds lost, the purpose for which the bonds were allocated, and the rationale for the allocation. Commission on Judicial Performance Commission 14. To maximize the resources available for its core 4 Will Not on Judicial functions, CJP should immediately begin exploring Implement Performance: options for relocating its office to a less expensive Weaknesses in location and relocate as soon as possible. Its Oversight Have Created Opportunities for Judicial Misconduct to Persist 2016‑137 (April 2019) continued on next page . . . 48 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION State Bar of California The State Bar of 5. To ensure that it is operating efficiently, the 2 January California: It Is State Bar should assess the impact of its discipline 2023# Not Effectively system reorganization, including determining Managing Its System how the changes have affected its ability to for Investigating efficiently resolve cases and fulfill its mandate and Disciplining to protect the public. Based on the assessment’s Attorneys Who Abuse results, the State Bar should determine whether the Public Trust additional changes to its organizational structure are warranted. 2020‑030 (April 2021) 6. To determine whether the changes to its discipline 2 January process have been effective and to help it identify 2023# problems in specific phases of its process before they affect the backlog, the State Bar should implement methods to monitor its enforcement process performance, including comparing the trial counsel staff ‘s performance against its benchmarks. 8. To reduce its backlog of discipline cases and 2 December ensure that it has appropriately allocated resources 2023# to all phases of its discipline process, the State Bar should determine the staffing level necessary to achieve the goal it develops and recommends, as required by state law. 9. To reduce its backlog of discipline cases and 2 June ensure that it has appropriately allocated 2023# resources to all phases of its discipline process, the State Bar should work with the Legislature to establish the backlog measure and goal it develops and recommends, and to revise its reporting requirements accordingly. If necessary, the State Bar should also request the additional resources required to meet the goal. • • The State Bar 4. To ensure that it fulfills its duties to investigate 1 † of California's attorney misconduct, by April 2023, the State Bar Attorney Discipline should begin monitoring compliance with its new Process: Weak policy for identifying the circumstances in which Policies Limit Its investigators should continue to investigate even if Ability to Protect the the complainant withdraws the complaint. Public From Attorney • • 8. To improve its ability to identify and prevent 1 † Misconduct conflicts of interest that its staff may have with 2022‑030 attorneys who are subjects of complaints, the (April 2022) State Bar should develop a process by July 2022 for monitoring the accuracy of the information in its case management system used to flag attorneys with whom its staff have declared a conflict of interest. 13. To ensure that it appropriately reviews complaints 1 July involving overdrafts and alleged misappropriations 2023# from client trust accounts, the State Bar should, by July 2022, revise its intake manual to disallow de minimis closures if the attorney has a pending or prior bank reportable action or case alleging a client trust account violation. California State Auditor Report 2023-041 49 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 14. To ensure that it appropriately reviews complaints 1 July involving overdrafts and alleged misappropriations 2023# from client trust accounts the State Bar should, by July 2022, establish a monitoring system to ensure staff are following its policies for de minimis closures. 15. To ensure that it appropriately reviews 1 July complaints involving overdrafts and alleged 2023# misappropriations from client trust accounts, by July 2022, the State Bar should, when investigating client trust account-related cases and bank reportable actions not closed de minimis, require its staff to obtain both the bank statements and the attorney's contemporaneous reconciliations of the client trust account, and determine if the relevant transactions are appropriate. NATURAL RESOURCES Office of Energy Infrastructure Safety Electrical System 6. To ensure that utilities are targeting the areas 1 Will Not Safety: California's of highest fire risk for mitigation activities, the Implement Oversight of Energy Safety Office should revise its internal J the Efforts by procedures for reviewing mitigation plans by Investor-Owned March 2023 to designate the prioritization of Utilities to Mitigate mitigation activities as a critical issue that must be the Risk of Wildfires appropriately addressed before a mitigation plan Needs Improvement can be approved. 2021‑117 (March 2022) San Francisco Bay Conservation and Development Commission • • San Francisco Bay 10. To ensure that it maximizes the efficiency 4 † Conservation and and effectiveness of its enforcement and Development permitting programs, the commission should, by Commission: Its January 2020, develop guidance that enumerates Failure to Perform the violation types that the commissioners deem Key Responsibilities worthy of swift enforcement action, those that Has Allowed staff can defer for a specified amount of time, and Ongoing Harm to the those that do not warrant enforcement action or San Francisco Bay that can be resolved through fines. 2018‑120 16. To ensure that it maximizes the efficiency and 4 Will Not (May 2019) effectiveness of its enforcement and permitting Implement programs, the commission should, by January 2020, appoint a new citizens' advisory committee as required by law and determine a schedule for the committee to conduct regular meetings. 17. To ensure that it uses the abatement fund for 4 Will Not the physical cleanup of the Bay, the commission Implement should create a policy by January 2020 identifying the minimum amounts it will disburse and prioritizing the projects that it will support through disbursements to the appropriate entities. continued on next page . . . 50 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION 18. To build on prior recommendations and ensure 4 2023# that it maximizes the effectiveness of its enforcement program, the commission should, by January 2021, conduct a workforce study of all its permit and regulatory activities and determine whether it requires additional staff, including supervisors, to support its mission. 20. To build on prior recommendations and ensure 4 July that it maximizes the effectiveness of its 2023# enforcement program, the commission should, by January 2021, update its existing database or create a new database to ensure that it can identify and track individual violations within each case, including the date staff initiate the standardized fines process for each violation. As part of this process, the commission should review its database and update it as necessary to ensure that it includes all necessary and accurate information, specifically whether staff initiated the standardized fines process for open case files and for those case files closed within the past five years. • • 22. To ensure consistency in its enforcement program, 4 † the commission should, by January 2021, create and implement regulations that define substantial harm, provide explicit criteria for calculating the number of violations present in individual enforcement cases, and specify a process to handle any necessary exceptions to the criteria. • 23. To ensure consistency in its enforcement program, 4 † the commission should, by January 2021, create and implement regulations to allow it to use limited monetary fines to resolve selected minor violations that do not involve substantial harm to the Bay. • 24. To ensure consistency in its enforcement program, 4 † the commission should, by January 2021, update its regulations on permit issuance to offer greater clarity on the types of projects for which staff may issue permits without commissioners' hearings. TRANSPORTATION California Department of Transportation Investigations of 11. Caltrans should calculate the cost of the vehicle 1 January Improper Activities misuse and pursue collection of the funds from 2024 by State Agencies the superintendent. and Employees: Inexcusable Neglect of Duty, Inefficiency, Improper Payments, Misuse of State Resources, Attendance Abuse, and Improper Hiring I2022‑1 (May 2022)‡ California State Auditor Report 2023-041 51 January 2024 STATE AUDITOR’S ASSESSMENT REPORT TITLE, NUMBER OF YEARS ESTIMATED AUDITEE DID NOT AUDITEE DID NOT RECOMMENDATION SUBSTANTIATE ADDRESS ALL NUMBER, AND ISSUE RECOMMENDATION DATE OF HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE DATE THIS REPORT COMPLETION IMPLEMENTATION RECOMMENDATION California High‑Speed Rail Authority • California 4. To enable policymakers and the public to track the 4 † High‑Speed Rail Authority’s progress toward meeting the federal Authority: Its Flawed grant deadline of December 2022, the Authority Decision Making should, by January 2019, begin providing quarterly and Poor Contract updates to the Legislature detailing the progress of Management the three Central Valley construction projects using Have Contributed an earned value model that compares construction to Billions in Cost progress to the projected total completion cost Overruns and Delays and date. The Authority should base these updates in the System’s on the most current estimates available. Construction 2018‑108 (November 2018) † Contrary to our determination, the audited agency believes it has fully implemented the recommendation. ‡ Before publishing a report of an investigation, we provide the head of each department or agency involved with a copy of the investigative report, including any recommendations. Therefore, in calculating how long a recommendation has been outstanding, we use the date the investigative report was provided to the department or agency, not the date the report was published. # The estimated date of completion precedes the publication of this report because, as of November 2023, the auditee did not claim full implementation of this recommendation and did not provide an updated estimated date of completion. 52 California State Auditor Report 2023-041 January 2024 Blank page inserted for reproduction purposes only. California State Auditor Report 2023-041 53 January 2024 Table 3 Recommendations Made to Nonstate Entities That Are More Than One Year Old and Are Still Not Fully Implemented (Reports Issued From November 2017 Through October 2022) STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION NONSTATE ENTITIES Alameda County Probation Department Batterer Intervention 13. To ensure program compliance with state law, 1 October Programs: State Guidance Alameda Probation should, by April 2023, 2024 and Oversight Are Needed to formalize comprehensive program standards P Effectively Reduce Domestic for program providers that present clear Violence guidance on the department's expectations and the documentation it will review to verify 2021‑113 compliance with state law. The probation (October 2022) department should distribute these standards to program providers during their initial application and approval process and again annually during the renewal process. 14. To ensure that program providers comply 1 October with probation departments' standards and 2025 state law, Alameda Probation should develop and follow formalized policies and procedures for approving, renewing, and conducting comprehensive ongoing monitoring of program providers by April 2023. These policies should specify the frequency of monitoring, the documentation the department will require of program providers to demonstrate compliance, and the specific actions the department will take when a provider is noncompliant. 15. To comply with state law, Alameda Probation 1 October should immediately implement record 2024 retention policies to maintain documentation on all offenders for five years after the offenders complete or are terminated from probation. • • 16. To ensure that the courts can provide an 1 † offender with a selection of available program providers and their costs before the offender agrees to attend a program as a condition of probation, Alameda Probation should maintain standard program fee information and sliding fee scales for each of the providers it oversees, and make this information available to the courts by April 2023. Alum Rock Union School District Alum Rock Union 5. By November 2019, the district should 4 † • • Elementary School District: develop contract monitoring procedures The District and Its Board with defined staff roles and responsibilities, Must Improve Governance including retaining evidence of monitoring and Operations to Effectively efforts. The district should also train its staff Serve the Community to follow these procedures. 2018‑131 (May 2019) continued on next page . . . 