Report 2021-112 All Recommendation Responses

Report 2021-112: The Child Abuse Central Index: The Unreliability of This Database Puts Children at Risk and May Violate Individuals' Rights (Release Date: May 2022)

Recommendation for Legislative Action

To better protect children when an authorized user requests a child abuse background check, the Legislature should amend state law to require DOJ to directly access and review CWS Case Management System (CWS/CMS) data, which counties already use to record the results of their child abuse investigations. If the Legislature implements this change, it should no longer require counties to submit reports of child abuse to DOJ for inclusion in CACI, thus eliminating redundant efforts and reducing the risk of error.

Description of Legislative Action

The Legislature did not take action during the 2021-2022 Legislative Session to address this specific recommendation.

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

As of August 10, 2022, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 60-Day Status: No Action Taken

As of August 10, 2022, the Legislature has not taken action to address this specific recommendation.

Recommendation for Legislative Action

To maximize the effectiveness of child abuse background checks in protecting children, the Legislature should amend state law to require all reports of substantiated child abuse to be included in DOJ's background checks. To protect the due process rights of individuals, the Legislature should continue to require a grievance hearing process.

Description of Legislative Action

The Legislature did not take action during the 2021-2022 Legislative Session to address this specific recommendation.

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

As of August 10, 2022, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 60-Day Status: No Action Taken

As of August 10, 2022, the Legislature has not taken action to address this specific recommendation.

Recommendation #3 To: Justice, Department of

Until the Legislature amends state law and DOJ develops processes to use the CWS/CMS data for child abuse background checks, DOJ should immediately develop a process for responding to child abuse background checks that includes checking CACI and the list of 298 reports of child abuse that were not supported by county records, and working with the California Department of Social Services to check the list of 27,000 reports of substantiated child abuse that were not contained in CACI. If the individual is on either list, DOJ should follow up with the relevant county to determine whether the individual's report should be included in CACI.

Annual Follow-Up Agency Response From October 2024

DOJ is continuously updating the CACI as it receives reconciled reports from county CWS agencies. On September 12, 2024, DOJ informed DSS that it is reviewing options to prepare a data extract based on DSS's review and data requirements to facilitate the completion of this recommendation. Collaborative discussions with DSS regarding data exchange requirements are ongoing.

DSS issued guidance to counties on the reconciliation of the 27,000 reports in All County Letter (ACL) 23-66, released in August 2023. Counties are continuing to conduct qualitative reviews of the reports identified by the CSA. According to the instructions in this letter, county CWS agencies are required to review and reconcile their portion of the 27,000 reports identified by the CSA audit by February 15, 2025.

As counties work toward the February 15, 2025, deadline, DSS has indicated that as of September 12, 2024, approximately 17.5% of these reports have been reconciled.

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

Per DOJ's response, it has not fully implemented this recommendation.

1-Year Agency Response

DOJ has received responses from the contributing agencies pertaining to the list of the 298 unsupported reports in CACI. The DOJ and the counties have reconciled the 298 reports in the CACI database. Out of the 298, 44 of the CACI reports were deleted, 254 reports were substantiated and remain in the CACI database. The list of 298 records was completed on March 30, 2023.

Regarding the 27,000 reports, the DOJ and DSS are in discussions concerning a data exchange to reconcile substantiated CACI reports between the CWS/CMS and CACI databases. In June 2023, DOJ plans to provide DSS with a CACI data extract of the list of substantiated reports in CACI. The DSS has indicated there are challenges with the CMS/CMS historical data, however, both agencies are in discussions concerning potential solution(s) and the next meeting is scheduled for June 2023.

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

DOJ provided a copy of its tracking sheet showing how it resolved all of the 298 reports of child abuse that were not supported by county records. However, per DOJ's response, it has not fully implemented this recommendation because it continues to collaborate with Social Services on the list of 27,000 reports of substantiated child abuse which were not contained in CACI.

6-Month Agency Response

In regards to the list of 27,000 reports, the DOJ has reached out to DSS and the agency maintains that California law prohibits it from sharing the list with DOJ. There is no further action for DOJ.

The DOJ has taken action on the list of 298 reports the CSA previously provided to the DOJ of child abuse background checks included in the CACI database that were unsupported by county records. In August 2022, the DOJ sent 298 letters to the agencies, requesting they submit updated BCIA 8583 forms. To date, the DOJ has received 10 responses from agencies. In October 2022, the DOJ, again, contacted the agencies, requesting the submission of a BCIA 8583 form or an update on the status of the case. Until DOJ receives the updated BCIA 8583 forms from the agencies, DOJ cannot remove individuals from CACI or provide any necessary updated child abuse background check responses. There is no further action for DOJ.

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

Per DOJ's response, it has not implemented this recommendation.

60-Day Agency Response

This recommendation is not fully implemented as the Department of Justice (DOJ) must depend on DSS and the counties to implement this recommendation. Pursuant to the CSA's recommendation, DOJ immediately reached out to DSS to request the list of 27,000 reports of substantiated child abuse that were not contained in CACI. However, DSS maintains that California law prohibits it from sharing the list with DOJ. As a result, DOJ staff is unable to cross-reference DSS' list of 27,000 reports before issuing responses to child abuse background check requests.

To procure the missing information for the 298 individuals whose inclusion in CACI were no longer supported by county records, DOJ has begun reaching out to the counties to request they submit a Child Abuse or Severe Neglect Indexing Form (BCIA 8583) with the amended report information. DOJ anticipates concluding the outreach in August 2022 and will update CACI once the counties submit the BCIA 8583 forms with amended report information.

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

Per DOJ's response, it has not implemented this recommendation.

Recommendation #4 To: Justice, Department of

Until the Legislature amends state law and DOJ develops processes to use the CWS/CMS data for child abuse background checks, DOJ should collaborate with Social Services by November 2022 to identify and reconcile all reports that should have been submitted to CACI by counties. Work with counties to enter all missing reports into CACI by June 2023. This collaboration should not be limited to the reports in our four-year audit period.

