Item 02 - City Auditor’s Recommendation Follow-Up Report for the Six-Month Period Ending December 31, 2021 (PDF-1577 KB) — Budget and Audit Committee, April 5, 2022

Susana Alcala Wood, City Attorney Jorge Oseguera, City Auditor Mindy Cuppy, City Clerk Howard Chan, City Manager John Colville, City Treasurer Budget and Audit Committee Report
915 I Street, 1st Floor
Sacramento, CA 95814
www.cityofsacramento.org

File ID: 2022-00370 April 05, 2022 Consent Item 02

Title: City Auditor’s Recommendation Follow-Up Report for the Six-Month Period Ending December 31, 2021

Location: Citywide

Recommendation: Pass a Motion: 1) accepting the City Auditor’s Recommendation Follow- Up Report for the July 1, 2021 to December 31, 2021 period; and 2) forwarding to City Council for final approval.

Contact: Jorge Oseguera, City Auditor, (916) 808-7270, [email protected], Office of the City Auditor

Presenter: None.

Attachments:
1-Description/Analysis
2-City Auditor’s Recommendation Follow-Up Report for the Six-Month Period Ending December 31, 2021

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File ID: 2022-00370 Consent Item 02
April 05, 2022
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City of Sacramento

Description/Analysis

Issue Detail: According to the City Council Rules of Procedures, the Budget and Audit Committee shall receive, review, and forward to the council as appropriate, reports, recommendations, and updates from the City Auditor. This report details the implementation status of open audit recommendations during the second half of fiscal year (FY) 2020/21.

Policy Considerations: The City Auditor’s presentation of the Recommendation Follow-Up Report is consistent with the Mayor and the City Council’s intent to have an independent audit function for the City of Sacramento.

Economic Impacts: None.

Environmental Considerations: None.

Sustainability: None.

Commission/Committee Action: None.

Rationale for Recommendation: This staff report provides the Budget and Audit Committee with information that may be used to meet its responsibility to provide oversight and supervision of the City Auditor.

Financial Considerations: The cost of the Recommendation Follow-Up Report was funded out of the FY2020/21 Office of the City Auditor budget.

Local Business Enterprise (LBE): Not applicable.

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Report #
2021/22-09
City Auditor’s Semi-Annual
Recommendation Follow-Up Report:

July – December 2021

Jorge Oseguera
City Auditor
March 2022

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Table of Contents
Recommendation Follow-Up Process ........................................................................................................................................ 4 Recommendation Progress .......................................................................................................................................... 4 Benefits of Implementing Recommendations ......................................................................................................................... 4 Recommendations that Resulted in Cost Savings During This Follow Up Period ............................................................ 6 Recommendation that Would Result in Cost Savings, If Implemented .......................................................................... 6 Recommendations that Would Improve Administration of Citywide Policies ................................................................ 7 Implementation Progress of Recommendations .................................................................................................................... 8 79% of All Recommendations Have Been Closed .......................................................................................................... 8 Status of Open Recommendations ............................................................................................................................... 9 The Number of Recommendations Issued and Closed Per Year .................................................................................. 10 Open Recommendations by Department ................................................................................................................... 11 Post Audit Recommendation Follow Up Status by Audit ....................................................................................................12 Audit of City Policies and Procedures ......................................................................................................................... 12 Audit of City Light-Duty Vehicle Use ........................................................................................................................... 13 Audit of Citywide Purchase-Card Use ......................................................................................................................... 14 Audit of City Employee Supplemental Pay .................................................................................................................. 15 Audit of the Fire Department Inventory Systems & Narcotics ..................................................................................... 16 Audit of Citywide Wireless Communications .............................................................................................................. 17 Audit of the City's 311 Call Center .............................................................................................................................. 18 Audit of the Department of Utilities Labor Reporting ................................................................................................ . 18 Audit of the City's Risk Management Division ............................................................................................................. 20 Audit of Fire Department Overtime Use ..................................................................................................................... 21 Audit of the Department of Utilities Inventory ........................................................................................................... 21 Audit of Procurement for Services of $25,000 or Less................................................................................................ . 23

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Audit of YPCE's Strategic Planning and Part-time Employee Benefits Management .................................................... 24 Audit of the Department of Utilities Workplace Safety ............................................................................................... 25 Audit of On-Street Parking Meters ............................................................................................................................. 27 Audit of Retiree Health Benefits ................................................................................................................................ . 27 Audit of the 911 Emergency Communications Center ................................................................................................ . 28 Audit of the Department of Utilities Vehicle Fleet ...................................................................................................... 29 Audit of City-Owned and Leased Real Property .......................................................................................................... 31 Citywide Innovation and Efficiency Assessment.......................................................................................................... 35 Audit of the City's Green Efforts ................................................................................................................................ . 35 Vendor Management ................................................................................................................................................. 42 Vendor Audit of the Roberts Family Development Center .......................................................................................... 42 Audit of Cannabis Dispensary Permitting .................................................................................................................... 43 Continuous Cannabis Monitoring ............................................................................................................................... 45 Diversity of City Applicants ......................................................................................................................................... 47

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Recommendation Follow-Up Process
The Office of the City Auditor (Office) makes recommendations to strengthen accountability and improve the efficiency and effectiveness of City programs. In many cases, this involves verifying compliance with laws and regulations, identifying internal control weaknesses and failures, and assessing whether the City has acquired and used its resources efficiently. The Office monitors the implementation of all recommendations, and reports on the status of open recommendations every six months with a semiannual report.

In accordance with the City Auditor’s approved Fiscal Year (FY) 2021/22 Audit Plan, we have prepared a report on the status of open recommendations for the six-month period ending December 2021. To prepare this report, we met with department staff, reviewed documentation provided by departments, and performed testing to evaluate implementation progress. We would like to express our appreciation to City staff for their cooperation and assistance during our reviews.

Recommendation Progress
We classified recommendations based on the responsible party’s progress:

 Not started – The responsible party temporarily postponed implementing the audit recommendation or did not demonstrate sufficient progress toward implementing the recommendation.
 Started – The responsible party began implementing the recommendation, but considerable work remains.  Partly Implemented – The responsible party satisfied some elements of the audit recommendation, but additional work and testing remains.
 Implemented – The responsible party provided documentation and the Auditor verified the satisfactory implementation of the audit recommendation.
 Dropped – The auditor recommends eliminating the recommendation since a change in circumstances rendered it unnecessary.

Benefits of Implementing Recommendations
One of the goals in performing our work is to identify areas in which the City could reduce expenses or increase revenues. However, in some cases it can be difficult to calculate the financial benefit that a recommendation could produce. For example, it would be difficult to determine avoided costs of potential workers’ compensation claims in the future.

While much of our work aims to identify financial benefits, recommendations are not solely focused on identifying savings. Sometimes they focus on areas that identify key benefits that are not easily quantifiable. For example, it could be difficult to quantify the value of increased residents’ satisfaction with City services due to implementation of recommendations, or the benefits of having policies in place that reduce the City’s overall risk.

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We expect that most of our work will yield both financial and non-financial benefits. Some examples of benefits captured include identifying revenue the City should have collected, errors that led the City to overpay expenses, and potential savings by modifying practices or agreements.

Figure 1 illustrates the potential financial benefits identified in our reports as well as the estimated realized financial benefits resulting from the implementation of all recommendations made by the Office of the City Auditor.

Figure 1: Potential Financial Benefit Identified and Estimated Financial Benefit Realized Since Establishment of the Office of the City Auditor

Source: Auditor generated.

As the figure above covers various types of potential benefits and relies on decisions and agreements that may or may not be made, it does not represent an expectation that the City will necessarily save or recover the full amount identified. For example, although the Audit of the Community Development Department identified $2.3 million in fees that the City did not collect, recovering those fees may prove difficult due to barriers to collection.

Potential Benefit
$97.8 Million
Realized Benefit
$41.5 Million

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Recommendations that Resulted in Cost Savings During This Follow Up Period Figure 2 summarizes audit recommendations that resulted in cost savings identified during this follow up period. The Audit of City-Owned and Leased Real Property identified that better controls were needed over surplus property tracking. The audit recommended identifying City-owned surplus and remnant parcels and consider selling, disposing, or re-purposing the parcels to reduce liability and utility costs. In January 2022, Council approved the sale of a vacant property for $6.4 million.

Figure 2: Summary of Cost Savings Recognized During this Follow Up Period Recommendation Update
Identify City-owned surplus
and remnant parcels and
consider selling, disposing, or
re-purposing the parcels to
reduce liability and utility and
weed abatement costs.

Sale of surplus property was approved by City Council
on March 9, 2021. A 22.8-acre surplus parcel sold for
$6.4 million in January 2022.

Recommendation that Would Result in Cost Savings, If Implemented Figure 3 highlights an audit recommendation that, if implemented, would result in cost savings for the City. The Audit of Fire Department Overtime Use identified considerable weaknesses in the Fire Department’s tracking and monitoring of overtime. Strengthening accountability of overtime use should result in significant cost savings.

Figure 3: Implementing This Recommendation Would Result in Cost Savings Audit Recommendation
Fire Department Overtime
Use
Strengthen controls to monitor the use of timecodes
to prevent and detect errors, fraud, and abuse.

