Report 2014-118 Recommendation 10 Responses

Report 2014-118: California Department of Developmental Services: Its Process for Assessing Fees Paid by Parents of Children Living in Residential Facilities Is Woefully Inefficient and Inconsistent (Release Date: January 2015)

Recommendation #10 To: Developmental Services, Department of

To efficiently locate records pertinent to the Parental Fee Program, Developmental Services should update its retention policy and centralize all the files and records supporting the program.

Annual Follow-Up Agency Response From October 2016

The PFP retention schedule previously reported as pending was approved effective December 31, 2015, and is now in effect. In addition, physical records used in all of program's rating activities are now maintained in the Sacramento headquarters office intact and in a secure location and will be maintained in this state until scanned for digital retention. This recommendation is fully implemented.

  • Completion Date: June 2016

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

1-Year Agency Response

The Department's document retention schedule has been submitted for review and is currently pending final approval. The Department will continue use of its current electronic file archiving system under greater audit and management oversight control. Additionally, program staff now retains all physical program documents used in fee assessment and program administration functions until an audit has been completed by internal program personnel to ensure imaging has been verified. Document retention requirements are now part of the revised Process and Procedures manual.

  • Completion Date: January 2016
  • Response Date: February 2016

California State Auditor's Assessment of 1-Year Status: Partially Implemented

Although Developmental Services has included statements in its policies and procedures manual that mention the retention schedule, it has yet to formalize a retention schedule.

6-Month Agency Response

The Department continues to explore IT solutions which will meet this need, along with overall program administration and billing functions within current resources. Document scanning and retention has been an area of focus for program staff.

  • Estimated Completion Date: 11/30/2015
  • Response Date: July 2015

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

60-Day Report Response: The Department is continuing its assessment of the document retention policies and currently is exploring IT solutions that will meet program's ongoing needs for document retention. Additionally, the Department is reviewing its formal policy for document retention requirements relating to program needs and will define those requirements in the updated program manual.

  • Estimated Completion Date: 07/31/2015
  • Response Date: March 2015

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2014-118

Agency responses received are posted verbatim.