Annual Follow-Up Agency Response From October 2024

On September 12, 2024, DOJ informed DSS that it is reviewing options to prepare a data extract based on DSS's review and data requirements to facilitate the implementation of this recommendation. Collaborative discussions with DSS regarding data exchange requirements are ongoing.

The reconciliation process for all reports required for submission to the CACI has not yet commenced, as efforts have been focused on reconciling the 36,000 reports missing dates of birth and the 27,000 reports previously unsubmitted to the CACI.

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

Per DOJ's response, it has not fully implemented this recommendation.

1-Year Agency Response

DOJ is working with the county agencies as each entity identifies missing or incomplete CACI reports. The DOJ and DSS are in discussions concerning a data exchange for reconciliation purposes. In June 2023, the DOJ is preparing a data extract of substantiated reports to provide to DSS. The DSS has indicated there are challenges with the CMS/CMS historical data, however, both agencies are in discussions concerning potential solution(s) and the next meeting is scheduled for June 2023.

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

Per DOJ's response, it has not fully implemented this recommendation.

6-Month Agency Response

This recommendation relies entirely upon DSS and the counties identifying the reports that should be in CACI, the counties then submitting complete BCIA 8583 forms to DOJ. DOJ has no way to identify reports that should have been submitted. However, DOJ will enter all completed BCIA 8583 forms that it receives from the counties. There is no further action for DOJ.

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

Per DOJ's response, it has not implemented this recommendation.

60-Day Agency Response

This recommendation is not fully implemented because implementation of this recommendation requires the availability of several data sources that are outside DOJ's purview. These sources include DSS and county data that identify which substantiated child abuse reports meet the statutory requirements for inclusion in CACI. Currently, DOJ has no recourse to identify the reports that counties should have submitted to CACI. To secure reliable CACI background check responses, DOJ will continue to enter all completed BCIA 8583 forms that it receives from California's counties.

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

Per DOJ's response, it has not implemented this recommendation.

Recommendation #5 To: Justice, Department of

Until the Legislature amends state law and DOJ develops processes to use the CWS/CMS data for child abuse background checks, and to ensure that it accurately enters all cases of child abuse it receives, by July 2022 DOJ should develop policies and procedures to track, enter into CACI, and review data entry for all reports of child abuse it receives from counties. Also by July 2022, DOJ should develop policies and procedures to track those reports that it sends back to counties for correction.

1-Year Agency Response

The DOJ has policies and procedures to track, enter data into CACI and to review data entry for all reports submitting by the contributing agencies, including deletes. The Delete Verification Queue was released into the CACI database on February 16, 2023. This queue automated the delete verification procedure and replaced the manual delete verification process. The DOJ utilizes a manual verification process for data entry to ensure reports are accurately entered into CACI. The DOJ is currently developing an automated CACI Data Entry Verification Queue to review the data entry of the reports prior to accepting reports into CACI. The Data Entry Verification Queue will replace the manual data entry verification process and will be released into production in July 2023.

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

DOJ provided a copy of its updated procedure manual which includes instructions on how staff should handle cases of child abuse it receives, including procedures to track, enter into CACI, and review all reports. Additionally, the manual includes procedures on how to track reports DOJ sends back to counties for correction.

6-Month Agency Response

The automation of the CACI Delete Verification Queue is currently under development, and discussions are underway concerning automating the manual CACI verification process. The DOJ anticipates the implementation of the automated verification queues by June 2023.

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

Per DOJ's response, it will not fully implement this recommendation until June 2023.

60-Day Agency Response

DOJ implemented a manual verification process to accurately enter the substantiated CACI reports it receives. DOJ has procedures to track reports that are returned to the county for correction. As previously mentioned, DOJ is working towards creating an automated process to streamline this verification process.

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

Per DOJ's response, it has not implemented this recommendation.

Recommendation #6 To: Justice, Department of

Until the Legislature amends state law and DOJ develops processes to use the CWS/CMS data for child abuse background checks, and to ensure that only appropriate records are removed from CACI, by July 2022 DOJ should develop policies and procedures related to how staff remove records from CACI. These policies and procedures should include a process to verify that deletions are appropriate.

1-Year Agency Response

The DOJ has developed policies to track and to verify each delete meets specific criteria, prior to deleting a report in CACI. The Delete Verification Queue enhancement was developed and released into the CACI database on February 16, 2023. This queue replaced the manual delete verification process.

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

DOJ updated its policies and procedures to ensure that only appropriate records are removed from CACI.

6-Month Agency Response

DOJ has implemented CACI delete procedures, including a supervisory verification process prior to deleting an entry in CACI. Applicant Resource Section (ARS) has the ability to track delete information and roll back a delete if necessary. When the electronic verification queue is released into production, this workload will be more streamlined, rather than a manual process. The manual verification process was a method implemented to immediately address the recommendation to have a reviewer approve a delete, prior to the Crime Analyst II, actually deleting a report from CACI. The delete verification is currently manually performed, by a higher classification (supervisor or manager). Also, as reported, the technical solution is a CACI system enhancement which is creating a "delete verification queue". The delete verification queue is currently under development and will be released in 2023.

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

Even though DOJ has developed polices for how staff should remove records from CACI, DOJ has not developed policies to verify that all deletions from CACI are appropriate.

60-Day Agency Response

DOJ has implemented CACI delete procedures, including a supervisory verification process prior to deleting an entry in CACI.

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

DOJ has not developed adequate policies and procedures to ensure that only appropriate and authorized deletions from CACI occur.

Recommendation #7 To: Justice, Department of

Until the Legislature amends state law and DOJ develops processes to use the CWS/CMS data for child abuse background checks, and to prevent omissions in CACI reporting, DOJ should develop policies and procedures by November 2022 to reconcile CACI with monthly reports from Social Services to verify that counties have submitted—and DOJ has entered or deleted as appropriate—all reports into CACI.

