Report 2016-109 Recommendation 9 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 #9 To: Education, Department of
To ensure that its regulations are consistent and align with state and federal requirements, by July 2017 Education should initiate revising its regulations to require its divisions to complete investigations of complaints and reviews of appeals related to all programs within 60 days of Education receiving them, including providing its decisions in writing to complainants, unless otherwise specified in statute or federal regulations.
Annual Follow-Up Agency Response From November 2019
Fully Implemented. Assembly Bill 1808 (2018) established Education Code, Sections 33315 (a) (4) and (5), which requires Education to complete investigation reports and appeal decisions within 60 days of receipt of the complaint, unless extended by written agreement with the complainant or if exceptional circumstances are documented and the complainant is informed.
Education is in compliance with the new requirement to complete investigation reports and appeal decisions within 60 days of receipt of a complaint. For the rare instances where Education cannot meet the timeline, the complainant is notified and documentation regarding the reason for the additional time is entered into the UCP database and reported out to the Legislature in our annual report.
- Completion Date: June 2018
California State Auditor's Assessment of Annual Follow-Up Status: Resolved
Assembly Bill 1808, Sections 33315(a)(4) and (5) establish a 60-day requirement for Education to respond to appeals. This requirement, in effect, implements our recommendation.
1-Year Agency Response
Education's position on this recommendation remains unchanged; no additional comments will be forthcoming.
- Response Date: February 2018
California State Auditor's Assessment of 1-Year Status: Will Not Implement
In its previous response Education stated that the reference to "align with state and federal requirements" in this recommendation is unclear, as the State Auditor's Office fails to identify any state or federal requirement with which Education's UCP is not currently aligned. This is the same language that it included in its initial response to the audit report. Similarly, we are also providing the same comment on its response: Our recommendation has two parts. The reference to aligning regulations with state and federal requirements refers to the second part of the recommendation (Recommendation 10) to allow Nutrition Services to investigate all complaints as direct intervention.
6-Month Agency Response
Education's status on this recommendation is unchanged; no additional comments will be forthcoming.
- Response Date: August 2017
California State Auditor's Assessment of 6-Month Status: Will Not Implement
In its previous response Education stated that the reference to "align with state and federal requirements" in this recommendation is unclear, as the State Auditor's Office fails to identify any state or federal requirement with which Education's UCP is not currently aligned. This is the same language that it included in its initial response to the audit report. Similarly, we are also providing the same comment on its response: Our recommendation has two parts. The reference to aligning regulations with state and federal requirements refers to the second part of the recommendation (Recommendation 10) to allow Nutrition Services to investigate all complaints as direct intervention.
60-Day Agency Response
Education cannot comment on this recommendation. The reference to "align with state and federal requirements" in this recommendation is unclear, as the CSA fails to identify any state or federal requirement with which Education's UCP is not currently aligned.
- Response Date: April 2017
California State Auditor's Assessment of 60-Day Status: Will Not Implement
Education has provided the same language that it included in its initial response to the audit report. Similarly we are also providing the same comment on its response: Our recommendation has two parts. The reference to aligning regulations with state and federal requirements refers to the second part of the recommendation (Recommendation 10) to allow Nutrition Services to investigate all complaints as direct intervention.
All Recommendations in 2016-109
Agency responses received are posted verbatim.