HomeMy WebLinkAbout2425-6 Elected Sheriff Transition (Final 2-6-2025)
Audit Report
Elected Sheriff Transition
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Sheriff’s Office Elected Sheriff Transition – 24/25-6 February 2025
Table of Contents:
1. Introduction ....................................................................................... 1
Background ..................................................................................................................... 2
Deschutes County Sheriff’s Office ............................................................................. 2
Transition Details ........................................................................................................ 2
Office Successes ......................................................................................................... 2
Office Challenges ........................................................................................................ 2
2. Findings and Observations .............................................................. 4
Observations ................................................................................................................... 4
Transition planning was effective. ............................................................................ 4
Statutory compliance was completed. ..................................................................... 6
Findings ........................................................................................................................... 6
The Sheriff's Office inconsistently complied with County rules for procurement.
...................................................................................................................................... 6
The Office did not complete financial statements for the Central Oregon Law
Enforcement Services agency on time. .................................................................... 7
Fiscal control improvements identified during previous audits remained
unresolved. .................................................................................................................. 9
3. Conclusion ........................................................................................ 10
4. Management Responses ................................................................ 11
5. Appendix A: Objective, Scope, and Methodology ........................ 15
Objectives and Scope ................................................................................................... 15
Methodology ................................................................................................................. 16
Sheriff’s Office Elected Sheriff Transition – 24/25-6 February 2025
Deschutes County Office of the Internal Auditor
Highlights:
Why this audit was
performed:
Our Office traditionally
performs a basic
survey level audit
whenever an elected
department head
leaves office.
We recommended
that:
• the Sheriff’s Office
review spending for
split payments.
• the Sheriff’s Office
comply with County
purchasing code.
• the new sheriff
prioritize
completion of
overdue financial
audits and establish
a new strategy.
• the new sheriff
address
outstanding fiscal
audit
recommendations
by assigning
responsibility.
Elected Sheriff Transition
Transition audits provide insight during leadership
changes, ensuring operational continuity and
proactively addressing key objectives. The Office of
Internal Audit conducted similar audits during prior
sheriff transitions, focusing on compliance and
financial accountability.
What was found:
The outgoing sheriff’s transition plan exceeded legal
requirements, aiding leadership change. Statutory
obligations were met, access controls were
enforced, and county assets were returned.
However, auditors identified some fiscal issues:
• Procurement Practices
Most expenses reviewed complied with rules,
but staff made payments above purchasing
thresholds to two vendors without contracts,
highlighting potential oversight weaknesses.
• Financial Reporting
Sheriff’s Office staff did not complete financial
statements for the Central Oregon Law
Enforcement Services agency on time.
• Unresolved Fiscal Audit Recommendations
Two 2022 fiscal audit recommendations were
yet to be fully addressed.
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1. Introduction
Sheriff Shane Nelson announced his retirement on July 7, 2023.
He planned to serve the remainder of his elected term ending on
January 6th, 2025. Sheriff Kent van der Kamp was appointed
sheriff by the Board of County Commissioners, effective
December 31st, 2024, after winning the November general
election. Because of the advance notice of the elected office
transition, the Deschutes County Audit Committee authorized the
transition review in the Internal Audit Program Work Plan for
2024-2025. Audit objectives, scope, and methodology can be
found in Appendix A.
The Office of the County Internal Audit traditionally performs a
basic survey level audit whenever an elected department head
leaves office. The Audit Committee has endorsed conducting
elected office transition audits since the County audit function
was established in 2003. These audits help provide some
assurance for incoming elected officials and help identify
improvement priorities. The Office of Internal Audit also
performed a transition audit when Sheriff Nelson originally took
office in 2015.
The audit objectives focused on statutory compliance, transition
best practices, and addressing outstanding internal or external
audit recommendations. While the County does not mandate
transition plans for department heads or elected officials, having
a transition plan can be invaluable in ensuring continuity and a
smooth handover. Sheriff Nelson’s plans were comprehensive
and provided a strong foundation for the newly elected Sheriff
van der Kamp to build upon. However, we identified
opportunities for procurement improvements that the newly
elected sheriff should implement.