Annual Follow-Up Agency Response From October 2024

On September 12, 2024, DOJ informed DSS that it is reviewing options to prepare a data extract based on DSS's review and data requirements to facilitate the implementation of this recommendation. Collaborative discussions with DSS regarding data exchange requirements are ongoing.

The development of monthly reconciliation reports remains pending. On September 12, 2024, DSS indicated it would engage its development team—currently working on the new database set to replace the CWS/CMS—to incorporate the generation of monthly reports into the system's development requirements.

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

Per DOJ's response, it has not fully implemented this recommendation.

1-Year Agency Response

DOJ is working with county agencies as each entity identifies missing or incomplete CACI reports and is also in discussions with DSS concerning a data exchange for reconciliation purposes. DOJ is preparing a data extract of substantiated reports to provide to DSS. The DSS has indicated there are challenges with the CMS/CMS historical data, however, both agencies are in discussions concerning a potential solution(s) and the next meeting is scheduled for June 2023. The DOJ and DSS have agreed to develop a monthly reconciliation report to ensure data reconciliation efforts are implemented going forward. The DOJ and DSS will be meeting in June 2023 to further discuss details.

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

Per DOJ's response, it has not fully implemented this recommendation.

6-Month Agency Response

This recommendation can't be fully implemented as DOJ must depend on DSS and county data that are outside of its control. In the interim, DOJ has provided guidance to DSS, reiterating that counties must completely fill out the BCIA 8583 form in order to ensure the report is included in CACI. If counties accurately and fully complete their reporting, this will help avoid future discrepancies and the ongoing need for reconciliation. DOJ will continue to enter all completed BCIA 8583 forms that it receives from the counties. No further action is required for DOJ.

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

Per DOJ's response, it has not implemented this recommendation.

60-Day Agency Response

This recommendation is not fully implemented as DOJ must depend on DSS and county data that are outside of its purview. In the interim, DOJ has provided guidance to DSS, reiterating that counties must completely fill out the BCIA 8583 form in order to ensure the report is included in CACI. If counties accurately and fully complete their reporting, this will help avoid future discrepancies and the ongoing need for reconciliation. DOJ will continue to enter all completed BCIA 8583 forms that it receives from the counties.

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

Per DOJ's response, it has not implemented this recommendation.

Recommendation #8 To: Justice, Department of

To ensure that authorized users have accurate and complete information, by July 2022 DOJ should send revised letters for the suspects whose reports of child abuse were omitted from CACI and for individuals inappropriately included in CACI. To ensure that it is able to revise expedited letters if they are later determined to be incorrect, DOJ should immediately begin maintaining a history of all responses to expedited background checks.

Annual Follow-Up Agency Response From October 2024

As of September 13, 2024, DOJ continues to update the CACI based on the records received. Upon reviewing the initial list of 224 names, 6 duplicates were identified, resulting in 218 unique entries requiring action. Since the last update, DOJ has sent updated responses for an additional 45 subjects, bringing the total to 53, and the CACI has been updated accordingly.

Further action on the remaining 165 entries is pending additional information. Collaborative efforts with DSS are ongoing to ensure all necessary updates to the CACI are completed promptly.

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

Per DOJ's response, it has not fully implemented this recommendation.

1-Year Agency Response

DOJ and DSS worked collaboratively on the list of 224 No Match responses previously disseminated to the applicant agencies. Of the list of 224, it was determined that only 218 were on the list. Out of these 218, (8) possible matches were identified, while the remaining (210) cases were No Matches and the No Match responses previously sent to the applicant agencies are valid. For the 8 possible matches, letters were sent to the applicant agencies, and the CACI database was updated. This list was completed on January 30, 2023.

The Department has concluded that agencies requesting an expedited CACI background check have no statutory right to receive updates to an expedited notice letter based on subsequent CACI reports relating to an individual. This is because expedited responses are only provided in short-term limited emergency situations for the temporary placement of a child in the home of a relative or other person, who are not currently licensed or certified. (See e.g., Pen. Code, section 11170, subd. (b)(11)(B) and (c)(2); Welf. & Inst. Code, section section 309, subd. (d)(1), 361.4, subd. (b), and 361.45.). However, by statute, a fingerprint clearance check, including a CACI response, is required to be completed within 10 calendar days following the emergency check, or five days of making the emergency placement, whichever occurs first. (See Welf. & Inst. Code, section section 361.4, subd. (c); 16519.5, subd. (d)(2)(A).) Since the responses for temporary emergency placements are eventually supplemented with a fingerprint clearance check days later, the agencies would receive any subsequent CACI reports relating to an individual as a result of the fingerprint clearance check.

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

DOJ did not provide sufficient documentation to substantiate that it fully implemented this recommendation.

6-Month Agency Response

DSS and DOJ recently drafted a data exchange agreement, requested before DSS could receive the list of 224 reports of research related to child abuse. As a result, these reports may have been omitted from CACI, and a CACI background check response sent instead. DOJ received the data exchange agreement from DSS on October 26, 2022, and DOJ is currently coordinating with DSS, the delivery of the list of 224 reports for the counties to research.

Regarding the list of 298 individuals, in August 2022, DOJ sent 298 letters to the agencies, requesting they submit updated BCIA 8583 forms. To date, the DOJ has received 10 responses from agencies. In October 2022, the DOJ, again, contacted the agencies, requesting the updated BCIA 8583 form or an update on the status of the case. Until DOJ receives the updated BCIA 8583 forms from the agencies, DOJ cannot remove individuals from CACI or provide any necessary updated child abuse background check responses. No further action is required for DOJ.

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

Per DOJ's response, it has not implemented this recommendation.

