Report 2017-129 Recommendation 11 Responses
Report 2017-129: Department of Rehabilitation: Its Inadequate Guidance and Oversight of the Grant Process Led to Inconsistencies and Perceived Bias in Its Evaluations and Awards of Some Grants (Release Date: July 2018)
Recommendation #11 To: Rehabilitation, Department of
To increase the transparency of its selection process and to ensure that it receives the most qualified evaluators possible, Rehabilitation should issue a public solicitation for evaluators for each grant that includes a description of essential and desirable qualifications.
Annual Follow-Up Agency Response From October 2022
Consistent with the Department's commitment to improving our grant award process, the RFA for the Traumatic Brain Injury Program awarded in March 2022 included the public solicitation for evaluators. The Department also implemented the use of a matrix to evaluate the evaluator applications prior to final selection. The matrix included an initial review for conflict of interest.
The Department will provide the CSA contact the public solicitation for evaluators and the matrix used to evaluate the applications submitted by potential evaluators.
- Completion Date: March 2022
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From October 2021
In regard to the previous solicitation that CSA mentions in the example, we note that the Department determined that there was no evidence of evaluator bias, and there was sufficient evidence that the evaluator understood their responsibilities as an evaluator and completed their duties as an evaluator free of bias.
Consistent with the Department's commitment to improving our grant award process, the Request for Application (RFA) for the Traumatic Brain Injury Program September 2021 includes the public solicitation for evaluators. The Department also implemented the use of a matrix to evaluate the evaluator applications prior to final selection. The matrix included an initial review for conflict of interest.
Per CSA's request the Department will provide documentation that will demonstrate full implementation of the CSA recommendation after grant award.
- Estimated Completion Date: 1/2022
California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented
As we stated in our previous assessment, for its previous grant, Rehabilitation issued a public solicitation for evaluators, which included minimal qualification requirements. According to its Grant Solicitation Manual, Rehabilitation should also identify criteria that will disqualify potential evaluators who have the appearance of bias or conflicts of interest. However, Rehabilitation did not identify such criteria for that RFA. As a result, we found that one of its evaluators had at least an appearance of bias with one of the grant applicants. Aside from having evaluators self-certify that they are free from conflicts of interest or bias, Rehabilitation did not demonstrate that it has made efforts to ensure it receives the most qualified evaluators possible that are impartial and unbiased.
Annual Follow-Up Agency Response From October 2020
The Department revised the GSM in October 2018 to include these recommendations and implemented these practices during the Department's first RFA solicitation process after Report 2017-129 was published. These changes are contained in the GSM Interim Guidance: October 2018.
- Completion Date: February 2020
California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented
For its most recent grant, Rehabilitation issued a public solicitation for evaluators, which included minimal qualification requirements. According to its Grant Solicitation Manual, Rehabilitation should also identify criteria that will disqualify potential evaluators who have the appearance of bias or conflicts of interest. However, Rehabilitation did not identify such criteria for this RFA. As a result, we found that one of its evaluators had at least an appearance of bias with one of the grant applicants. Aside from having evaluators self-certify that they are free from conflicts of interest or bias, Rehabilitation did not demonstrate that it has made efforts to ensure it receives the most qualified evaluators possible that are impartial and unbiased.
- Auditee did not substantiate its claim of full implementation
- Auditee did not address all aspects of the recommendation
Annual Follow-Up Agency Response From October 2019
The Department is in the process of developing confidentiality procedures applicable to the grant solicitation process and will carry out these practices in future grant solicitations.
- Estimated Completion Date: July 2020
California State Auditor's Assessment of Annual Follow-Up Status: Pending
1-Year Agency Response
The Department has revised the GSM to include this recommendation and will carry out these practices in future grant solicitations.
- Estimated Completion Date: August 2019
- Response Date: July 2019
California State Auditor's Assessment of 1-Year Status: Pending
6-Month Agency Response
The Department has revised the GSM to include these recommendations and will carry out these practices in future grant solicitations.
- Estimated Completion Date: GSM Interim Guidance - October 2018: Final GSM - After regulatory process has concluded
- Response Date: January 2019
California State Auditor's Assessment of 6-Month Status: Pending
60-Day Agency Response
The Department has revised the GSM to include this recommendation and will carry out these practices in future grant solicitations.
- Estimated Completion Date: October 2018 for Interim GSM; Final GSM after regulatory process has concluded
- Response Date: September 2018
California State Auditor's Assessment of 60-Day Status: Pending
All Recommendations in 2017-129
Agency responses received are posted verbatim.