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Background
Deschutes County Sheriff’s Office
The Sheriff’s Office is the lead law enforcement agency in
Deschutes County, dedicated to providing a wide range of
professional public safety services. The Sheriff’s Office is led by an
elected sheriff who has statutory authority for organizing the
work of the Sheriff’s Office.
Transition Details
Sheriff Nelson started working at the Sheriff’s Office in 1993 and
was appointed sheriff in 2015, serving in that role for nine years.
His announced retirement brought forth two candidates for the
position, which was won by Kent van der Kamp in the November
2024 general election. Sheriff van der Kamp has been a member
of the Sheriff’s Office for more than 20 years, most recently as
Sergeant of the Central Oregon Drug Enforcement Team. Sheriff
van der Kamp was appointed interim sheriff by the Board of
County Commissioners on December 18, 2024, effective January
1, 2025, and officially sworn in as sheriff by Judge Wells Ashby on
January 6, 2025.
Office Successes
In 2019, Sheriff Nelson created a strategic plan that outlined the
mission, vision, and values of the Office. According to a 2024
report to the Board County of Commissioners, the Office
successfully implemented several initiatives from the plan,
including in-car and body-worn cameras, drone integration, the
creation of a regional digital forensic lab, and support for the
Stabilization Center.
Office Challenges
The Sheriff’s Office reported numerous operational challenges
over the past decade, including adapting to changes in state drug
laws, managing inmate health and safety during the pandemic,
and reallocating resources to address the homelessness crisis.
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However, the most pressing and persistent challenge was
staffing. Long-term vacancies in key roles were a significant issue,
which the outgoing sheriff attributed to shifting public sentiment
toward law enforcement and shortages within the law
enforcement profession. Among the 270 full-time positions in the
Office, corrections deputies and deputy sheriffs are critical to
operations. Yet, vacancies averaged 13% for corrections deputies
and 10% for deputy sheriffs over the last five years. These
persistent vacancies can severely impact staff morale, leading to
increased stress, burnout, decreased productivity, and a higher
likelihood of turnover.
Figure I: Vacancies in both deputy positions continued to increase putting
added pressure on existing staff.
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2. Findings and Observations
The audit’s overall objective was to assess the effectiveness of the
transition plans laid out by the outgoing elected sheriff in
ensuring continuity of government. It included survey level
analysis of fiscal and compliance aspects of the Office.
Sheriff Nelson directed staff to create comprehensive transition
plans by enhancing the required compliance areas with many
additional best practices. Other County officials ensured
adherence to policies by accounting for County property and
removing physical and electronic access for the outgoing sheriff.
The following recommendations related to improving
procurement practices, completing financial audits, and resolving
outstanding fiscal audits are opportunities to strengthen the
Office’s financial management, a priority during Sheriff van der
Kamp’s campaign.
Observations
Transition planning was effective.
Although the County does not require transition plans for
department heads or elected officials, such plans are critical for
maintaining continuity in government operations. The outgoing
sheriff took proactive steps by directing staff to identify best
practices in areas such as inventory management, swearing-in all
deputies, continuing existing policies, and updating professional
materials.
The Government Finance Officers Association identifies best
practices for transition planning, emphasizing an integrated
approach that includes workforce planning, succession planning,
knowledge management, and recruitment and retention
strategies.
Workforce planning
The outgoing sheriff highlighted the persistent challenge of filling
vacant positions, stating:
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"For the last decade, law enforcement agencies nationwide have
struggled to fill vacant positions, and that remains true today."
The incoming sheriff anticipated further turnover, particularly
among middle and upper management due to retirements.
Identifying potential retirees and planning for their replacement
can reduce the risk of losing qualified personnel. To address
staffing shortages, the incoming sheriff aimed to increase lateral
hires from other law enforcement agencies.
Succession planning
The transition plans outlined risks and strategies for the sheriff’s
transition in a structured framework. These plans identified
critical areas that needed attention to ensure a seamless
handover of staff responsibilities, such as inventory assurance of
both evidence and equipment.
Knowledge management practices
Documented transition plans ensured continuity of existing
policies and procedures, with Sheriff van der Kamp reviewing and
approving all Office policies. The incoming sheriff planned to hire
a third-party vendor to review and update policies, ensuring
compliance with current case law and jurisdictional requirements.