60-Day Agency Response

This recommendation is not fully implemented as the DOJ must depend on DSS and the counties submitting complete BCIA 8583 forms before it can send any necessary updated letters. Although DOJ requested that DSS provide it with the list of 27,000 substantiated child abuse reports not in CACI, DSS maintains that California law prohibits it from sharing the information with DOJ. Without access to the DSS and county data, DOJ cannot identify what counties may have the 224 reports of child abuse that may have been omitted from CACI, and where a CACI background check response was issued based on the absence of these reports. So that these reports could be prioritized for reconciliation and any necessary updated letters sent, DOJ asked for DSS's assistance. DOJ is awaiting DSS's response. However, regarding the 298 individuals that did not have supporting reports at the county, DOJ started requesting that the counties submit BCIA 8583 forms with amended report information for these individuals. DOJ anticipates completing its notification to the counties regarding the 298 individuals in August 2022. DOJ will enter all completed BCIA 8583 forms that it receives from the counties and send any necessary updated letters.

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

Per DOJ's response, it has not implemented this recommendation.

Recommendation #9 To: Justice, Department of

To ensure that suspects' information is deleted from CACI in accordance with state law, by November 2022 DOJ should research and address the 36,000 reports in CACI lacking birth dates by entering the suspect's correct birth date and removing suspects who no longer meet the CACI requirements.

Annual Follow-Up Agency Response From October 2024

On June 30, 2023, an initial letter was sent to all contributing agencies requesting the submission of Child Abuse or Severe Neglect Indexing Forms (BCIA 8583) with the suspect's date of birth. Agencies were initially given 45 days to provide this information to the DOJ. At the request of DSS, an extension was granted by DOJ, extending the deadline to January 30, 2024.

Subsequently, on May 7, 2024, DOJ notified all contributing agencies to resubmit BCIA 8583 forms that were still missing suspect dates of birth. The letter clarified that any records missing this information by June 3, 2024, would be removed from the CACI as incomplete. Agencies were also reminded to promptly resubmit any corrected forms if they later obtain the missing information, to ensure the CACI remains up to date.

On December 10, 2024, DOJ will purge all records from the CACI that lack a suspect's date of birth.

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

Per DOJ's response, it has not fully implemented this recommendation.

Annual Follow-Up Agency Response From September 2023

The 37,000 CACI records have been returned to the contributing agency and DOJ has requested the suspect's date of birth. In order to subsequently update the suspect's date of birth in CACI, the DOJ is dependent upon the contributing agency not solely DSS to provide the suspect's missing date of birth. By completing the process for returning records to the contributing agencies, DOJ has implemented the recommendations to the extent possible and any further progress will be dependent upon actions of reporting agencies and CDSS.

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

Per DOJ's response, it has not fully implemented this recommendation.

1-Year Agency Response

The 37,000 CACI records are being prepared to return to the contributing agency and DOJ is requesting the suspect's date of birth. The DOJ anticipates returning the BCIA 8583 forms to the contributing agency by June 30, 2023. In order to subsequently update the suspect's date of birth in CACI, the DOJ is dependent upon DSS to provide the suspect's missing date of birth.

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

Per DOJ's response, it has not fully implemented this recommendation.

6-Month Agency Response

The DOJ has manually reviewed approximately 37,000 CACI records with the suspect's date of birth missing. The DOJ has approximately 1,500 remaining records to review. DOJ anticipates the conclusion of reviewing the records by January 2023. Once DOJ concludes its review, it will return the BCIA 8583 forms to the contributing agency and will request the suspect's missing date of birth.

For this recommendation to be fully implemented, the DOJ is dependent upon on the counties providing the missing information to enter the date of birth.

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

Per DOJ's response, it will not fully implement this recommendation until June 2023.

60-Day Agency Response

This recommendation is not fully implemented because the DOJ must depend on the counties providing the missing information to enter the date of birth. However, DOJ has completed researching the 36,000+ records relating to suspects that do not have a date of birth entered in CACI. The counties submitted 32,149 CACI reports without the suspect's dates of birth. DOJ is preparing to return these CACI reports to the counties to provide the suspects' dates of birth. For another 4,686 CACI reports, the date of birth has been updated in CACI.

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

Per DOJ's response, it has not implemented this recommendation.

Recommendation #10 To: Social Services, Department of

Until the Legislature amends state law and DOJ develops processes to use CWS/CMS, Social Services should immediately develop a process to collaborate with DOJ and counties to review the list of 27,000 reports of substantiated child abuse that were not in CACI and ensure that all eligible missing reports are forwarded to DOJ.

Annual Follow-Up Agency Response From October 2023

CDSS has partially implemented the recommendation to immediately develop a process to collaborate with DOJ and the county child welfare agencies to review the list of 27,000 reports and continues to engage with the counties and DOJ to implement this recommendation. All County Letter (ACL) No. 23-66 was published on August 9, 2023, providing instructions and guidance to county child welfare agencies on reconciling the 27,000 reports, and also provides details on new Special Projects Codes (SPC) counties must enter to confirm completion of each record listed as part of the CACI Audit Reconciliation. CDSS will monitor the reconciliation progress by pulling a quarterly report from the child welfare case management system that will show which records have a completed SPC and compare that to each county's audit list. Counties are expected to complete reconciliation of the 27,000 records by February 15, 2025.

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

Per Social Services' response, it has not fully implemented this recommendation.

