Report 2016-109 Recommendation 4 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 #4 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 establish a single database to record and track all investigations of complaints and reviews of appeals. This database should capture all data necessary for Education to effectively make informed decisions related to UCP complaints or appeals. At a minimum, the database should capture the date on which Education received each complaint or appeal, the date on which it forwarded the complaint or appeal to the appropriate division for investigation or review, and the date on which it sent the decision to the complainant. The database should also include the type of complaint or appeal, the LEA involved, and the decision.
1-Year Agency Response
Education finalized the customization of a central database for tracking UCP complaints and appeals and the database has been fully operational as of September 2017. Uniform procedures for entering data have been established and implemented. In addition, a user-guide was developed to ensure all data is entered in a uniform and consistent manner.
- Completion Date: September 2017
- Response Date: February 2018
California State Auditor's Assessment of 1-Year Status: Partially Implemented
Although Education has established a central database for tracking UCP complaints and appeals, in its response to Recommendation 3 Education states it continues to not concur with the recommendation to designate a central office to receive all complaints and appeals. Therefore, we consider this recommendation partially implemented.
- Auditee did not address all aspects of the recommendation
6-Month Agency Response
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.
- Estimated Completion Date: September 2017
- Response Date: August 2017
California State Auditor's Assessment of 6-Month Status: Pending
60-Day Agency Response
Education is developing a centralized database that can increase coordination within the department.
- Estimated Completion Date: 6/30/2018
- Response Date: April 2017
California State Auditor's Assessment of 60-Day Status: Pending
Agency responses received are posted verbatim.