Recruitment and Retention
Several strategic initiatives introduced by the outgoing sheriff
were not fully realized. For instance:
• Attrition replacement initiatives marked as "in process" in FY24
did not advance further in FY25. Recruitment efforts were
offset by natural attrition and the nationwide shortage of law
enforcement recruits.
• A mentorship and succession program, prioritized in FY23, saw
no significant development in later budget cycles.
To address retention, the incoming sheriff planned to enhance
mentorship and internal development, focusing on building
existing strengths and creating more opportunities for promotion
within the Office.
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Statutory compliance was completed.
Oregon Revised Statute 206 outlined the duties of county sheriffs,
including specific requirements for transitions between elected
sheriffs. These requirements included transferring responsibility
for the jail and inmates, handling civil papers, and accounting for
all funds in custody. Records of these transfers were filed with the
County Clerk and Treasurer. Both the outgoing and incoming
sheriffs complied with these statutory requirements.
Findings
The Sheriff's Office inconsistently complied with County rules
for procurement.
During a review of the recent vendor expenses, more than
$175,000 was paid to purchase uniforms without a contract in
Fiscal Year 2024. The Office contracted with the vendor for some
specialty law enforcement purchases, but did not include uniform
purchases which made up nearly half of the total invoices paid.
Additionally, the vehicle outfitter used by the Sheriff's Office was
paid over $900,000 dollars in Fiscal Year 2024 without any
contract or purchasing agreement in place. All other reviewed
vendors had state procurement agreements, lease agreements,
or contracts.
Deschutes County Public Contracting Code 2.37 outlines
requirements when contracting with vendors for goods and
services including competitive procurement above thresholds and
required contract provisions.
Purchasing code provisions are in place to prevent bias and
ensure that all vendors have an equal opportunity to sell goods
and services to the County. Competitive procurement ensures
that the County receives the best value for goods and services
and also promotes free enterprise by removing barriers to entry.
Contract provisions protect the County from risk by requiring
insurance and mandating compliance with state and federal laws.
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Staff avoided purchasing controls by splitting payments to
vendors. Split payments may also have concealed the total value
of the spending with these vendors. The outgoing sheriff said this
was due to a misunderstanding of procurement rules and was
corrected through training. At the time of the audit, the Sheriff's
Office was aware of these procurement gaps and was actively
working with the County's procurement manager to contract for
these goods and services in accordance with County code.
Recommendation #1
The Sheriff’s Office should review and address any instances of
split payments to ensure spending aligns with procurement rules
and does not obscure total expenditures.
Recommendation #2
The Sheriff's Office should immediately formalize contracts with
vendors for uniform purchases and vehicle outfitting services.
The Office did not complete financial statements for the
Central Oregon Law Enforcement Services agency on time.
The most recent financial statement audit for Central Oregon Law
Enforcement Services, filed with the Secretary of State on April 2,
2024, covered Fiscal Year 2022—approximately 16 months past
its due date. In January 2025, the agency was two years behind on
its audit submissions for Fiscal Year 2023 and past the deadline
for Fiscal Year 2024 as well.
Central Oregon Law Enforcement Services formed in 1999 under
Articles of Agreement authorized by Oregon Revised Statutes
190.010. Sheriffs and police chiefs from Crook, Deschutes, and
Jefferson counties served on the governing board and oversaw
operations. Under Oregon Local Budget Law, the agency had to
file annual financial statements with the Oregon Secretary of
State. The County signed an Intergovernmental Agreement with
the agency to provide limited financial services, with the Sheriff’s
Office managing financial matters, including financial reporting
and arranging annual financial audits.
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Due to late reporting, the contracted external audit firm
recommended that the Deschutes County Finance Department
take a more active role in preparing financial statements. Despite
this recommendation, the Sheriff's Office continued to handle this
responsibility internally, with the task assigned to the Business
Manager. Over the past two years, the Finance Department
reached out to the Business Manager with offers of assistance,
but the offers were ignored. The Finance Department contacted
the Business Manager, but did not inform Sheriff Nelson directly
about delays in completing the financial audits, limiting his
awareness of the issue.
At the time of the audit, the Sheriff’s Office was actively working
with the external audit firm to comply with Oregon Budget Law
and complete the required audits.
