Report 2011-106 Recommendation 4 Responses

Report 2011-106: Intellectual Property: An Effective Policy Would Educate State Agencies and Take Into Account How Their Functions and Property Differ (Release Date: November 2011)

Recommendation #4 To: Health Care Services, Department of

Caltrans, the Energy Commission, Food and Agriculture, and Health Care Services should put in writing those policies and procedures related to intellectual property that they believe are necessary and appropriate to enable their staff to identify, manage, and protect their intellectual property.

Agency Response*

On December 16, 2016, the Department of Health Care Services (DHCS) submitted to the Department of General Services (DGS) a list of significant intellectual property (IP) for inclusion in the DGS IP database. DHCS is currently developing IP policies and procedures that it believes will enable its staff to identify, manage, and protect its IP. DHCS will also develop and standardize forms necessary for staff to manage and protect its IP when engaging with public and non-public entities.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: DHCS has not yet determined the implementation date
  • Response Date: August 2017

California State Auditor's Assessment of Status: Pending


Agency Response*

On September 28, 2016, the Department of Health Care Services (DHCS) met with the Department of General Services (DGS) regarding the DGS Intellectual Property (IP) Program. DHCS is currently compiling a list of significant IP for inclusion in the DGS IP database, which is being developed to assist State Agencies with IP management and protection.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: End of 2016
  • Response Date: October 2016

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

The Department of Health Care Services will await instruction from the Department of General Services regarding the appropriate policies and procedures related to intellectual property.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: 2016
  • Response Date: October 2015

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

The Department anticipates collaborating with the Department of General Services on a cohesive statewide approach to develop policy and track intellectual property.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: January 2015
  • Response Date: October 2014

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

The Department of Health Care Services intends to coordinate its efforst regarding intellectual property with the Department of General Services. These efforts will be consistent with Government Code, section 13988, et. seq. Pursuant to Government Code, section 13988.2, the statewide effort to track intellectual property will commence January 2015.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: January 2015
  • Response Date: September 2013

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

Health Care Services indicated that it has not yet implemented the recommendation because of other high priority projects and staff vacancies. However, Health Care Services stated that pursuant to AB 744 it will coordinate with General Services to track and manage its intellectual property. (See 2013-406, p. 36)

  • Response Type†: 1-Year
  • Response Date: November 2012

California State Auditor's Assessment of Status: No Action Taken


All Recommendations in 2011-106

†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.


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