Report 2014-301 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 2014-301: Judicial Branch Procurement: Five Superior Courts Did Not Consistently Follow Judicial Branch Contracting Practices (Release Date: November 2014)

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Recommendations to Superior Court of California, County of Alameda
Number Recommendation Status
1

To improve its payment practices and comply with the judicial contracting manual, the Alameda court should establish clear procedures for ensuring that appropriate staff sign and authorize all payments prior to processing. It should ensure that staff follows these procedures and that managers do not approve payments above their authorized dollar limits.

Fully Implemented
2

To improve its payment practices and comply with the judicial contracting manual, the Alameda court should prohibit staff from purchasing unauthorized goods or services.

Fully Implemented
3

To improve its payment practices and comply with the judicial contracting manual, the Alameda court should only make advance payments under the conditions that the judicial contracting manual allows.

Fully Implemented
4

To improve its payment practices and comply with the judicial contracting manual, the Alameda court should ensure that all purchases are for allowable purposes.

Fully Implemented
5

To improve its payment practices and comply with the judicial contracting manual, the Alameda court should ensure that it adheres to the $1,500 single transaction limit for all Cal-Card purchases.

Fully Implemented
6

To improve its procurement practices and comply with the judicial contracting manual, the Alameda court should ensure that it either anticipates contracts expiring and competitively rebids them timely or establishes proper noncompetitive amendments to the contracts as the judicial contracting manual specifies.

Fully Implemented
7

To improve its procurement practices and comply with the judicial contracting manual, the Alameda court should ensure that it maintains proper documentation in its procurement files to justify its decisions to enter into noncompetitive procurements.

Fully Implemented
8

To improve its procurement practices and comply with the judicial contracting manual, the Alameda court should adopt procedures to implement the small business preference for competitive information technology procurements by December 31, 2014.

Fully Implemented
Recommendations to Superior Court of California, County of Fresno
Number Recommendation Status
9

To improve its procurement practices and comply with the judicial contracting manual, the Fresno court should ensure that it maintains proper documentation in its procurement files to justify its decisions to enter into sole-source contracts and to demonstrate that it received fair and reasonable prices.

Fully Implemented
10

To improve its procurement practices and comply with the judicial contracting manual, the Fresno court should use the appropriate solicitation method for the dollar value of the procurements it seeks.

Fully Implemented
11

To improve its procurement practices and comply with the judicial contracting manual, the Fresno court should ensure that it conducts competitive procurements when it establishes blanket purchase orders of $5,000 or more.

Fully Implemented
12

To improve its procurement practices and comply with the judicial contracting manual, the Fresno court should ensure that staff does not approve payments for amounts greater than their authorized limits.

Fully Implemented
13

To improve its procurement practices and comply with the judicial contracting manual, the Fresno court should adopt procedures to implement the State's DVBE program and the small business preference for competitive information technology procurements by December 31, 2014.

Fully Implemented
Recommendations to Superior Court of California, County of San Luis Obispo
Number Recommendation Status
14

To improve its procurement practices and comply with the judicial contracting manual, the San Luis Obispo court should solicit competitive bids for procurements of $5,000 or more when required to do so.

Fully Implemented
15

To improve its procurement practices and comply with the judicial contracting manual, the San Luis Obispo court should ensure that it maintains proper documentation in its procurement files to justify its decisions to enter into noncompetitive procurements, including sole-source contracts.

Fully Implemented
16

To improve its procurement practices and comply with the judicial contracting manual, the San Luis Obispo court should take steps to ensure that pricing it receives is fair and reasonable when it uses leveraged procurement agreements and document these steps in its procurement files.

Fully Implemented
Recommendations to Superior Court of California, County of Yuba
Number Recommendation Status
17

To improve its procurement practices and comply with the judicial contracting manual, the Yuba court should ensure that it maintains proper documentation in its procurement files to justify its decisions to enter into sole-source contracts.

Fully Implemented


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