54 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 6. By November 2019, the district should 4 June develop procedures specifying a designated 2021# location for staff to retain contracts and related documentation and identifying those staff who are responsible for ensuring that these documents are stored appropriately. The district should also train staff to follow these procedures. • • 7. By November 2019, the district should work 4 † with the county office to ensure that its new financial system includes unique identifiers for contract payment authorization documents. • • 8. To identify its contracted personnel's 4 † potential conflicts of interest, the district should develop and implement a process by November 2019 to assess whether contracted personnel should be classified as consultants and are therefore subject to the district's code for disclosing financial interests. • • 9. The district should immediately follow its 4 † conflict-of-interest code to ensure that all required individuals file Forms 700. • 12. To ensure compliance with government 4 † transparency laws in future meetings, the board should ensure that it publicly identifies all parties involved in real estate negotiations prior to entering closed sessions. • • 19. To increase the board's accountability and 4 † ensure the prudent spending of district funds, the board should implement procedures by August 2019 requiring that its members document on their requests for reimbursement how their travel complies with district policy. • • 22. To demonstrate its commitment to 4 † improving its governance over the district's operations, the board should immediately direct district staff to track and prioritize the implementation of the remaining outstanding recommendations from the FCMAT audit report. The board should also direct staff to analyze the recommendations relating to its terminated contracts with Del Terra, identify those recommendations that will continue to be relevant after the appointment of a new construction manager and a new program manager, and implement policies to strengthen the district's monitoring of those contractors. The board should then monitor the status of the recommendations to ensure their implementation. California State Auditor Report 2023-041 55 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • • 24. To reinforce the ethical principles, laws, 4 † and policies that the board must follow, the district should establish a policy by July 2019 to provide biennial training to board members on ethics, applicable government transparency, conflict-of-interest requirements, and district policies. • 26. To ensure that the bond committee 4 † includes representatives from all required constituencies, the district should verify and document representation of the committee members that the board appoints. • • 28. To ensure that district staff have appropriate 4 † guidance when awarding contracts under emergency conditions, the district should create and implement by November 2019 policies and procedures describing the protocol for awarding emergency contracts, including the use of the district's standard contracting forms. The district should also train staff to follow these policies and procedures. Bakersfield College Clery Act Requirements 19. To ensure Bakersfield requests and reports 5 June and Crime Reporting: Clery Act crimes from local law enforcement, 2024 L Compliance Continues the institution should, by August 2018, to Challenge California’s create and begin following a procedure, Colleges and Universities in conjunction with a written agreement with local law enforcement, to obtain crime 2017‑032 statistics for the annual security report. (May 2018) Bellflower Unified School District • Bellflower Unified School 2. To ensure that its board has a clear 1 † District: Has Not Used understanding of the district's financial Its Significant Financial position and of the unassigned funds available R Resources to Fully Address for programs and services for students, Student Needs Bellflower should, by August 2022, revise its process for presenting its budget to the board 2021‑108 for approval. The revised process should require (June 2022) district staff to present a financial overview that compares year-to-date budget amounts to year-to-date actual spending amounts. 3. To increase transparency, the board should, by 1 December August 2022, adopt a policy for Bellflower to 2023# have its financial auditor present the district's annual audited financial statements at a board meeting, along with an explanation of the district's financial health. Further the policy should also require the financial auditor to present the budget-to-actual comparison from the district's audit report and require district staff to explain variances. continued on next page . . . 56 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 4. To ensure that Bellflower is not underinvesting 1 December in its current students, the board should adopt 2023# a general fund reserve policy by August 2022 that establishes a healthy but reasonable reserve amount (target reserve) for the district. It should require Bellflower's staff to use the target reserve when determining funding available for the services the district provides, and staff should ensure that the budget presents any actions necessary to maintain the target reserve. • 5. To ensure that it is providing consistent 1 † and adequate services to its students with disabilities, Bellflower should review all its current Individual Education Programs (IEPs) before December 2022. As part of its review, the district should validate that student IEPs comply with legal requirements and that it is providing the services listed on the IEPs. In the future, the district should, as part of its annual review of IEPs, ensure that the IEPs comply with legal requirements and that it is providing the services listed on the IEPs. Bellflower should also take steps to ensure that it has a robust process for identifying students who may have a disability and to appropriately and promptly evaluate those students. • 6. To ensure that it provides consistent and 1 † adequate services to all students with disabilities, by October 2022, Bellflower should develop a process to review any instances of noncompliance that either Administrative Hearings or Education identifies, determine the reason for that noncompliance, and establish protocols to address similar problems in the future. Butte County • California Is Not Adequately 2. To best prepare to protect and care for 3 † Prepared to Protect Its Most people with access and functional needs, Vulnerable Residents From the county should revise its emergency R Natural Disasters plans by following the best practices that we included in our report. The county should 2019‑103 begin implementing these practices as soon (December 2019) as possible. By no later than March 2020, the county should develop a schedule for completing updates to its emergency plans. 5. To ensure that the county maintains updated 3 Will Not emergency plans that are consistent with Implement current best practices, the county should adopt ordinances establishing requirements for the frequency with which the county must update its emergency plans and should set that frequency at no greater than five years. California State Auditor Report 2023-041 57 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 8. To ensure that the county's emergency 3 Will Not planning efforts more fully account for Implement people with access and functional needs in the future, the county should adopt county ordinances that require the county's emergency managers to do the following during each update to the county's emergency plans: when planning to protect people with access and functional needs, adhere to the best practices and guidance that FEMA, Cal OES, and other relevant authorities have issued; report publicly to the boards of supervisors during emergency planning about the steps they have taken to address access and functional needs; consult periodically with a committee of community groups that represent people with a variety of access and functional needs; require that representatives of the community group committees present to the board of supervisors their review of the adequacy of the emergency plans. In‑Home Supportive 8. To help ensure that recipients receive prompt 2 Will Not Services Program: It Is approval for services and also receive all Implement Not Providing Needed approved services, Butte County should, W Services to All Californians by August 2021 and annually thereafter, Approved for the Program, complete required plans that include, at Is Unprepared for Future a minimum, specific provisions for how it Challenges, and Offers Low will ensure prompt approval of services Pay to Caregivers and that recipients promptly receive the approved services. 2020‑109 (February 2021) continued on next page . . . 58 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Calbright College • Calbright College: It Must 6. To adequately address its foundational 2 † Take Immediate Corrective purpose for existing, Calbright Action to Accomplish should immediately develop a robust Its Mission to Provide implementation plan that aligns with Underserved Californians best practices and translates its mission With Access to Higher into actionable goals and strategies. It Education should complete that plan and begin implementing it by November 2021. At a 2020‑104 minimum, Calbright should include in its (May 2021) implementation plan all of the following: 1. Its goals, which should include both its goals for completing the setup of the college and its student outcome goals. It should develop its student outcome goals based, at a minimum, on a comparison of the student outcomes for multiple other reasonably comparable educational programs. 2. The major steps necessary to achieve its goals. 3. The estimated resources and specific deliverables that each step will require. 4. The due dates and assigned staff for each deliverable or major step. 5. The criteria it will use for measuring its success and monitoring its progress. 6. A strategy and timeline for ending its reliance on the Foundation. After completing its implementation plan, Calbright should review the plan at least every six months, and revise and update it as needed to account for major changes relevant to the college’s implementation. By July 2022, Calbright should demonstrate that it has made consistent progress in implementing its plan. To improve its accountability for its actions toward fulfilling its mission, Calbright should annually report to the Legislature its progress related to each step in its implementation plan. California State Auditor Report 2023-041 59 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • 9. To ensure that it is fulfilling its mission to 2 † help students obtain positive employment outcomes, including jobs in their field of study, earning gains, and upward mobility, Calbright should do the following: 1. By November 2021, develop and implement a specific plan that describes how it will assist its students in acquiring jobs, earning more income, or being upwardly mobile after graduation; the plan should include a path toward securing job placements for its students. 2. By the same date, also establish a method to collect and review data on student use of its career services, employment outcomes following graduation, and employer satisfaction with Calbright’s preparation of its students. 3. By July 2022, Calbright should begin demonstrating that it has been successful at assisting its graduates in obtaining positive employment outcomes, including jobs in their field of study, earning gains, and upward mobility. 11. To assist its students in completing its 2 December programs, Calbright should immediately 2025 establish an efficient process to recognize previous training and experience and allow students to bypass areas of curriculum in which they have demonstrated competence. Cerritos College • • California Community 11. To ensure that all instructors are aware of 5 † Colleges: The Colleges the accessibility standards for instructional Reviewed Are Not materials, Cerritos should include in its Q Adequately Monitoring next collective bargaining negotiations a Services for Technology requirement for instructors to periodically Accessibility, and Districts attend accessibility trainings. and Colleges Should • 13. To ensure that its technology master plan 5 † Formalize Procedures for supports the strategic goals of the district, Upgrading Technology Cerritos should update its master plan by 2017‑102 June 2018, and should ensure that the plan (December 2017) includes detailed steps to accomplish its goals. • 14. To increase the transparency of its annual 5 † review process, by June 2018, Cerritos should establish procedures requiring its departments to document attendees, input received, and agreements reached during meetings to consider instructional technology equipment requests. continued on next page . . . 60 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Charter Academy of the Redwoods • • Youth Suicide Prevention: 7. To ensure that their teachers and staff 3 † Local Educational Agencies have the information necessary to respond U Lack the Resources and consistently, promptly, and appropriately to Policies Necessary to reduce suicide risk, the six LEAs we reviewed Effectively Address Rising should revise their policies by March 2021 to Rates of Youth Suicide and comply with state law and incorporate the Self-Harm best practices in Education’s model policy. 