Sold Surplus Property for
$6.4 Million
This change could save
$337,000 in annual labor
costs

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Recommendations that Would Improve Administration of Citywide Policies

In 2011, our office issued the Audit of Citywide Policies and Procedures report which contained recommendations for improving the administration of citywide policies and procedures. Although the recommendations were issued over ten years ago, some recommendations are still outstanding, and the risks identified are still present. Recently, the responsibility for managing citywide policies has moved from the City Clerk’s Office to the Human Resources Department. The Labor Relations Division in the Human Resources Department oversees the citywide policy program and is currently assessing their policy approval process. Figure 4 highlights three audit recommendations that, if implemented, would improve administration of citywide policies and procedures.

Figure 4: Recommendations to Improve Administration of C itywide Policies Original Recommendation Benefit
Strengthen the language in AP-1001 to
require department directors and division
managers who manage citywide
processes to establish Administrative
Policies over key operational areas.

An adequate body of administrative policies and administrative procedures that address key areas of operations and employer expectations is essential to the effective management of any organization. Additionally, employees can be held accountable for their responsibilities and duties if administrative policies and administrative guidelines exist.

Formally document the roles,
responsibilities and processes of area
experts.

Assign roles and responsibilities to employees that oversee Citywide policy approval processes. By developing and documenting the roles and responsibilities of these employees, they will have a consistent body of information to turn to and rely less on trainings, phone calls and e-mails to understand or explain processes. Furthermore, failing to document the roles and responsibilities of these positions exposes the City to unnecessary losses of institutional knowledge.

Design a control to ensure outdated
policies and procedures are removed
from CityNet and the City’s public
website.

Outdated policies and procedures put the City at risk of inconsistent direction, miscommunications, and wasting time looking for the current policy.

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Implementation Progress of Recommendations
79% of All Recommendations Have Been Closed
Since the establishment of the Office of the City Auditor in 2010, the Office has issued over 60 reports and made 682 recommendations. At the end of this recommendation follow-up period, 540 (79% of) recommendations had been closed. Figure 5 illustrates the number of recommendations open compared to the number of recommendations closed as of December 31, 2021.

Figure 5: Recommendation Status

Source: Auditor generated.

142
540 Open
Closed

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Status of Open Recommendations
Open recommendations are classified based on the responsible party’s progress towards implementation. Figure 6 illustrates the progress of all open recommendations.

Figure 6: Status of Open Recommendations

Source: Auditor generated.

In addition to reporting on the current progress of open recommendations, our Office tracks whether notable new progress has been made towards implementing recommendations during the review period.

13 66
63 Not Started
Started
Partly Implemented

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The Number of Recommendations Issued and Closed Per Year Figure 7 illustrates the number of recommendations issued and closed in the last seven fiscal years. The average number of recommendations closed per year is 51. It is commendable that in FY2020/21 City Departments closed 75 audit recommendations, despite the ongoing COVID-19 pandemic.

Figure 7: Recommendations Issued Compared to Recommendations Closed by Fiscal Year

Source: Auditor generated.
51 62
120
10 69
58 2
57 47
40 54
80 75
13 0
20 40
60 80
100
120
140
2015-2016 2016-2017 2017-2018 2018-2019 2019-2020 2020-2021 2021-2022 *Partial Year
Recommendations Issued Recommendations Closed Average Closed (51)

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Open Recommendations by Department
Recommendations made by the Office of the City Auditor are directed towards specific departments or entities. In some cases, implementation requires extensive coordination between multiple parties. Recommendations directed towards multiple parties are listed under the lead department. Figure 8 illustrates the outstanding recommendations by department. For context, the number of closed and total recommendations issued to each department is also listed.

Figure 8: Recommendations by Department
Department Open Closed Total % Closed
Public Works 29 37 66 56%
City Manager 37 48 85 56%
Youth, Parks, and Community Enrichment 8 11 19 58%
Fire 17 41 58 71%
Police 3 10 13 77%
Finance 19 73 92 79%
Roberts Family Development Center* 2 11 13 85%
Utilities 14 90 104 87%
Human Resources 10 94 104 90%
Information Technology 3 45 48 94%
Downtown Streets Team, Inc.* 0 5 5 100%
Golden 1 Center* 0 7 7 100%
City Attorney 0 1 1 100%
City Clerk 0 1 1 100%
City Council 0 6 6 100%
Community Development 0 40 40 100%
Sacramento Housing and Redevelopment Agency 0 12 12 100% Sacramento Region Sports Education Foundation 0 8 8 100% Total 142 540 682 79%

Source: Auditor generated.
*Not a City Department or Division

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Post Audit Recommendation Follow Up Status by Audit
The following tables provide the status of audit recommendations, by audit report, in the order the audits were issued. Please note that recommendations closed in a prior period are not listed.

Audit of City Policies and Procedures

Finding # Recommendation Status Update

While the City has a System for
Establishing Policies & Procedures, it
is Generally Circumvented
5 Update AP-1001 to clearly describe the
mechanism for updating Administrative
Policies
Partly
Implemented
During this period, no progress was made since
Labor Relations was inundated with the
citywide COVID-19 framework.

While the City has a System for
Establishing Policies & Procedures, it
is Generally Circumvented
7 Formally document the roles,
responsibilities and processes of area
experts.

Partly
Implemented
During this period, no progress was made since
Labor Relations was inundated with the
citywide COVID-19 framework.

While the City has a System for
Establishing Policies & Procedures, it
is Generally Circumvented
8 Analyze roles and access privileges of
area experts to determine whether any
are incompatible with others, to ensure
segregation of duties and prevent
conflicts of interest.

Partly
Implemented
During this period, no progress was made since
Labor Relations was inundated with the
citywide COVID-19 framework.

The Inventory of Citywide Policies
Could be More Complete and
Organized
10 Strengthen the language in AP-1001 to
require department directors and
division managers who manage
citywide processes to establish
Administrative Policies over key
operational areas.

Partly
Implemented
During this period, no progress was made since
Labor Relations was inundated with the
citywide COVID-19 framework.

The Inventory of Citywide Policies
Could be More Complete and
Organized
14 Update PR-1001-01 to include a clear
description of how Administrative
Policies and Procedures are integrated
and accessed in CCM.

Partly
Implemented
During this period, no progress was made since
Labor Relations was inundated with the
citywide COVID-19 framework.

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The Inventory of Citywide Policies
Could be More Complete and
Organized
17 Design a control to ensure outdated
policies and procedures are removed
from CityNet and the City’s public
website.

Partly
Implemented
During this period, no progress was made since
Labor Relations was inundated with the
citywide COVID-19 framework.

Audit of City Light-Duty Vehicle Use

Finding # Recommendation Status Update

The lack of a detailed City take-
home vehicle policy has allowed the
City to approve almost 250 take-
home vehicles, resulting in a
substantial cost
10 Revise the City’s transportation policy
to consolidate City direction and
enhance criteria for allocating take-
home vehicles.

Started No progress was made during the period. The
Transportation Policy is in the approval process.

The lack of a detailed City take-
home vehicle policy has allowed the
City to approve almost 250 take-
home vehicles, resulting in a
substantial cost
11 Require employees who receive a take-
home vehicle to maintain a log of call
back events.

Partly
Implemented
No progress was made during the reporting
period.

The lack of a detailed City take-
home vehicle policy has allowed the
City to approve almost 250 take-
home vehicles, resulting in a
substantial cost
13 Work towards incorporating into all
City labor agreements language that
clearly states the City’s rights and
authority over vehicle assignments and
removals.

Started The Labor Relations Division did not respond
with a status update for this recommendation.

The lack of a detailed City take-
home vehicle policy has allowed the
City to approve almost 250 take-
home vehicles, resulting in a
substantial cost
14 Enforce the current take-home vehicle
distance limitation that restricts take-
home vehicle assignments to
employees that live within thirty-five
(35) air miles from the freeway
interchange at W-X, 29th-30th Streets.

Started The Labor Relations Division did not respond
with a status update for this recommendation.

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The lack of a detailed City take-
home vehicle policy has allowed the
City to approve almost 250 take-
home vehicles, resulting in a
substantial cost
15 Work towards reducing the allowable
distance for assigning a take-home
vehicle so
as to promote reasonable response
times to emergency call backs.

Started The Labor Relations Division did not respond
with a status update for this recommendation.

Audit of Citywide Purchase-Card Use

Finding # Recommendation Status Update

While transactions reviewed did not
reveal extensive personal purchases,
some charges violated policy and
lacked complete support
3 Establish a consistent form and
guidance to departments for
processing lost receipt justifications.

Partly
Implemented
The department is developing a Purchasing Card
Procedure Handbook to serve as a guidance for
processing lost receipt justifications.

The purchase card program lacked
complete policy guidance and
oversight
5 Update the Purchasing Card Policy to
make it consistent with other City
policies.

Partly
Implemented
The Purchasing Card Policy update is under
development and will be consistent with other
City policies.

The purchase card program lacked
complete policy guidance and
oversight
6 Create an authoritative document that
clearly states what types of purchasing
card transactions are allowable and
prohibited, and distribute it to all
cardholders and approving officials.

Partly
Implemented
The department is updating the Purchasing Card
Procedure Handbook to reflect the types of
transactions that are allowable and prohibited.

