Report 2016-126 Recommendation 10 Responses

Report 2016-126: California Department of Social Services: Its Caregiver Background Check Bureau Lacks Criminal History Information It Needs to Protect Vulnerable Populations in Licensed Care Facilities (Release Date: March 2017)

Recommendation #10 To: Social Services, Department of

To ensure that Social Services evaluates the risk individuals may pose to vulnerable populations in its licensed care facilities as quickly as possible, by July 2017 Social Services should establish time frames for staff to evaluate individuals who are present in their facilities and who have received administrative actions from other departments. In addition, it should monitor and follow up with the appropriate staff regarding the status of their assessments of these individuals and their final decisions.

6-Month Agency Response

The Department has developed a process and tool for monitoring the timeframes set forth in the Interagency Exchange Procedures (see Attachments A and B).

  • Completion Date: March 2017
  • Response Date: November 2017

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

The documentation Social Services provided to demonstrate that it is monitoring itself against the time frames in its administrative action exchange procedures shows the department is tracking the progress of cases, but not that it is measuring itself against the time frames or that it is following up in cases where it appears the department may have exceeded the time frames.

  • Auditee did not substantiate its claim of full implementation

60-Day Agency Response

These procedures require a review of other departments' administrative actions and request for information from the other departments within five days. Once all information is received, the analyst will conduct a triage and review with Legal, make the determination, and obtain necessary management and Legal review within 20 days. The process and tool for monitoring these cases is included in the response to Recommendation 8 below - monitoring of exemption cases. Additionally, we have identified the recommended changes to be made to the Evaluator Manual. (See Attachment 1.)

  • Completion Date: March 2017
  • Response Date: May 2017

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

Social Services has established time frames for how quickly staff must review information about administrative actions that is provided by other departments. When such actions are based on conviction information, Social Services' procedures indicate that it will follow its exemption processing time frames. It has also established a time frame for resolving cases that do not involve convictions (conduct related cases). However, it has not demonstrated that it is monitoring conduct related cases to ensure that the time frames it has established are being met.

  • Auditee did not substantiate its claim of full implementation

All Recommendations in 2016-126

Agency responses received are posted verbatim.