Los Angeles County, San Diego County, San Diego Court, and Santa Clara County should improve protocols for reviewing statutes that affect collection and distribution practices so that future changes can be acted upon.
The Office of Revenue and Recovery has redirected existing staff members to form a Compliance Unit within the ORR Fiscal Division. The Compliance Unit is responsible for: researching, identifying, and documenting existing legislation which govern/impact ORR's operations; identifying and monitoring legislative changes that impact ORR's collection and distribution practices; ensuring ongoing quality assurance relative to compliance; development and maintenance of business processes; and ongoing training and monitoring of staff in order to ensure ORR's full compliance with all applicable legislation.
To date the Compliance Unit has partnered with key agencies for information and training, documented statutes affecting collection and distribution practices, documented all legislation affecting the Fine Calculator and Distribution Tables; developed a legislation review and analysis process, documented key business processes including Fine Calculator and Distribution Table Revisions and Account Openings/Adult Court Orders, and identified Subject Matter Experts from all ORR Divisions to form a Compliance Committee to:
1. Encourage cross-functional threading
2. Improve communication among ORR divisions/units relative to compliance
3. Conduct compliance-related trainings
Contact Information for Implementation: Brenda Jaeger-Das, Senior Auditor and Controller Manager, Office of Revenue and Recovery. Phone number is (858) 637-5828 and email is firstname.lastname@example.org.
Please refer to our one-year response.
The County of San Diego, Office of Revenue and Recovery (ORR) has received, acknowledged and previously responded to the recommendations of the Bureau of State Audits. The implementation of the third part of this recommendation has been delayed due to significant unexpected staff turnover in ORR which adversely impacted ORR's ability to fully resolve this issue. Efforts continue within ORR to identify, reassign, develop and train staff resources within ORR which will be responsible for: researching, identifying, and documenting existing legislation which governs/impacts ORR, identifying and monitoring legislative changes that impact ORR's collection and distribution practices, ensuring ongoing quality assurance relative to compliance, evaluation, development and ongoing review of applicable procedures and ongoing training and monitoring of staff in order to ensure ORR's full compliance with all applicable legislation.
The County of San Diego, Health and Human Services Agency has implemented the process to review the balance in the fund and compare it with the rate of incoming funds quarterly effective November 2012. Supporting information has been sent.
San Diego County indicates that it implemented the process to review the balance in its special fund and compare it with the rate of incoming funds. However, this statement relates to recommendation 23 instead of this recommendation.
San Diego County's Office of Revenue & Recovery reported that the implementation of this recommendation remains in process as its office has been impacted by unexpected staff turnover. It indicated that it will continue to review and develop its procedures and train staff to improve protocols for reviewing statutes that affect collection and distribution practices. It expects to complete this process and provide copies of the revised procedures to the California State Auditor for review prior to its one-year response.
San Diego County stated that it revised its accounting procedures following the completion of the audit to ensure compliance with statutes. It plans to have revised comprehensive procedures with a targeted completion date of March 2013 for all accounting processes that are affected by court ordered debt, including the domestic violence payment. San Diego County also plans to establish a compliance unit by the end of January 2013. This unit will be responsible for regular and ongoing monitoring of procedures and for ensuring that all legislative changes are reflected in the procedures. (See 2013-406, p. 183)
Agency responses received after June 2013 are posted verbatim.