Once the handbook is formally adopted, it will
be distributed to all cardholders and approving
officials.

The purchase card program lacked
complete policy guidance and
oversight
7 Ensure that the document is updated
annually to reflect policy changes.

Partly
Implemented
The Purchasing Card Policy, once formally
adopted, will be reviewed annually to reflect
applicable policy changes.

The purchase card program lacked
complete policy guidance and
oversight
8 Provide mandatory annual purchasing
card-use training for cardholders and
require them to sign a form agreeing to
program terms and acknowledging
their responsibilities.

Partly
Implemented
Training has been updated and is being
provided to new cardholders. Once the new
Purchasing Card Manual is complete and
published, the training will be pushed to the
City's training system and cardholders will be
required to complete it annually.

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The purchase card program lacked
complete policy guidance and
oversight
9 Provide mandatory annual purchasing
card-approval training for approving
officials and require them to sign a
form agreeing to program terms and
acknowledging their responsibilities
Partly
Implemented
Training has been updated and is being
provided to new cardholders. Once the new
Purchasing Card Manual is complete and
published, the training will be pushed to the
City's training system and cardholders will be
required to complete it annually

The purchase card program lacked
complete policy guidance and
oversight
12 Strengthen controls that are already in
place and consider adding controls that
are in line with best practices.

Partly
Implemented
Clarification on allowable charges has been
included in new training material and is included
in the Purchasing Card Policy draft. Code
restrictions on merchant categories were
implemented to restrict purchases from vendors
that there would not typically be a business
purpose to purchase from.

Audit of City Employee Supplemental Pay

Finding # Recommendation Status Update

Controls Over Employee Time
Reporting Must be Improved
9 Create a policy and procedure for
recording supervisor approval of
individual employee time.

Partly
Implemented
No progress made during this recommendation
follow up period.

Controls Over Employee Time
Reporting Must be Improved
10 Discontinue allowing any employee to
have administrative access to both
Telestaff software and server, and
create a policy to prevent it in the
future.

Partly
Implemented
No progress made during this recommendation
follow up period.

Controls Over Employee Time
Reporting Must be Improved
11 Develop controls to monitor the
activity of those provided with
administrative rights to Telestaff.

Started No progress made during this recommendation
follow up period.

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Audit of the Fire Department Inventory Systems & Narcotics

Finding # Recommendation Status Update

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
1 Assign responsibility for managing
inventory and develop policies to
provide clear and consistent direction.

Partly
Implemented
No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
2 Establish performance goals to
determine if the system is functioning
properly.

Started No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
3 Determine a schedule for regular and
random inventory counts to ensure
accuracy and identify outages.

Partly
Implemented
No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
4 Require supervisory approval of
inventory count adjustments and
document the cause of the variance.

Started No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
5 Develop a mechanism to track
discarded or expired medication.

Partly
Implemented
No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
6 Develop a process to track actual usage
of supplies.

Partly
Implemented
No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
7 Work with the IT Department to
implement system access best
practices, including the concept of
“least privileges.”
Partly
Implemented
No progress made during this recommendation
follow up period.

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The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
8 Develop a formal process for approving
new user access and changes to access
levels.

Started No progress made during this recommendation
follow up period.

The Fire Department should
implement inventory management
best practices to improve
accountability and accuracy
9 Perform ongoing reviews of system
access.

Partly
Implemented
No progress made during this recommendation
follow up period.

Audit of Citywide Wireless Communications

Finding # Recommendation Status Update

Wireless Device Policies are
Insufficient
14 Update and utilize the wireless
communication device request form for
all employees issued City devices. The
request form should include a written
justification for the device, anticipated
use, and plan type with supervisory
approval and stored for as long as the
employee is assigned the device
Implemented The Information Technology Department has
implemented a new Mobile Device Request
form that includes the justification for the
device, anticipated use, and plan type that will
be retained for the life of the service.

Wireless Device Policies are
Insufficient
15 Submit a new wireless communication
device request form for all existing
employees with City-issued devices.

Partly
Implemented
According to the IT Department, this will be
implemented once the integration between the
Telecom Expense Management Systems (TEMS)
and ServiceNow is completed. The project was
started in January 2022.

Inventory Records are Incomplete
and Inconsistent
18 Update inventory records and ensure
complete and up-to-date inventory is
maintained.

Partly
Implemented
According to the IT Department, a project was
initiated in January 2022 with the Telecom
Expense Management (TEM) vendor to build
application integration between TEM and
ServiceNow to ensure records in both systems
match. The new integration will eliminate
manual processes that lead to discrepancies
between the asset inventory system
(ServiceNow) and the TEM system (CLM).

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Audit of the City's 311 Call Center

Finding # Recommendation Status Update

Additional Technological
Enhancements May Help the 311
Call Center Improve Performance
15 Integrate data from Cisco, Siebel or
new CRM system, and Witness to
better analyze 311 Call Center data and
develop processes to improve
customer service.

Implemented Since the audit recommendation, there have
been multiple technology upgrades including
the replacement of Oracle Service Cloud with
Salesforce, Verba call recording replaced
Witness and Verba has now been replaced with
Calabrio Quality Management (call recordings).

Cisco has been upgraded with department
specific call queues for better reporting and a
Google Dialogflow virtual agent has been
implemented to offer self-service options as
well as collect caller data prior to transferring to
an agent. Cisco has also been integrated with
Salesforce to provide a seamless handoff to our
agents. Salesforce is now integrated with all the
major systems used by the division and the new
citizen web portal and mobile app are also built
on Salesforce which provides easy reporting on
the various communication channels.

Audit of the Department of Utilities Labor Reporting

Finding # Recommendation Status Update

Policies Can Be Improved and
Opportunities for Cost Savings
Through Renegotiation Exist
8 Review the existing employee user
access to pay types and restrict access
to only those pay types for which an
employee is eligible.

Started Due to COVID-19, no progress was made during
this period.

Policies Can Be Improved and
Opportunities for Cost Savings
Through Renegotiation Exist
14 Review and update all Department of
Utilities internal policies related to
labor reporting.

Partly
Implemented
No progress was made. Policies and Procedures
manuals are still with Labor Relations.

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The Finance Department Uses an
Excessive Number of Time Reporting
Codes and Earn Codes as well as
Complex Calculation Methodologies
and Distribution Methods for
Supplemental Pay that May Not
Align with Labor Agreements or Tax
Laws
24 Review the labor agreements and
update the calculation methodology for
the appropriate supplemental pay
types so that they are compounded
correctly, if necessary.

Partly
Implemented
The City's Payroll Division reviewed calculation
methodologies for compliance with labor
agreements. While it appeared most
calculations were correct, some inconsistencies
were identified and forwarded to Labor
Relations for resolution.

The Finance Department Uses an
Excessive Number of Time Reporting
Codes and Earn Codes as well as
Complex Calculation Methodologies
and Distribution Methods for
Supplemental Pay that May Not
Align with Labor Agreements or Tax
Laws
25 Review and update which pay types
should have compounding pay
components.

The Finance Department Uses an
Excessive Number of Time Reporting
Codes and Earn Codes as well as
Complex Calculation Methodologies
and Distribution Methods for
Supplemental Pay that May Not
Align with Labor Agreements or Tax
Laws
26 Establish written policies and
procedures for periodically reviewing
and updating the earn codes and time
reporting codes, checking for
duplicates and active earn codes that
should be deactivated.

Partly
Implemented
According to the Finance Department, they
were not able to fully execute procedures due
to staffing issues. Estimated completion is now
June 2022.

Page 21 of 49 ends

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Audit of the City's Risk Management Division

Finding # Recommendation Status Update

The City May Reduce Risk and
Liability by Making Improvements to
Some Programs and Policies
13 Consider monitoring the drivers’
licenses of all employees that drive City
vehicles or receive City vehicle
allowances.

Started According to the Human Resources' Risk
Management Division, the Transportation Policy
has not yet been adopted. In the mean time, an
assignment on Sum Total is being finalized for
employees who receive a car allowance. The
assignment will ask employees to certify they
have a valid drivers license, and will maintain
the license, while employed. There will also be a
section requiring the employee to certify they
have, and will maintain, insurance in an amount
at least as high as the financial responsibility
requirements in California.

The City May Reduce Risk and
Liability by Making Improvements to
Some Programs and Policies
16 Continue to work towards
implementing the updated draft of the
Transportation Policy to increase the
insurance requirement of employees
driving their personal vehicles for City
business.

Started According to the Human Resources' Risk
Management Division, the Transportation Policy
has not yet been adopted.

The City May Reduce Risk and
Liability by Making Improvements to
Some Programs and Policies
17 Work together to develop a monitoring
mechanism to ensure employees
maintain the required minimum
insurance coverage when receiving a
vehicle allowance.

Page 22 of 49 ends

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Audit of Fire Department Overtime Use

Finding # Recommendation Status Update

Negotiated Overtime and Incentive
Provisions May Have Unintentionally
Increased Payroll Costs
6 Evaluate the necessity of Primary
Paramedic Pay.

Not Started No progress made during this recommendation follow up period.

The Fire Department Lacks Sufficient
Controls Over the Administration
and Use of Overtime
7 Establish policies on the administration
and use of overtime.

