Report 2016-301 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 2016-301: Judicial Branch Procurement: The Five Superior Courts We Reviewed Mostly Adhered to Required and Recommended Practices, but Some Improvements Are Needed (Release Date: November 2016)

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

The San Joaquin court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the San Joaquin court should follow the recommended process for applicable noncompetitive procurements to ensure that vendors' prices are fair and reasonable.

Fully Implemented
4

The San Joaquin court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the San Joaquin court should follow the judicial contracting manual's recommendations for procurement processes, and it should provide and consistently retain in contract files its justifications for entering into contracts that it has not competitively bid.

Fully Implemented
7

The San Joaquin court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the San Joaquin court should ensure that contracts include all required elements and are properly approved.

Fully Implemented
9

To ensure that it properly authorizes payments and purchases only allowable items, the San Joaquin court should process payments in accordance with the requirements and recommended practices of the Judicial Council and the State. Specifically, the San Joaquin court should implement a process to ensure that its staff adheres to the requirements within its policy when exceeding the $1,500 per transaction limit for purchase cards as established in the judicial contracting manual.

Fully Implemented
10

To ensure that it properly authorizes payments and purchases only allowable items, the San Joaquin court should process payments in accordance with the requirements and recommended practices of the Judicial Council and the State. Specifically, the San Joaquin court should make sure that it is receiving the goods and services it ordered. It should also pay vendors only after verifying receipt of the goods or services.

Fully Implemented
Recommendations to Superior Court of California, County of San Mateo
Number Recommendation Status
2

The San Mateo court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the San Mateo court should follow the recommended process for applicable noncompetitive procurements to ensure that vendors' prices are fair and reasonable.

Fully Implemented
5

The San Mateo court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the San Mateo court should follow the judicial contracting manual's recommendations for procurement processes, and it should provide and consistently retain in contract files its justifications for entering into contracts that it has not competitively bid.

Fully Implemented
11

To ensure that it properly authorizes payments and purchases only allowable items, the San Mateo court should process payments in accordance with the requirements and recommended practices of the Judicial Council and the State. Specifically, the San Mateo court should make sure that it is receiving the goods and services it ordered. It should also pay vendors only after verifying receipt of the goods or services.

Fully Implemented
12

To ensure that it properly authorizes payments and purchases only allowable items, the San Mateo court should process payments in accordance with the requirements and recommended practices of the Judicial Council and the State. Specifically, the San Mateo court should take steps to ensure that appropriate employees authorize all payments.

Fully Implemented
13

To ensure that it properly authorizes payments and purchases only allowable items, the San Mateo court should process payments in accordance with the requirements and recommended practices of the Judicial Council and the State. Specifically, the San Mateo court should amend its bottled water service contract to ensure that water is purchased for use by jurors and court room staff only.

Will Not Implement
Recommendations to Superior Court of California, County of Tehama
Number Recommendation Status
3

The Tehama court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the Tehama court should follow the recommended process for applicable noncompetitive procurements to ensure that vendors' prices are fair and reasonable.

Fully Implemented
6

The Tehama court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the Tehama court should follow the judicial contracting manual's recommendations for procurement processes, and it should provide and consistently retain in contract files its justifications for entering into contracts that it has not competitively bid.

Fully Implemented
8

The Tehama court should follow the requirements and recommended practices of the Judicial Council and the State to ensure that it obtains the best value for the goods and services it purchases through contracts. Specifically, the Tehama court should ensure that contracts include all required elements and are properly approved.

Fully Implemented


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