Report 2022-301 All Recommendation Responses

Report 2022-301: Judicial Branch Procurement: Although Four Superior Courts We Reviewed Generally Met Procurement Requirements, Glenn County Superior Court Needs to Significantly Improve Its Procurement Practices (Release Date: January 2023)

Recommendation #1 To: Superior Court of California, County of San Francisco

To ensure that payments are appropriate, San Francisco should, by July 2023, document and implement formal procedures for approving invoices—including appropriate levels of approval—and require staff to follow these procedures.

6-Month Agency Response

A new CEO joined the San Francisco Superior Court in June 2023 and we are in the midst of implementing the recommended changes by establishing clear approval levels and collecting signature authorizations. We anticipate full implementation by September 2023.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

San Francisco Superior Court has developed a formal policy that will list of managers with approval levels for contracts, procurement and invoices. This list will be incorporated into the Local Contract Manual and be annually updated. The Local Contract Manual will also have standard operating procedures regarding procurement invoice approval processes. This draft is being circulated for final revisions and departmental approvals and the plan for full implementation is April 30, 2023.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #2 To: Superior Court of California, County of San Francisco

To ensure that it follows contract requirements, San Francisco should add a policy to its local contracting manual by July 2023 that establishes levels of approval authority for entering into contracts.

6-Month Agency Response

A new CEO joined the San Francisco Superior Court in June 2023 and we are in the midst of implementing the recommended changes by establishing clear approval levels and collecting signature authorizations. We anticipate full implementation by September 2023.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

San Francisco Superior Court has developed a formal policy that will list of managers with approval levels for contracts, procurement and invoices. This list will be incorporated into the Local Contract Manual and be annually updated. The Local Contract Manual will also have standard operating procedures regarding procurement invoice approval processes. This draft is being circulated for final revisions and departmental approvals and the plan for full implementation is April 30, 2023.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #3 To: Superior Court of California, County of Glenn

To ensure that purchase requests are appropriate and authorized, Glenn should, by July 2023, implement a formal process for obtaining and documenting prior authorization before agreeing to make purchases. This process should include completing purchase order forms and requiring staff to adhere to these procedures.

60-Day Agency Response

Glenn Court is currently working on a policy to address this concern.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #4 To: Superior Court of California, County of Glenn

To ensure that payments are properly approved and supported, Glenn should, by July 2023, develop and implement a formal written policy that requires the court to prepare and maintain documentation to support all payments and related approvals.

60-Day Agency Response

Glenn Court is currently working on a policy to address this concern.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #5 To: Superior Court of California, County of Glenn

To ensure that payments are appropriate, Glenn should, by July 2023, develop and enforce policies for approving payments. The policy should require separation of duties to prevent staff from approving their own purchases.

60-Day Agency Response

Glenn Court is currently working on a policy to address this concern.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #6 To: Superior Court of California, County of Glenn

To reduce the risk of improper use of purchase cards, Glenn should, by July 2023, revise its purchase card processes to specify the appropriate uses of a purchase card and to require the review of documents that support the transaction before approving a payment.

60-Day Agency Response

Glenn Court is currently working on a policy to address this concern.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #7 To: Superior Court of California, County of Glenn

To comply with state law and to strengthen its procurement practices, Glenn should create a local contracting manual and implement its use as required by July 2023.

60-Day Agency Response

The Local Contracting Manual is with the Judicial Council for review before officially adopting.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #8 To: Superior Court of California, County of Glenn

To demonstrate that it follows competitive bidding and contract award requirements, Glenn should, by July 2023, develop and implement a process for ensuring that its contracting practices meet requirements in state law. The court should also maintain complete information and documentation about its population of contracts.

60-Day Agency Response

Glenn Court is currently working on a policy to address this concern.

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2022-301

Agency responses received are posted verbatim.