Recommendation #3
The newly elected Sheriff should continue with the plan to
complete the overdue financial audits.
Concerns about Central Oregon Law Enforcement Services
financial reporting were long standing. The 2015 sheriff's
transition report also found delinquent financial statement audits
for Central Oregon Law Enforcement Services. It recommended
creating a schedule to improve the timeliness of financial
reporting. The Finance Department proposed three possible
options to improve reporting:
• Transfer financial responsibility from the Sheriff’s Office to
another partner agency in Central Oregon Law
Enforcement Services.
• Contract with an independent accounting firm to prepare
financial statements.
• Delegate responsibility to prepare financial statements to
the Finance Department aligning with the County’s
established financial statement audit process.
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Ultimately, any decisions on future financial statement audits will
be up to the newly elected Sheriff.
Recommendation #4
The newly elected sheriff should initiate a new strategy to
ensure timely completion of Central Oregon Law Enforcement
Services financial reporting and audits.
Fiscal control improvements identified during previous
audits remained unresolved.
Fiscal controls minimize the potential for errors or irregularities,
and if they do occur, will detect them in a timely manner.
The 2022 Comprehensive Sheriff’s Office Cash Handling audit
report highlighted three fiscal control finding areas with many
guidance points specific to the conditions observed. The Office of
Internal Audit followed up twice on the 2022 recommendations,
most recently in December 2024. Two of the three
recommendations remained unresolved.
The finding “The Sheriff’s Office could improve the internal control
system over collected monies.” included guidance to use the
countywide financial information system to receipt all payments
as they were received and balance transactions daily. Despite
prior comments indicating that the Office would train staff to use
the system, staff were not using the system, and the Sheriff's
Office did not initiate additional controls to address risks for
payments they receive.
The final recommendation to implement additional control
activities through policies and procedures included a
recommendation to record the Central Oregon Drug Enforcement
agency checking account balance and activity within the County’s
accounting system to increase transparency and efficiency when
preparing the audited financial statements for Central Oregon
Law Enforcement Services. The Sheriff’s Office did not
consistently provide bank statements to the Finance Department
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to document the financial information.
According to the transition team staff, absences in key positions
as well as the uncertainty with the sheriff election and transition
plan delayed the timely completion of these recommendations.
Recommendation #5
The Sheriff should prioritize the resolution of outstanding audit
recommendations, assigning clear responsibility for each
guidance item to specific individuals to ensure accountability
and timely completion.
3. Conclusion
By addressing these recommendations, the Sheriff’s Office will
strengthen financial management and improve overall
accountability.
• Reviewing and rectifying split payments will ensure that
spending aligns with procurement rules, providing a clearer
picture of total expenditures.
• Formalizing contracts for uniform and vehicle outfitting
services will establish clear financial commitments and
improve vendor relationships.
• Prioritizing the completion of financial audits will enhance
transparency and the accuracy of financial records and
determining a strategy for timely preparation of future
financial statements will ensure consistency with County
processes, streamlining financial reporting and audits.
• Resolving outstanding audit recommendations and assigning
clear responsibilities will foster a culture of accountability,
ensuring timely resolution of issues.
Together, these steps will lead to improved financial oversight,
greater efficiency, and a more robust system of financial
management.
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4. Management Responses
Memo
TO: Elizabeth Pape, County Internal Auditor
FROM: Kent van der Kamp, Deschutes County Sheriff
DATE: 02/05/2025
RE: Management’s response to Audit report
1. Recommendation: It is recommended for the Sheriff’s Office to review
spending for split payments.
a) Management position concerning recommendation
X Concurs Disagree
b) Comments:
We agree with the auditor’s comments and are working on an internal process
to regularly review frequently utilized vendors and the amounts spent. We will
be providing updated training for all individuals entering the Purchase Orders
and Contracts.
c) Estimated date of corrective action: In Progress. Completion May 1st, 2025
d) Estimated cost to implement recommendation, if significant $0
2. Recommendation: It is recommended for the Sheriff’s Office comply with
County purchasing code.
a) Management position concerning recommendation
X Concurs Disagree
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b) Comments:
We agree with the auditor’s comments and we are updating the current
procurement process in conjunction with additional training.
c) Estimated date of corrective action: In Progress; May 1st, 2025
d) Estimated cost to implement recommendation, if significant $0.
