Report 2012-107 Recommendation 13 Responses

Report 2012-107: Developmental Centers: Poor-Quality Investigations, Outdated Policies, Leadership and Staffing Problems, and Untimely Licensing Reviews Put Residents at Risk (Release Date: July 2013)

Recommendation #13 To: Developmental Services, Department of

The department should create specific measurable goals for OPS that include existing and new measures associated with each one, such as staffing, overtime, and the timely completion of investigations. In addition, the department should perform a regular review of the quality of OPS's activities and investigations to achieve those goals. The department should track progress in quality measures over time and adjust its training plans to increase OPS law enforcement personnel's skill and compliance with established policies and procedures.

Annual Follow-Up Agency Response From October 2016

Under the guidance of a strategic planning consultant from California State University, Sacramento, OPS developed a strategic plan including its vision, mission, values, and goals. Additionally, DDS worked collaboratively with the Office of Law Enforcement Support (OLES) at the California Health and Human Services Agency to develop a process to regularly review the quality of OPS investigations. The process with OLES identifies and addresses deficiencies within OPS. This recommendation is fully implemented.

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

OPS implemented a strategic plan that includes goals that measure the quality of OPS activities and investigations. In October 2016, OLES (the department who began OPS oversight reporting in January 2016) will issue its first report on the quality of OPS investigations and their outcomes. According to the OPS Chief, once the report is released, OPS will use the report to set performance baselines and will be able to monitor performance towards performance goals through subsequent OLES reports. Because OPS has issued a strategic plan with some measurable goals, has a new state mandated program in place with the OLES to review the quality of its activities and investigations, and plans to use the OLES reviews to set additional measurable goals, we consider this recommendation fully implemented.

Annual Follow-Up Agency Response From September 2015

The Department is working with the newly formed Office of Law Enforcement Support (OLES) at the California Health and Human Services Agency to develop a process to regularly review the quality of OPS investigations involving incidents defined in WIC Section 4427.5. The process will monitor and address any training deficiencies that may be identified in the future. OLES will be providing contemporaneous oversight and monitoring of investigations and will issue annual reports regarding the number, type, and disposition of investigations, and identify the quality of each investigation.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2014

A Strategic Planning Workshop was held at the California State University, Sacramento, on August 12-14, 2014. At this workshop, with the guidance of the strategic planning consultant, staff from OPS developed vision, mission, values, and goals. Through follow-up meetings and breakout groups, specific measurable objectives were outlined to meet the goals. The strategic plan is pending approval from Executive Management.

Additionally, the Department is working collaboratively with the newly formed Office of Law Enforcement Assistance (OLEA) at the California Health and Human Services Agency to develop a process to regularly review the quality of OPS investigations. The process with OLEA will also identify and address any training deficiencies that may be identified in the future.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

On June 11, 2014, OPS entered into an Interagency Agreement with California State University, Sacramento, for a strategic planning consultant to facilitate the development of a strategic plan to clearly delineate the goals of OPS. The strategic plan will identify the data needs and any other performance indicators necessary to measure progress toward achieving those goals.

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

6-Month Agency Response

DDS is implementing this recommendation. The Department tracks and evaluates data associated with staffing, overtime utilization, and investigations. OPS is finalizing an Interagency Agreement with California State University, Sacramento, for a strategic planning consultant to facilitate the development of a strategic plan to clearly delineate the goals of OPS. The strategic plan will identify the data needs and any other performance indicators necessary to measure progress toward achieving those goals.

The Department continues to refine the newly implemented incident reporting system (IRIS) to provide greater standardization and assist in measuring OPS case investigations and findings. A revision to the IRIS database was completed in November 2013, which includes a customized component to enter and track data related to investigations and findings.

In November 2013, the new OPS Chief established a formal training plan to ensure all uniformed personnel receive initial and ongoing training in all aspects of their jobs. Training priorities are focused on the areas noted in the audit, as well as other issues identified through internal quality reviews.

Additionally, after issuance of the new policy manual, the new OPS Chief will establish an Inspection Program for regular review of the quality of OPS activities and investigations.

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

60-Day Agency Response

DDS is implementing this recommendation. The Department tracks and evaluates data associated with staffing, overtime utilization, and investigations. The new Chief of OPS, working with his command staff, is formalizing the organization's mission statement and developing a strategic plan to clearly delineate the goals of OPS. The strategic plan will identify the data needs and any other performance indicators necessary to measure progress toward achieving those goals.

The Department continues to refine the newly implemented incident reporting system (IRIS) to provide greater standardization and assist in measuring OPS case investigations and findings. The revision to the IRIS database is expected to be completed in October 2013, and DC and OPS staff will be subsequently trained on the new data elements.

The new Chief of OPS will have a formal training plan by September 30, 2013, to ensure officers receive initial and ongoing training in all aspects of their jobs. Additionally, the new Chief of OPS is establishing an Inspection Program for regular review of the quality of OPS activities and investigations. Training priorities will focus on the areas noted in the audit, as well as, other issues identified through internal quality reviews.

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

All Recommendations in 2012-107

Agency responses received are posted verbatim.