Internal audit reports
Review audits of the County's operations.
Browse audit reports by agency, department, or division
| FISCAL YEAR | AGENCY/DEPT/DIVISION | AUDIT REPORT | AUDIT REPORT FULL TITLE | REPORT DATE |
|---|---|---|---|---|
| FY2024-25 | Department of Planning and Development (DPD) | DPD Advisory Engagement | Review of the Permitting Process and Related IT Business Needs | 11/25/2024 |
| FY2023-24 | Social Services Agency (SSA) and Probation | AB12 Internal Controls Audit | Internal Controls Audit of California Fostering Connections to Success Act | 2/15/2024 |
| FY2023-24 | Assessor's Office | Assessment Appeals Coordination | Assessment Appeals Coordination Process Between Office of the Assessor and Office of the Clerk of the Board of Supervisors | 2/8/2024 |
| FY2022-23 | Valley Health Plan (VHP) | VHP Broker Contracting Audit | Internal Controls Audit of Broker Contracting and Related Fiscal Activities | 10/31/2023 |
| FY2022-23 | Santa Clara County Library District (SCCLD) | SCCLD Performance Audit | Performance Audit of Administrative and Information Technology Practices | 10/19/2023 |
| FY2022-23 | Office of Risk Management (ORM) | ORM Claims Process Audit | Internal Controls Audit of Liability/Property Insurance Claiming Process | 10/17/2023 |
| FY2022-23 | Controller-Treasurer Department (CTD) | CTD Payroll Overpayments, 1st Follow-Up | Follow-up Audit to the Internal Audit Report: 2018 Controller-Treasurer Internal Controls over Payroll | 6/16/2023 |
| FY2021-22 | Office of Supportive Housing (OSH) | OSH-IQSP Assistance Payments Audit | Office of Supportive Housing (OSH) ‐ Isolation and Quarantine Support Program Audit of Financial Assistance Payments | 9/13/2022 |
| FY2021-22 | Consumer and Environmental Protection Agency (CEPA), Division of Weights and Measures | CEPA WM, Assurance Audit | Consumer and Environmental Protection Agency (CEPA), Division of Weights and Measures, Audit of Inspection Processes and Devices | 5/19/2022 |
| FY2021-22 | Social Services Agency/ Public Administrator/ Guardian/Conservator | SSA PAGC Audit of Key Controls | Social Services Agency - Public Administrator/Guardian/Conservator Audit of Key Controls | 5/19/2022 |
| FY2018-19 | Controller-Treasurer | CTD Payroll Overpayments | 2018 Controller-Treasurer Internal Controls over Payroll Overpayments | 4/15/2019 |
| FY2018-19 | Controller-Treasurer | CTD Cash Handling, 1st Follow-Up | Follow-up Audit to the Internal Audit Report: Audit of Cash Handling dated October 19, 2016 | 3/14/2019 |
| FY2018-19 | Registrar of Voters | ROV Election Workers Payments, 1st Follow-Up (final) | A Follow-up Audit to the Internal Audit Report: FY14 Registrar of Voters Election Workers Payments’ Internal Controls | 11/19/2018 |
| FY2018-19 | Public Administrator/ Guardian/Conservator | PAGC Custody Internal Controls, 4th Follow-Up (final) | A Fourth Follow-up Audit to the Internal Audit Report: PAGC Custody Internal Controls Audit Issued August 5, 2010 | 10/19/2018 |
| FY2018-19 | Employee Services Agency | ESA Out-of-State County Retiree Medical Coverage Payments, 1st Follow-up (final) | A Follow-up Audit to the Internal Audit Report: Audit of the 2015 In-Lieu Medical Coverage Payments’ Internal Controls | 8/14/2018 |
| FY2017-18 | Workers' Compensation | WCD Worker's Compensation Medical Payments, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report: 2016 Workers’ Compensation Medical Payments' Internal Controls | 5/7/2018 |
