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California State Auditor Report Number: 2016-701

Recommendations for the Legislature From Audits Issued During 2015 and 2016

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Business and Professions

2016-046  Board of Registered Nursing: Significant Delays and Inadequate Oversight of the Complaint Resolution Process Have Allowed Some Nurses Who May Pose a Risk to Patient Safety to Continue Practicing (December 2016)Require Employers of Registered Nurses to Report Specified Employment Actions to the Board, Consider Transferring the Board’s Enforcement Responsibilities, and Require the Board to Investigate Specified Complaints

2014-116  California Department of Consumer Affairs’ BreEZe System: Inadequate Planning and Oversight Led to Implementation at Far Fewer Regulatory Entities at a Significantly Higher Cost (February 2015)Require an Annual Report on the Status of the BreEZe Project


2016-112  School Library Services: Vague State Laws and a Lack of Monitoring Allow School Districts to Provide a Minimal Level of Library Services (November 2016)Define the Minimum Level and Types of Library Services and Broaden the Authority of Regulatory Entities

2015-112  Student Mental Health Services: Some Students’ Services Were Affected by a New State Law, and the State Needs to Analyze Student Outcomes and Track Service Costs (January 2016)Require the Department of Education to Annually Report Student Mental Health Outcomes and Require Local Plan Areas to Enter into Agreements With School Districts

2015-101  Inglewood Unified School District: The State Superintendent of Public Instruction Needs to Better Communicate His Approach for Reforming the District (November 2015)Require the Superintendent to Document the State Administrator Appointment Process

Governmental Organization

2016-110  Trade Apprenticeship Programs: The State Needs to Better Oversee Apprenticeship Programs, Such as the Air Conditioning Trade Association’s Sheet Metal Program (November 2016)Provide Authority for the Apprenticeship Division to Verify Appropriate Use of State Funds and Clarify the Role of the Community Colleges Chancellor’s Office

2015-119  State Board of Equalization: Its Tobacco Tax Enforcement Efforts Are Effective and Properly Funded, but Other Funding Options and Cost Savings Are Possible (February 2016)Implement a Funding Model That Would Allow the Licensing Program to Be Self-Sufficient

2015-117  California Department of General Services’ Real Estate Services Division: To Better Serve Its Client Agencies, It Needs to Track and Analyze Project Data and Improve Its Management Practices (March 2016)Implement a Pilot Program for Job Order Contracting

2015-608  High Risk: State Departments Need to Improve Their Workforce and Succession Planning Efforts to Mitigate the Risks of Increasing Retirements (May 2015)Authorize an Agency to Provide Oversight to State Departments for Workforce and Succession Planning

2014-131  California State Government Websites: Departments Must Improve Website Accessibility So That Persons With Disabilities Have Comparable Access to State Services Online (June 2015)Maximize Usage and Maintain Standards for State Government Website Accessibility

2015-611  High Risk Update: Information Security: Many State Entities’ Information Assets Are Potentially Vulnerable to Attack or Disruption (August 2015)Mandate an Independent Security Assessment of Each Reporting Entity and Authorize the Redirection of Funds to Remediate Information Security Weaknesses

Health and Human Services

2016-108  Department of Developmental Services: It Cannot Verify That Vendor Rates for In-Home Respite Services Are Appropriate and That Regional Centers and Vendors Meet Applicable Requirements (October 2016)Clarify Hourly Vendor Rates and Require the Department to Conduct an In-Depth Review of Rates

2015-131  California’s Foster Care System: The State and Counties Have Failed to Adequately Oversee the Prescription of Psychotropic Medications to Children in Foster Care (August 2016)Require Social Services to Develop and Implement an Oversight Structure for Psychotropic Medications Prescribed to Foster Children

2015-115  Dually Involved Youth: The State Cannot Determine the Effectiveness of Efforts to Serve Youth Who Are Involved in Both the Child Welfare and Juvenile Justice Systems (February 2016)Require the California Department of Social Services to Implement a Function to Identify Dually Involved Youth and Consistently Track Joint Assessment Hearing Information

2014-113  California Department of Public Health: Even With a Recent Increase in Federal Funding, Its Efforts to Prevent Diabetes Are Focused on a Limited Number of Counties (January 2015)Provide State Funding for Diabetes Programs

2014-118  California Department of Developmental Services: Its Process for Assessing Fees Paid by Parents of Children Living in Residential Facilities Is Woefully Inefficient and Inconsistent (January 2015)Require Fee Determinations to Be Based Upon Consistent Information

2015-503  Follow-Up—California Department of Social Services: It Has Not Corrected Previously Recognized Deficiencies in Its Oversight of Counties’ Antifraud Efforts for the CalWORKs and CalFresh Programs (June 2015)Require Social Services to Annually Report on the Statewide Fingerprint Imaging System and Determine the Cost-Effectiveness of Any Proposed Alternative