2019‑125 (September 2020) Citizens' Law Enforcement Review Board San Diego County Sheriff's 14. To ensure its investigations are independent, 1 June Department: It Has Failed timely, and thorough, CLERB should, by 2023# to Adequately Prevent and May 2022, discuss and modify its current Respond to the Deaths of agreement with the Sheriff's Department Individuals in Its Custody and the labor organization to allow CLERB's investigators to conduct independent 2021‑109 interviews of Sheriff's Department sworn staff. (February 2022) 15. To ensure its investigations are independent, 1 March timely, and thorough, CLERB should, by 2023# May 2022, develop a comprehensive training manual for its investigators that outlines standard procedures for investigations. The manual should include a specific section dedicated to investigations of in-custody deaths, including guidance for evaluating the circumstances leading up to an in-custody death, such as the decedent's mental health history and the appropriateness of the decedent's housing assignment. 17. To ensure that it fully investigates all 1 June in-custody deaths, CLERB should revise its 2023# rules and regulations by May 2022 to include the following: • Prioritization criteria for investigating in-custody deaths above all other investigation. • Clarification that its investigations of in-custody deaths includes those classified as natural deaths. City of Lincoln • • City of Lincoln: 17. To ensure that it applies the correct fee 4 † Financial Mismanagement, credits to developers, Lincoln should develop Insufficient Accountability, policies and procedures by September 2019 and Lax Oversight Threaten for establishing fee credits and maintaining the City’s Stability adequate documentation to justify modifications to fee credits, including credits 2018‑110 it awards based on changes in fee schedules (March 2019) and updated development agreements. California State Auditor Report 2023-041 61 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION City of San Bernardino Police Department Law Enforcement 32. To improve its ability to recruit qualified 1 † • • Departments Have Not applicants who reflect the diversity Adequately Guarded Against of its communities, by October 2022, X Biased Conduct San Bernardino Police should have a process for regularly monitoring data on the diversity 2021‑105 of its current personnel, its new hires, and (April 2022) to the extent possible, its applicant pool. It should use these data to evaluate the success of its recruitment efforts and identify needed areas of improvement. • 35. To better assess whether peace officer 1 † applicants have the ability to work with diverse members of their communities and whether they possess detectable disqualifying biases, by no later than October 2022, San Bernardino Police should begin using documented procedures that adhere to best practices to identify and review applicants' public social media profiles for content indicative of disqualifying biases, such as hate group affiliation. • 36. To strengthen its relationships with its 1 † community and mitigate the effects of bias on its officers, San Bernardino Police should develop and begin implementing a documented strategy to do all of the following by April 2023: • Collaborate with its communities to establish or leverage community advisory boards consisting of representatives of diverse groups. The strategy should specify how it will partner with the boards in the areas of recruitment, hiring, training, and community engagement, as well as how it will leverage the boards to obtain feedback on how it can better serve its community. • Ensure that officers at all levels regularly participate in community engagement activities. • Periodically survey its community to assess the effectiveness of its community engagement efforts and solicit feedback on how to improve its operations. continued on next page . . . 62 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • 37. To proactively identify signs that officers may 1 † need additional training or supports to address possible biased behavior, San Bernardino Police should, by April 2023, adopt a policy and implement procedures that align with best practices for an effective early intervention system. The system should do the following: • Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention. The system should include analysis of stops data that identifies officers based on indications of possible biased conduct. • Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias. • Require monitoring of the officers who receive intervention to evaluate whether their performance improves or whether additional interventions are needed. 39. To ensure that it adequately investigates 1 Unknown possible biased conduct and implements effective corrective actions, San Bernardino Police should ensure it has implemented policies or procedures by January 2023 that require that the investigations apply a definition of bias that incorporates the following: biased conduct can include conduct resulting from implicit as well as explicit biases; conduct is biased if a reasonable person would conclude so using the facts at hand; an officer need not admit biased or prejudiced intent for conduct to reasonably appear biased; and biased conduct may occur in an encounter with the public, with other officers, or online, such as conduct on social media. • 40. To ensure that it adequately investigates 1 † possible biased conduct and implements effective corrective actions, San Bernardino Police should ensure it has implemented policies or procedures by January 2023 that require that the individuals handling bias-related investigations follow detailed investigative guidelines for identifying biased conduct and be specifically trained in how to perform these assessments. California State Auditor Report 2023-041 63 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • 41. To ensure that it adequately investigates 1 † possible biased conduct and implements effective corrective actions, San Bernardino Police should ensure that by January 2023 it has formalized policies—such as through discipline matrices or broader discipline guidelines—specifying options for corrective actions beyond punitive discipline that are designed to change officer behaviors associated with biased conduct. The department should require that, when appropriate, these corrective actions—such as training and education—be part of the discipline that officers receive when they are found to have engaged in biased conduct. Contra Costa County Probation Department • • Batterer Intervention 18. To ensure program compliance with state law, 1 † Programs: State Guidance Contra Costa Probation should, by April 2023, P and Oversight Are Needed formalize comprehensive program standards to Effectively Reduce for program providers that present clear Domestic Violence guidance on the department's expectations and the documentation it will review to verify 2021‑113 compliance with state law. The probation (October 2022) department should distribute these standards to program providers during their initial application and approval process and again annually during the renewal process. 19. To ensure that program providers comply 1 † • • with the probation department's standards and state law, Contra Costa Probation should develop and follow formalized policies and procedures for approving, renewing, and conducting comprehensive ongoing monitoring of program providers by April 2023. These policies should specify the frequency of monitoring, the documentation the department will require of program providers to demonstrate compliance, and the specific actions the department will take when a provider is noncompliant. • • 21. To ensure that the courts can provide an 1 † offender with a selection of available program providers and their costs before the offender agrees to attend a program as a condition of probation, Contra Costa Probation should maintain standard program fee information and sliding fee scales for each of the providers it oversees, and make this information available to the courts by April 2023. continued on next page . . . 64 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION County of Alameda • • Public Safety Realignment: 4. To ensure that county jails identify inmates 2 † Weak State and County with mental illnesses and provide them V Oversight Does Not Ensure with adequate mental health care, Alameda That Funds Are Spent should immediately begin conducting Effectively mental health screening of all inmates upon admission to the county’s jails. 2020‑102 (March 2021) 5. To ensure that county jails have sufficient 2 June information to determine appropriate 2022# housing and supervision of inmates with mental illness, by June 2021, Alameda should develop a process requiring mental health providers to share with jails the mental health status of all inmates, such as whether they have a mild, moderate, or serious mental illness. • • 7. To ensure that it appropriately follows up on 2 † inmate deaths and works to prevent similar deaths from occurring in the future, Alameda should implement its updated inmate death follow-up process by June 2021. 9. Unless the Legislature clarifies its intent 2 Will Not otherwise, to ensure that the counties Implement prudently and appropriately spend realignment funds, the Partnership Committee at Alameda should, starting with its next annual budget, review and make budget recommendations to its board of supervisors for all realignment accounts, including the accounts that fund non-law enforcement departments and community-based organizations. Further, Alameda should ensure that it budgets all realignment funds to eliminate excessive surpluses in realignment accounts and prevent future surpluses beyond a reasonable reserve. 12. To ensure that the programs and services 2 October funded by public safety realignment funds 2023# are effective, beginning immediately, Alameda should conduct evaluations of the effectiveness of its programs and services at least every three years. 15. To ensure that the county reports accurate 2 Will Not and consistent information to the Corrections Implement Board, beginning with its next annual report, Alameda should consistently report all law enforcement and non-law enforcement expenditures funded through the accounts that constitute public safety realignment. California State Auditor Report 2023-041 65 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION County of Fresno • • Public Safety Realignment: 3. To comply with the State’s jail capacity 2 † Weak State and County standards, Fresno should take steps to V Oversight Does Not Ensure address overcrowding in its jails, while That Funds Are Spent ensuring public safety. Effectively 6. To ensure that county jails have sufficient 2 Unknown 2020‑102 information to determine appropriate (March 2021) housing and supervision of inmates with mental illness, by June 2021, Fresno should develop a process requiring mental health providers to share with jails the mental health status of all inmates, such as whether they have a mild, moderate, or serious mental illness. 10. Unless the Legislature clarifies its intent 2 June otherwise, to ensure that the counties 2027 prudently and appropriately spend realignment funds, the Partnership Committee at Fresno should, starting with its next annual budget, review and make budget recommendations to its board of supervisors for all realignment accounts, including the accounts that fund non-law enforcement departments and community-based organizations. Further, Fresno should ensure that it budgets all realignment funds to eliminate excessive surpluses in realignment accounts and prevent future surpluses beyond a reasonable reserve. 13. To ensure that the programs and services 2 January funded by public safety realignment funds 2024 are effective, beginning immediately, Fresno should conduct evaluations of the effectiveness of its programs and services at least every three years. 16. To ensure that the county reports accurate 2 Will Not and consistent information to the Corrections Implement Board, beginning with its next annual report, Fresno should consistently report all law enforcement and non-law enforcement expenditures funded through the accounts that constitute public safety realignment. continued on next page . . . 66 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION County of Los Angeles Public Safety Realignment: 11. Unless the Legislature clarifies its intent 2 Unknown Weak State and County otherwise, to ensure that the counties Oversight Does Not Ensure prudently and appropriately spend V That Funds Are Spent realignment funds, the Partnership Committee Effectively at Los Angeles should, starting with its next annual budget, review and make budget 2020‑102 recommendations to its board of supervisors (March 2021) for all realignment accounts, including the accounts that fund non-law enforcement departments and community-based organizations. Further, Los Angeles should ensure that it budgets all realignment funds to eliminate excessive surpluses in realignment accounts and prevent future surpluses beyond a reasonable reserve. 14. To ensure that the programs and services 2 2024 funded by public safety realignment funds are effective, beginning immediately, Los Angeles should conduct evaluations of the effectiveness of its programs and services at least every three years. 