Report 2016-109 Recommendation 22 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 #22 To: Education, Department of

To ensure that its regulations are consistent and align with state and federal requirements, Education should revise its regulations to allow LEAs to extend investigations under exceptional circumstances that constitute good cause if the LEAs document and support with evidence the reasons for the extensions.

Annual Follow-Up Agency Response From October 2019

Education does not concur with the recommendation. The reference in the recommendation to "align with state and federal requirements" is unclear, since the report does not identify a state or federal requirement that provides for LEAs to do this. Additionally, UCP regulations currently provide that an LEA may extend its investigation time if the complainant agrees in writing [5CCR section 4631(a)]. Therefore, Education will not take any action on this recommendation.

California State Auditor's Assessment of Annual Follow-Up Status: Will Not Implement

We disagree that our text is unclear. In implementing our recommendation, we expect Education to consider any state and federal requirements that might govern the programs being covered under the UCP. For example, federal regulations governing Special Education complaints do not allow for an extension of the 60-day time frame.

Further, Education misses the point of our recommendation. The regulations allow an LEA to extend its investigation time if the complainant agrees in writing. However, the regulations allow Education to extend investigations under exceptional circumstances that constitute good cause. We believe the regulations should similarly allow LEAs the ability to extend investigations under exceptional circumstances that constitute good cause.

Annual Follow-Up Agency Response From October 2018

Education will commence a rulemaking proceeding to revise the Title 5 UCP regulations by March 31, 2019. In accord with the budget bill, Education has commenced a stakeholder workgroup focused on the issues raised in Education's 2018 legislative report regarding the UCP process update. Further, Assembly Bill 1808, Section 23 (2018) requires Education to provide recommendations from the workgroup in its annual report to the legislature due January 31, 2019.

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

1-Year Agency Response

Education continues to assess the feasibility of the action being requested in the recommendation.

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.

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

6-Month Agency Response

Education continues to assess the feasibility of the action being requested in the recommendation.

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 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

60-Day Agency Response

Education continues to assess the feasibility of the action being requested in the recommendation.

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2016-109

Agency responses received are posted verbatim.