| FY2017-18 | Employee Services Agency | ESA Medicare B Reimbursement Payments, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report: Audit of the FY14 Medicare B Reimbursement Payments’ Internal Controls | 12/27/2017 |
| FY2017-18 | County Clerk-Recorder | CRO Social Security Number Truncation Project, Second Review | Clerk-Recorder’s Social Security Number Truncation Project Second Review: Activities of January 1, 2013 to August 31, 2017 | 11/7/2017 |
| FY2017-18 | Procurement | PRC Personal Property Disposal Process, 2nd Follow-up | A Second Follow-up Audit to the Review of Santa Clara County's Personal Property Disposal Process by Macias Gini & O'Connell, LLP | 10/17/2017 |
| FY2017-18 | Workers' Compensation | WCD Worker's Compensation Medical Payments | Audit of the 2016 Workers’ Compensation Medical Payments’ Internal Controls | 8/18/2017 |
| FY2016-17 | Employee Services Agency | ESA In-Lieu Medical Coverage Payments | Audit of the 2015 In-Lieu of Medical Coverage Payments' Internal Controls | 2/22/2017 |
| FY2016-17 | Registrar of Voters | ROV Election Workers Payments | Audit of the FY14 Registrar of Voters Election Payments' Internal Controls | 1/17/2017 |
| FY2016-17 | Facilities and Fleet | FAF Internal Controls, 2nd Follow-Up | A Second Follow-up Audit to the Internal Audit Report: Facilities and Fleet Internal Controls | 11/8/2016 |
| FY2016-17 | Controller-Treasurer | CTD Cash Handling | Audit of Cash Handling | 10/19/2016 |
| FY2016-17 | Department of Tax and Collections | DTAC (previously named Department of Revenue) Victim Restitution Payments, 1st Follow-up | A Follow-up Audit to the Internal Audit Report: Audit of the FY 14 Victim Restitution Payments' Internal Controls | 8/8/2016 |
| FY2016-17 | Valley Medical Center | VMC Custody Audit, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report: Custody Audit—Valley Medical Center | 8/8/2016 |
| FY2015-16 | Facilities and Fleet | FAF Internal Controls, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report: Facilities and Fleet Internal Controls | 4/22/2016 |
| FY2015-16 | Public Administrator/ Guardian/Conservator | PAGC Custody Internal Controls, 3rd Follow-Up | A Third Follow-up to the Internal Audit Report: PAGC Custody Internal Controls Audit issued August 5, 2010 | 3/21/2016 |
| FY2015-16 | Workers' Compensation | WCD iVOS System Audit, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report: Workers Compensation iVOS System Audit | 11/10/2015 |
| FY2015-16 | Procurement | PRC Personal Property Disposal Process, 1st Follow-Up | A Follow-up Audit to the Review of Santa Clara County's Personal Property Disposal Process by Macias, Gini, & O'Connell, LLP | 10/29/2015 |
| FY2015-16 | Employee Services Agency | ESA Access to HaRP (Human Resource and Payroll System) Data | A Follow-up Audit to the Internal Audit Report: Access to Data in the Human Resource Payroll System (HaRP) | 10/23/2015 |
| FY2015-16 | Legal Aid Society | LAS Contract Expenses, 1st Follow-Up | A Follow-up Audit to the Legal Aid Society—Contract Expenses issued January 14, 2009 | 9/30/2015 |
| FY2015-16 | Procurement | PRC Office Depot's Compliance with Contract Pricing Provisions, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report: Audit of Office Depot's Compliance with Contract Pricing Provisions issued December 7, 2010 | 9/29/2015 |
| FY2015-16 | District 2 | D2 Non-personnel Services and Supplies (Object 2) Expenditures, 1st Follow-Up | A Follow-up Audit to the Internal Report Audit of Object 2 (Non-personnel Services and Supplies) Expenditures of District 2 for the period January 2009 through September 2012 issued December 11, 2012 | 7/2/2015 |