17. To ensure that the county reports accurate 2 Will Not and consistent information to the Corrections Implement Board, beginning with its next annual report, Los Angeles should consistently report all law enforcement and non-law enforcement expenditures funded through the accounts that constitute public safety realignment. County of Mendocino Homelessness in California: 6. To help ensure that it has adequate levels 2 Will Not The State’s Uncoordinated of services and service providers in its Implement O Approach to Addressing area to meet the needs of people who are Homelessness Has experiencing homelessness, the County of Hampered the Effectiveness Mendocino should coordinate with its CoC of Its Efforts to ensure that the CoC annually conducts a comprehensive gaps analysis in accordance 2020‑112 with the plan it has developed under federal (February 2021) regulations. To be effective, the gaps analysis should consider whether adequate services are available in the areas where individuals are experiencing homelessness and should contain strategies to address any deficiencies. 16. To comply with federal regulations and 2 January ensure that its CoC’s decisions reflect a variety 2024 of perspectives, the County of Mendocino should, by August 2021, coordinate with its CoC to ensure that the CoC’s board is representative of all relevant organizations. California State Auditor Report 2023-041 67 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 21. To ensure that individuals experiencing 2 Will Not homelessness have adequate access to Implement the coordinated entry process, the County of Mendocino should, by August 2021, coordinate with its CoC to assess the feasibility of establishing a dedicated telephone hotline for providing information about available services, assessing individuals’ needs, and referring those individuals to appropriate housing or homeless service providers. 23. To increase the efficiency of the coordinated 2 Will Not entry process, the County of Mendocino Implement should coordinate with its CoC to determine how long it takes to locate individuals after they have been matched with a service provider. Specifically, it should use the referral data that HUD required CoCs to collect as of October 2020 to determine whether locating individuals after they have been matched with a service provider is a cause of delay in providing them with services. If it finds that excessive delays exist, it should coordinate with its CoC to implement processes such as deploying a dedicated team to locate these individuals when appropriate housing and services become available. County of Santa Clara Office of Supportive Housing • • Homelessness in California: 9. To help ensure that it has adequate levels 2 † The State’s Uncoordinated of services and service providers in its O Approach to Addressing area to meet the needs of people who are Homelessness Has experiencing homelessness, the County of Hampered the Effectiveness Santa Clara should coordinate with its CoC of Its Efforts to ensure that the CoC annually conducts a comprehensive gaps analysis in accordance 2020‑112 with the plan it has developed under federal (February 2021) regulations. To be effective, the gaps analysis should consider whether adequate services are available in the areas where individuals are experiencing homelessness and should contain strategies to address any deficiencies. continued on next page . . . 68 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION County of Sonoma California Is Not Adequately 9. To ensure that the county’s emergency 3 Will Not Prepared to Protect Its Most planning efforts more fully account for Implement Vulnerable Residents From people with access and functional needs R Natural Disasters in the future, the county should adopt county ordinances that require the county’s 2019‑103 emergency managers to do the following (December 2019) during each update to the county’s emergency plans: when planning to protect people with access and functional needs, adhere to the best practices and guidance that FEMA, Cal OES, and other relevant authorities have issued; report publicly to the boards of supervisors during emergency planning about the steps they have taken to address access and functional needs; consult periodically with a committee of community groups that represent people with a variety of access and functional needs; require that representatives of the community group committees present to the board of supervisors their review of the adequacy of the emergency plans. County of Ventura • California Is Not Adequately 4. To best prepare to protect and care for 3 † Prepared to Protect Its Most people with access and functional needs, Vulnerable Residents From the county should revise its emergency R Natural Disasters plans by following the best practices that we included in our report. The county should 2019‑103 begin implementing these practices as soon (December 2019) as possible. By no later than March 2020, the county should develop a schedule for completing updates to its emergency plans. 7. To ensure that the county maintains updated 3 Will Not emergency plans that are consistent with Implement current best practices, the county should adopt ordinances establishing requirements for the frequency with which the county must update its emergency plans and should set that frequency at no greater than five years. California State Auditor Report 2023-041 69 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 10. To ensure that the county’s emergency 3 Will Not planning efforts more fully account for people Implement with access and functional needs in the future, the county should adopt county ordinances that require the county’s emergency managers to do the following during each update to the county’s emergency plans: when planning to protect people with access and functional needs, adhere to the best practices and guidance that FEMA, Cal OES, and other relevant authorities have issued; report publicly to the boards of supervisors during emergency planning about the steps they have taken to address access and functional needs; consult periodically with a committee of community groups that represent people with a variety of access and functional needs; require that representatives of the community group committees present to the board of supervisors their review of the adequacy of the emergency plans. Del Norte County Probation Department Batterer Intervention 22. To ensure that offenders are held accountable 1 Unknown Programs: State Guidance for complying with the conditions of their P and Oversight Are Needed probation, Del Norte Probation should, to Effectively Reduce by April 2023, formalize and implement Domestic Violence comprehensive policies and procedures for domestic violence case management that 2021‑113 clearly describe the department's expectations (October 2022) for probation staff's compliance with state law. 23. To ensure program compliance with state law, 1 Unknown Del Norte Probation should, by April 2023, formalize comprehensive program standards for program providers that present clear guidance on the department's expectations and the documentation it will review to verify compliance with state law. The probation department should distribute these standards to program providers during their initial application and approval process and again annually during the renewal process. 24. To ensure that program providers comply 1 Unknown with the probation department's standards and state law, Del Norte Probation should develop and follow formalized policies and procedures for approving, renewing, and conducting comprehensive ongoing monitoring of program providers by April 2023. These policies should specify the frequency of monitoring, the documentation the department will require of program providers to demonstrate compliance, and the specific actions the department will take when a provider is noncompliant. continued on next page . . . 70 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 25. To ensure that the courts can provide an 1 Unknown offender with a selection of available program providers and their costs before the offender agrees to attend a program as a condition of probation, Del Norte Probation should maintain standard program fee information and sliding fee scales for each of the providers it oversees, and make this information available to the courts by April 2023. Fallen Leaf Lake Community Services District • • Fallen Leaf Lake 7. To rectify the excessive reimbursement 4 † Community Services amounts it received for strike team District: Its Billing Practices assignments, the district should, by and Small Electorate December 31, 2019, develop and implement Jeopardize Its Ability to a plan for returning to the paying agencies Provide Services the excessive reimbursements it received for 2016 through 2018. 2018‑133 (July 2019) 8. To rectify the excessive reimbursement 4 June amounts it received for strike team 2021# assignments, the district should, by December 31, 2019, work with Cal OES to identify the amounts of excess reimbursements the district received for 2013 through 2015 and then develop and implement a plan for returning those amounts to the paying agency. 10. To improve its financial viability and 4 June safeguard its ability to continue providing 2021# services to the Fallen Leaf Lake community, the district should, by December 31, 2019, monitor the financial risks it may face in the future, forecast their impact on its finances and budget, and plan and implement appropriate changes to its budget as necessary throughout the fiscal year. 11. To improve its financial viability and 4 June safeguard its ability to continue providing 2021# services to the Fallen Leaf Lake community, the district should, by December 31, 2019, limit the extent to which it relies on volatile revenue sources to balance its budget. 13. To improve its financial viability and 4 September safeguard its ability to continue providing 2020# services to the Fallen Leaf Lake community, the district should, by December 31, 2019, develop a five-year forecast of estimated revenues and expenditures and a plan to guide its decisions and actions in the event of fluctuations. California State Auditor Report 2023-041 71 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Foothill‑De Anza Community College District • California Community 15. To ensure that it is fulfilling requests for 5 † Colleges: The Colleges alternate media services from students with Q Reviewed Are Not disabilities in a timely manner, by June 2018, Adequately Monitoring De Anza should establish procedures for Services for Technology monitoring its timeliness in responding Accessibility, and Districts to such requests so that it can periodically and Colleges Should review its performance in completing the Formalize Procedures for requests. Specifically, it should record and Upgrading Technology track sufficient information to be able to review how long it takes to complete 2017‑102 requests. Additionally, De Anza should (December 2017) calculate the number of days it takes to complete requests, and periodically evaluate its performance against its time-frame goals. Further, to evaluate its performance, De Anza should establish a time-frame goal for completing alternate media requests. • 16. To ensure that it promptly addresses any 5 † complaints it receives related to web accessibility and alternate media requests, De Anza should follow its new procedures for tracking and reviewing complaints related to accessibility. • • 17. To ensure that students with disabilities 5 † have equal access to instructional materials, by June 2018, De Anza should develop procedures to monitor and periodically review the accessibility of instructional materials. For example, De Anza could develop an accessibility checklist for instructors to complete when developing or selecting instructional materials, from which the college could periodically review a sample of course content to ensure that instructors completed the checklist and that the instructional materials comply with accessibility standards. • 18. To ensure that its website complies with 5 † accessibility standards, by June 2018, De Anza should develop procedures to monitor website accessibility and incorporate steps to prevent instructors from publishing inaccessible content on the college’s website. These procedures should include a tracking mechanism to demonstrate how many accessibility errors the college identifies and how long it takes to fix those errors. • • 19. To ensure that all instructors are aware of 5 † the accessibility standards for instructional materials, De Anza should include in its next collective bargaining negotiations a requirement for instructors to periodically attend accessibility trainings. continued on next page . . . 72 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • • 21. To increase the transparency of its annual 5 † review process, by June 2018, De Anza should establish procedures requiring its departments to document attendees, input received, and agreements reached during meetings to consider instructional technology equipment requests. Fresno City Housing Authority Homelessness in California: 10. To help ensure that it has adequate levels 2 Will Not The State’s Uncoordinated of services and service providers in its Implement O Approach to Addressing area to meet the needs of people who are Homelessness Has experiencing homelessness, the Fresno City Hampered the Effectiveness Housing Authority should coordinate with its of Its Efforts CoC to ensure that the CoC annually conducts a comprehensive gaps analysis in accordance 2020‑112 with the plan it has developed under federal (February 2021) regulations. To be effective, the gaps analysis should consider whether adequate services are available in the areas where individuals are experiencing homelessness and should contain strategies to address any deficiencies. 