2015-501  Follow-Up—California Department of Developmental Services: It Can Do More to Ensure That Regional Centers Comply With the Legislature’s Cost-Containment Measures Under the Lanterman Act (July 2015)Strengthen Cost-Containment Measures in Current Law

2014-130  California Department of Health Care Services: It Should Improve Its Administration and Oversight of School‑Based Medi-Cal Programs (August 2015)Allow Reimbursement Claims to Be Directly Submitted to Health Care Services and Require an Annual Report for the Administrative Activities Program

Higher Education

2015-107  The University of California: Its Admissions and Financial Decisions Have Disadvantaged California Resident Students (March 2016)Revise Admission Rate Calculation, Require the University to Prepare a Biennial Cost Study, and Limit the Percentage of Nonresident Student Enrollment

2015-032  California’s Postsecondary Educational Institutions: More Guidance Is Needed to Increase Compliance With Federal Crime Reporting Requirements (July 2015)Require the Department of Justice to Provide Guidance on Campus Crime Reporting


2015-047  The State Bar of California: Its Lack of Transparency Has Undermined Its Communications With Decision Makers and Stakeholders (May 2016)Require Legislative Approval or Notification on Revenue Decisions and Disclosure Regarding Nonprofit Organizations

2014-107  Judicial Branch of California: Because of Questionable Fiscal and Operational Decisions, the Judicial Council and the Administrative Office of the Courts Have Not Maximized the Funds Available for the Courts (January 2015)Redirect Compensation Savings to Trial Courts, Define Differences in Expenditures, and Require an Annual Independent Financial Audit

2015-030  State Bar of California: It Has Not Consistently Protected the Public Through Its Attorney Discipline Process and Lacks Accountability (Release Date: June 2015)Determine Cases to Include in Backlog, Limit Fund Balances, and Enact a Biennial Membership Fee Approval Process

Local Government

2015-132  County Pay Practices: Although the Counties We Visited Have Rules in Place to Ensure Fairness, Data Show That a Gender Wage Gap Still Exists (May 2016)Require Counties to Compare and Report on Differences in Compensation and Direct the State Controller to Obtain Information on the Gender of Public Employees

2015-102  Central Basin Municipal Water District: Its Board of Directors Has Failed to Provide the Leadership Necessary for It to Effectively Fulfill Its Responsibilities (December 2015)Preserve the District as an Independent Entity, But Modify the Governance Structure

Natural Resources

2014-124  California’s Alternative Energy and Efficiency Initiatives: Two Programs Are Meeting Some Goals, but Several Improvements Are Needed (February 2015)Determine Whether to Continue Funding the Thermal Program and Require the Air Resources Board to Assess the Effectiveness of the Decal Program

Public Safety

2015-130  The CalGang Criminal Intelligence System: As the Result of Its Weak Oversight Structure, It Contains Questionable Information That May Violate Individuals’ Privacy Rights (August 2016)Establish Requirements in State Law for Shared Gang Databases and Require the Databases to Comply with Federal Regulations and Important Safeguards in the State Guidelines

2014-125  California Department of State Hospitals: It Could Increase the Consistency of Its Evaluations of Sex Offenders by Improving Its Assessment Protocol and Training (March 2015)Allow State Hospitals Flexibility In Evaluating Whether an Offender Meets the Criteria of a Sexually Violent Predator

2015-504  Follow-Up—California Department of Justice: Delays in Fully Implementing Recommendations Prevent It From Accurately and Promptly Identifying All Armed Persons With Mental Illness, Resulting in Continued Risk to Public Safety (July 2015)Require Completion of an Initial Case Review Within Seven Days

Revenue & Taxation

2015-127  Corporate Income Tax Expenditures: The State’s Regular Evaluation of Corporate Income Tax Expenditures Would Improve Their Efficiency and Effectiveness (April 2016)Adopt Best Practices and Commission a Study to Evaluate Effectiveness of Tax Expenditures and Modify Water’s Edge and Low-Income Housing Credits


2015-120  California Department of Transportation: Its Maintenance Division’s Allocations and Spending for Field Maintenance Do Not Match Key Indicators of Need (March 2016)Require the Division to Develop and Implement a Budget Model for Field Maintenance

Utilities & Commerce

2016-104  California Public Utilities Commission: It Should Reform Its Rules to Increase Transparency and Accountability, and Its Contracting Practices Do Not Align With Requirements or Best Practices (September 2016)Amend State Law Relating to Commission Proceedings, Ex Parte Communications, and Use of the Attorney General’s Office

2014-120  California Public Utilities Commission: It Needs to Improve the Quality of Its Consumer Complaint Data and the Controls Over Its Information Systems (April 2015)Authorize the Commission to Collect VoIP Customer Information from Telephone Service Providers


Legislation Chaptered or Vetoed in the 2015–16 Regular Legislative Session

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