| FY2015-16 | District 2 | D2 Procurement Card (P-Card) Transactions, 1st Follow-Up | A Follow-up Audit to the Controller-Treasurer's Report Audit of Procurement Card (P-Card) Transactions of Supervisor George Shirakawa (District 2) for January 2009 through September 2012 | 7/2/2015 |
| FY2015-16 | Social Services Agency | SSA Purchases, Accountability, and Performance Incentives, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report Social Services Agency Purchases, Accountability, and Distributions of Performance Incentives issued February 27, 2009 | 7/2/2015 |
| FY2014-15 | Employee Services Agency | ESA Medicare B Reimbursement Payments | Audit of the FY14 Medicare B Reimbursement Payments' Internal Controls | 6/10/2015 |
| FY2014-15 | Department of Tax and Collections | DTAC (previously named Department of Revenue) Victim Restitution Payments | Audit of the FY14 Victim Restitution Payments' Internal Controls | 1/12/2015 |
| FY2014-15 | Public Administrator/ Guardian/Conservator | PAGC Custody Internal Controls, 2nd Follow-Up | A Second Follow-up Audit to the Internal Report Public Administrator/ Guardian/Conservator's Office Custody Internal Controls issued August 5, 2010 | 1/30/2015 |
| FY2013-14 | County Clerk-Recorder | CRO Social Security Number Truncation, First Review | Clerk-Recorder's Social Security Number Truncation Program Review, January 1,1980 to December 31, 2012 | 12/18/2013 |
| FY2013-14 | District Attorney | DA Automobile Insurance Fraud Grant Expenditures | Office of the District Attorney— Automobile Insurance Fraud Grant Expenditures, Fiscal Year Ended, June 30, 2013 | 10/28/2013 |
| FY2013-14 | District Attorney | DA Disability Insurance Fraud Grant Expenditures | Office of the District Attorney—Disability Insurance Fraud Grant Expenditures, Fiscal Year Ended, June 30, 2013 | 10/28/2013 |
| FY2013-14 | District Attorney | DA Organized Automobile Fraud Activity Grant Expenditures | Office of the District Attorney—Organized Automobile Fraud Activity Interdiction Program Fraud Grant Expenditures, Fiscal Year Ended, June 30, 2013 | 10/28/2013 |
| FY2013-14 | District Attorney | DA Workers Compensation Insurance Fraud Grant Expenditures | Office of the District Attorney—Workers Compensation Insurance Fraud Grant Expenditures, Fiscal Year Ended, June 30, 2013 | 10/28/2013 |
| FY2013-14 | Public Administrator/ Guardian/Conservator | PAGC Custody Internal Controls, 1st Follow-Up | A Follow-up Audit to the Internal Audit Report Public Administrator/Guardian/Conservator's Office Custody Internal Controls issued August 5, 2010 | 8/28/2013 |
| FY2012-13 | District Attorney | DA Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions of District Attorney, Jeffrey Rosen, for the Period of January 2011 through September 2012 | 2/4/2013 |
| FY2012-13 | County Executive's Office | CEO Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions of Jeffrey V. Smith, County Executive, for the Period of January 2011 through September 2012 | 2/4/2013 |
| FY2012-13 | Assessor's Office | Assessor Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions of Lawrence Stone, Assessor, for the Period of January 2011 through September 2012 | 2/4/2013 |
| FY2012-13 | District 3 | D3 Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions Supervisor Dave Cortese (District 3) for the Period of January 2011 through September 2012 | 1/2/2013 |
| FY2012-13 | District 5 | D5 Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions District 5 (Supervisor Liz Kniss) for the Period of January 2011 through December 2012 | 1/2/2013 |
