Report 2016-126 Recommendation 14 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 #14 To: Social Services, Department of

To comply with state regulations and its policies, the CBCB should immediately ensure that its background check case files support its exemption decisions by including complete decision summaries and all required supporting documents. Also, it should immediately update its exemption-needed letter to identify all of the documents its policies require exemption analysts to evaluate when deciding whether to grant an exemption. The letter should also eliminate requests for documents that Social Services does not believe can be used if the applicant obtains them, such as law enforcement reports.

1-Year Agency Response

The Department has updated the criminal record exemption letters to remove the requests for arrest reports. The letters have also been modified to request proof of restitution, documentation that shows successful completion of formal probation, and criminal history self-disclosure forms from individuals requesting exemptions on their own. (Attachment 4)

  • Completion Date: January 2018
  • Response Date: March 2018

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


6-Month Agency Response

The Department has implemented a quality assurance process, described above, to verify case files are complete and support the decisions made by the exemption analysts. The Department has updated the criminal record exemption letters to remove the requests for arrest reports (Attachment D).

  • Completion Date: April 2017
  • Response Date: November 2017

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

Social Services has removed the request for law enforcement reports from its exemption-needed letter. However, its letter still does not request additional documents that the department's policies require it to evaluate when deciding whether to grant an exemption. Specifically, the letter does not request proof of restitution, documentation that shows successful completion of formal probation, or criminal history self-disclosure forms from individuals requesting exemptions on their own.

  • Auditee did not address all aspects of the recommendation

60-Day Agency Response

The Department has implemented a policy requiring the Caregiver Background Check Bureau (CBCB) managers to conduct a random sampling of analysts' files to ensure a complete decision summary and all supporting documents are present and support the decision. This sampling will include cases where final decisions have not been issued as well as completed cases. If management finds through these reviews that case files are not complete, the findings will be reviewed with the analysts and if necessary, re-training will occur. As appropriate, any missing documentation will be obtained. The Department has also implemented a tracking log for managers to document outcome of these reviews. The Department has also revised its criminal record exemption letters to remove requests for arrest reports.

  • Completion Date: April 2017
  • Response Date: May 2017

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

Social Services demonstrated that it is reviewing the content of the background check case files its analysts assemble. However, it has not provided evidence that its exemption-needed letter has been revised to include all items that its exemption analysts are required to review and eliminate the request for law enforcement reports.

  • Auditee did not substantiate its claim of full implementation

All Recommendations in 2016-126

Agency responses received are posted verbatim.