Started No progress made during this recommendation
follow up period.

The Fire Department Lacks Sufficient
Controls Over the Administration
and Use of Overtime
8 Document the purpose for overtime
use in a consistent and retrievable
format.

Started No progress made during this recommendation
follow up period.

The Fire Department Lacks Sufficient
Controls Over the Administration
and Use of Overtime
9 Document supervisory approval of
overtime use in a consistent and
retrievable format.

Started No progress made during this recommendation
follow up period.

The Fire Department Lacks Sufficient
Controls Over the Administration
and Use of Overtime
11 Develop, document, and enforce
system access controls for Telestaff
users.

Started No progress made during this recommendation
follow up period.

The Fire Department Lacks Sufficient
Controls Over the Administration
and Use of Overtime
12 Strengthen controls to monitor the use
of timecodes to prevent and detect
errors, fraud, and abuse.

Started No progress made during this recommendation
follow up period.

Audit of the Department of Utilities Inventory

Finding # Recommendation Status Update

Strengthening the Physical Security
of Department of Utilities Inventory
Could Reduce the Risk of Fraud,
Waste, and Abuse
3 Review the number and
appropriateness of employees with
access to the inventory warehouse and
formalize which positions can be
granted access to each warehouse in
the inventory policies.

Partly
Implemented
To reduce badge access, the Department is
relocating inventory items from Yard 22 to
Building 18. A Capital Improvement Project with
partial funding for this effort has been
identified. Estimated completion is now June
2022.

Page 23 of 49 ends

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Strengthening the Physical Security
of Department of Utilities Inventory
Could Reduce the Risk of Fraud,
Waste, and Abuse
4 Establish and implement consistent
procedures for the tracking of tools and
equipment, including establishing and
applying clear criteria for assigning
asset identification numbers.

Implemented The Department has completed the two
remaining water plant inventory audits.

Strengthening the Physical Security
of Department of Utilities Inventory
Could Reduce the Risk of Fraud,
Waste, and Abuse
5 Establish a policy that prohibits
employees from borrowing City-owned
tools and equipment for personal use
and document employee
acknowledgement.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

While the Department of Utilities’
Inventory Count Procedures Appear
Robust, the Execution Breaks Down
7 Develop a process to ensure all
warehouses are included in the
inventory counts.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

While the Department of Utilities’
Inventory Count Procedures Appear
Robust, the Execution Breaks Down
9 Formalize specific count methodologies
in a written policy.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

While the Department of Utilities’
Inventory Count Procedures Appear
Robust, the Execution Breaks Down
11 Formalize a procedure for accurately
recording inventory count adjustments
in a written policy.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

While the Department of Utilities’
Inventory Count Procedures Appear
Robust, the Execution Breaks Down
13 Add an additional step to the water
meter serial number count that
reconciles the Water Meter Receipt
and Issue Log with Cityworks.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

While the Department of Utilities’
Inventory Count Procedures Appear
Robust, the Execution Breaks Down
14 Review, update, and enforce inventory
policies related to the tracking of water
meters.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

The Department of Utilities Lacks
Formal User Access Policies and
Procedures Regarding Their
Inventory Systems
22 Formalize logical access to the
inventory systems in a written policy.

Partly
Implemented
No progress was made. Policy is still with Labor
Relations.

Page 24 of 49 ends

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Audit of Procurement for Services of $25,000 or Less

Finding # Recommendation Status Update

Procurement Guidance and Training
were Insufficient to Ensure
Employees Properly Procured
Services on Behalf of the City
2 Update EBO policies, templates, and
other guidance for accuracy and
consistency.

Started The City's EBO policy is a duplication of the
State of California's Equal Benefits Ordinance,
which was adopted in 2007. The Procurement
Division will be working with the City Attorney's
Office to determine how to reduce
redundancies between State laws and City
policies.

Procurement Guidance and Training
were Insufficient to Ensure
Employees Properly Procured
Services on Behalf of the City
3 Develop processes to ensure EBO
analysis and reports are completed as
required by City policy.

Procurement Guidance and Training
were Insufficient to Ensure
Employees Properly Procured
Services on Behalf of the City
4 Determine the City’s intent regarding
bid protests and update policies,
templates, and other guidance for
consistency.

Partly
Implemented
Bid protests have been clarified and published
in the Procurement Policy Manual, which is
currently undergoing legal review. After review,
the Procurement Policy Manual will be
submitted for formal adoption as a city policy.

Procurement Guidance and Training
were Insufficient to Ensure
Employees Properly Procured
Services on Behalf of the City
5 Define and publish specific roles and
responsibilities of procurement
stakeholders.

Partly
Implemented
The role of the Department Contract
Administrator, a procurement stakeholder
within the City, has been clarified and published
in the Procurement Policy Manual, which is
currently undergoing legal review. After review,
the Procurement Policy Manual will be
submitted for formal adoption as a city policy.

Procurement Guidance and Training
were Insufficient to Ensure
Employees Properly Procured
Services on Behalf of the City
12 Determine the intent and purpose of
purchase orders, and clarify their
requirements and use in City guidance
and templates.

Partly
Implemented
Purchase orders have been clarified and
published in the Procurement Policy Manual,
which is currently undergoing legal review. After
review, the Procurement Policy Manual will be
submitted for formal adoption as a city policy.

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Audit of YPCE's Strategic Planning and Part-time Employee Benefits Management

Finding # Recommendation Status Update

The Department of Parks and
Recreation Has Not Updated Key
Strategic Planning Guidance
1 Update the Parks and Recreation
Master Plan.

Started YPCE is currently working with a third-party
vendor to develop a Master Plan. The expected
completion date is Spring 2022.

The Department of Parks and
Recreation Has Not Updated Key
Strategic Planning Guidance
6 Define when it is appropriate to use the
“General Info” or “Other” call
categories.

Partly
Implemented
YPCE has defined an appropriate use of the
'General Info' call category and has bi-monthly
check-ins with the 311 Manager. Call staff at
311 will be trained on categorizing calls rather
than choosing 'General Info' as a catch all
category.

Developing a Formal Cost Recovery
Philosophy May Help the
Department of Parks and Recreation
Better Align Its Pricing Practices with
Its Mission and Core Values
9 Develop department-specific policies
and procedures.

Started A new Support Services Manager has been hired
and is currently reviewing draft policies and
working on developing additional policies.

Developing a Formal Cost Recovery
Philosophy May Help the
Department of Parks and Recreation
Better Align Its Pricing Practices with
Its Mission and Core Values
10 Define the department’s cost recovery
goals and objectives.

Started A new Support Services Manager has been
hired. YPCE is developing a comprehensive
scope of work for a fees and charges study. One
of the goals of the study is to establish cost
recovery objectives.

Developing a Formal Cost Recovery
Philosophy May Help the
Department of Parks and Recreation
Better Align Its Pricing Practices with
Its Mission and Core Values
11 Evaluate the department’s fees and
charges to determine if they are in
alignment with the department’s
mission, vision, and cost recovery
goals.

Started YPCE is developing a comprehensive fees and
charges study which will help them to better
align their fees with their mission, vision, and
cost recovery goals

Page 26 of 49 ends

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Developing a Formal Cost Recovery
Philosophy May Help the
Department of Parks and Recreation
Better Align Its Pricing Practices with
Its Mission and Core Values
12 Comply with the Citywide Fees and
Charges Policy by establishing cost
recovery goals and identifying cost
recovery levels.

Started YPCE plans to establish cost recovery goals after the fee and charges study is concluded.

Developing a Formal Cost Recovery
Philosophy May Help the
Department of Parks and Recreation
Better Align Its Pricing Practices with
Its Mission and Core Values
14 Consider updating the fee structure for
some programs and services to include
a non-resident fee.

Started A fees and charges study is being developed.

Once the study is completed, YPCE will have the
tools necessary to update the fee structure and
guidelines.

Nearly Half of the Supervisors
Responsible for Administering and
Monitoring Part-Time Employee
Hours and Benefits Have Not
Received Labor Relations Training
18 Develop policies and procedures on
part-time employee reporting,
responsibility, and training.

Started The newly hired Support Services Manager is
reviewing the developed procedures for part-
time employee reporting and is currently
refining an accompanying policy. YPCE is
working with the Human Resources Department
to develop and implement formal training for
supervisory staff.

Audit of the Department of Utilities Workplace Safety

Finding # Recommendation Status Update

The Department of Utilities Lacks
Sufficient Controls Over the
Administration and Use of Safety
and Personal Protective Equipment
1 Review and update existing policies
and procedures concerning safety and
personal protective equipment to fill in
gaps and clarify its appropriate use.

Partly
Implemented
The Department of Utilities will be hiring a
consultant to assist in the 170 remaining
Standard Operating Procedures that still need
review.

The Department of Utilities Lacks
Sufficient Controls Over the
Administration and Use of Safety
and Personal Protective Equipment
2 Establish policies and procedures
concerning safety and personal
protective equipment where none
currently exist.

Partly
Implemented
New hire orientation in DOU now includes
trainings with personal protective equipment
components. We attempted to validate that
new hires were completing these trainings.

However, due to a mixture of in-person and
virtual trainings as well as a new learning
management system, not all training records
have been uploaded into the new system.