| FY2012-13 | District 4 | D4 Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions District 4 (Supervisor Ken Yeager) for the Period of January 2011 through September 2012 | 12/26/2012 |
| FY2012-13 | District 1 | D1 Procurement Card (P-card) Transactions | Audit of Procurement Card (P-Card) Transactions of Supervisor Mike Wasserman (District 1) for the Period of February 2011 through September 2012 | 12/13/2012 |
| FY2012-13 | District 2 | D2 Procurement Card (P-Card) Transactions | Audit of Procurement Card (P-Card) Transactions of Supervisor George Shirakawa (District 2) for January 2009 through September 2012 | 12/3/2012 |
| FY2012-13 | District 2 | D2 Non-personnel Services and Supplies (Object 2) Expenditures | Audit of Object 2 (Non-personnel Services and Supplies) Expenditures of District 2 for the period January 2009 through September 2012 | 12/11/2012 |
| FY2012-13 | District Attorney | DA Automobile Insurance Fraud Grant | California Department of Insurance—Automobile Insurance Fraud Grant, June 30, 2102 | 10/22/2012 |
| FY2012-13 | District Attorney | DA Workers Compensation Insurance Fraud Grant | California Department of Insurance—Workers Compensation Insurance Fraud Grant, June 30, 2012 | 10/22/2012 |
| FY2012-13 | District Attorney | DA Disability and Healthcare Insurance Fraud Grant | California Department of Insurance—Disability and Healthcare Insurance Fraud Grant, June 30, 2012 | 10/22/2012 |
| FY2012-13 | District Attorney | DA Organized Automobile Fraud Activity Grant | California Department of Insurance—Organized Automobile Fraud Activity Interdiction Program (Urban) Insurance Fraud Grant, June 30, 2012 | 10/22/2012 |
| FY2011-12 | District 1 | D1 Custody Audit | Transition Audit—Financial Report, Board of Supervisors—Supervisorial District 1 | 4/6/2012 |
| FY2011-12 | Facilities and Fleet | FAF Internal Controls | Facilities and Fleet Internal Controls | 8/1/2011 |
| FY2010-11 | Procurement | PRC Office Depot's Compliance with Contract Pricing Provisions | Audit of Office Depot's Compliance with Contract Pricing Provisions | 12/7/2010 |
| FY2010-11 | District Attorney | DA Automobile Insurance Fraud Grant | California Department of Insurance—Automobile Insurance Fraud Grant, June 30, 2010 | 10/15/2010 |
| FY2010-11 | District Attorney | DA Disability and Healthcare Insurance Fraud Grant | California Department of Insurance—Healthcare and Long-Term Disability Insurance Fraud Grant, June 30, 2010 | 10/15/2010 |
| FY2010-11 | District Attorney | DA Organized Automobile Fraud Activity Grant | California Department of Insurance—Organized Automobile Fraud Activity Interdiction Program (Urban) Grant, June 30, 2010 | 10/15/2010 |
| FY2010-11 | District Attorney | DA Workers Compensation Insurance Fraud Grant | California Department of Insurance—Workers Compensation Insurance Fraud Grant, June 30, 2010 | 10/15/2010 |
| FY2010-11 | Facilities and Fleet | FAF Custody Audit | Custody Audit—Financial Report, Facilities and Fleet Department | 10/1/2010 |
| FY2010-11 | Public Administrator/ Guardian/Conservator | PAGC Custody Internal Controls | Public Administrator/Guardian/Conservator's Office Custody Internal Controls | 8/5/2010 |
| FY2009-10 | Valley Medical Center | VMC Purchasing System Audit | VMC McKesson System Audit | 2/26/2010 |
| FY2009-10 | District Attorney | DA Workers Compensation Insurance Fraud Grant | California Department of Insurance—Workers Compensation Insurance Fraud Grant, June 30, 2009 | 11/3/2009 |
