Report 2016-108 Recommendation 6 Responses

Report 2016-108: Department of Developmental Services: It Cannot Verify That Vendor Rates for In-Home Respite Services Are Appropriate and That Regional Centers and Vendors Meet Applicable Requirements (Release Date: October 2016)

Recommendation #6 To: Developmental Services, Department of

To ensure that in-home respite vendors comply with vendor requirements on an ongoing basis, DDS should require the regional centers to develop a process to conduct biennial reviews of the vendor files the regional centers maintain and document the outcome of the review in the files. DDS should require the regional centers to take appropriate action to ensure that vendors comply, up to and including terminating the vendorization, if necessary.

Annual Follow-Up Agency Response From October 2022

Pursuant to Title 17 Section 54332 (b), RCs are required to review, at least biennially or sooner upon notification by DDS, Department of Health Care Services, or any governing licensing or certification board or entity, all vendor files maintained by the RC to determine that:

1. The information required for vendorization is current, completed and accurate;

2. At least one consumer has been provided services by the vendor within the last 24 months;

3. The service currently provided by the vendor is the same service approved for vendorization;

4. Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable;

5. The vendor has signed the Home and Community-Based Services Provider Agreement (6/99), if applicable; and

6. The vendor is not in violation of the requirement stated in Section 54314(a)(7).

In response to the concern raised by the Auditor, the Department sent two directives to RCs, on February 1, 2022 and October 27, 2022, reminding them of their responsibility to review vendor files at least biennially, to ensure compliance with the above section.

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

To clarify, it was not until November 2, 2022, that DDS issued a directive to regional centers that required them to develop a process documented in a written procedure and to conduct biennial reviews of the vendor files. In this directive, it explained that it will be monitoring regional centers for compliance with the review requirements. As a result, we have assessed this recommendation as fully implemented.

Annual Follow-Up Agency Response From October 2021

Pursuant to Title 17 Section 54332 (b), RCs are required to review, at least biennially or sooner upon notification by DDS, Department of Health Care Services, or any governing licensing or certification board or entity, all vendor files maintained by the RC to determine that:

1. The information required for vendorization is current, completed and accurate;

2. At least one consumer has been provided services by the vendor within the last 24 months;

3. The service currently provided by the vendor is the same service approved for vendorization;

4. Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable;

5. The vendor has signed the Home and Community-Based Services Provider Agreement (6/99), if applicable; and

6. The vendor is not in violation of the requirement stated in Section 54314(a)(7).

In response to the concern raised by the Auditor, the Department will send a directive to RCs reminding them of their responsibility to review vendor files, at least biennially, to ensure compliance with the above section. DDS anticipates this will be completed by July 2022.

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

Annual Follow-Up Agency Response From October 2020

Pursuant to Title 17 Section 54332 (b), RCs are required to review, at least biennially or sooner upon notification by DDS, Department of Health Care Services, or any governing licensing or certification board or entity, all vendor files maintained by the RC to determine that:

1. The information required for vendorization is current, completed and accurate;

2. At least one consumer has been provided services by the vendor within the last 24 months;

3. The service currently provided by the vendor is the same service approved for vendorization;

4. Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable;

5. The vendor has signed the Home and Community-Based Services Provider Agreement (6/99), if applicable; and

6. The vendor is not in violation of the requirement stated in Section 54314(a)(7).

In response to the concern raised by the Auditor, the Department will send a directive to RCs reminding them of their responsibility to review vendor files, at least biennially, to ensure compliance with the above section. DDS anticipates this will be completed by July 2021.

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

Annual Follow-Up Agency Response From October 2019

Pursuant to Title 17 Section 54332 (b), RCs are required to review, at least biennially or sooner upon notification by DDS, Department of Health Care Services, or any governing licensing or certification board or entity, all vendor files maintained by the RC to determine that:

1. The information required for vendorization is current, completed and accurate;

2. At least one consumer has been provided services by the vendor within the last 24 months;

3. The service currently provided by the vendor is the same service approved for vendorization;

4. Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable;

5. The vendor has signed the Home and Community-Based Services Provider Agreement (6/99), if applicable; and

6. The vendor is not in violation of the requirement stated in Section 54314(a)(7).

In response to the concern raised by the Auditor, the Department will send a directive to RCs reminding them of their responsibility to review vendor files, at least biennially, to ensure compliance with the above section. DDS anticipates this will be completed by January 2020.

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

Annual Follow-Up Agency Response From November 2018

Pursuant to Title 17 Section 54332 (b), RCs are required to review, at least biennially or sooner upon notification by DDS, Department of Health Care Services, or any governing licensing or certification board or entity, all vendor files maintained by the RC to determine that:

1. The information required for vendorization is current, completed and accurate;

2. At least one consumer has been provided services by the vendor within the last 24 months;

3. The service currently provided by the vendor is the same service approved for vendorization;

4. Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable;

5. The vendor has signed the Home and Community-Based Services Provider Agreement (6/99), if applicable; and

6. The vendor is not in violation of the requirement stated in Section 54314(a)(7).

In response to the concern raised by the Auditor, the Department will send a directive to RCs reminding them of their responsibility to review vendor files, at least biennially, to ensure compliance with the above section. DDS anticipates this will be completed by January 2019.

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

Annual Follow-Up Agency Response From December 2017

Pursuant to Title 17 Section 54332 (b), regional centers are required to review, at least biennially or sooner upon notification by DDS, Department of Health Care Services, or any governing licensing or certification board or entity, all vendor files maintained by the regional center to determine that:

1.The information required for vendorization is current, completed and accurate;

2.At least one consumer has been provided services by the vendor within the last 24 months;

3.The service currently provided by the vendor is the same service approved for vendorization;

4.Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable;

5.The vendor has signed the Home and Community-Based Services Provider Agreement (6/99), if applicable; and

6.The vendor is not in violation of the requirement stated in Section 54314(a)(7).

In response to the concern raised by the Auditor, the Department will send a directive to regional centers reminding them of their responsibility to review vendor files, at least biennially, to ensure compliance with the above section.

DDS anticipates this will be completed by January 2018.

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

1-Year Agency Response

The Department will send a directive to regional centers reminding them of their responsibility to review vendor files, at least biennially.

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

6-Month Agency Response

The Department will send a directive to regional centers reminding them of their responsibility to review vendor files, at least biennially.

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

DDS's planned action does not fully address this recommendation. Specifically, as we state on page 29 of our report, our review found that regional centers could not demonstrate adequately, if at all, that they conduct reviews of vendor files at least every two years as required to ensure that vendors continue to comply with the vendorization requirements. In its response, DDS states that it will send a directive to regional centers to remind them of their responsibility to review vendor files; however, this action falls significantly short of our recommendation as DDS does not indicate the steps it will take to ensure regional centers develop a process to conduct biennial reviews as required.

60-Day Agency Response

The Department will send a directive to regional centers reminding them of their responsibility to review vendor files, at least biennially.

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

All Recommendations in 2016-108

Agency responses received are posted verbatim.