Report 2005-123 Recommendation 8 Responses

Report 2005-123: Department of Corporations: It Needs Stronger Oversight of Its Operations and More Efficient Processing of License Applications and Complaints (Release Date: January 2007)

Recommendation #8 To: Corporations, Department of

To ensure that all applications are reviewed promptly and sufficiently, Corporations should follow up with applicants that do not promptly respond to deficiency notices.

1-Year Agency Response

According to Corporations, it has revised the letter it sends to applicants notifying them that their application has been approved. The revised letter will now include both a reference that the application is complete and has been approved. Corporations also stated that it has developed a tracking mechanism that notifies staff at established intervals that an applicant has not responded to a deficiency notice. Staff will prepare a follow-up letter notifying the applicant that Corporations will close the application if the requested information is not received by a given date. A second notice will be sent if the information is not received and, if no response is provided, Corporations will close the application. (See 2009-406, p. 33)

California State Auditor's Assessment of 1-Year Status: Fully Implemented

All Recommendations in 2005-123

Agency responses received after June 2013 are posted verbatim.