Report 2016-109 Recommendation 5 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 #5 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 track the divisions' progress in processing complaints and appeals to ensure the divisions meet all UCP requirements, including documenting exceptional circumstances that constitute good cause for extending investigations beyond 60 days.

6-Month Agency Response

Education continues to not concur with the recommendation for the reasons set forth in our prior responses. 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

Although Education states that it is developing a centralized database that can increase coordination within the department, this action alone does not address the point of this recommendation. Without a process to monitor the divisions' progress in processing complaints and appeals to ensure the divisions meet all UCP requirements, Education cannot 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.


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

Although Education states that it is developing a centralized database that can increase coordination within the department, this action alone does not address the point of this recommendation. Without a process to monitor the divisions' progress in processing complaints and appeals to ensure the divisions meet all UCP requirements, Education cannot 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.


All Recommendations in 2016-109

Agency responses received are posted verbatim.