Report 2009-043 Recommendations

When an audit is completed and a report is issued, auditees must provide the State Auditor with information regarding their progress in implementing recommendations from our reports at three intervals from the release of the report: 60 days, six months, and one year. Additionally, Senate Bill 1452 (Chapter 452, Statutes of 2006), requires auditees who have not implemented recommendations after one year, to report to us and to the Legislature why they have not implemented them or to state when they intend to implement them. Below, is a listing of each recommendation the State Auditor made in the report referenced and a link to the most recent response from the auditee addressing their progress in implementing the recommendation and the State Auditor's assessment of auditee's response based on our review of the supporting documentation.

Recommendations in Report 2009-043: Board of Pilot Commissioners for the Bays of San Francisco, San Pablo and Suisun: It Needs to Develop Procedures and Controls Over Its Operations and Finances to Ensure That It Complies With Legal Requirements (Release Date: November 2009)

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Recommendations to Pilot Commissioners for the Bays of San Francisco, San Pablo and Suisun, Board of
Number Recommendation Status
1

To ensure that it consistently adheres to requirements in state law when licensing pilots, the board should establish and implement a procedure for approving and monitoring board-appointed physicians.

Fully Implemented
2

To ensure that its expenditures are appropriate, the board should competitively bid contracts with physicians who perform physical examinations of pilots.

Fully Implemented
3

To ensure that it consistently adheres to requirements in state law when licensing pilots, the board should follow its recently established procedure to complete a checklist to verify that trainees and pilots have fulfilled all the requirements for licensure, including the physical examination, before the board issues or renews a license.

Fully Implemented
4

To ensure that it fully complies with state law regarding investigations, the board should implement procedures to track the progress of investigations, including a procedure to identify those investigations that may exceed the 90-day deadline established in law.

Fully Implemented
5

To ensure that it fully complies with state law regarding investigations, the board should ensure that there is proper justification and appraisal for investigations that require more than 90 days to complete.

Fully Implemented
6

To ensure that it fully complies with state law regarding investigations, the board should develop and enforce regulations establishing minimum qualifications for its investigators, as state law requires.

7

To ensure that it fully complies with state law regarding investigations, the board should investigate reports of safety standard violations regarding pilot boarding equipment.

Fully Implemented
8

To ensure that it is able to license the number of pilots it has determined it needs, the board should continue to monitor its need for additional trainees to replace those who retire.

Fully Implemented
9

To ensure that it has adequate controls to protect confidential information, the board should create a process, as state law requires, for accessing confidential information, such as board records containing confidential information on board members, board staff, or pilots.

Fully Implemented
10

To ensure that it has adequate controls to protect confidential information, the board should consistently use state-based e-mail accounts when conducting board business and, to the extent possible, import prior non-state e-mail into the state accounts.

Fully Implemented
11

To adhere to requirements regarding administrative practices, the board should establish a formal procedure to complete and maintain copies of required statements of economic interests.

Fully Implemented
12

To adhere to requirements regarding administrative practices, the board should institute a process of ensuring that investigators complete statements of economic interests and seek advice from the Fair Political Practices Commission when there are questions as to whether other consultants should file such statements.

Fully Implemented
13

To adhere to requirements regarding administrative practices, the board should develop procedures to ensure that board members and designated staff continue to receive required training, such as training in state ethics rules.

Fully Implemented
14

To adhere to requirements regarding administrative practices, the board should establish processes to ensure that it posts accurate information about its meetings within the timelines required by law.

Fully Implemented
15

To adhere to requirements regarding administrative practices, the board should formalize a procedure for evaluating the executive director’s performance on an annual basis.

Fully Implemented
16

To improve its record keeping, the board should establish formal procedures related to document retention in files regarding investigations. For example, the board should ensure that its investigation files contain a report of the Incident Review Committee’s opinions and recommendations and the board’s actions based on these recommendations.

Fully Implemented
17

To improve its record keeping, the board should determine and document what it needs to include in minutes of the board’s meetings, such as pilot renewals, and ensure that copies of license renewals are placed in the pilots’ files.

Fully Implemented
18

To ensure that it strengthens internal policies and controls over pilot rates and its finances, the board should review and approve any quarterly changes made to that portion of the pilot fee based on the mill rate.

Fully Implemented
19

To ensure that it strengthens internal policies and controls over pilot rates and its finances, the board should establish a requirement for an independent audit of the pilot boat and pilot pension surcharges and ensure that such audits are conducted each year.

Fully Implemented
20

To ensure that it strengthens internal policies and controls over pilot rates and its finances, the board should establish a monthly review of the revenue reports it receives from the Bar Pilots that includes verifying that the amount of the accompanying check is accurate and that the report is complete.

Fully Implemented
21

To ensure that it strengthens internal policies and controls over pilot rates and its finances, the board should instruct the inland pilot to collect and remit the training surcharge and report these collections to the board.

Fully Implemented
22

To ensure that it strengthens internal policies and controls over pilot rates and its finances, the board should develop procedures to separately track expenditures relevant to the operations, training, and continuing education surcharges.

Fully Implemented
23

To ensure that its expenditures are appropriate, the board should cancel its lease for two parking spaces that it entered into in 2009, or require its staff or board members to reimburse the board for their use of those parking spaces.

24

To ensure that its expenditures are appropriate, the board should cease reimbursing pilots for business class travel when they fly for training and amend its contract with the Bar Pilots accordingly.

25

To ensure that all pilots complete required training within the specified time frames, the board should schedule pilots for training within the period specified in state law and board regulations.

Fully Implemented
26

To ensure that all pilots complete required training within the specified time frames, the board should include in its contracts with institutions providing continuing education for pilots, a provision requiring those institutions to prepare an evaluation of pilots’ performance in the training.

27

To ensure that it consistently adheres to requirements in state law when licensing pilots, the board should review and update its regulations regarding the frequency of pilot physical examinations to ensure that they are consistent with state law.



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