Page 27 of 49 ends

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The Department of Utilities Lacks
Sufficient Controls Over the
Administration and Use of Safety
and Personal Protective Equipment
4 Consider negotiating a more restrictive
and thorough reimbursement or other
process for providing PPE in all of the
City’s labor agreements.

Started The Labor Relations Division did not respond
with a status update for this recommendation.

The Department of Utilities Lacks
Sufficient Controls Over the
Administration and Use of Safety
and Personal Protective Equipment
8 Perform periodic audits of gas
monitoring data to ensure employees
use gas monitors in accordance with
departmental policies.

Partly
Implemented
According to the Department, reports have
been created and the Department is working on
refining the reports.

The Department of Utilities Can
Enhance Compliance with City
Safety Policies, State Laws, and
Federal Regulations
14 Establish written procedures for the
control of hazardous energy
(lockout/tagout).

Implemented According to the Environmental Health and
Safety Specialists who oversee the Department
of Utilities, the work order system has been
configured to require LOTO procedures when
none exist. The Department will continue to
create procedures as they perform
maintenance.

The Department of Utilities Should
Implement Health and Safety Best
Practices to Reduce Risks and
Improve Accountability
21 Develop a formal management of
change process.

Partly
Implemented
According to the Department, the Management
of Change policy is almost completed. It will
then be sent to Labor Relations for assessment
of meet and confer.

The Department of Utilities Should
Implement Health and Safety Best
Practices to Reduce Risks and
Improve Accountability
22 Review and update departmental
safety policies and procedures.

Partly
Implemented
No progress was made. Policies and Procedures
manuals are still with Labor Relations.

Page 28 of 49 ends

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Audit of On-Street Parking Meters

Finding # Recommendation Status Update

Improving Vehicle-Detection Sensor
Accuracy Rates and Meter Battery
Life Could Reduce the Potential for
Erroneous Citations and Slow the
Rate of Incoming Citation Disputes
1 Continue to work with the vendor to
achieve contracted vehicle-detection
sensor accuracy rates or consider
switching to a vendor that will meet
the desired standard.

Started Sensor accuracy testing has been delayed due to the COVID-19 pandemic.

Improving Vehicle-Detection Sensor
Accuracy Rates and Meter Battery
Life Could Reduce the Potential for
Erroneous Citations and Slow the
Rate of Incoming Citation Disputes
3 Address deficiencies identified with
parking meter sensor-accuracy and
battery life to improve the customer
service experience and reduce the
number of incoming citation disputes.

Partly
Implemented
Approximately 2,600 sensor dome batteries
have been replaced. Due to the shortage in
battery supply the project has slowed. Vendor is
sending additional batteries as they become
available.

Some Meter Configurations in the
Data Management System User
Interface Are Not Reliable
6 Require that the information in the
data management system user
interface be the most accurate and up-
to-date information.

Implemented Configuration data is now viewable unless the meter is down or offline.

Audit of Retiree Health Benefits

Finding # Recommendation Status Update

Recordkeeping of Retiree Benefit
Eligibility and Elections Could be
Strengthened
1 Develop a process to ensure
compliance with the City’s Records
Management Policy that maintains
complete personnel information for all
retirees.

Implemented The Human Resources Department updated
their retiree checklist to include scanning and
indexing paperwork. We tested a random
sample of 10 recent retiree's enrollment
documentation and found the enrollment forms
and the checklist were present for all 10.

Recordkeeping of Retiree Benefit
Eligibility and Elections Could be
Strengthened
3 Work with the IT department to
identify and resolve eCAPS health
benefit report errors for retirees.

Started Human Resources and IT were unable to resolve
this issue during the reporting period. Human
Resources hopes to have the IT Consultant
working on another eCAPS project assess this
issue.

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Performing Dependent Verifications
Ensures Qualified Dependents are
Enrolled in City-Sponsored Health
Plans and Could Save the City up to
$600,000 Annually
6 Establish a process to perform regular
dependent eligibility verification
reviews that includes procedures on
how to address instances of non-
compliance with verification requests.

Not Started No progress on this item during the reporting period.

Performing Dependent Verifications
Ensures Qualified Dependents are
Enrolled in City-Sponsored Health
Plans and Could Save the City up to
$600,000 Annually
7 Review and address HMS’ active
employee dependent eligibility
verification results.

Not Started No progress on this item during the reporting period.

Performing Dependent Verifications
Ensures Qualified Dependents are
Enrolled in City-Sponsored Health
Plans and Could Save the City up to
$600,000 Annually
8 Perform a retiree dependent
verification review for participants of
City-sponsored plans.

Started No progress on this item during the reporting
period.

Audit of the 911 Emergency Communications Center

Finding # Recommendation Status Update

Call Answer Times Have Improved
and Are Exceeding State Standards
2 Consider improving the supervisor-to-
dispatcher ratio to provide better
supervisory coverage.

Started Improving the supervisor-to-dispatcher ratio
remains a priority of the 911 Communication
Center. The 911 Communications Center will
continue to request additional Dispatcher III
(Supervisor) positions in the future.

Quality Assurance and Disaster
Preparedness Could Be Improved by
Adopting Industry Best Practices
7 Develop and document a continuous
quality assurance program based on
industry standards that includes
reviewing a percentage of all calls and
incorporates an evaluator calibration
process.

Started Progress remains slow in this area due to the
911 Communication Center's ability to commit
the two supervisors working on this program
full time. The 911 Communication Center will
continue to seek additional supervisor positions.

Page 30 of 49 ends

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Quality Assurance and Disaster
Preparedness Could Be Improved by
Adopting Industry Best Practices
10 Establish the 911 Center as a Critical
Facility on Sacramento County’s Local
Hazard Mitigation Plan.

Partly
Implemented
The City Council passed a critical infrastructure
list in July 2021 that included Police
Communications Facilities. As a result, the 911
Communications Center should be included in
the County's next update.

Audit of the Department of Utilities Vehicle Fleet

Finding # Recommendation Status Update

The Department of Utilities Can
Realize Cost Savings Through
Improved Management of Their
Vehicle Fleet
3 Perform an analysis to determine
which, if any, of the identified
potentially underutilized vehicles
should be kept as part of the
department's vehicle fleet. Consider
mileage reimbursements, vehicle
allowances, and shared vehicles as
alternatives.

Implemented As of the most recent underutilization report, 83 units were reported as underutilized. The
Department submitted justifications to keep
these vehicles citing vacancies, response
criteria, and COVID-19 as the cause for many of
the underutilized vehicles. When operations
return to normal, DOU will annually evaluate
vehicle allowances, rentals, and shared vehicles
to reduce their vehicle fleet.

The Department of Utilities Can
Realize Cost Savings Through
Improved Management of Their
Vehicle Fleet
5 Develop a process to periodically
review vehicle usage for take-home
vehicles to ensure operational
utilization meets the City's utilization
criteria.

Dropped This recommendation focuses on operational
mileage of DOU superintendents; however DOU
has determined that, regardless of usage, it is
critical to its mission and operation to have
superintendents take home vehicles to enable
them to respond to emergencies as needed.

The Department of Utilities Can
Realize Cost Savings Through
Improved Management of Their
Vehicle Fleet
6 Work with the Civil Service Board to
review an update Section 13.3 of the
City of Sacramento's Rules and
Regulations of the Civil Service Board.

Specifically, determine the appropriate
radius to ensure 'effective response
capability to emergencies' in statute
miles.

Started The Labor Relations Division did not respond
with a status update for this recommendation.

Page 31 of 49 ends

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The Department of Utilities Can
Realize Cost Savings Through
Improved Management of Their
Vehicle Fleet
8 Formalize the Fleet Engine Idling Limit
Policy and post the policy on the City's
Policies and Procedures webpage.

Started No progress was made during this period. The
policy is still in the approval process.

Excessive Access to the City's Fueling
Islands Created Data Integrity Issues
and May Have Allowed for Fraud
10 Work with AssetWorks to identify and
resolve or minimize system issues
related to fuel transactions.

Started No progress was made during this period.

Excessive Access to the City's Fueling
Islands Created Data Integrity Issues
and May Have Allowed for Fraud
15 Limit the number of active badges each
employee can use to access the fueling
islands.

Started Due to COVID-19, no progress was made during
this period.

System Access and Data Quality
Could Be Improved to Better Enable
Management to Perform Analyses
and Identify Trends
19 Review the data captured by the M5
system, determine key data fields, and
implement controls to ensure these
fields contain accurate and complete
information.

Partly
Implemented
No progress was made during this period.

System Access and Data Quality
Could Be Improved to Better Enable
Management to Perform Analyses
and Identify Trends
20 Establish a process to verify the
accuracy of vehicle and GPS unit device
ID assignments in the GPS tracking
systems.

Partly
Implemented
No progress was made during this period.

System Access and Data Quality
Could Be Improved to Better Enable
Management to Perform Analyses
and Identify Trends
22 Work with the Department of Utilities
to identify generators that do not meet
the definition of a fleet asset, such as
stationary generators, and remove
them from the M5 system.

Implemented Fleet has removed stationary generators from the M5 system.

The City Can Mitigate Risk by Better
Documenting and Tracking
Employee Licensure, Certifications,
and Insurance Information
24 Revise the City Employee's
Transportation Policy and Procedures
to require employees to provide proof
of licensure when using pool vehicles.