| FY2009-10 | District Attorney | DA Automobile Insurance Fraud Grant | California Department of Insurance—Automobile Insurance Fraud Grant, June 30, 2009 | 11/3/2009 |
| FY2009-10 | District Attorney | DA Disability and Healthcare Insurance Fraud Grant | California Department of Insurance—Healthcare and Long-Term Disability Insurance Fraud Grant, June 30, 2009 | 11/3/2009 |
| FY2009-10 | District Attorney | DA Organized Automobile Fraud Activity Grant | California Department of Insurance—Organized Automobile Fraud Activity Interdiction Program (Urban) Grant, June 30, 2009 | 11/3/2009 |
| FY2009-10 | Controller-Treasurer/ Procurement | CTD/PRC Direct Pay Code Process | Direct Pay Code Process—Internal Controls | 10/5/2009 |
| FY2009-10 | Workers' Compensation | WCD iVOS System Audit | Workers Compensation iVOS System Audit | 8/3/2009 |
| FY2008-09 | Public Administrator/ Guardian/Conservator | PAGC Custody Internal Controls | Custody Audit—Financial Report, Public Administrator/Guardian/ Conservator's Office | 6/30/2009 |
| FY2008-09 | County Executive's Office | CEO Custody Audit | Custody Audit—Financial Report, County Executive's Office | 6/30/2009 |
| FY2008-09 | Valley Medical Center | VMC Custody Audit | Custody Audit—Valley Medical Center | 5/1/2009 |
| FY2008-09 | Employee Services Agency | ESA HaRP Access to Data | Access to Data in the Human Resource and Payroll System (HaRP) | 1/29/2009 |
| FY2008-09 | Social Services Agency | SSA Purchases, Accountability, and Performance Incentives | Social Services Agency Purchases, Accountability, and Distributions of Performance Incentives | 1/27/2009 |
| FY2008-09 | Legal Aid Society | LAS Contract Expenses | Legal Aid Society—Contract Expenses | 1/14/2009 |
| FY2008-09 | District 3 | D3 Custody Audit | Custody Audit: Board of Supervisors—Supervisorial District 3 | 12/19/2008 |
| FY2008-09 | District 2 | D2 Custody Audit | Custody Audit: Board of Supervisors—Supervisorial District 2 | 12/19/2008 |
| FY2008-09 | Veterans' Services | OVS Review of Services | Review of the Office of Veterans' Services | 11/21/2008 |
| FY2008-09 | District Attorney | DA Disability and Healthcare Insurance Fraud Grant | California Department of Insurance—Healthcare and Long-Term Disability Insurance Fraud Grant, June 30, 2008 | 10/24/2008 |
| FY2008-09 | District Attorney | DA Organized Automobile Fraud Activity Grant | California Department of Insurance—Organized Automobile Fraud Activity Interdiction Program (Urban) Grant, June 30, 2008 | 10/24/2008 |
| FY2008-09 | District Attorney | DA Automobile Insurance Fraud Grant | California Department of Insurance—Automobile Insurance Fraud Grant, June 30, 2008 | 10/24/2008 |
| FY2008-09 | District Attorney | DA Workers Compensation Insurance Fraud Grant | California Department of Insurance—Workers Compensation Insurance Fraud Grant, June 30, 2008 | 10/24/2008 |
| FY2008-09 | Public Defender | PDO Custody Audit | Custody Audit: Public Defender's Office | 9/19/2008 |
| FY2007-08 | Public Administrator/ Guardian/Conservator | PAGC Bank Reconciliations | Bank Reconciliations—Preparation and Resolution Timeliness | 6/3/2008 |
| FY2007-08 | County Clerk-Recorder | CRO Custody Audit | Custody Audit: Office of Clerk-Recorder | 5/30/2008 |
| FY2007-08 | District Attorney | DA Disability and Healthcare Insurance Fraud Grant | California Department of Insurance—Healthcare and Long-Term Disability Insurance Fraud Grant, June 30, 2007 | 10/19/2007 |
| FY2007-08 | District Attorney | DA Workers Compensation Insurance Fraud Grant | California Department of Insurance—Workers Compensation Insurance Fraud Grant, June 30, 2007 | 10/19/2007 |