3. Recommendation: It is recommended for Sheriff prioritize completion of
overdue financial audits and establish a new strategy.
a) Management position concerning recommendation
X Concurs Disagree
b) Comments:
We agree with the auditor’s comments this is a priority. We have assigned a
staff member to oversee this process and hope to be caught up before the end
of FY25.
c) Estimated date of corrective action: In Progress, completion by June 2025.
d) Estimated cost to implement recommendation, if significant $0.
4. Recommendation: It is recommended for the Sheriff address outstanding
fiscal audit recommendations by assigning responsibility
a) Management position concerning recommendation
X Concurs Disagree
b) Comments:
We agree with the auditor’s comments and this remains a priority. We are in
the process of converting cash transactions to cashless transactions.
c) Estimated date of corrective action: In Progress, Estimated Completion July
2025
d) Estimated cost to implement recommendation, if significant $0.
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Management Response from Sheriff (Retired) L. Shane Nelson
• Unresolved Fiscal Audit Recommendations: 2022 Audit Recommendations
were addressed at the time except for the two recommendations. This was an
oversight, and we handled the unaddressed recommendations after a
discussion with the County Auditor’s office and these were completed prior to
our administration leaving office. The Undersheriff at the time oversaw this
process after a discussion with the auditor.
As Sheriff, I ensured our policies and procedures were continually reviewed to
comply with changes in the law, case law, and best practices. This was
important to provide the best quality service to our community and to ensure
we continued to be accredited in office operations through the Northwest
Accreditation Alliance and the Oregon State Sheriffs’ Association Oregon Jail
Standards.
• Audit Report page 2, Office Successes Response: On page 2, this audit
report states “In 2019, Sheriff Nelson created a strategic plan that outlined the
mission, vision, and values of the Office.” To clarify, our office had an existing
strategic plan in place. I revamped and added to the strategic plan.
• Audit Report pages 2, 3, and 5, Recruitment and Retention Response: The
Sheriff’s Office historically had around a 6% vacancy rate in positions. This
changed around the time of the George Floyd death in Minneapolis as there
was a significant drop in applicants for employment. This is not a new
challenge for law enforcement and is not specific to any one agency. This
Governing.com article outlines the challenge for law enforcement agencies
across the nation:
https://www.governing.com/workforce/why-its-so-hard-to-recruit-police-
officers#:~:text=It's%20not%20a%20new%20problem,shying%20away%20from
%20the%20field.&text=In%20Brief%3A,that%20they%20can%20do%20remotel
y.
Attrition replacement initiatives did continue for our office. We had focused
recruitment efforts on college campuses during “job fairs” and attended those
with a booth offering information on employment with the Sheriff’s Office.
There were recruitment efforts toward military veterans to include scheduling
“job fair” booths at military bases to include Fort Lewis in Washington State.
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Deschutes County Office of the Internal Auditor Page 14 of 16
One of the military recruitment trips was canceled during COVID 19. Our
recruiting teammates created a “QR Code” that would provide information
about our office and employment opportunities.
The mentorship program prioritized in FY 23 saw continued progress. As
Sheriff, I was ensuring that captains were part of my decision-making process
and had exposure to meetings I attended and duties that were the
responsibility of the Sheriff. There was ongoing supervisor training on an
annual basis to ensure increased supervisor knowledge base. This contributed
to success in their current duties and prepared them for future promotions.
This program was a continuing as work in progress.
• Audit Report page 7, Recommendation #1 Response: I was unaware that
this was taking place. Our office does comply with County Code and adjusted
to comply once informed if this is not the case. Once I was made aware of it,
the Undersheriff at the time, Paul Garrison now retired, took immediate action
to train the manager and ensure the manager, and Business Management
Unit, understood the correct way to do this. This was a training issue and was
not intentional by the manager.
• Audit Report page 7, Recommendation #2 Response: Please see response
to recommendation #1. The Undersheriff immediately began taking steps to
remedy this situation. This contract was in the process of being formalized
when I retired.
