Kern County, California

Compliance and Accountability

 
Function and Goals

The Kern County Board of Supervisors have placed an emphasis on the function of Compliance and Accountability, and made it a top priority to develop a function within the County that would enforce transparent and accountable operations. The Compliance and Accountability function is responsible for the implementation and enforcement of policies and procedures aimed at ensuring operations are in compliance with federal and State laws and regulations, Kern County Ordinance Code, and administrative and departmental procedures. This function, serving as a liaison between the Board of Supervisors and County departments, is responsible for providing a semi-annual report to the Board of Supervisors with the status of departmental compliance with any reported instance of non-compliance.

The primary goals of the Compliance and Accountability function are as follows:

  • To monitor County operations for compliance with federal and State laws and regulations, Kern County Ordinance Code, and administrative and departmental procedures.
  • To assist the departments with remediation efforts that will minimize repeat audit findings.
  • To educate departments on the importance of written procedures and internal controls.
  • To enforce the requirements of the Kern County Ordinance Code and Kern County Administrative Policy and Procedures Manual.
  • To implement and enforce policies and procedures that promote transparent and accountable operations.
  • To provide County officers and employees with information and training related to compliance.

History

In January, 2008, the Kern County Board of Supervisors established a new division within the Administrative Office to provide independent oversight and accountability controls with enforcement ability. This division is charged with ensuring that departments are complying with and meeting audit recommendations and is an active participant in recommending and implementing measures to strengthen internal controls or other corrective measures identified in departmental audits.

Development of the Compliance and Accountability Function:

January 29, 2008 Board of Supervisors meeting video report on departmental accountability  (PDF)
report on monitoring compliance issues  (PDF)
report on audit needs  (PDF)
October 28, 2008 Board of Supervisors meeting video report  (PDF)
February 10, 2009 Board of Supervisors meeting video report  (PDF)
May 10, 2011 Board of Supervisors meeting video report  (PDF)
Authority

Kern County Ordinance Code Chapter 2.01 defines the required duties of the Chief Compliance and Accountability Officer. While this mandate requires the Chief Compliance and Accountability Office to be appointed by and serve under the County Administrative Officer, the principal duty of this Officer is to serve as a liaison between the Board of Supervisors, County Administrative Officer, and County departments. This Officer is responsible for implementing and enforcing policies and procedures aimed at ensuring transparent and accountable county operations in compliance with federal and state laws and regulations as well as county ordinances and administrative and departmental procedures. Within 45 days after written notice of non-compliance, most commonly from internal audits, the Officer is required to ensure that the department head files a written corrective action plan. This Officer is responsible for ensuring and verifying attendance of county officers and employees at compliance-related training sessions and providing detailed semi-annual reports to the Board of Supervisors on the status of departmental compliance and recommended corrective measures.

Kern County Administrative Policy and Procedures Manual mirrors the requirements dictated in Kern County Ordinance Code Chapter 2.01, requiring the County Administrative Office to review audit responses and report to the Board of Supervisors if appropriate corrective action has not been taken on audit recommendations.

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