12. To ensure that it adequately identifies 2 August its long-term strategies to address 2022# homelessness, the Fresno City Housing Authority should coordinate with its CoC to implement a planning process and develop a comprehensive plan that meets all federal requirements by August 2021. The planning process should ensure that the CoC updates its comprehensive plan at least every five years. 18. To comply with federal regulations and 2 November ensure that its CoC’s decisions reflect a variety 2022# of perspectives, the Fresno City Housing Authority should, by August 2021, coordinate with its CoC to ensure that the CoC’s board is representative of all relevant organizations. 19. To reduce barriers to CoC membership and 2 Will Not to encourage participation, the Fresno City Implement Housing Authority should coordinate with its CoC to conduct an analysis of whether its membership fee is necessary and, if it is not, to eliminate it by August 2021. 22. To ensure that individuals experiencing 2 Will Not homelessness have adequate access Implement to the coordinated entry process, the Fresno City Housing Authority should, by August 2021, coordinate with its CoC to assess the feasibility of establishing a dedicated telephone hotline for providing information about available services, assessing individuals’ needs, and referring those individuals to appropriate housing or homeless service providers. California State Auditor Report 2023-041 73 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 26. To increase the efficiency of the coordinated 2 Will Not entry process, the County of Fresno City Implement Housing Authority should coordinate with its CoC to determine how long it takes to locate individuals after they have been matched with a service provider. Specifically, it should use the referral data that HUD required CoCs to collect as of October 2020 to determine whether locating individuals after they have been matched with a service provider is a cause of delay in providing them with services. If it finds that excessive delays exist, it should coordinate with its CoC to implement processes such as deploying a dedicated team to locate these individuals when appropriate housing and services become available. Gateway Public Schools • Youth Suicide Prevention: 8. To ensure that their teachers and staff 3 † Local Educational Agencies have the information necessary to respond Lack the Resources and consistently, promptly, and appropriately to U Policies Necessary to reduce suicide risk, the six LEAs we reviewed Effectively Address Rising should revise their policies by March 2021 to Rates of Youth Suicide and comply with state law and incorporate the Self-Harm best practices in Education’s model policy. 2019‑125 (September 2020) Heartland Charter School • Youth Suicide Prevention: 15. To ensure that their teachers and staff have 3 † Local Educational Agencies the knowledge necessary to identify and Lack the Resources and assist students at risk of self-harm and U Policies Necessary to suicide, the six LEAs we reviewed should do Effectively Address Rising the following: Rates of Youth Suicide and • Revise their suicide prevention training Self-Harm materials by June 2021 to align with state 2019‑125 law and incorporate the best practices in (September 2020) Education’s model policy. • LEAs that provide suicide prevention training should conduct it at the beginning of the school year. • 21. To improve their students’ access to mental 3 † health professionals, Kern High School District, Ukiah Unified, Gateway Charter, Redwoods Charter, and Heartland Charter should coordinate with their respective counties to request MHSA funding to employ additional school counselors, school nurses, school social workers, and school psychologists. continued on next page . . . 74 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Kern County Probation • • In‑Home Supportive 9. To help ensure that recipients receive prompt 2 † Services Program: It Is approval for services and also receive all W Not Providing Needed approved services, Kern County should, Services to All Californians by August 2021 and annually thereafter, Approved for the Program, complete required plans that include, at Is Unprepared for Future a minimum, specific provisions for how it Challenges, and Offers Low will ensure prompt approval of services Pay to Caregivers and that recipients promptly receive the approved services. 2020‑109 (February 2021) Los Angeles Community College District Los Angeles Community 1. To increase the objectivity and transparency 2 Unknown College District Personnel of its minimum qualification requirements, Commission: Its Inconsistent when possible the Commission should create Practices and Inadequate qualification requirements based on time Policies Adversely Affect spent working in District job classifications District Employees and or equivalent experience, rather than using Job Candidates, Leading to ambiguous terms such as “professional-level.” Concerns About the Fairness • • 2. To increase transparency and ensure that it 2 † of Its Decisions makes consistent decisions when assessing 2020‑111 applicants’ minimum qualifications, the (May 2021) Commission should establish a rule for its examiners by October 2021 that defines the key terms it uses when reviewing applications for minimum qualifications, such as “professional-level” and “recent.” • 4. To ensure that its examination process is fair 2 † and evaluates all candidates consistently, the Commission should establish a rule by October 2021 to require examiners to create detailed scoring benchmarks that provide raters guidance on how to rate individual evaluation factors. • 5. To ensure that its examination process is fair 2 † and evaluates all candidates consistently, the Commission should establish a rule by October 2021 requiring that when it creates examinations it establish a method for determining candidates’ overall scores based on the ratings of the individual evaluation factors. • 6. To ensure that its examination process is fair 2 † and evaluates all candidates consistently, the Commission should establish a rule by October 2021 to require raters to provide written comments on rating sheets for each candidate, explaining the basis for the score they awarded. California State Auditor Report 2023-041 75 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • 7. To ensure that its examination process is fair 2 † and evaluates all candidates consistently, the Commission should establish a rule by October 2021 to require examiners to review scoring sheets to determine if raters have followed the Commission’s candidate evaluation guidance, and if the raters have failed to follow the guidance request that the raters review their evaluation of the candidate. 9. To ensure that employees are aware that they 2 Unknown can request intermittent payments while performing out-of-class work assignments, the Commission should immediately revise its claim form to include this option. • • 10. To ensure that employees receive prompt 2 † compensation for the higher-level duties they perform, the Commission should revise its rules by October 2021 to process employees’ compensation for out-of-class work each month. 12. To ensure that employees are fairly 2 Unknown compensated for the entirety of the out-of-class work they perform, the Commission should amend its rules by October 2021 to require employees to submit a copy of their out-of-class claim form to the Commission at the same time as they submit it to their supervisors, and use the date the Commission receives this copy of the form as the date of submission. • 13. To ensure that it consistently identifies and 2 † responds to all complaints and to reduce the risk of retaliation against complainants, by October 2021, the Commission should amend its rules to clearly define complaints and create a formal process for addressing all complaints, including a process to elevate to the commissioners those complaints that are not resolved at lower levels. 14. To ensure that it consistently identifies and 2 Unknown responds to all complaints and to reduce the risk of retaliation against complainants, by October 2021, the Commission should amend its rules to include a provision for submitting whistleblower complaints directly to the District’s Office of the General Counsel and assign it the responsibility of designating an appropriate party to respond. 15. To ensure that it consistently identifies and 2 Unknown responds to all complaints and to reduce the risk of retaliation against complainants, by October 2021, the Commission should amend its rules to establish that complainant information may not be shared with the subject of a whistleblower complaint. continued on next page . . . 76 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • • 16. To ensure that it treats applicants consistently 2 † when considering whether to debar them in the case of false statements or deception, the Commission should establish rules to require that examiners independently verify the reason for inconsistencies between applications. • 17. To ensure that it treats applicants consistently 2 † when considering whether to debar them in the case of false statements or deception, the Commission should establish rules to require that examiners provide applicants with an opportunity to address the inconsistencies. • • 18. To ensure that it treats applicants consistently 2 † when considering whether to debar them in the case of false statements or deception, the Commission should establish rules to require that examiners document the steps taken to verify the disputed information and retain relevant supporting documentation. • • 19. To ensure that the Commission’s practices 2 † align with the mission of the merit system, the Commissioners should establish rules that require staff to periodically report to them on how its practices compare to those of other entities with merit systems, along with any recommendations for improving the Commission’s practices. Los Angeles County Department of Mental Health Lanterman‑Petris‑Short 6. To ensure that it connects patients who have 3 January Act: California Has Not been placed on multiple short-term holds to 2022# Ensured That Individuals appropriate ongoing treatment, Los Angeles With Serious Mental should, by no later than August 2021, adopt Illnesses Receive Adequate a systematic approach to identifying such Ongoing Care individuals, obtaining available mental health history information about these individuals, 2019‑119 and connecting these individuals to services (July 2020) that support their ongoing mental health. 8. To ensure that conservatorships do not 3 Will Not terminate because of the absence of Implement testimony from doctors, Los Angeles should immediately implement a comprehensive solution to this problem, such as using its own staff as expert witnesses when individuals’ treating physicians are unable to testify. In addition, by no later than August 2021, it should develop a revised approach to scheduling conservatorship hearings and trials so that it significantly reduces the rate at which doctors’ failures to testify result in terminated conservatorships. California State Auditor Report 2023-041 77 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Los Angeles County of Department of Children and Family Services Los Angeles County 6. To ensure that its staff appropriately 4 December Department of Children use SDM assessments to identify safety 2022# and Family Services: It Has threats and risks, the department should Not Adequately Ensured incorporate SDM instructions into its the Health and Safety of All policies and procedures by July 2019 and Children in Its Care provide mandatory annual SDM training for applicable staff, supervisors, and other 2018‑126 members of management by May 2020. (May 2019) Los Angeles County Office of Education Montebello Unified 1. To ensure that Montebello takes the steps 5 Unknown School District: County necessary to prevent state intervention and Superintendent Intervention regain its positive financial certification, N Is Necessary to Address Its the county superintendent should direct Weak Financial Management Montebello to submit a corrective action plan and Governance to address the issues identified in this report including balancing its budget, amending 2017‑104 and adhering to its hiring procedures, and (November 2017) establishing adequate safeguards to ensure that policies related to bond proceeds, conflicts of interest, and the approval of expenditures are implemented and followed. 2. To ensure that Montebello takes the steps 5 Unknown necessary to prevent state intervention and regain its positive financial certification, the county superintendent should assist Montebello in developing a plan to justify its workforce size and cost in terms of its current and projected enrollment, including evaluating the necessity of current staff levels and personnel costs. 3. To ensure that Montebello takes the steps 5 Unknown necessary to prevent state intervention and regain its positive financial certification, the county superintendent should evaluate the necessity of executive positions and adjust executives’ salaries based on an analysis of the number and cost of executives in comparable districts. 