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.
Annual Follow-Up Agency Response From March 2022
CDSS, CPMB implemented a new automation system (Guardian) that has an automated quality control (QC) component. Guardian interfaces with the Administrative Action Records System (AARS) daily. Any action taken by a Regional Office, including legal action related to registered sex offenders is automatically flagged and routed to the Registry Research unit for review and immediate action.
In addition, since the November 2018 response, the Investigations Branch (IB) has moved to an electronic process. Upon Supervising Special Investigator's (SSI) review and signature of approval, the SSI will scan and email the completed Investigative Report, including attachments and cover sheet, to the Regional Office (RO), noting in the Subject line "Findings, Case Number, Case Name" and marking high priority. Within the email and scanned documents, the SSI is to print the 'read receipt' as acknowledgement that the RO has read and received the completed RSO case.
As a reminder, since the inception of the RSO project in 2011, there have been no appeals of exclusion orders. Therefore, no additional legal action has been warranted because the exclusion action becomes final if the respondent does not appeal.
- Completion Date: January 2021
California State Auditor's Assessment of Annual Follow-Up Status: Pending
Social Services has not provided documentation showing that it is tracking legal actions related to registered sex offenders.
- Auditee did not substantiate its claim of full implementation
Annual Follow-Up Agency Response From November 2020
The Department has contracted with a vendor to develop a new data system which will have an automated quality control (QC) component. The new system will interface with the Administrative Action Records System (AARS) daily. Any action taken by a Regional Office, including legal action related to registered sex offenders will be automatically flagged and routed to the Registry Research unit for review and immediate action. A screen shot from testing environment of new data system will be submitted to CSA via email.
- Estimated Completion Date: January 2021
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 have an automated quality control (QC) component. The new system will interface with the Administrative Action Records System (AARS) daily. Any action taken by a Regional Office will be identified and routed to the QC unit for review and immediate action.
- Estimated Completion Date: August 2020
California State Auditor's Assessment of Annual Follow-Up Status: Pending
Annual Follow-Up Agency Response From November 2018
CDSS' current process related to registered sex offenders is documented within the Investigations Branch (IB). The process includes:
- Upon Supervising Special Investigator's review and signature of approval of the completed Investigative Report, the Special Investigator Assistant (SIA) makes a copy of the Investigative Report, including attachments, and mails it to the Regional Office (RO). A bright orange cover sheet is used to identify the case as an Registered Sex Offender (RSO).
- The RO Regional Manager or designated person completes the cover sheet, including signature and date the LIC 9099 was delivered, and returns it to the Investigations Branch (IB) within three business days from the date the LIC 9099 was delivered.
- If the investigation is substantiated, the RO identifies what type of action will be taken with the Licensee and the RSO.
- If an exclusion order (exclusion letter) is served and the Registered Sex Offender appeals the exclusion order, the RO completes a Statement of Facts (SOF) within 3 business days of receiving notice from CDSS Legal that the RSO appealed the exclusion order.
- If a Temporary Suspension Order (TSO) is warranted, the RO immediately prepares a SOF.
- If a Notice of Defense (NOD) is returned, Legal obtains applicable court records (judgment of conviction) to prove conviction(s) requiring registration as an RSO.
- Legal emails IB the disposition of the case.
Since the inception of the RSO project in 2011, there have been no appeals of exclusion orders. Therefore, no additional legal action has been warranted because the exclusion action becomes final.
- Completion Date: July 2017
California State Auditor's Assessment of Annual Follow-Up 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 substantiate its claim of full implementation
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.