The Audit found that risks could be reduced through improved training and changes to the Corporate Compliance Committee structure, process, and communications. Historically, some staff, including senior management and executive positions, have not complied with training requirements, although compliance has improved under the new Administration. The Comptroller’s Office is pleased that the Compliance Program has agreed to assign each complaint a unique tracking number to facilitate complaint tracking. The corporate compliance risk assessment is limited to the mandated programs of early childhood education and homecare but could be expanded to other risk areas. The Corporate Compliance Committee could be strengthened with representation from those charged with governance (the Legislature) as well as representation from internal audit (the Comptroller).
The audit also found that corporate compliance communications could be more targeted.