4. To ensure that Montebello takes the steps 5 Unknown necessary to prevent state intervention and regain its positive financial certification, the county superintendent should ensure that Montebello implements all of the recommendations detailed in the report. Los Angeles County Probation Department Batterer Intervention 26. To ensure that offenders are held accountable 1 November Programs: State Guidance for complying with the conditions of their 2023# P and Oversight Are Needed probation, Los Angeles Probation should, to Effectively Reduce by April 2023, formalize and implement Domestic Violence comprehensive policies and procedures for domestic violence case management that 2021‑113 clearly describe the department's expectations (October 2022) for probation staff's compliance with state law. continued on next page . . . 78 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 27. To ensure program compliance with state law, 1 November Los Angeles Probation should, by April 2023, 2023# formalize comprehensive program standards for program providers that present clear guidance on the department's expectations and the documentation it will review to verify compliance with state law. The probation department should distribute these standards to program providers during their initial application and approval process and again annually during the renewal process. 28. To ensure that program providers comply 1 November with the probation department's standards 2023# and state law, Los Angeles Probation should develop and follow formalized policies and procedures for approving, renewing, and conducting comprehensive ongoing monitoring of program providers by April 2023. These policies should specify the frequency of monitoring, the documentation the department will require of program providers to demonstrate compliance, and the specific actions the department will take when a provider is noncompliant. 29. To ensure that the courts can provide an 1 January offender with a selection of available program 2024 providers and their costs before the offender agrees to attend a program as a condition of probation, Los Angeles Probation should maintain standard program fee information and sliding fee scales for each of the providers it oversees, and make this information available to the courts by April 2023. Juvenile Justice Crime 11. To adequately assess the effectiveness of 3 September Prevention Act: Weak its programs at reducing juvenile crime and 2024 Oversight Has Hindered Its delinquency, Los Angeles should collect data T Meaningful Implementation on all participants in each JJCPA program and for each service it provides. 2019‑116 (May 2020) 15. To accurately assess the effectiveness of its 3 September programs, Los Angeles should determine 2024 how to accurately identify in its case management system the JJCPA programs and services in which each individual participates or should enhance its system to provide this capability. Los Angeles County Sheriff’s Department Concealed Carry Weapon 1. To ensure that its CCW licensing decisions 5 Will Not Licenses: Sheriffs Have align with its CCW policy, Los Angeles Sheriff Implement M Implemented Their Local should only issue licenses to applicants after Programs Inconsistently and collecting documentation of specific, personal Sometimes Inadequately threats against the applicants so as to satisfy its definition of good cause. If Los Angeles 2017‑101 Sheriff believes that its public licensing policy (December 2017) does not include all acceptable good causes for a CCW license, then by March 2018 it should revise that policy and publish the new policy on its website. It should then immediately begin processing applications according to that revised policy. California State Auditor Report 2023-041 79 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 2. To ensure that it only issues licenses to 5 March individuals after receiving evidence of 2018# residency, firearms training, and good moral character that aligns with its policy, Los Angeles Sheriff should only issue licenses after verifying that it has received this evidence. To avoid overlooking required evidence, Los Angeles should create procedures by March 2018 for its staff to follow to ensure that each CCW file contains the evidence its policy requires before issuing the license. • • 10. To ensure that it is only charging fees that 5 † state law allows, Los Angeles Sheriff should immediately cease charging applicants fees in addition to its license processing fee. Los Angeles Sheriff should reimburse applicants who paid the unallowable fees. Further, if Los Angeles Sheriff believes its license fee does not recover its entire cost of processing an initial application, it should complete a cost study and, if appropriate, revise its fee according to the results of that study and the maximum allowed fees under state law. • Law Enforcement 20. To better assess whether peace officer 1 † Departments Have Not applicants have the ability to work with Adequately Guarded Against diverse members of their communities X Biased Conduct and whether they possess detectable disqualifying biases, by no later than 2021‑105 October 2022, Los Angeles Sheriff should (April 2022) begin conducting standardized interviews of officer applicants that include questions designed to assess their experience working with diverse communities and their ability to do so effectively. • 21. To better assess whether peace officer 1 † applicants have the ability to work with diverse members of their communities and whether they possess detectable disqualifying biases, by no later than October 2022, Los Angeles Sheriff should proactively seek and attempt to contact secondary references to obtain more candid information about applicants, such as information about past biased conduct or affiliation with hate groups. • 22. To better assess whether peace officer 1 † applicants have the ability to work with diverse members of their communities and whether they possess detectable disqualifying biases, by no later than October 2022, Los Angeles Sheriff should begin using documented procedures that adhere to best practices to identify and review applicants' public social media profiles for content indicative of disqualifying biases, such as hate group affiliation. continued on next page . . . 80 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 23. To strengthen its relationships with its 1 Unknown community and mitigate the effects of bias on its officers, Los Angeles Sheriff should develop and begin implementing a documented strategy to do all of the following by April 2023: • Collaborate with its communities to establish or leverage community advisory boards consisting of representatives of diverse groups. The strategy should specify how it will partner with the boards in the areas of recruitment, hiring, training, and community engagement, as well as how it will leverage the boards to obtain feedback on how it can better serve its community. • Ensure that officers at all levels regularly participate in community engagement activities. • Periodically survey its community to assess the effectiveness of its community engagement efforts and solicit feedback on how to improve its operations. 24. To proactively identify signs that officers 1 Unknown may need additional training or supports to address possible biased behavior, Los Angeles Sheriff should, by April 2023, adopt a policy and implement procedures that align with best practices for an effective early intervention system. The system should do the following: • Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention. The system should include analysis of stops data that identifies officers based on indications of possible biased conduct. • Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias. California State Auditor Report 2023-041 81 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • 25. To ensure that it adequately investigates 1 † possible biased conduct and implements effective corrective actions, Los Angeles Sheriff should ensure it has implemented policies or procedures by January 2023 that require that misconduct investigations formally analyze whether an officer has acted in a biased manner whenever a complainant alleges bias, the facts of the incident indicate bias might have influenced an officer's behavior, or investigators recognize potential indications of bias during other reviews, such as use-of-force reviews. • 26. To ensure that it adequately investigates 1 † possible biased conduct and implements effective corrective actions, Los Angeles Sheriff should ensure it has implemented policies or procedures by January 2023 that require that the investigations apply a definition of bias that incorporates the following: biased conduct can include conduct resulting from implicit as well as explicit biases; conduct is biased if a reasonable person would conclude so using the facts at hand; an officer need not admit biased or prejudiced intent for conduct to reasonably appear biased; and biased conduct may occur in an encounter with the public, with other officers, or online, such as conduct on social media. 27. To ensure that it adequately investigates 1 Unknown possible biased conduct and implements effective corrective actions, Los Angeles Sheriff should ensure it has implemented policies or procedures by January 2023 that require that the individuals handling bias-related investigations follow detailed investigative guidelines for identifying biased conduct and be specifically trained in how to perform these assessments. 28. To ensure that it adequately investigates 1 Unknown possible biased conduct and implements effective corrective actions, Los Angeles Sheriff should ensure that, by January 2023, it has formalized policies—such as through discipline matrices or broader discipline guidelines—specifying options for corrective actions beyond punitive discipline that are designed to change officer behaviors associated with biased conduct. The department should require that, when appropriate, these corrective actions—such as training and education—be part of the discipline that officers receive when they are found to have engaged in biased conduct. continued on next page . . . 82 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 29. To ensure that it adequately investigates 1 Unknown possible biased conduct and implements effective corrective actions, Los Angeles Sheriff's policies should require that investigations include a formal determination that makes clear whether biased conduct occurred or not, as well as the rationale for reaching the determination. 30. To ensure that it accurately reports 1 Unknown information about all complaints as required by state law, Los Angeles Sheriff should ensure that it reports to DOJ about all public complaints related to racial or identity profiling, including those that initially appear to be unfounded, and the disposition of those complaints. 31. To improve its ability to effectively 1 Unknown investigate allegations of officer misconduct, by April 2023, Los Angeles Sheriff should finish its planned partial implementation of body-worn cameras, and should establish and begin implementing a time frame for equipping officers in each of its custody settings with body-worn cameras. Los Angeles Regional Adult Education Consortium • Montebello Unified 32. To ensure that state adult education funds 5 † School District: County are used in the most efficient and effective Superintendent Intervention manner, the consortium should, within N Is Necessary to Address Its one year, develop policies and procedures to Weak Financial Management ensure the proper collection and reporting and Governance of enrollment, attendance, and expenditure data by consortium members. Periodically 2017‑104 review enrollment, attendance, and (November 2017) expenditure data to ensure their accuracy. Los Rios Community College District California Community 26. To ensure that all instructors are aware of 5 Will Not Colleges: The Colleges the accessibility standards for instructional Implement Q Reviewed Are Not materials, American River should include in Adequately Monitoring its next collective bargaining negotiations Services for Technology a requirement for instructors to periodically Accessibility, and Districts attend accessibility trainings. and Colleges Should • 29. To increase the transparency of its annual 5 † Formalize Procedures for review processes, by June 2018, American Upgrading Technology River should establish procedures requiring 2017‑102 its departments to document attendees, (December 2017) input received, and agreements reached during meetings to consider instructional technology equipment requests. California State Auditor Report 2023-041 83 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Montebello Unified School District • • Montebello Unified 5. To improve its current financial condition and 5 † School District: County ensure future viability, Montebello should, Superintendent Intervention within 60 days, revise its fiscal stabilization N Is Necessary to Address Its plan and make the necessary cuts to fund its Weak Financial Management ongoing commitments. and Governance • • 6. To improve its current financial condition 5 † 2017‑104 and ensure future viability, Montebello (November 2017) should create a robust budgeting process within 90 days using best practices of the Government Finance Officers Association to ensure Montebello’s ability to meet its priorities while maintaining the required level of reserves that buffers the district from drastic cuts in times of economic instability. • • 7. To improve its current financial condition and 5 † ensure future viability, Montebello should, within 90 days, implement an effective budget monitoring process with regular budget-to-actual comparisons. This process should include safeguards against spending in excess of budgeted expenditures and require advance board approval of such spending before it occurs. For example, Montebello should require that the budget manager perform monthly reviews of budget-to-actual figures and provide detailed explanations to the board for any variances. • • 8. To ensure that Montebello hires the most 5 † qualified executive and management staff, Montebello should immediately adhere to its policies for hiring classified employees, including screening candidates to ensure that they meet the minimum qualifications. Montebello should also hold provisional employees to the same standards for minimum qualifications as its policy requires. • • 9. To ensure that Montebello hires qualified 5 † classified employees, the personnel commission should, within 90 days, revise its policies to require the classified director to provide it with the education and work experience of any candidates on eligibility lists for high-ranking positions. It should also require the director of the personnel commission—the classified director—to provide it with a list of all provisional appointments, including information on how those employees meet the minimum qualifications. • • 10. To ensure that it does not violate state law, 5 † Montebello should immediately adhere to its policies and ensure that provisional employees do not work more than the legal maximum number of days of service. continued on next page . . . 