Report 2016-109 Recommendation 3 Responses

Report 2016-109: Uniform Complaint Procedures: The California Department of Education's Inadequate Oversight Has Led to a Lack of Uniformity and Compliance in the Processing of Complaints and Appeals (Release Date: January 2017)

Recommendation #3 To: Education, Department of

To ensure that it consistently processes complaints and appeals in a timely manner and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations, by July 2017 Education should designate a central office to receive all complaints and appeals. This central office should distribute complaints and appeals to the correct divisions for investigation or review.

1-Year Agency Response

Education continues to not concur with the recommendation to designate a central office to receive all complaints and appeals for the reasons set forth in our prior responses. However, Education strengthened coordination within the department with the full implementation of a customized central database that tracks UCP complaints and appeals. The database has been fully operational as of September 2017.

  • Response Date: February 2018

California State Auditor's Assessment of 1-Year Status: Will Not Implement

Based on the Education's response and the documentation it provided, it is unclear whether the central database that Education refers to in its response would prevent or mitigate the effects of receiving complaints and appeals by an incorrect division. As we stated in the report, we believe that a central office for receiving complaints and appeals would help eliminate complainants' confusion about where to send a complaint or appeal and would streamline the process by preventing complaints and appeals from going to an incorrect division.


6-Month Agency Response

Education continues to not concur with the recommendation to designate a central office to receive all complaints and appeals for the reasons set forth in the response. However, Education purchased software (Time Matters by LexisNexis) and worked with an outside vendor to create a customized central database for tracking UCP complaints and appeals to ensure resolution in a timely manner. Training on the new database was conducted in July 2017, and it is anticipated that the database will be fully operational by September 2017.

  • Response Date: August 2017

California State Auditor's Assessment of 6-Month Status: Will Not Implement

It is unclear whether the software that Education refers to in its response would prevent or mitigate the effects of receiving complaints and appeals by an incorrect division. As we stated in the report, we believe that a central office for receiving complaints and appeals would help eliminate complainants' confusion about where to send a complaint or appeal and would streamline the process by preventing complaints and appeals from going to an incorrect division.


60-Day Agency Response

Education continues to not concur with the recommendation to designate a central office to receive all complaints and appeals for the reasons set forth in the response. However, Education is developing a centralized database that can increase coordination within the department.

  • Response Date: April 2017

California State Auditor's Assessment of 60-Day Status: Will Not Implement

As we stated in the report, we believe that a central office for receiving complaints and appeals would help eliminate complainants' confusion about where to send a complaint or appeal and would streamline the process by preventing complaints and appeals from going to an incorrect division.


All Recommendations in 2016-109

Agency responses received are posted verbatim.