Report 2016-109 Recommendation 8 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 #8 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 monitor the divisions' decisions and reports on complaints and appeals to ensure that they comply with requirements.

Annual Follow-Up Agency Response From October 2022

Status unchanged: Education centralized tracking of all UCP complaints and appeals through a single database, with more than 80 percent of all complaints and appeals reporting to one Assistant General Counsel; however, it is not feasible to add the remaining disbursed staff within the department to receive, evaluate and distribute the remaining complaints and appeals, which are minimal in quantity. As such, Education considers this recommendation complete and no further updates will be provided.

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

Education's response did not address our recommendation to monitor the divisions' decisions and reports on complaints and appeals to ensure that they comply with requirements.

Annual Follow-Up Agency Response From October 2021

Education centralized tracking of all UCP complaints and appeals through a single database, and reorganized the reporting of the two major UCP offices responsible for more than 80 percent of all complaints and appeals under one Assistant General Counsel; however, Education determined that it is not feasible to add the remaining disbursed staff within the department to receive, evaluate and distribute the remaining complaints and appeals, which are minimal in quantity. Although Education will not have a centralized office for all complaints and appeals, the tracking system and processes implemented resulted in an improvement of 73 percent of all complaints and appeals meeting the statutory 60-day timeline for a response as of December 2020.The remaining 27 percent were handled within the statutory exceptions process for delays that were either beyond the control of Education, including COVID-19 related school closures, or due to the complexity of the investigation or appeal. Additionally, the remainder of complaint and appeal responses are reviewed by Division Directors and Deputies for compliance with requirements.

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

Annual Follow-Up Agency Response From November 2020

Education centralized tracking of all UCP complaints and appeals through a single database, and reorganized the reporting of the two major UCP offices responsible for more than 80 percent of all complaints and appeals under one senior manager; however, Education determined that it is not feasible to incorporate staff in other disparate and distinct programs, disbursed throughout different branches within the department, under the senior manager to receive, evaluate and distribute the remaining complaints and appeals, which are minimal in quantity. The centralized tracking system and processes implemented resulted in an improvement of 90 percent of all complaints and appeals being resolved within the statutory 60-day timeline for a response as of December 2019, and the remaining 10 percent being resolved within the statutory exceptions process for delays that were either beyond the control of Education or due to the complexity of the investigation or appeal. Additionally, the remainder of complaint and appeal responses are reviewed by Division Directors and Deputies for compliance with requirements.

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

Annual Follow-Up Agency Response From October 2019

Education is establishing a central UCP office to receive and process all complaints and appeals to streamline the UCP process.

Additionally, once the centralized office is fully established, Education will be able to monitor decisions and reports on complaints and appeals to ensure compliance with requirements.

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

Annual Follow-Up Agency Response From October 2018

This recommendation contains two separate corrective actions requiring an update response. Since Education continues to not concur with the first recommended corrective action, full resolution is unattainable. The first part of the recommendation from the CSA states that Education should designate a central office to receive all complaints and appeals. This recommendation is duplicated in recommendations 3 through 8. Specifically, Education does not concur with the CSA's determination that a central office would ensure consistent, timely responses in compliance with state laws and regulations for all UCP complaints and appeals. In fact, a central office would add time to the process in the beginning and the end as well as provide excessive administratively burdensome demands on staff who do not have the necessary expertise or familiarity for the complex programs covered under the UCP process. Also, Education would require additional resources in order to implement a dedicated centralized UCP office.

For the second part of the recommendation, Education has successfully implemented a centralized database that collects UCP complaint and appeal information, which staff monitor to ensure they are processed accurately and timely.

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

Although Education states that it has developed a centralized database that collects UCP complaint and appeal information, this action alone does not address the point of this recommendation. Without a process to monitor the divisions' decisions and reports on complaints and appeals to ensure that they comply with requirements, Education cannot ensure that it consistently processes complaints and appeals, and that it investigates and reviews all UCP complaints and appeals in compliance with state law and regulations.

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 prior responses, but remains committed to processing complaints and appeals as required.

Education is finalizing the report to the Legislature, required by the 2017-18 State Budget Act, and will submit it in February 2018. The report will provide an update on the customized central database for tracking UCP complaints and appeals and plans to engage stakeholders to review potential legislative and regulatory changes. Education is updating policies and procedures as necessary and to be consistent with legislative and regulatory changes.

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

We will review Education's future responses to assess its efforts in working with the Legislature to address this recommendation.

6-Month Agency Response

Education continues to not concur with the recommendation for the reasons set forth in our prior responses, but remains committed to processing complaints and appeals as required.

Education was notified that the Legislature was interested in receiving additional information when the Senate Budget Subcommittee No. 1 proposed including the requirement for a report on legislative changes to the UCP process regarding timeframes for completion of investigations and reviews of appeals in the Senate's budget on May 17, 2017. As a result, supplemental report language was included in the 2017-18 state budget that was signed by the Governor on June 27, 2017. Education is now required to submit a report to the Legislature no later than November 30, 2017, with recommendations for any legislative changes to the Uniform Complaint Procedures (UCP) process on timeframes for completion of investigations and reviews of appeals. The required report shall also include an update on Education's efforts to centralize tracking of UCP complaints and appeals and to streamline UCP processes across divisions. Education anticipates follow-up discussions with the Legislature as a result of the information provided in the report.

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

We will review Education's future responses to assess its efforts in working with the Legislature to address this recommendation.

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, to ensure efficiency and timeliness when processing complaints and appeals, Education is: (1) developing a centralized database that can increase coordination within the department; (2) increasing internal communication when a referral is necessary; (3) having internal discussions on implementing uniform policies and procedures across all division offices processing UCPs; and (4) initiating discussions with the Legislature in regard to establishing consistency in statute.

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

The steps that Education outlines are not adequate to ensure implementation of our recommendation. Without having a formal mechanism to monitor the divisions' decisions and reports on complaints and appeals, Education cannot ensure that its divisions' decisions and reports on complaints and appeals comply with requirements.

All Recommendations in 2016-109

Agency responses received are posted verbatim.