Report 2016-126 Recommendation 16 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 #16 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 revise its policy to require its regional offices to obtain all self-disclosure forms for individuals who submit fingerprints to Justice as part of an application to be present in a licensed facility. The regional offices should then forward to the CBCB all self-disclosure forms that identify a conviction.

Annual Follow-Up Agency Response From March 2022

CDSS, CPMB contracted with vendor, Innovative Architects LLC to update and implement a National Background Check (NBC) software solution (Guardian) to replace the legacy CBC system. The Guardian application supports document imaging, a web portal for constituent self-service, automated performance metrics reports and modern work-in-process queue. This allows self-disclosure statements to be collected directly from applicants as part of the automated application form or gives applicants the option to upload the form into a self-service portal using a document imaging feature.

The Guardian solution also includes updates to the Department of Justice (DOJ) interface to include State and Federal Record of Arrests and Prosecutions (RAP) sheets and Child Abuse Central Index (CACI) responses. All information from DOJ, including both California and federal criminal history, is received and evaluated prior to a clearance or exemption being issued by the Guardian system. Thus, the discretion to issue a clearance prior to receipt of an FBI response, which the legislature conditioned upon receiving a signed statement regarding prior convictions, is not currently being utilized by CPMB.

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

As CDSS described, it now requires receipt of both the state and federal background check results before making a clearance decision. Accordingly, the department has found a sufficient manner to address the concerns we identified in our audit. We consider this issue resolved.

Annual Follow-Up Agency Response From November 2020

The Department has contracted with a vendor to develop a new data system which will create a web-based portal for both applicants and licensees to communicate directly with the Department. The applicant web-based portal will include required data fields for criminal self-disclosure information, replacing the current self-disclosure form. A screen shot from testing environment of new data system will be submitted to CSA electronically.

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

Annual Follow-Up Agency Response From November 2019

The Department has contracted with a vendor to develop a new data system which will create a web-based portal for both applicants and licensees to communicate directly with the Department. The applicant web-based portal will include required data fields for criminal self-disclosure information, replacing the current self-disclosure form. Regional offices and Caregiver Background Check Bureau (CBCB) staff will have electronic access to the self-disclosure information, creating efficiencies and streamlining the background check process.

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

1-Year Agency Response

The Department continues to work on developing an automated system or web portal for individuals/licensees to upload the self-disclosure form. This automated process will ensure the most expeditious clearance for individuals with no criminal history. In addition, a Provider Information Notice (PIN) has been sent to all providers to remind them of their responsibility to send to the Regional Office any Criminal Record Statement (LIC 508) that is checked "yes". A Regional Office Memo (ROM) has been sent to all programs and Regional Office staff to remind them to forward all "yes" LIC 508s to CBCB. (Attachment 5)

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

6-Month Agency Response

The Department has drafted a Provider Information Notice (PIN) to reinforce the existing requirement that all self-disclosure forms must be on file with the licensee. The PIN is expected to be released November 2017. The Department continues work to develop an automated system or web-portal for the individuals/licensees to upload the self-disclosure information. This automated process will ensure the most expeditious clearance for individuals with no criminal history.

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.

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

All Recommendations in 2016-126

Agency responses received are posted verbatim.