Report 2016-126 Recommendation 17 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 #17 To: Social Services, Department of

Until the Legislature requires that Social Services receive both California and federal criminal history information before issuing a clearance or processing an exemption, to better protect vulnerable populations, Social Services should immediately change its practice of allowing individuals who have not submitted a self-disclosure form to Social Services to have access to licensed facilities, thus reflecting the requirements of state law. In addition, the CBCB should develop a process to ensure that individuals cannot receive a clearance or an exemption without the CBCB first receiving both California and federal criminal history information if a regional office does not have a self-disclosure form for the individual.

1-Year Agency Response

To ensure individuals who have not submitted a LIC 508 do not have access to clients in care, the Department sent a PIN on March 7, 2018 to all providers noticing them of the requirement to obtain all LIC 508s and submit any LIC 508 that indicates any criminal conviction(s) to the Regional Office. With the revision of the Department's exemption letters, LIC 508s are required before an exemption is granted. The Department currently reviews both California and Federal criminal history information when granting an exemption or clearance.

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

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

The process Social Services describes does not fully address the recommendation. As we describe in our report, the process of providers submitting only self-disclosure forms that indicate convictions presumes that if Social Services does not have an individual's self-disclosure form, the form indicated no convictions. Social Services provided no evidence that it waits to receive both the California and federal criminal history before granting a clearance or exemption.

  • Auditee did not address all aspects of the recommendation

6-Month Agency Response

See response to Recommendation 16.

  • Estimated Completion Date: December 2017
  • Response Date: November 2017

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

60-Day Agency Response

The Department is issuing a Provider Information Notice to reinforce the existing requirement that all self-disclosure forms must be on file with the licensee, and that any time an individual has indicated there is criminal history that form must be provided to the department prior to the individual being present in the facility. Further management and staff in regional offices will be provided clear written guidance for processing self-disclosure information.

The Department will develop an automated system or web-portal for the individuals/licensees to upload the self-disclosure information, similar to the process used to apply for the Home Care Services Registry. This automated process will ensure the most expeditious clearance for individuals with no criminal history.

  • Estimated Completion Date: December 2017
  • Response Date: May 2017

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

All Recommendations in 2016-126

Agency responses received are posted verbatim.