A Follow-up Audit Report on Complaint Processing and Enforcement at the Board of Pharmacy
Report Number 13-010
The Board of Pharmacy (Board) has fully or substantially implemented 6 (67 percent) of 9 recommendations that auditors selected for follow-up from An Audit Report on Complaint Processing and Enforcement at the Board of Pharmacy (State Auditor’s Office Report No. 08-035, June 2008).
Of the six recommendations fully or substantially implemented:
- The Board substantially implemented one recommendation related to following up on Board disciplinary orders to ensure that they are appropriately addressed.
- The Board fully implemented two recommendations related to (1) ensuring that applicants submit fingerprints before a license or registration is issued and (2) notifying complainants of the receipt of a complaint within 30 days as required by the Texas Occupations Code.
- The Board fully or substantially implemented three recommendations related to strengthening controls in its information system.
While the Board has made significant progress in implementing the prior audit recommendations, it should continue its efforts to improve controls related to unresolved complaints, complaint reviews, and user access to complaint data. Specifically:
- The Board should improve controls to ensure that it updates complainants about the status of unresolved complaints every four months as required by the Texas Occupations Code.
- The Board should consistently document its reviews of complaint information.
- The Board should actively monitor user access to complaint data and implement policies and procedures for the addition, modification, deletion, and review of user access to its information system.
Auditors communicated other, less significant issues to the Board's management separately in writing.
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