Report 2013-036 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 2013-036: Indian Gaming Special Distribution Fund: Counties' Benefit Committees Did Not Always Comply With State Laws for Distribution Fund Grants (Release Date: March 2014)

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Recommendations to Butte, County of
Number Recommendation Status
1

To comply with state law, benefit committees should ensure that they obtain sufficient documentation from grant applicants to demonstrate that proposed projects mitigate casino impacts. If applicable, that documentation should demonstrate that the requested funding represents a correct proportionate share of the costs attributable to casino impacts.

Fully Implemented
5

To comply with state law requiring it to reserve specific amounts of mitigation grant funds for local government jurisdictions based on the nexus criteria, Butte Countys benefit committee should correct its determinations of nexus eligibility for the city of Oroville and Butte County by April 1, 2014.

Fully Implemented
6

To comply with state law requiring it to reserve specific amounts of mitigation grant funds for local government jurisdictions based on the nexus criteria, Butte Countys benefit committee should ensure that it awards the minimum funding to each local government jurisdiction consistent with its corrected nexus determinations.

Fully Implemented
7

To ensure that grant recipients comply with state law concerning interest earned on mitigation grant funds, by June 2014, the Butte County benefit committee should establish policies and procedures to verify that grant recipients have placed grant awards in interest-bearing accounts, and that the interest is spent only on activities that mitigate the effect of tribal gaming on local jurisdictions.

Partially Implemented
12

To comply with the reform act, Butte County's benefit committee should adopt a conflict code and appoint a filing officer by June 2014.

Fully Implemented
15

To comply with the reform act, the benefit committee for Butte County once it adopts its conflict code, should review staff responsibilities to ensure that its conflict code requires all individuals participating in or making governmental decisions to disclose reportable interests.

Fully Implemented
19

To ensure that the benefit committee members and other designated individuals comply with reform act requirements for filing statements of economic interests, after Butte County's benefit committee has appointed a filing officer, the filing officer should attend FPPC training and notify designated individuals of their responsibility to submit statements of economic interests and follow up with those who fail to file.

Fully Implemented
Recommendations to Controller's Office, State
Number Recommendation Status
11

Unless the Legislature amends current state law, the Controller should implement its plan to modify its distribution process beginning with fiscal year 2013-14 grant awards to ensure that it only releases funds directly to approved grant recipients.

Fully Implemented
Recommendations to Lake County
Number Recommendation Status
2

To comply with state law, benefit committees should ensure that they obtain sufficient documentation from grant applicants to demonstrate that proposed projects mitigate casino impacts. If applicable, that documentation should demonstrate that the requested funding represents a correct proportionate share of the costs attributable to casino impacts.

Fully Implemented
8

To ensure that grant recipients comply with state law concerning interest earned on mitigation grant funds, by June 2014, the Lake County benefit committee should establish policies and procedures to verify that grant recipients have placed grant awards in interest-bearing accounts, and that the interest is spent only on activities that mitigate the effect of tribal gaming on local jurisdictions.

Fully Implemented
16

To ensure that the benefit committee members and other designated individuals comply with reform act requirements for filing statements of economic interests, the Lake, Riverside, and San Diego benefit committees filing officers should attend FPPC training so that they are aware of and meet the responsibilities under the reform act. Each of these benefit committees should also establish a formal process for ensuring that all required individuals file statements of economic interests. For example, each benefit committees filing officer should notify designated individuals of their responsibility to submit statements of economic interests and follow up with those who fail to file.

Resolved
Recommendations to Legislature
Number Recommendation Status
20

To improve compliance with state laws and provide technical assistance in administering the mitigation grant program, the Legislature should consider designating an agency, such as the gambling commission or Justice, to provide oversight and technical assistance to the benefit committees. The oversight entity could, at a minimum, ensure that local government jurisdictions receive the amount reserved for them in state law.

No Action Taken
Recommendations to Riverside, County of
Number Recommendation Status
3

To comply with state law, benefit committees should ensure that they obtain sufficient documentation from grant applicants to demonstrate that proposed projects mitigate casino impacts. If applicable, that documentation should demonstrate that the requested funding represents a correct proportionate share of the costs attributable to casino impacts.

Fully Implemented
14

To comply with the reform act, the benefit committee for Riverside County should review staff responsibilities to ensure that its conflict code requires all individuals participating in or making governmental decisions to disclose reportable interests.

Fully Implemented
17

To ensure that the benefit committee members and other designated individuals comply with reform act requirements for filing statements of economic interests, the Lake, Riverside, and San Diego benefit committees filing officers should attend FPPC training so that they are aware of and meet the responsibilities under the reform act. Each of these benefit committees should also establish a formal process for ensuring that all required individuals file statements of economic interests. For example, each benefit committees filing officer should notify designated individuals of their responsibility to submit statements of economic interests and follow up with those who fail to file.

Fully Implemented
Recommendations to San Diego, County of
Number Recommendation Status
4

To comply with state law, benefit committees should ensure that they obtain sufficient documentation from grant applicants to demonstrate that proposed projects mitigate casino impacts. If applicable, that documentation should demonstrate that the requested funding represents a correct proportionate share of the costs attributable to casino impacts.

Fully Implemented
9

If San Diego County's benefit committee believes that its processes for distributing grant funds are vital to its effective management of distribution fund grants, it should seek legislative authority to change its process. Otherwise, San Diego County's benefit committee should instruct the Controller to release funds directly to the grant recipients.

Resolved
10

If San Diego County's benefit committee believes that its processes for distributing grant funds are vital to its effective management of distribution fund grants, it should seek legislative authority to change its process. Otherwise, San Diego County's benefit committee should refrain from placing limits on the time available for grant recipients to spend the grant funds.

Will Not Implement
13

To comply with the reform act, the benefit committee for San Diego County should review staff responsibilities to ensure that its conflict code requires all individuals participating in or making governmental decisions to disclose reportable interests.

Fully Implemented
18

To ensure that the benefit committee members and other designated individuals comply with reform act requirements for filing statements of economic interests, the Lake, Riverside, and San Diego benefit committees filing officers should attend FPPC training so that they are aware of and meet the responsibilities under the reform act. Each of these benefit committees should also establish a formal process for ensuring that all required individuals file statements of economic interests. For example, each benefit committees filing officer should notify designated individuals of their responsibility to submit statements of economic interests and follow up with those who fail to file.

Fully Implemented


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