1-Year Agency Response

The CDSS has partially implemented the recommendation to immediately develop a process to collaborate with DOJ and the county child welfare agencies to review the list of 27,000 reports and engaged with the counties and DOJ to implement this recommendation. As shared in the Department's prior responses, the CDSS facilitated workgroups with county child welfare services agencies to develop and establish criteria and procedures for the reconciliation, the prioritization of reports for the reconciliation, how existing data and automation may be leveraged to support reconciliation efforts, and to discuss guidance, technical assistance, and resources necessary to implement these processes. In addition to county workgroups, the CDSS developed and planned a reporting method to verify and capture county compliance with completing the reconciliation, including making sure the smaller number of high priority cases would be reconciled first. Each county received their list of reports identified by the CACI audit as needing to be reconciled on March 6, 2023. Additionally, criteria and procedures for the reconciliation of the 27,000 reports that require qualitative case reviews to determine which reports may be appropriately submitted to the CACI are being disseminated to counties via an All County Letter (ACL). The CDSS has explored methods for the reconciliation process for county child welfare agencies to complete and track their reconciliation as they proceed with completing the reviews of the reports identified as possibly missing by the audit. A second alternative process was decided and through the meetings with the County Welfare Director's Association and county leadership, the CDSS has developed a tracking method through the use of Special Projects Codes that will be selected for each of the 27,000 reports in the Child Welfare Services Case Management System (CWS/CMS) which is discussed in an upcoming ACL expected to be completed by July 1, 2023.

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

Per Social Services' response, it has not fully implemented this recommendation.

6-Month Agency Response

CDSS has partially implemented the recommendation to immediately develop a process to collaborate with DOJ and the county child welfare agencies to review the list of 27,000 reports and is currently engaging with the counties and DOJ to implement this recommendation. CDSS developed a reconciliation process in partnership with the County Welfare Director's Association and county child welfare agencies through a workgroup which met on July 12, 2022. The workgroup has established criteria and procedures for the reconciliation of the 27,000 reports that require qualitative case reviews to determine which reports may be appropriately submitted to the CACI and the prioritization of reports considered "high risk" for reconciliation. The CDSS met with DOJ on July 8, 2022 regarding CACI submission and resubmission processes and prioritization of reports for reconciliation to inform the county reconciliation process. The CDSS is in process of creating a portal for county child welfare agencies to complete and track their reconciliation as they proceed with completing the reviews of the 27,000 reports identified as possibly missing by the audit. The estimated time of completion for developing the portal that is able to track completion of the reviews is expected by the end of the first quarter in 2023.

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

Per Social Services' response, it will not fully implement this recommendation until March 2023.

60-Day Agency Response

CDSS agrees and has partially implemented the recommendation to immediately develop a process to collaborate with DOJ and the counties to review the list of 27,000 reports and is currently engaging with the counties and DOJ to implement this recommendation. CDSS is engaged in ongoing discussions with the County Welfare Directors Association and counties, and has established and facilitated a workgroup with county child welfare services agencies to develop and establish criteria and procedures for the reconciliation of the 27,000 reports that require qualitative case reviews to determine which reports may be appropriately submitted to the CACI, prioritization of reports for reconciliation, how existing data and automation may be leveraged to support reconciliation efforts, and to discuss guidance, technical assistance, and resources necessary to implement these processes. The CDSS is also engaged in ongoing discussions with the DOJ regarding CACI submission and resubmission processes and prioritization of reports for reconciliation to inform the county reconciliation process. Estimated Time of Completion for developing a process by the end of the third quarter of calendar year 2022.

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

Per Social Services' response, it will not fully implement this recommendation until September 2022.

Recommendation #11 To: Social Services, Department of

Until the Legislature amends state law and DOJ develops processes to use CWS/CMS, Social Services should by November 2022, develop monthly reports from CWS/CMS of cases of child abuse substantiated during the month and another list of cases that changed from substantiated to not substantiated, and then provide these reports to the counties and to DOJ.

Annual Follow-Up Agency Response From October 2023

CDSS has not implemented this recommendation and is continuing ongoing discussions with the County Welfare Directors Association and county child welfare agencies to explore:

- How existing data and automation may be leveraged to support ongoing reconciliation and monitoring of submission of eligible reports to the CACI, including the development of monthly reports.

- The determination of additional data points and automation solutions that may be needed to improve ongoing efforts to strengthen the accuracy and completeness of CACI reports.

CDSS Status: CDSS continues to partner with the DOJ regarding the development of an ongoing reconciliation processes. Currently, the estimated time of completion for developing monthly reports to support ongoing reconciliation processes is

January 1, 2024.

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

Per Social Services' response, it has not fully implemented this recommendation.

1-Year Agency Response

The CDSS has not implemented this recommendation and is currently engaged in ongoing discussions with the CWDA and county child welfare agencies to explore:

- how existing data and automation may be leveraged to support ongoing reconciliation and monitoring of submission of eligible reports to the CACI, including the development of monthly reports

- the determination of additional data points and automation solutions that may be needed to improve ongoing efforts to strengthen the accuracy and completeness of CACI reports.

The CDSS continues to partner with the DOJ regarding the development of an ongoing reconciliation processes. Currently, the estimated time of completion for developing monthly reports to support ongoing reconciliation processes is January 1, 2024.

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

Per Social Services' response, it has not fully implemented this recommendation.

6-Month Agency Response

CDSS has partially implemented this recommendation and is currently engaged in ongoing discussions with the County Welfare Directors Association and county child welfare agencies to explore:

- how existing data and automation may be leveraged to support ongoing reconciliation and monitoring of submission of eligible reports to the CACI, including the development of monthly reports

- the determination of additional data points and automation solutions that may be needed to improve ongoing efforts to strengthen the accuracy and completeness of CACI reports.

CDSS is also engaged in ongoing discussions with the DOJ regarding CACI form submission, correction, and resubmission processes to inform the development of ongoing reconciliation processes. Estimated Time of Completion for developing monthly reports to oversee ongoing reconciliation processes is June 30, 2023.

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

Per Social Services' response, it will not fully implement this recommendation until June 2023.