84 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • • 13. To ensure that Montebello creates employee 5 † positions only when necessary, it should establish a policy within 30 days that requires a justification for why the district is creating a position. Additionally, in order to maintain transparency when creating new positions, Montebello should immediately begin to document its justifications. • • 14. To ensure that Montebello hires qualified 5 † certificated and classified employees, within 90 days the board should revise its policies to require the superintendent or his or her designee to provide information to the board about recruitments for high-ranking employees. The board should consider, at a minimum, the following information when approving appointments: • The number of initial applicants. • The number of candidates who passed the screening and interviewing steps. • The education and work experience of the final candidate recommended by the superintendent or designee. • 15. To ensure that Montebello is making hiring 5 † decisions free of bias or favoritism, within 90 days it should strengthen its hiring policies related to nepotism and conflicts of interest for classified and certificated personnel to include the following: establishing restrictions on immediate family members being involved in the screening and interviewing processes and definitions of what types of personal relationships fall under the nepotism policy, which work relationships the nepotism policy applies to, and what factors to consider when evaluating the potential impact of a personal relationship. • • 24. To ensure that Montebello spends its funds for 5 † allowable and reasonable purposes, it should implement an inventory tracking system that allows it to know where its equipment is located. Montebello should also periodically review its inventory listing to ensure that equipment is being properly used. Peralta Community College District Clery Act Requirements 32. To ensure that its campuses provide the 5 Will Not and Crime Reporting: necessary resources and information to Implement L Compliance Continues students about campus safety, Peralta to Challenge California’s should, by December 2018, develop all Colleges and Universities required policies related to campus safety in compliance with the Education Code. 2017‑032 (May 2018) California State Auditor Report 2023-041 85 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Sacramento City Unified School District • Sacramento City Unified 6. To address its current financial problems, 3 † School District: Because Sacramento Unified should do the following: M It Has Failed to Proactively • By March 2020, adopt a detailed plan to Address Its Financial resolve its fiscal crisis. The plan should Challenges, It May Soon Face estimate savings under multiple scenarios Insolvency and include an analysis that quantifies 2019‑108 the impact of reductions the district (December 2019) can make to ongoing expenditures. Specifically, Sacramento Unified should consider the impact of possible salary adjustments for employees in different bargaining units and include the impact those salary adjustments would have on postemployment benefits, such as pensions. It should also use the most recently available data to estimate net savings from modifying the health care benefits it provides to employees, as well as the impact those modifications would have on the total compensation of the employees. Finally, it should calculate the impact of possible changes to district and employee contributions to fund future retiree health benefits. The district should use the plan it develops as the basis for its discussions of potential solutions with its teachers union. • 8. To address its current financial problems, 3 † Sacramento Unified should do the following: • The district should adopt and disclose publicly a multiyear projection methodology. This methodology should disclose the assumptions and rationale used to estimate changes in salaries, benefits, contributions, and LCFF revenue—including changes in enrollment and the source and reliability of the data used to make these projections. continued on next page . . . 86 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION • 10. To prevent a similar fiscal crisis in the future, 3 † Sacramento Unified should do the following by July 2020: • Have the board adopt a budget methodology, including guidance on the use of one-time funds, the use and maintenance of district reserves, and the maintenance of a balanced budget. The methodology should use the Government Finance Officers Association’s best practices as a guide and should address at least the following areas: - Including administrators from different divisions of Sacramento Unified into the budget development process to help ensure the accuracy of projections. - Establishing criteria and measures for success in the budget process, such as whether budget decisions were made with adequate input and deliberation and whether the budget was balanced without using reserves or one-time revenues for ongoing expenditures. - Developing and adhering to a multiyear funding budget plan, with the goal of realigning resources where necessary to fund ongoing expenses with ongoing revenue. - Conducting an analysis of variances in budgeted and actual revenues and expenditures at each interim reporting period. Sacramento Unified should then use this information to inform its estimates for the upcoming fiscal year’s budget. • 11. To prevent a similar fiscal crisis in the future, 3 † Sacramento Unified should do the following by July 2020: • Develop a long-term funding plan to address its retiree health benefits liability. The plan should include appropriate action necessary to ensure the district will be able to meet its obligations to its employees and retirees. • 14. To prevent a similar fiscal crisis in the future, 3 † Sacramento Unified should do the following by July 2020: • Develop and adopt a succession plan that ensures that it has staff who have the training and knowledge necessary to assume critical roles in the case of turnover. California State Auditor Report 2023-041 87 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Sacramento County Sheriff’s Department • Concealed Carry Weapon 3. To ensure that staff are gathering consistent 5 † Licenses: Sheriffs Have evidence from applicants to demonstrate Implemented Their Local residency, good moral character, and firearms M Programs Inconsistently and training and are including which requirement Sometimes Inadequately applicants did not meet in its denial letters, by March 2018, Sacramento should create 2017‑101 formal CCW processing procedures and train (December 2017) its staff to follow these procedures. These procedures should require staff to gather and evaluate the information the department believes is required to demonstrate that each of the criteria for a CCW license has been met, and they should also require staff to include which requirement applicants did not meet in its denial letters. • 4. To ensure that staff are following its newly 5 † established procedures and to identify any need for additional guidance, by March 2018, Sacramento should establish a review process wherein it regularly reviews a selection of license files and denied applications to determine whether its staff are collecting sufficient and consistent documentation in accordance with its policies and are appropriately including which requirement applicants did not meet in its denial letters. • 7. To ensure that it provides all required 5 † information to Justice, Sacramento should immediately inform Justice when it revokes a CCW license, including when it receives a prohibition notice from Justice. San Bernardino City Unified School District • Youth Experiencing 16. To comply with federal law and best 3 † Homelessness: California’s practices, San Bernardino should, before Education System for K–12 academic year 2020–21, distribute S Inadequately Identifies and information about the educational rights of Supports These Youth youth experiencing homelessness in public places, including schools, shelters, public 2019‑104 libraries, and food pantries frequented by (November 2019) families of such youth, as federal law requires. Further, to mitigate families’ and youth’s hesitance to disclosing their living situation the LEA should include the protections set forth in federal and state laws in the information it distributes. continued on next page . . . 88 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION San Diego County Air Pollution Control District • • San Diego County 5. To ensure that the permit fees it charges are 3 † Air Pollution Control sufficient to pay for its permitting program, District: It Has Used the San Diego Air District should, by Vehicle Registration Fees December 2020, monitor the impact of the to Subsidize Its Permitting COVID-19 pandemic on San Diego County’s Process, Reducing the economy and, when economic conditions Amount of Funds Available allow, propose to the district board that to Address Air Pollution it increase fees annually by the maximum percentage allowed until the district’s 2019‑127 revenue from permit fees is equal to the full (July 2020) cost of the permitting program. San Diego County Sheriff’s Department Concealed Carry Weapon 5. To ensure that its staff appropriately renew 5 Unknown Licenses: Sheriffs Have CCW licenses, by March 2018, San Diego Implemented Their Local should establish a routine supervisory review M Programs Inconsistently and of a selection of renewed licenses. Sometimes Inadequately 6. To ensure that it consistently obtains sufficient 5 Unknown 2017‑101 evidence to demonstrate that an applicant (December 2017) satisfies its requirements for a license, by March 2018, San Diego should develop guidance and train its staff on what good cause documentation staff should request from applicants. Further, it should train its staff regarding the expected documents for residency and training. 8. To ensure that it follows state law’s 5 Unknown requirements for revoking licenses, San Diego should immediately revoke CCW licenses and should then inform Justice that it has revoked licenses whenever license holders become prohibited persons. Additionally, San Diego should notify Justice when it suspends a license or a license is surrendered. 12. To ensure that it maximizes allowable 5 Unknown revenue from its CCW program, San Diego should immediately pursue increasing its initial, renewal, and amendment fees to the maximum amounts allowable under state law. San Francisco Unified School District Youth Suicide Prevention: 17. To ensure that their teachers and staff have 3 Will Not Local Educational Agencies the knowledge necessary to identify and Implement Lack the Resources and assist students at risk of self-harm and U Policies Necessary to suicide, the six LEAs we reviewed should do Effectively Address Rising the following: Rates of Youth Suicide and • Revise their suicide prevention training Self-Harm materials by June 2021 to align with state 2019‑125 law and incorporate the best practices in (September 2020) Education’s model policy. • LEAs that provide suicide prevention training should conduct it at the beginning of the school year. California State Auditor Report 2023-041 89 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION San Joaquin County Probation Department Batterer Intervention 30. To ensure that offenders are held accountable 1 October Programs: State Guidance for complying with the conditions of their 2023# P and Oversight Are Needed probation, San Joaquin Probation should, to Effectively Reduce by April 2023, formalize and implement Domestic Violence comprehensive policies and procedures for domestic violence case management that 2021‑113 clearly describe the department's expectations (October 2022) for probation staff's compliance with state law. • • 32. To ensure that program providers comply 1 † with the probation department's standards and state law, San Joaquin Probation should develop and follow formalized policies and procedures for approving, renewing, and conducting comprehensive ongoing monitoring of program providers by April 2023. These policies should specify the frequency of monitoring, the documentation the department will require of program providers to demonstrate compliance, and the specific actions the department will take when a provider is noncompliant. • 33. To comply with state law, San Joaquin 1 † Probation should immediately follow its record retention policies to maintain documentation on all offenders for five years after the offenders complete or are terminated from probation. 