Partly
Implemented
No progress was made during this period. The
policy is still in the approval process.

Page 32 of 49 ends

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The City Can Mitigate Risk by Better
Documenting and Tracking
Employee Licensure, Certifications,
and Insurance Information
26 Develop a detailed insurance
verification process for employees
receiving a vehicle allowance.

Started No progress was made during this period. The
Transportation Policy is still in the approval
process.

Audit of City-Owned and Leased Real Property

Finding # Recommendation Status Update

The City Has Potential Surplus and
Remnant Parcels That Could Be
Leveraged to Achieve A Variety of
City Goals
1 Review all City-owned property and
work with the City’s asset-managing
departments and divisions to identify
and track the City’s surplus
property.

Not Started According to the Real Estate Services Section, progress on this recommendation has not
started due to staffing and project load. The
hiring freeze appears to have been lifted and
the Section is taking steps to fill the vacancy.

The City Has Potential Surplus and
Remnant Parcels That Could Be
Leveraged to Achieve A Variety of
City Goals
2 Develop policies and procedures to
provide guidance on how asset-
managing departments should ensure
all City-owned properties are
appropriately secured and maintained.

Not Started According to the Real Estate Services Section, progress on this recommendation has not yet
started due to staffing and project load.

The City Has Potential Surplus and
Remnant Parcels That Could Be
Leveraged to Achieve A Variety of
City Goals
3 Identify City-owned surplus and
remnant parcels and consider selling,
disposing, or re-purposing the parcels
to reduce liability and utility and weed
abatement costs.

Started The City Council approved the sale of a 22.81-
acre property for $6.4 million.

The City Has Potential Surplus and
Remnant Parcels That Could Be
Leveraged to Achieve A Variety of
City Goals
4 Work with the City’s asset-managing
departments to identify alternative
uses for the City’s undesirable or
unsellable surplus property.

Not Started According to the Real Estate Services Section, progress on this recommendation has not yet
started due to staffing and project load.

Page 33 of 49 ends

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The City Has Potential Surplus and
Remnant Parcels That Could Be
Leveraged to Achieve A Variety of
City Goals
5 Consider selling some of the City’s
surplus property to generate onetime
revenue to achieve other City goals
Started The City Council approved the sale of a 22.81-
acre property for $6.4 million.

The City Has Potential Surplus and
Remnant Parcels That Could Be
Leveraged to Achieve A Variety of
City Goals
6 Conduct a staffing analysis to
determine whether resources need to
be added to the Real Estate Services
Section to implement the
recommendations made in this report.

Not Started According to the City Manager's Office, no
progress has been made during this reporting
period because of staffing changes.

The City’s Real Property
Management Is Decentralized and
Would Benefit from Detailed Policy
Development
7 Review the Lease Centralization Plan
and determine whether the Real Estate
Services Section should manage all real
property lease management as
outlined in the Lease Centralization
Plan.

Started The City Manager's Office has reviewed the
Lease Centralization Plan and is evaluating
additional resources needed to implement the
plan.

The City’s Real Property
Management Is Decentralized and
Would Benefit from Detailed Policy
Development
8 Work with the City Attorney’s Office to
create lease contract templates that
include key contract provisions to
ensure consistency in City lease
contracts.

Not Started According to the Real Estate Services Section, progress on this recommendation has not yet
started due to staffing and project load.

The City’s Real Property
Management Is Decentralized and
Would Benefit from Detailed Policy
Development
9 Work with departments leasing non-
City property to identify whether the
departments can leverage City-owned
property instead of leasing.

Started The Real Estate Services Section met with
Convention and Cultural Services (CCS) to
discuss leasing additional space at McClellan for
City archives and artifacts from the Crocker art
collection.

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The City’s Real Property
Management Is Decentralized and
Would Benefit from Detailed Policy
Development
10 Develop a process to regularly review
City-leased property to determine
whether it is an ongoing need and City-
owned property is available to use
instead.

Started No additional progress has been made on this
recommendation during the review period,
according to the Real Estate Services Section.

The City’s Real Property
Management Is Decentralized and
Would Benefit from Detailed Policy
Development
11 Work with the Finance Department to
establish a uniform policy that provides
the process and steps required for
acquisition and disposition of City-
owned properties. Procedures should
include details regarding compliance
with Sacramento City Code and
California State Law, financial reporting
standards between the Real Estate
Service Section and the Department of
Finance, and the method of storing
documents and financial records.

Started The Real Estate Services Section has created an eight-step chart illustrating the process to
dispose of surplus property. It is a start in
fulfilling the recommendation and progress has
been made this period.

Appropriate Management of City-
Owned and Leased Real Property Is
Required to Ensure Financial
Statements Comply with the
Government Accounting Standards
Board
15 Work with other City departments to
identify data elements that may be
helpful or necessary in decision making
or reporting purposes and develop a
process to collect and document the
new data elements in the Asset
Database.

Not Started According to the Real Estate Services Section, progress on this recommendation has not yet
started due to staffing and project load.

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Appropriate Management of City-
Owned and Leased Real Property Is
Required to Ensure Financial
Statements Comply with the
Government Accounting Standards
Board
16 Work with other City departments to
identify real property tracking needs
and utilize a Citywide software
program or develop another platform
to centralize the management of the
City’s real property
Started According to the Information Technology
Department (IT), a staffing change has put the
project on temporary hold. The IT department
anticipates restarting work on this project in the
second quarter of 2022.

Appropriate Management of City-
Owned and Leased Real Property Is
Required to Ensure Financial
Statements Comply with the
Government Accounting Standards
Board
17 Centralize City lease inventory and
document clear processes for all City
departments to follow to standardize
maintenance of City lease inventory,
including utilizing the Asset Database
or new platform used for real property
inventory to ensure consistent tracking
and consolidation of Citywide lease
inventory.

Started According to the Real Estate Services Section, no progress has been made on this
recommendation since the prior reporting
period.

Appropriate Management of City-
Owned and Leased Real Property Is
Required to Ensure Financial
Statements Comply with the
Government Accounting Standards
Board
18 Work with the City’s Finance
Department to develop policies and
procedures on lease revenue billing
and collection processes
Not Started According to the Real Estate Services Section, no progress has been made during this reporting
period.

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Citywide Innovation and Efficiency Assessment

Finding # Recommendation Status Update

Innovation and Efficiency Strategies 1 Monitor recommendations identified in the innovation and efficiency
assessment.

Implemented On April 7, 2021, the City Manager provided the City Council a memo that provided an update to
the Citywide Innovation and Efficiency
Assessment, Potential Strategies report. In the
memo, the City Manager's Office identified 6
recommendations as implemented, 4
recommendations as potential in the coming
fiscal years, 12 recommendations that need
further study, 5 recommendations that need
additional Council direction, and 7
recommendations that staff do not recommend
pursuing. As of February 2022, the City
Manager's Office had not received additional
direction on how to proceed with the
recommendations from the City Council and has
considered the remaining recommendations as
dropped.

Audit of the City's Green Efforts

Finding # Recommendation Status Update

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
5 Develop a procedure that ensures
internal stakeholders are involved in or
made aware of relevant goals and
performance measures.

Partly
Implemented
The newly formalized Office of Climate Action &
Sustainability continues to convene the Green
Team to ensure coordination and promote
awareness of goals and sustainability initiatives..

An array of staff across departments have
participated. Topics included the Climate Action
& Adaptation Plan and 2040 General Plan
updates, sustainability performance monitoring,
shared GIS resources, community engagement,
and State funding opportunities.

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Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
10 Develop and implement a process to
reconcile our internal streetlights
dataset with SMUD to ensure that the
City is correctly billed.

Started Discussions with SMUD regarding the
reconciliation of streetlight data have been
initiated.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
1 Evaluate whether more consistent
LEED certification is beneficial to the
City’s reputation as a sustainability
leader.

Started The Facilities Division has hired a new Energy
Manager to lead energy initiatives, as identified
in the approved Midyear 2020/21 budget, which
also included a one-time $1.2 million
augmentation for the Energy Investment CIP.

Evaluation of initial opportunities is underway.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
2 Develop a process to monitor
completed LEED buildings post-
completion to accurately capture the
benefits of building to LEED standards
and to quantify their value to the City’s
overall sustainability objectives.

Evaluation of initial opportunities is underway.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
3 Consider participating in the U.S. Green
Building Council’s LEED recertification
option for certified LEED buildings.

Evaluation of initial opportunities is underway.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
4 Require post-completion monitoring
for all applicable sustainability projects,
programs, and initiatives.

Started Coordination between the newly hired Facilities Division Energy Manager and the Office of
Climate Action & Sustainability staff is
underway. The Office of Climate Action &
Sustainability is leading the development of a
platform and performance indicators to monitor
sustainability of municipal operations across
departments.

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Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
6 Develop and track performance
measures as they relate to published
sustainability goals.

Started Preliminary indicators to track municipal
operations sustainability have been identified
with departments. Data collection and creation
of PowerBI dashboards is in process with the
assistance of Fleet, DOU, YPCE, Facilities, and IT
staff.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
7 Ensure sustainability reports
consistently track and report progress
over time.