60-Day Agency Response

CDSS has partially implemented this recommendation and is currently engaged in ongoing discussions with the County Welfare Directors Association and counties to explore how existing data and automation may be leveraged to support ongoing reconciliation and monitoring of submission of eligible reports to the CACI, including the development of monthly reports, and where additional data points and automation solutions may be needed to further ongoing efforts to strengthen the accuracy and completeness of CACI reports. CDSS is also engaged in ongoing discussions with the DOJ regarding CACI form submission, correction, and resubmission processes to inform the development of ongoing reconciliation processes. Estimated Time of Completion for developing monthly reports to oversee ongoing reconciliation processes is June 30, 2023.

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

Per Social Services' response, it will not fully implement this recommendation until June 2023.

Recommendation #12 To: Social Services, Department of

Until the Legislature amends state law and DOJ develops processes to use CWS/CMS, Social Services should by November 2022, ensure that all counties develop policies and procedures to review the monthly reports produced by Social Services and ensure that they have sent all appropriate reports to DOJ.

Annual Follow-Up Agency Response From October 2023

In addition to the ACL mentioned in Response 1, CDSS is developing a subsequent ACL which will provide further guidance from the state about the review and reconciliation procedures established for CACI reports, including guidance for how county child welfare agencies will establish policies and procedures for tracking and monitoring CACI reports and for correcting and resubmitting reports when necessary. The draft of the subsequent ACL is now expected to be completed by January 1, 2024. CDSS and DOJ are working together to identify specific data elements that can be collected by DOJ and matched against child welfare case management system data for all eligible records cross-reported to the DOJ for the purpose of listing the perpetrator on the CACI.

An ongoing monitoring process of CACI eligible reports will not be able to begin until there is a way to compare DOJ data reports with the child welfare case management data reports from CDSS.

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

Per Social Services' response, it has not fully implemented this recommendation.

1-Year Agency Response

In addition to the ACL mentioned in Response #1, the CDSS will be developing a subsequent ACL which will provide further guidance from the state about the review and reconciliation procedures established for CACI reports, including guidance for how county child welfare agencies will establish policies and procedures for tracking and monitoring CACI reports and for correcting and resubmitting reports when necessary. Currently, CDSS' efforts have continued to be focused on developing and implementing the reconciliation process through an ACL for the 27,000 reports and exploring processes for ongoing reconciliation in partnership with the DOJ. The draft of the subsequent ACL is now expected to be completed by January 1, 2024.

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

Per Social Services' response, it has not fully implemented this recommendation.

6-Month Agency Response

The CDSS has drafted an All County Welfare Director's Letter (ACWDL) which includes guidance for how counties will complete the reconciliation of the 27,000 reports and shared it with the workgroup noted above and plans to disseminate the letter once all workgroup feedback has been resolved. The CDSS had originally planned to complete an All County Letter (ACL) by October 31, 2022, providing state guidance on the review and reconciliation procedures established for CACI reports, including guidance for how county child welfare agencies will establish policies and procedures for tracking and monitoring CACI reports and for correcting and resubmitting reports when necessary. CDSS' efforts have been focused on developing the reconciliation process and ACWDL for the 27,000 reports and entering into a data use agreement with the DOJ, and the draft of this ACL is now expected to be completed by January 31, 2023. Once the draft ACL has been completed, CDSS will follow protocols for stakeholder review, final approval and posting to the CDSS website.

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

Per Social Services' response, it will not fully implement this recommendation until January 2023.

60-Day Agency Response

CDSS has partially implemented this recommendation and is currently engaged in ongoing discussions with counties and the County Welfare Directors Association to explore how existing data and automation may be most effectively leveraged to support ongoing reconciliation and monitoring of submissions of eligible reports to the CACI, including the development of monthly reports, and where additional data points and automation solutions may be needed to further ongoing efforts to strengthen the accuracy and completeness of CACI reports. As part of these discussions, CDSS is committed to working with counties to develop necessary policies and procedures to support ongoing reconciliation efforts, including providing state guidance, technical assistance, and support for ongoing CACI report reconciliation efforts established in collaboration with counties and DOJ. This includes ongoing collaboration to develop and issue state guidance on any review and reconciliation procedures established for CACI reports, including procedures for county child welfare agencies to receive any data reports, how to reconcile potential discrepancies identified by the reports, and how to ensure reports are submitted correctly or identified as inappropriate for submittal. Estimated Time of Completion for issuing state guidance in the form of an All County Letter is expected to be completed October 31, 2022.

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

Per Social Services' response, it will not fully implement this recommendation until October 2022.

Recommendation #13 To: Social Services, Department of

Until the Legislature amends state law and DOJ develops processes to use CWS/CMS, Social Services should by November 2022, collaborate with DOJ to identify and reconcile all reports that should have been submitted to CACI by counties and work with counties to send all reports to CACI by May 2023. This collaboration should not be limited to the reports of our four-year audit period.

Annual Follow-Up Agency Response From October 2023

CDSS has partially implemented this recommendation. CDSS issued guidance in the form of ACL No. 23-66, to county child welfare agencies on how to reconcile the 27,000 historical records. Counties are expected to complete the reconciliation of the historical records by February 15, 2025. CDSS will continue to monitor the progress of the reconciliation and collaborate with the county child welfare agencies and DOJ to further refine reconciliation and submission processes for CACI reports. CDSS and the DOJ are continuing discussions to determine processes for ensuring all reports that should be reported to CACI are being submitted, as described in the response for Recommendation 12.

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

Per Social Services' response, it has not fully implemented this recommendation.

1-Year Agency Response

The CDSS has partially implemented this recommendation. The CDSS has received the data needed to begin the reconciliation process. The CDSS and DOJ also entered into a data use agreement as of November 7, 2022, to receive, in addition, a small number of priority cases to disseminate to counties, which DOJ has provided. The CDSS will continue to collaborate with the county child welfare agencies and DOJ to prioritize reports for reconciliation, assess the resources needed to complete the initial qualitative case reviews in order to establish appropriate timeframes for reconciling the reports identified during the audit period, and further refine reconciliation and submission processes for CACI reports. The CDSS and the DOJ have had discussions to determine processes for ensuring all reports that should be reported to CACI are being submitted.

