Report 2018-132 Recommendation 16 Responses
Report 2018-132: Bureau of Gambling Control and California Gambling Control Commission: Their Licensing Processes Are Inefficient and Foster Unequal Treatment of Applicants (Release Date: May 2019)
Recommendation #16 To: Justice, Department of
To ensure that it has the ability to justify the results of its background investigations, the bureau should develop a formal record retention policy for application documentation by November 2019. This policy should include rationales for retaining types of documents and should establish a process for ensuring staff compliance.
60-Day Agency Response
As of April 22, 2019, BGC revised its imaging procedures (Image Guide) by combining multiple procedures for different license types into one set of procedures. On April 23, 2019, staff was retrained on imaging procedures for files. On June 21, 2019, BGC updated its procedures to include rationales for retaining different types of documents. On June 24, 2019, BGC established a policy on imaging/retention of documents associated with background investigations and distributed to staff. Additionally, BGC developed Imaging/Purging Checklists to ensure staff compliance.
- Completion Date: June 2019
- Response Date: July 2019
California State Auditor's Assessment of 60-Day Status: Fully Implemented
The bureau provided an updated version of its retention procedures, along with a formal policy directing all staff to comply with those procedures. The policy also establishes quarterly review of staff's compliance with the new retention requirements.
Agency responses received are posted verbatim.