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.

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 as part of the automated application form or 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

Proposed regulatory change has been introduced to eliminate the self-disclosure form requirement during the exemption process. Additionally, 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. The new data system is currently in development to require receipt of both California and federal criminal history information prior to issuance of a clearance or exemption. A screen shot from testing environment of new data system will be submitted to CSA via email

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

Annual Follow-Up Agency Response From November 2019

A new data system will replace the LIC 508 and will require all applicants to complete mandatory data fields specific to self-disclosure of criminal histories before the Department issues a clearance or exemption. The new data system will require receipt of both California and federal criminal history information prior to issuance of a clearance or exemption.

The Department has proposed regulatory change to eliminate the self-disclosure form requirement during the exemption process. Additionally, 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.

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

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.

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.

6-Month Agency Response

See response to Recommendation 16.

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.