Started Once the internal tool for tracking performance measures is finalized, the Office of Climate
Action & Sustainability will work with
departments to ensure consistent annual
updates and assess feasibility of more frequent
updates. The Office of Climate Action &
Sustainability is also continuing quarterly
updates on the 2021 Climate Work Plan.

CAPDash is also under development to track
implementation of the Climate Action and
Adaptation Plan.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
8 Develop a process to check for
duplicated data when it is uploaded to
EnergyCAP, monitor the data for
discrepancies, and notify users of
issues in or changes to the data in the
EnergyCAP system.

Started The Energy Manager has developed a procedure
to evaluate EnergyCAP errors at different points
in reporting.

Improved Monitoring and Reporting
of Sustainability Data, Progress, and
Outcomes Is Essential for Tracking
Impacts and Realizing the Intended
Benefits
9 Review the data captured by the GIS
streetlights system, determine key data
fields, implement controls to ensure
these fields contain accurate and
complete information, and reconcile
the various internal sources of
streetlight counts.

Started Public Works' Engineering Services successfully completed the current phase of streetlight
retrofits. 2,450 streetlights have been installed.

Engineering Services worked with the GIS team
to track the project status. The data for
retrofitted streetlights is available in the City's
OneMap Viewer. Updates in the GIS database to
this first set of streetlights is a step towards
reviewing and correcting existing GIS data. An
additional 2,450 post top streetlights have been
identified for retrofit.

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Started Work on this item is ongoing and in process
through continued meetings of the Green Team.

With the hiring of a new team member to the
City Manager's Office, the team is building
capacity to develop new policies and
procedures, based on input from key staff and
sustainability goals.

Centralized Management and
Oversight of the City’s Sustainability
Efforts May Better Position the City
to Establish Sustainability as an
Organizational Priority and Core
Value
13 Establish a Citywide internal
communication strategy and
accountability mechanism for
sustainability goals and priorities.

Started The Office of Climate Action & Sustainability
staff continues to convene the Green Team and
utilizes the Microsoft Teams 'Green Team'
channel to distribute internal information on
sustainability goals and priorities. More work is
outstanding to create additional resources, such
as a Nexus webpage, or new staff report
guidance for the 'Sustainability Section' of staff
reports. Furthermore, staff outlined a plan for
external climate-focused community
engagement with input from the Community
Engagement Manager and Diversity, Equity, and
Inclusion Manager.

Centralized Management and
Oversight of the City’s Sustainability
Efforts May Better Position the City
to Establish Sustainability as an
Organizational Priority and Core
Value
15 Evaluate new funding strategies and
consider whether additional funding
support can be provided during the
City’s budgeting process.

Partly
Implemented
City staff continue to evaluate funding options,
including State and Federal grant programs, to
support sustainability projects. The Climate
Action Lead convened staff across departments
to identify and track priority State and Federal
funding opportunities and coordinate
applications. In September 2021, staff applied
for but did not receive State technical assistance
funding through the BOOST Program.

Furthermore, the draft Climate Action and
Adaptation Plan (in process) includes cost
estimates for key climate action measures,
which staff presented to City Council in October
2021.

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Centralized Management and
Oversight of the City’s Sustainability
Efforts May Better Position the City
to Establish Sustainability as an
Organizational Priority and Core
Value
16 Review City projects that may have
immediate environmental savings and
cost avoidance that currently lack
funding, such as retrofitting the
remaining streetlights to LED, and
assist with identifying funding sources.

Started The Facilities Division has hired a new Energy
Manager, as identified in the approved Midyear
2020/21 budget, which also included a one-time
$1.2 million augmentation for the Energy
Investment CIP. The Energy Manager convened
an initial discussion between City and SMUD
staff to prioritize City buildings for cost-effective
energy-saving and electrification retrofits.

Development of a formal process to establish a
project pipeline are ongoing. Streetlight retrofits
to LED are ongoing, with an additional 2,450
lights identified for retrofit and procured with
remaining available L&L funding.

Centralized Management and
Oversight of the City’s Sustainability
Efforts May Better Position the City
to Establish Sustainability as an
Organizational Priority and Core
Value
17 Implement outreach efforts and
programs to City employees to improve
the City’s sustainability culture.

Started The Office of Climate Action & Sustainability
staff continue to coordinate across
departments, including with the Green Team. In
the last reporting period, the Office of Climate
Action & Sustainability staff led discussions with
departments about sustainability performance
monitoring (including both data-oriented
conversations with staff and presentations to
division leadership). These discussions and
information-sharing via the Green Team
advanced awareness of sustainability policies
and goals within the City.

Centralized Management and
Oversight of the City’s Sustainability
Efforts May Better Position the City
to Establish Sustainability as an
Organizational Priority and Core
Value
18 Assist other City departments and
offices with incorporating sustainability
into their department-level operations
through the creation, implementation,
and tracking of specific performance
goals.

Started Preliminary data collection is underway with the assistance of Fleet, DOU, YPCE, and Facilities
staff. The Office of Climate Action &
Sustainability staff coordinated with
departments to identify internal indicators to
track sustainability of municipal operations.

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Centralized Management and
Oversight of the City’s Sustainability
Efforts May Better Position the City
to Establish Sustainability as an
Organizational Priority and Core
Value
19 Evaluate whether more formalized
Citywide green teams may be
beneficial for supporting the City’s
sustainability culture, programs, and
goals.

Partly
Implemented
Evaluation is ongoing as the Office of Climate
Action & Sustainability continues to convene the
Green Team. Staff are also outlining a proposal
for a peer-led sustainability learning group for
staff working on sustainability projects that are
seeking more professional development and
leadership opportunities.

Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
20 Develop a process for notifying City
employees of changes to Citywide
sustainability policies, procedures, and
plans and document their
acknowledgement of these changes.

Not Started The Office of Climate Action & Sustainability staff will initiate this effort in conjunction with
policy changes happening through the 2040
General Plan Update and Climate Action and
Adaption Plan Update. The public drafts of both
documents are anticipated to be released in
Spring 2022. As an initial step in notifying
employees of Citywide sustainability policy
changes, the Green Team will discuss major
2040 General Plan policy shifts in Spring 2022.

Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
21 Ensure that the City website and any
internal employee resources are up-to-
date and accurate as they relate to
sustainability policies, procedures, and
plans.

Partly
Implemented
In November 2021, IT and Office of Climate
Action & Sustainability staff published a
revamped City webpage for the Office of
Climate Action & Sustainability
(www.cityofsacramento.org/climateaction). The
webpage includes quarterly reports on the 2021
Climate Implementation Work Plan, an outline
of the City's climate policy, links to sustainability
initiatives, upcoming events, and materials from
public meetings. The Office of Climate Action &
Sustainability staff are working with the Green
Team and GIS staff to develop internal
employee resources for sustainability projects,
including a 'hub' of sustainability-related
mapping tools. Staff will continue to outline
internal resources.

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Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
22 Conduct internal outreach efforts to
improve awareness of and facilitate
further reductions in paper
consumption.

Not Started Internal education will be evaluated with the various departments, divisions, and staff
members responsible for procurement. The
draft of the recently updated Sustainable
Purchasing Policy includes clarifications on
paper consumption.

Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
23 Identify instances of non-compliance
with the Fleet Engine Idling Limit Policy
and hold employees accountable.

Started The Fleet Management Division previously
prepared draft updates to the Fleet Idling Policy,
which was pending approval. Since then, the
Fleet Manager worked with the Clerk's Office to
complete updates to the policy and to integrate
relevant Fleet policies in a combined
Transportation Policy, which is now pending
approval. The Fleet Management Division also
completed the installation of Samsara telematic
devices on the City's light-duty fleet and is in the
process of installing telematic devices on the
heavy-duty fleet by the end of the first quarter
of 2022.

Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
24 Review and update the Sustainable
Purchasing Policy.

Partly
Implemented
The Sustainable Purchasing Policy has been
updated and is currently being reviewed by the
Office of Climate Action & Sustainability.

Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
25 Develop a process for improving
accountability with the Sustainable
Purchasing Policy.

Partly
Implemented
The Sustainable Purchasing Policy (SPP) has
been updated to include compliance with
Senate Bill (SB) 1383. The K2 Pre-Requisition
and eCAPS Purchase Order tracking sections are
being updated to capture additional information
on City purchases that may be affected by the
SPP and SB 1383 requirements. Once
communication from City management goes out
regarding these requirements, the Procurement
Division will roll out tracking and reporting
procedures Citywide.

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Awareness of and Compliance with
Sustainable Policies, Procedures,
and Plans Could Be Strengthened
26 Consider working with applicable City
vendors to implement website controls
that encourage more sustainable
purchases.

Started The Procurement Division is researching ways to promote sustainable products through some of
the Citywide accounts that use online platforms
(such as Staples and Amazon).

Vendor Management

Finding # Recommendation Status Update

A Centralized Process for Receiving
Grant Applications and Aggregating
Funding Data Could Improve the
City’s Grants Management Practices
19 Develop a centralized process for
receiving grant applications and
aggregating funding data.

Started The City entered into two contracts in
December 2021 to develop and implement a
grants management solution.