• Audit Report page 7, The Office did not complete financial statements for
the Central Oregon Law Enforcement Services agency on time: The audit
firm nor the County Finance Director did not inform me these audits were
outstanding. I was never told that our office had not supplied the information
needed to complete these audits. The Undersheriff at the time discovered the
audit firm did not receive the necessary information after he did an unrelated
review of our Business Management Unit. The Undersheriff contacted the
audit firm and immediately took steps to supply the required information.
Prior to my retirement, the audit firm was supplied the necessary information
to complete the audits. In discussion with the County [Performance] Auditor
Aaron Kay, Undersheriff (Retired) Paul Garrison, Sheriff van der Kamp, and
myself, I believe that direct communication should be conducted with the
audit firm conducting the audit.
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Deschutes County Office of the Internal Auditor Page 15 of 16
5. Appendix A: Objective, Scope, and Methodology
The County Internal Auditor was created by the Deschutes County
Code as an independent office conducting performance audits to
provide information and recommendations for improvement.
Audit findings result from incidents of non-compliance with
stated procedures and/or departures from prudent operation.
The findings are, by nature, subjective. The audit disclosed certain
policies, procedures and practices that could be improved. The
audit was neither designed nor intended to be a detailed study of
every relevant system, procedure, or transaction. Accordingly, the
opportunities for improvement presented in the report may not
be all-inclusive of areas where improvement may be needed and
does not replace efforts needed to design an effective system of
internal control.
Management has responsibility for the system of internal
controls, including monitoring internal controls on an ongoing
basis to ensure that any weaknesses or non-compliance are
promptly identified and corrected. Internal controls provide
reasonable but not absolute assurance that an organization’s
goals and objectives will be achieved.
Objectives and Scope
Objectives included:
• Are succession/transition plans established and
comprehensive to ensure continuity of government
effectively?
• As of or close to the transition date, was the conveyance of the
Office of Sheriff in accordance with Oregon Revised Statues
§206?
• Were recent Sheriff authorized transactions reasonable?
• As of or close to the transition date, were physical and
information systems access and privileges addressed
appropriately for both parties?
• As of or close to the transition date, were assets assigned
“Audit objectives”
define the goals of
the audit.
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Deschutes County Office of the Internal Auditor Page 16 of 16
directly to the Sheriff returned to the County?
• Were prior audit recommendations resolved prior to the
transition?
• Were any outstanding financial audits issued prior to the
transition? Were any outstanding financial audits issued prior
to the transition?
Scope and timing:
The audit occurred in December 2024 and January 2025. It
included transactions for the last six months of service. The
outgoing sheriff’s last day was December 31, 2024.
Methodology
Audit procedures included:
• Review of transition plans for the elected sheriff’s position.
• Review of fiscal information for the Sheriff’s Office.
• Review of physical and electronic permissions for the Sheriff’s
Office.
• Interviews of selected Office management and staff, including
topics of
• observance of internal controls;
• security; and
• segregation of duties.
• Review of Oregon Revised Statutes for any other areas to be
addressed.
We conducted this performance audit in accordance with
generally accepted government auditing standards. Those
standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for
our findings and conclusions based on our audit objectives. We
believe that the evidence obtained provides a reasonable basis
for our findings and conclusions based on our audit objectives.
(2018 Revision of Government Auditing Standards, issued
by the Comptroller General of the United States.)
Audit procedures are
created to address
the audit objectives.
Sheriff’s Office Elected Sheriff Transition – 24/25-6 February 2025
Deschutes County Office of the Internal Auditor
The mission of the Office of Internal Audit is to improve the performance of Deschutes
County government and to provide accountability to residents. We examine and
evaluate the effectiveness, efficiency, and equity of operations through an objective,
disciplined, and systematic approach.
The Office of Internal Audit: Audit committee:
Elizabeth Pape – County Internal Auditor Daryl Parrish, Chair - Public member
Aaron Kay – Performance Auditor Phil Anderson – Public member
Jodi Burch – Public member
Phone: 541-330-4674 Joe Healy - Public member
Email: internal.audit@deschutes.org Summer Sears – Public member
Web: www.deschutes.org/auditor Kristin Toney - Public member
Patti Adair, County Commissioner
Charles Fadeley, Justice of the Peace
Lee Randall, Facilities Director
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