| FY2007-08 | District Attorney | DA Organized Automobile Fraud Activity Grant | California Department of Insurance—Organized Automobile Fraud Activity Interdiction Program (Urban) Grant, June 30, 2007 | 10/19/2007 |
| FY2007-08 | District Attorney | DA Automobile Insurance Fraud Grant | California Department of Insurance—Automobile Insurance Fraud Grant, June 30, 2007 | 10/19/2007 |
| FY2007-08 | Controller-Treasurer: Disbursement/ Employee Services Agency | CTD/ESA Employee Existence | Employee Existence Audit | 9/21/2007 |
| FY2007-08 | Department of Correction | DOC Overtime Audit | Overtime Audit of the Department of Correction | 9/14/2007 |
| FY2007-08 | Employee Services Agency | ESA Data Integrity | Employee Services Agency, Data Integrity Audit | 8/24/2007 |
| FY2007-08 | District Attorney | DA Custody Audit | Custody Audit—Office of the District Attorney | 8/24/2007 |
| FY2006-07 | Social Services Agency | SSA Overtime | Overtime Audit of Social Services Agency | 5/25/2007 |
| FY2006-07 | Technology Services and Solutions | TSS Custody Audit | Custody Audit—Information Services Department | 2/23/2007 |
| FY2006-07 | Controller-Treasurer | CTD Trust Fund Monitoring | Trust Fund Monitoring | 3/16/2007 |
| FY2006-07 | Controller-Treasurer | CTD Bank Accounts' Positive Pay Usage | Bank Accounts' Positive Pay Usage | 5/4/2007 |
| FY2006-07 | Veterans' Services | OVS Review of Services | Review of the Office of Veterans' Services | 12/8/2006 |
| FY2006-07 | District Attorney | DA Workers Compensation Insurance Fraud Grant | California Department of Insurance—Workers Compensation Insurance Fraud Grant, June 30, 2006 | 10/27/2006 |
| FY2006-07 | District Attorney | DA Organized Automobile Fraud Activity Grant | California Department of Insurance—Organized Automobile Fraud Activity Interdiction Program (Urban) Grant, June 30, 2006 | 10/27/2006 |
| FY2006-07 | District Attorney | DA Automobile Insurance Fraud Grant | California Department of Insurance—Automobile Insurance Fraud Grant, June 30, 2006 | 10/27/2006 |
| FY2006-07 | Controller-Treasurer: Payroll | CTD Payroll Account Reconciliations, 1st Follow-Up | Payroll Account Reconciliations Follow-up Audit | 10/11/2006 |
| FY2006-07 | District Attorney | DA Victim Restitution | District Attorney Victim Restitution Audit | 9/15/2006 |
| FY2006-07 | Valley Medical Center/ Controller-Treasurer | VMC Doctors Payroll | Payroll Audit of Valley Medical Center Doctors for FY 2006 | 9/8/2006 |
| FY2006-07 | Facilities and Fleet | FAF Fleet Management | Custody Audit—ISS Fleet Management | 8/4/2006 |
| FY2005-06 | Department of Tax and Collections/ Assessor | DTAC/Assessor Property Tax Administration | Review of the State-County Property Tax Administration Grant Program | 6/9/2006 |
| FY2005-06 | Controller-Treasurer: Payroll | CTD Negative Leave Balances | Negative Leave Balances | 6/9/2006 |
| FY2005-06 | Controller-Treasurer | CTD Year-End Expense Accruals and Encumbrance Rollovers | Year-End Expense Accruals & Encumbrance Rollovers | 5/19/2006 |
| FY2005-06 | Delta Dental | DD Management of Claims Review | Management Review—Delta Dental | 4/7/2006 |
| FY2005-06 | Social Services Agency | SSA Digitized Signatures for Immediate-Need Warrants | Digitized Signature for the printing of Immediate Needs Warrents, Social Services Agency | 3/24/2006 |
| FY2005-06 | Filipino American Senior Opportunities Development Council | Fil-Am SODC Management Review | Management Review, Filipino American Senior Opportunities Development Council, Inc. | 3/24/2006 |