34. To ensure that the courts can provide an 1 October offender with a selection of available program 2023# providers and their costs before the offender agrees to attend a program as a condition of probation, San Joaquin Probation should maintain standard program fee information and sliding fee scales for each of the providers it oversees, and make this information available to the courts by April 2023. San José Police Department • Law Enforcement 43. To improve its ability to recruit qualified 1 † Departments Have Not applicants who reflect the diversity of its Adequately Guarded Against communities, by October 2022, San José X Biased Conduct Police should have a process for regularly monitoring data on the diversity of its 2021‑105 current personnel, its new hires, and to the (April 2022) extent possible, its applicant pool. It should use these data to evaluate the success of its recruitment efforts and identify needed areas of improvement. continued on next page . . . 90 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 47. To strengthen its relationships with its 1 December community and mitigate the effects of bias on 2024 its officers, San José Police should develop and begin implementing a documented strategy to do all of the following by April 2023: • Collaborate with its communities to establish or leverage community advisory boards consisting of representatives of diverse groups. The strategy should specify how it will partner with the boards in the areas of recruitment, hiring, training, and community engagement, as well as how it will leverage the boards to obtain feedback on how it can better serve its community. • Ensure that officers at all levels regularly participate in community engagement activities. • Periodically survey its community to assess the effectiveness of its community engagement efforts and solicit feedback on how to improve its operations. 48. To proactively identify signs that officers 1 December may need additional training or supports to 2024 address possible biased behavior, San José Police should, by April 2023, adopt a policy and implement procedures that align with best practices for an effective early intervention system. The system should do the following: • Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention. The system should include analysis of stops data that identifies officers based on indications of possible biased conduct. • Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias. • Require monitoring of the officers who receive intervention to evaluate whether their performance improves or whether additional interventions are needed. California State Auditor Report 2023-041 91 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 49. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, San José Police should ensure it has implemented policies or procedures by January 2023 that require that misconduct investigations formally analyze whether an officer has acted in a biased manner whenever a complainant alleges bias, the facts of the incident indicate bias might have influenced an officer's behavior, or investigators recognize potential indications of bias during other reviews, such as use-of-force reviews. 50. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, San José Police should ensure it has implemented policies or procedures by January 2023 that require that the investigations apply a definition of bias that incorporates the following: biased conduct can include conduct resulting from implicit as well as explicit biases; conduct is biased if a reasonable person would conclude so using the facts at hand; an officer need not admit biased or prejudiced intent for conduct to reasonably appear biased; and biased conduct may occur in an encounter with the public, with other officers, or online, such as conduct on social media. 51. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, San José Police should ensure it has implemented policies or procedures by January 2023 that require that the individuals handling bias-related investigations follow detailed investigative guidelines for identifying biased conduct and be specifically trained in how to perform these assessments. 52. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, San José Police should ensure that, by January 2023, it has formalized policies—such as through discipline matrices or broader discipline guidelines—specifying options for corrective actions beyond punitive discipline that are designed to change officer behaviors associated with biased conduct. The department should require that, when appropriate, these corrective actions—such as training and education—be part of the discipline that officers receive when they are found to have engaged in biased conduct. continued on next page . . . 92 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION Stanislaus County In‑Home Supportive 11. To help ensure that recipients receive prompt 2 Will Not Services Program: It Is approval for services and also receive all Implement Not Providing Needed approved services, Stanislaus County should, W Services to All Californians by August 2021 and annually thereafter, Approved for the Program, complete required plans that include, at Is Unprepared for Future a minimum, specific provisions for how it Challenges, and Offers Low will ensure prompt approval of services Pay to Caregivers and that recipients promptly receive the approved services. 2020‑109 (February 2021) Stockton Police Department Law Enforcement 53. To communicate to both the public and 1 December Departments Have Not its officers its commitment to performing 2024 Adequately Guarded Against its duties in a fair and impartial manner, X Biased Conduct Stockton Police should formalize a policy that aligns with best practices by, at minimum, 2021‑105 declaring that biased conduct is prohibited, (April 2022) describing in detail what constitutes biased conduct, and outlining key compliance mechanisms. 54. To improve its ability to recruit qualified 1 † • applicants who reflect the diversity of its communities, by October 2022, Stockton Police should have a process for regularly monitoring data on the diversity of its current personnel, its new hires, and to the extent possible, its applicant pool. It should use these data to evaluate the success of its recruitment efforts and identify needed areas of improvement. 56. To better assess whether peace officer 1 † • applicants have the ability to work with diverse members of their communities and whether they possess detectable disqualifying biases, by no later than October 2022, Stockton Police should proactively seek and attempt to contact secondary references to obtain more candid information about applicants, such as information about past biased conduct or affiliation with hate groups. 57. To better assess whether peace officer 1 † • applicants have the ability to work with diverse members of their communities and whether they possess detectable disqualifying biases, by no later than October 2022, Stockton Police should begin using documented procedures that adhere to best practices to identify and review applicants' public social media profiles for content indicative of disqualifying biases, such as hate group affiliation. California State Auditor Report 2023-041 93 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 58. To strengthen its relationships with its 1 † • community and mitigate the effects of bias on its officers, Stockton Police should develop and begin implementing a documented strategy to do all of the following by April 2023: • Collaborate with its communities to establish or leverage community advisory boards consisting of representatives of diverse groups. The strategy should specify how it will partner with the boards in the areas of recruitment, hiring, training, and community engagement, as well as how it will leverage the boards to obtain feedback on how it can better serve its community. • Ensure that officers at all levels regularly participate in community engagement activities. • Periodically survey its community to assess the effectiveness of its community engagement efforts and solicit feedback on how to improve its operations. 59. To proactively identify signs that officers 1 December may need additional training or supports to 2024 address possible biased behavior, Stockton Police should, by April 2023, adopt a policy and implement procedures that align with best practices for an effective early intervention system. The system should do the following: • Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention. The system should include analysis of stops data that identifies officers based on indications of possible biased conduct. • Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias. • Require monitoring of the officers who receive intervention to evaluate whether their performance improves or whether additional interventions are needed. continued on next page . . . 94 California State Auditor Report 2023-041 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 60. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, Stockton Police should ensure it has implemented policies or procedures by January 2023 that require that misconduct investigations formally analyze whether an officer has acted in a biased manner whenever a complainant alleges bias, the facts of the incident indicate bias might have influenced an officer's behavior, or investigators recognize potential indications of bias during other reviews, such as use-of-force reviews. 61. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, Stockton Police should ensure it has implemented policies or procedures by January 2023 that require that the investigations apply a definition of bias that incorporates the following: biased conduct can include conduct resulting from implicit as well as explicit biases; conduct is biased if a reasonable person would conclude so using the facts at hand; an officer need not admit biased or prejudiced intent for conduct to reasonably appear biased; and biased conduct may occur in an encounter with the public, with other officers, or online, such as conduct on social media. 62. To ensure that it adequately investigates 1 December possible biased conduct and implements 2024 effective corrective actions, Stockton Police should ensure it has implemented policies or procedures by January 2023 that require that the individuals handling bias-related investigations follow detailed investigative guidelines for identifying biased conduct and be specifically trained in how to perform these assessments. 63. To ensure that it adequately investigates 1 † • possible biased conduct and implements effective corrective actions, Stockton Police should ensure that, by January 2023, it has formalized policies—such as through discipline matrices or broader discipline guidelines—specifying options for corrective actions beyond punitive discipline that are designed to change officer behaviors associated with biased conduct. The department should require that, when appropriate, these corrective actions—such as training and education—be part of the discipline that officers receive when they are found to have engaged in biased conduct. California State Auditor Report 2023-041 95 January 2024 STATE AUDITOR’S ASSESSMENT NUMBER OF YEARS AUDITEE DID NOT AUDITEE DID NOT ESTIMATED REPORT TITLE, NUMBER, AND RECOMMENDATION SUBSTANTIATE ADDRESS ALL RECOMMENDATION DATE OF ISSUE DATE HAS APPEARED IN ITS CLAIM OF FULL ASPECTS OF THE COMPLETION THIS REPORT IMPLEMENTATION RECOMMENDATION 64. To ensure that it adequately investigates 1 † • possible biased conduct and implements effective corrective actions, Stockton Police's policies should require that investigations include a formal determination that makes clear whether biased conduct occurred or not, as well as the rationale for reaching the determination. 65. To ensure that it accurately reports 1 † • information about all complaints as required by state law, Stockton Police should ensure that it reports to DOJ about all public complaints related to racial or identity profiling, including those that initially appear to be unfounded, and the disposition of those complaints. † Contrary to our determination, the audited agency believes it has fully implemented the recommendation. # The estimated date of completion precedes the publication of this report because, as of November 2023, the auditee did not claim full implementation of this recommendation and did not provide an updated estimated date of completion.