Report 2016-126 Recommendation 26 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 #26 To: Social Services, Department of

To ensure that regional offices pursue legal actions in a timely manner, by July 2017 Social Services' headquarters should identify a resource—such as a unit—to monitor and follow up with the regional offices regarding the status of their legal actions related to substantiated address matches of registered sex offenders at licensed facilities.

1-Year Agency Response

Since the inception of the Registered Sex Offender (RSO) project in 2011, there have been no appeals of exclusion orders. Therefore, legal action has not been warranted because the exclusion action becomes final.

  • Completion Date: July 2017
  • Response Date: March 2018

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

Social Services has not provided documentation showing that it is tracking legal actions related to registered sex offenders. During our audit, we identified two instances in which there was a substantiated match of a registered sex offender's address and a licensed facility, but headquarters was unaware of the status of associated legal actions. In one of those cases, the legal action was the revocation of a license to operate a facility, not the exclusion of the registered sex offender. Regardless, to demonstrate full implementation, Social Services must demonstrate that it has a process in place by which it would know about and be updated on all pertinent legal actions taken by regional offices in cases related to registered sex offenders whose addresses match to those of licensed facilities.

  • Auditee did not address all aspects of the recommendation

6-Month Agency Response

Further analysis of this issue has determined that a Statement of Facts required for legal actions is only necessary if the RSO appeals (see prior Attachment 5 and Attachment K). Follow-up tracking on RSO legal actions and reporting to the Deputy Director is provided if any RSO appeals are received.

  • Completion Date: July 2017
  • Response Date: November 2017

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

Social Services has not provided documentation showing that it is tracking registered sex offender legal action information. During our audit, we identified two instances in which regional offices were not progressing with legal action in cases where a substantiated match had occurred and the headquarters office was unaware that these actions were not moving forward. We look forward to reviewing evidence that Social Services is tracking the status of legal actions related to substantiated address matches of registered sex offenders at its one-year response.

  • Auditee did not substantiate its claim of full implementation

60-Day Agency Response

The Department has developed a tool that provides a uniform process to track the status of Registered Sex Offenders by the Program Administrators. Beginning July 2017, the Deputy Director will receive regular reports on the status of Registered Sex Offenders. (See Attachment 5.)

  • Estimated Completion Date: July 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.