Vendor Audit of the Roberts Family Development Center

Finding # Recommendation Status Update

RFDC’s Financial Recordkeeping
System is Disorganized and Contains
Significant Material Weaknesses
4 Document the specific source of funds
for which the State’s debt will be paid
and ensure restricted program funds
and grants are not utilized to make the
debt payments.

Partly
Implemented
According to RFDC, fundraising and unrestricted
sources of income have been designated to pay
the settlement with the State of California.

Based on reports provided by the RFDC
bookkeeper, RFDC made sufficient unrestricted
and fundraising income to make the payments
to the State of California during this reporting
period.

RFDC Should Develop A Robust
System of Internal Controls to
Safeguard Charitable Assets, Prevent
Loss, and Ensure the Reliability of
Financial Records
8 Develop internal policies and
procedures based on best practices.

Partly
Implemented
RFDC has implemented the Fiscal Policy and
Procedure Manual and is in the process of
developing additional policies and procedures
for other key functions.

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RFDC Should Develop A Robust
System of Internal Controls to
Safeguard Charitable Assets, Prevent
Loss, and Ensure the Reliability of
Financial Records
12 Ensure completion of registration
requirements with the California
Attorney General’s Registry of
Charitable Trusts and other state and
federal agencies in a timely manner.

Implemented RFDC is now in compliance with registration requirements of the Internal Revenue Service,
California Attorney General's Office, and
California Franchise Tax Board.

Audit of Cannabis Dispensary Permitting

Finding # Recommendation Status Update

Ownership of Cannabis Dispensary
Operating Permits were Transferred
Between Individuals and Corporate
Entities as a result of Ambiguity in
the City Code and an Evolving
Regulatory Environment
1 Seek direction from City Council to
determine whether dispensary
transfers should be allowed. The Office
of Cannabis Management in
conjunction with the City Attorney’s
Office should then propose a City Code
update that clearly articulates the
policy and legal goals of the City
Council, that are in conformance with
State law.

Started The Office of Cannabis Management (OCM) has
contracted with Economic & Planning Systems
(EPS) to perform a comprehensive cannabis
study. The study is intended to inform public
policy pertaining to land use, fiscal/economic,
and other regulatory/policy topics. Based on the
results of the study, OCM will conduct a series
of workshops at the Law & Legislation
Committee to obtain Council direction in
developing policy that meets the
recommendation.

The City Needs to Better Define
Ownership if it Expects to Enforce
City Code Restrictions on Ownership
and Manage who is Truly Behind its
Permitted Cannabis Related
Businesses
2 In conjunction with the City Attorney’s
Office, seek direction from City Council
to determine whether both existing
and new cannabis storefront
dispensary owners must comply with
City Code provision 5.150.355 that
states: “No person who has an
ownership interest in a storefront
cannabis dispensary shall obtain an
ownership interest in any other
storefront cannabis dispensary” and
clarify the City’s expectation on how
the code provision will be enforced.

Partly
Implemented
The Office of Cannabis Management (OCM) has
contracted with Economic & Planning Systems
(EPS) to perform a comprehensive cannabis
study. The study is intended to inform public
policy pertaining to land use, fiscal/economic,
and other regulatory/policy topics. Based on the
results of the study, OCM will conduct a series
of workshops at the Law & Legislation
Committee to obtain Council direction in
developing policy that meets the
recommendation.

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The City Needs to Better Define
Ownership if it Expects to Enforce
City Code Restrictions on Ownership
and Manage who is Truly Behind its
Permitted Cannabis Related
Businesses
3 Seek direction from City Council to
determine standards and definitions of
ownership of cannabis dispensaries in
the City. At minimum, these discussions
should include a definition of clear
ownership and limits on ownership for
all cannabis dispensary owners. The
Office of Cannabis Management in
conjunction with the City Attorney’s
Office should then propose a City Code
update that articulates the ownership
policy and goals of the City Council,
that are in conformance with State law.

The City Needs to Better Define
Ownership if it Expects to Enforce
City Code Restrictions on Ownership
and Manage who is Truly Behind its
Permitted Cannabis Related
Businesses
4 In consultation with the Attorney’s
Office, design and implement an
internal control framework over the
cannabis permit application and
renewal process based on best
practices. This should include
establishing an organizational
structure, segregate duties, and assign
responsibilities for the Office of
Cannabis Management to carry out the
program objectives. The internal
control system should also be
documented and communicated to
those responsible for performance and
training should be provided.

Additionally, the City Auditor has scheduled a
continuous review of OCM's cannabis
permitting process, which is scheduled to take
place in 2022-23. The continuous review will
examine the adequacy of internal controls over
permit application and renewal.

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Determining Beneficial Ownership is
Critical to Enforcing Ownership
Restrictions in the City’s Cannabis
Regulations
5 Incorporate researching beneficial
ownership into existing operations and
provide training to staff on how to
conduct this research or hire an outside
consultant to conduct this work on the
City’s behalf.

Measured Expansion in the Number
of Dispensary Permits Would be
Consistent with Municipal Best
Practices
6 Perform an economic analysis following
the addition of the 10 permits to
determine local cannabis dispensary
market demand and whether the 40
dispensaries is a sufficient number of
permits.

Started Although 10 individuals have been awarded an
opportunity to apply for a storefront dispensary,
none of these individuals has formally applied
for a BOP or become operational.

Continuous Cannabis Monitoring

Finding # Recommendation Status Update

The Office of Cannabis Management
Could Enhance Their Policymaking
Process to Ensure New Policies are
Effective at Addressing Identified
Issues.
1 Enhance the current policymaking
process by standardizing and
documenting the approach to policy
formulation and policy
implementation.

Started OCM is continuing to work to expand its current written policies regarding policy formulation
and implementation.

The Office of Cannabis Management
Could Enhance Their Policymaking
Process to Ensure New Policies are
Effective at Addressing Identified
Issues.
2 Develop a formal process for policy
evaluation that considers whether the
policy achieved its intended objectives
and identifies unintended
consequences.

Not Started No progress made in the current period. OCM disagrees with this recommendation and will
not take steps toward implementation.

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The Office of Cannabis Management
Could Better Meet Their Stated
Objectives by Providing More
Focused Education and Increasing
Community Outreach Activities
3 Proactively assess the educational
needs of the local cannabis industry to
identify any gaps and provide focused
training programs that support
business compliance.

Implemented OCM has continued to engage cannabis industry stakeholders through monthly stakeholder
meetings. These meetings often include
presentations and regulatory updates. At a
recent stakeholder meeting in January 13, 2022,
presentations from the Police Department, Fire
Department and Code Enforcement Division
were provided on relevant topics. OCM held an
on-site consumption workshop in December
2021, based on industry interest. OCM
continues to request suggestions for
supplemental education from the cannabis
industry at monthly stakeholder meetings.

The Office of Cannabis Management
Could Better Meet Their Stated
Objectives by Providing More
Focused Education and Increasing
Community Outreach Activities
4 Increase its youth education and
community outreach efforts to better
meet its stated objective.

Partly
Implemented
PRO Youth and Families (PRO Youth) is currently
partnering with the City of Sacramento to
implement #SacYouthWorks: Futures
(#Futures), a positive youth development
program that incorporates underage marijuana
use prevention and education and work-based
learning. #Futures builds on the City of
Sacramento’s successful #SacYouthWorks
program launched in July 2020 as a response to
COVID-19, as well as the SCCY’s Future Forward
campaign - a local underage marijuana use
prevention and education campaign developed
and designed in partnership with our
community’s youth.

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Diversity of City Applicants

Finding # Recommendation Status Update

Inconsistencies in How Hired
Applicants are Captured in Both
NeoGov
and eCAPS Creates an Analytical
Limitation
1 Establish controls that would require
City departments to utilize NeoGov for
all vacancies and
recruitments so NeoGov contains
complete recruitment, applicant, and
hire information.

Partly
Implemented
According to the Human Resources Department,
Youth Aide recruitments were traditionally held
outside of NeoGov using paper applications by
the Youth, Parks, and Community Enrichment
Department. Youth Aides transitioned into
NeoGov as a hybrid recruitment with the
December 2021 posting for the Spring 2022
program. As a compromise, both NeoGov and
paper applications were accepted. NeoGov is
able to report the majority of the Youth Aide
applicant and hire information - 182 NeoGov
applications and 28 paper applications were
received. Once Youth Aide paper applications
are no longer accepted and 100% of
applications are received in NeoGov, all
recruitments will be utilized in NeoGov, with the
exception of executive recruitments conducted
by consultants.

Inconsistencies in How Hired
Applicants are Captured in Both
NeoGov
and eCAPS Creates an Analytical
Limitation
2 Establish processes to add a common
unique identifier, such as the eCAPS
employee ID of hired
applicants, in NeoGov so that the hired
applicants in NeoGov can easily be
traced into the City’s
eCAPS.

Implemented Beginning July 1, 2021, a new field for eCAPS IDs was added to the applicant master profile
settings in NeoGov. A report is run bi-weekly to
capture recent hires/re-hires (actions which
require a NeoGov application),
promotions/demotions and transfers (actions
which require an application for the majority of
situations) is used to manually enter those
employees’ eCAPS ID into their NeoGov master
profile.

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Budget and Audit CommitteeApril 5, 2022

Budget and Audit Committee
April 5, 2022