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

Per Social Services' response, it has not fully implemented this recommendation.

6-Month Agency Response

CDSS has partially implemented this recommendation. The CDSS has received the data needed to begin the reconciliation process. CDSS and DOJ have also entered into a data use agreement as of November 7, 2022 to receive, in addition, a small number of priority cases to disseminate to counties. The CDSS will continue to collaborate with the county child welfare agencies and DOJ to prioritize reports for reconciliation, assess the resources needed to complete the initial qualitative case reviews in order to establish appropriate timeframes for reconciling the reports identified during the audit period, and further refine reconciliation and submission processes for CACI reports.

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

Per Social Services' response, it will not fully implement this recommendation until May 2023.

60-Day Agency Response

CDSS has partially implemented this recommendation. CDSS is currently engaged in ongoing discussions with the County Welfare Directors Association and counties and has established a workgroup with county child welfare services agencies to develop a criteria and procedures for the reconciliation of the 27,000 reports that require qualitative case reviews. The case reviews will determine which reports may be appropriately submitted to the CACI. The ongoing collaboration includes prioritization of reports for reconciliation, how existing data and automation may be leveraged to support reconciliation efforts, and discussion of guidance, technical assistance, and resources necessary to implement these processes. These collaborative efforts are currently underway and focused on the implementation of reconciliation and submission processes for the reports identified during the audit period and the development of ongoing reconciliation efforts. CDSS is committed to working with counties to complete the reconciliation of a portion of the identified reports by November 2022, and will continue to collaborate with the counties and DOJ to prioritize reports for reconciliation, to assess the resources needed to complete the initial qualitative case reviews in order to establish appropriate timeframes for reconciling reports identified during the audit period, and to further refine reconciliation and submission processes for CACI reports.

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

Per Social Services' response, it will not fully implement this recommendation until November 2022.

Recommendation #14 To: Calaveras County

To ensure that it submits accurate and complete information to CACI, by July 2022 Calaveras County should develop policies and procedures for reporting all incidents of substantiated child abuse that it actively investigates, in accordance with state law.

6-Month Agency Response

A complete policy and procedure detailing the process for reporting all incidents of substantiated child abuse was finalized and all staff have received training to the policy.

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

Calaveras County developed policies and procedures for reporting all incidents of substantiated child abuse that it actively investigated.

60-Day Agency Response

Calaveras County has developed and implemented a policy containing specific guidelines for Child Welfare staff to promote accuracy of reporting. This policy includes systems for tracking incoming and outgoing mail to DOJ and timeframes for responding to a request for correction.

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

Calaveras County's policies and procedures are not yet finalized.

Recommendation #15 To: Calaveras County

To ensure that they correctly revise and resend reports that were incomplete and needed correction, by July 2022 Calaveras County should develop policies and procedures for accurately responding to and tracking reports DOJ sends back for correction.

6-Month Agency Response

Calaveras County has outlined a process included in the reporting policy for responding to and tracking reports send from DOJ for correction

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

Calaveras County updated its policies and procedures to require staff to track and respond to reports DOJ sends back for correction.

60-Day Agency Response

Calaveras County has fully implemented a policy and procedure for tracking all incoming and outgoing mail in relation to DOJ. This policy states specific timeframes and responsibilities to ensure corrections are submitted timely. The policy also includes directions on maintaining an electronic file of the corrections in CWS/CMS database.

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

Calaveras County's policies and procedures are not yet finalized.

Recommendation #16 To: Kern County

To ensure that they correctly revise and resend reports that were incomplete and needed correction, by July 2022 Kern County should develop policies and procedures for accurately responding to and tracking reports DOJ sends back for correction.

60-Day Agency Response

Kern has fully implemented the recommendation of ensuring that Kern County correctly revises and resends reports that were incomplete and needed correction. Kern County has updated their policy and procedures for accurately responding to and tracking reports DOJ sends back for correction.

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

Kern County updated its policies and procedures to require staff to track and respond to reports DOJ sends back for correction.

Recommendation #17 To: Orange County

To ensure that they correctly revise and resend reports that were incomplete and needed correction, by July 2022 Orange County should develop policies and procedures for accurately responding to and tracking reports DOJ sends back for correction.

60-Day Agency Response

The County of Orange Social Services Agency has amended its policy, "Child Abuse Central Index (CACI) Grievance Reviews," to include a process to amend and track the reports that the DOJ sends back for correction. A copy of the policy has been provided to CSA for review.

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

Orange County updated its policies and procedures to require staff to track and respond to reports DOJ sent back for correction.

Recommendation #18 To: Shasta County

To ensure that they correctly revise and resend reports that were incomplete and needed correction, by July 2022 Shasta County should develop policies and procedures for accurately responding to and tracking reports DOJ sends back for correction.

6-Month Agency Response

Updated Policy and Procedure and fully implemented recommendations.

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

Shasta County updated its policies to track and respond to reports DOJ sends back for correction.

60-Day Agency Response

All recommendations relating to Shasta County have been added to our existing Policy & Procedure

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

Shasta County developed policies and procedures for responding to reports DOJ sends back for correction, but it did not develop policies to track reports needing correction from the time that the county receives the report to the time that the county sends corrected reports to DOJ.

Recommendation #19 To: Stanislaus County

To ensure that they correctly revise and resend reports that were incomplete and needed correction, by July 2022 Stanislaus County should develop policies and procedures for accurately responding to and tracking reports DOJ sends back for correction.

6-Month Agency Response

Policies and Procedures are in place and being followed. Continuing to follow-up on the question from the Auditor's Office on tracking reports DOJ sends back for correction.

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

Stanislaus County updated its policies and procedures to require staff to track and respond to reports DOJ sends back for correction.

