To comply with state law and to ensure that it effectively manages its inspections of institutions, the bureau should establish a schedule that maps out its anticipated announced and unannounced inspection dates for each of the institutions it regulates, and ensure that the schedule is consistent with state law.
The Bureau is attaching a copy of the spreadsheet indicating the dates for announced and unannounced compliance inspections. This spreadsheet is confidential.
The Bureau has updated the compliance inspection tracking log (Attachment #11) to include anticipated dates of inspections for all institutions. The spreadsheet also takes into account changes made by SB 1247 (Chapter 840, Statutes of 2014).
The bureau provided us a copy of a document it calls a compliance inspection tracking log, but the log the bureau provided to us did not include all of the institutions the bureau regulates, and only includes the anticipated announced and unannounced inspection dates for selected institutions.
The Bureau's current efforts to draft a compliance inspection schedule are on hold pending the passage of Senate Bill 1247. The bill would significantly change the compliance scheduling methodology. For example, the bill would require a compliance inspection every five years instead of two.
(See Attachment #12,p4)
The Bureau is finalizing this schedule. This is the responsibility of the Bureau Chief.
†Response Type refers to the interval in which the auditee is providing the State Auditor with their status in implementing recommendations made in an audit report. Auditees must submit a response 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 or subsequent to one year.
*Agency responses received after June 2013 are posted verbatim.