60-Day Agency Response

Updated the policy to include this recommendation

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

Stanislaus County developed policies and procedures for responding to reports DOJ sends back for correction, but it did not develop policies to track reports needing correction from the time that the county receives the report to the time that the county sends corrected reports to DOJ.

Recommendation #20 To: Calaveras County

To ensure that CACI contains accurate and complete information, and to ensure that individuals' rights are adequately protected, by July 2022 Calaveras County should develop policies for removing existing reports in CACI when warranted.

6-Month Agency Response

Calaveras County has developed policies for removing existing reports in CACI

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

Calaveras County updated its policies to remove existing reports from CACI when warranted.

60-Day Agency Response

Calaveras County developed a CACI Policy that dictates how and when existing reports are removed from CACI when warranted.

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

Calaveras County's policies and procedures are not yet finalized.

Recommendation #21 To: Contra Costa County

To ensure that CACI contains accurate and complete information, and to ensure that individuals' rights are adequately protected, by July 2022 Contra Costa County should develop policies for removing existing reports in CACI when warranted.

6-Month Agency Response

Contra Costa County Children and Family Services has finalized and implemented its enhanced policies which include instructions to request removal of existing CACI reports.

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

Contra Costa County updated its policies and procedures to outline how staff should remove existing reports from CACI when warranted.

60-Day Agency Response

Contra Costa County Children and Family Services has developed additional content and enhanced its policies to include staff instructions on how to request the removal of existing reports from the CACI database when warranted by subsequent findings or hearings.

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

Contra Costa County's policies and procedures are not yet finalized.

Recommendation #22 To: Shasta County

To ensure that CACI contains accurate and complete information, and to ensure that individuals' rights are adequately protected, by July 2022 Shasta County should develop policies for removing existing reports in CACI when warranted.

60-Day Agency Response

All recommendations relating to Shasta County have been added to our existing Policy & Procedure

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

Shasta County updated its policies to remove existing reports from CACI when warranted.

Recommendation #23 To: Calaveras County

To ensure that CWS/CMS contains accurate investigation conclusions, by July 2022 Calaveras County should immediately identify and correct the reports in CWS/CMS that are incorrectly marked as substantiated.

60-Day Agency Response

Calaveras County immediately changed the practice of using a severe neglect allegation for all substance-exposed newborns, which were not reported for inclusion in CACI. Calaveras County has revised the allegation and allegation conclusions for the investigations identified in the audit process.

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

Calaveras County corrected the reports in CWS/CMS that we identified as being incorrectly marked as substantiated.

Recommendation #24 To: Contra Costa County

To ensure that CWS/CMS contains accurate investigation conclusions, by July 2022 Contra Costa County should immediately identify and correct the reports in CWS/CMS that are incorrectly marked as substantiated.

60-Day Agency Response

Contra Costa County Children and Family Services has identified and corrected all inaccuracies noted in the Audit Report.

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

Contra Costa County corrected the reports in CWS/CMS that we identified as inaccurate.

Recommendation #25 To: Contra Costa County

To ensure fair and impartial grievance hearings and to comply with state regulations, Contra Costa County should, by July 2022 adopt grievance hearing policies allowing the complainant to challenge the impartiality of the grievance review officer.

6-Month Agency Response

Contra Costa County Children and Family Services added a section to its grievance hearing policies explaining the grievant/complainant's rights to challenge the grievance review officer based on impartiality.

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

Contra Costa County updated its grievance hearing policies to allow the complainant to challenge the impartiality of the grievance review officer.

60-Day Agency Response

Contra Costa County Children and Family Services has added a section to its grievance hearing policies that explain the grievant's right to challenge the impartiality of the grievance hearing officer.

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

Contra Costa County's policies and procedures are not yet finalized.

Recommendation #26 To: Kern County

To ensure fair and impartial grievance hearings and to comply with state regulations Kern County should, by July 2022 adopt grievance hearing policies allowing the complainant to challenge the impartiality of the grievance review officer.

60-Day Agency Response

Kern has fully implemented the recommendation to ensure a fair and impartial grievance hearing and to comply with state regulations Kern should adopt grievance hearing policies allowing the complainant to challenge the impartiality of the grievance review officer. Kern has implemented its policy that is in line and ensures compliance with this recommendation.

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

Kern County updated its grievance hearing policies to allow the complainant to challenge the impartiality of the grievance review officer.

Recommendation #27 To: Stanislaus County

To ensure fair and impartial grievance hearings and to comply with state regulations Stanislaus County should, by July 2022 adopt grievance hearing policies allowing the complainant to challenge the impartiality of the grievance review officer.

60-Day Agency Response

Updated the policy with the recommendation.

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

Stanislaus County updated its grievance hearing policies to allow the complainant to challenge the impartiality of the grievance review officer.

Recommendation #28 To: Orange County

To ensure the confidentiality of sensitive and personally identifying information protected by state law, Orange County should, by July 2022 adopt grievance hearing policies requiring the return of confidential evidence when the county provides such evidence to suspects for a grievance hearing.

60-Day Agency Response

The County of Orange Social Services Agency has amended its policy, "Child Abuse Central Index (CACI) Grievance Reviews," to include a procedure for requiring the return of confidential documents should the County provide the evidence to the grievant. A copy of the policy has been provided to CSA for review. SSA will continue to monitor and refine our CACI related policies and procedures to ensure data integrity.

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

Orange County updated its grievance hearing policies to require that confidential evidence be returned to the county at the conclusion of the hearing.

Recommendation #29 To: Stanislaus County

To ensure the confidentiality of sensitive and personally identifying information protected by state law, Stanislaus County should, by July 2022 adopt grievance hearing policies requiring the return of confidential evidence when the county provides such evidence to suspects for a grievance hearing.

60-Day Agency Response

Update policy with recommendation.

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

Stanislaus County updated its grievance hearing policies to require that confidential evidence be returned to the county at the conclusion of the hearing.

All Recommendations in 2021-112

Agency responses received are posted verbatim.