Report 2012-108 Recommendation 17 Responses

Report 2012-108: School Safety and Nondiscrimination Laws: Most Local Educational Agencies Do Not Evaluate the Effectiveness of Their Programs, and the State Should Exercise Stronger Leadership (Release Date: August 2013)

Recommendation #17 To: Education, Department of

To provide stronger leadership with respect to school safety and nondiscrimination laws, Education, with direction from the superintendent of public instruction, should prioritize the review of parent, student, guardian, or interested party appeals to ensure that the EO office follows state regulations by processing appeals more promptly, notifying LEAs of when appeals are filed, and obtaining the investigation files and other documents when reviewing complaint appeals.

Agency Response*

Fully implemented. As a result of the establishment of the Education Equity UCP Appeals Office (EEUCPAO), Education has processes in place that allow the prioritization of the review of parent, student, guardian, and interested party appeals, while ensuring that state regulations are followed and the processing of appeals are completed timely. In addition, Education notifies LEAs when appeals are filed, and obtains the investigation files and other documents when reviewing complaint appeals. For a summary of Education's processes for handling UCP appeals, please see Attachment 8.

  • Response Type†: Annual Follow Up
  • Completion Date: April 2015
  • Response Date: November 2016

California State Auditor's Assessment of Status: Fully Implemented


Agency Response*

Education continues to review the Uniform Complaint Procedures (UCP) and update/revise the process on an as-needed basis to remain in compliance with

state regulations. In 2014-15, Education Equity UCP Appeals Office (EEUCPAO) was established. The EEUCPAO consists of a Staff Services Manager I, an Associate Governmental Program Analyst, and a part-time retired-annuitant. The main purpose of the EEUCPAO is to review and process all appeals and complaints in accordance with all applicable regulations and timelines.

  • Response Type†: Annual Follow Up
  • Completion Date: April 2015
  • Response Date: October 2015

California State Auditor's Assessment of Status: Partially Implemented

Although Education has established an Education Equity UCP Appeals Office to review UCP appeals, it has yet to create policies and procedures for this office. The creation of policies and procedures will help ensure Education follows state regulations on processing appeals more promptly, notifying LEAs of when appeals are filed, and obtaining the investigation files and other documents when reviewing complaint appeals.

  • Auditee did not address all aspects of the recommendation

Agency Response*

Education continues to review the Uniform Complaint Procedures and update/revise the process on an as-needed basis to remain in compliance with state regulations. Currently, Education is in the process of securing funding to support three positions for the sole purpose of reviewing and processing the appeals, according to regulations, and in compliance with all federal timelines.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: December 2014
  • Response Date: October 2014

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

Education continues to review the Uniform Complaint Procedures and update/revise the process on an as-needed basis to remain in compliance with state regulations. Currently, Education is in the process of securing funding to support three positions for the sole purpose of reviewing and processing the appeals, according to regulations, and in compliance with all federal timelines.

  • Response Type†: 1-Year
  • Estimated Completion Date: December 2014
  • Response Date: September 2014

California State Auditor's Assessment of Status: Pending


Agency Response*

Education will continually revise Uniform Complaint Procedures to improve compliance with state regulations regarding: (1) the intake of appeals; (2) notification letters to parents and LEAs; (3) gathering and reviewing documentation from LEAs; and (4) communication with parents and LEAs.

  • Response Type†: 6-Month
  • Completion Date: March 2014
  • Response Date: March 2014

California State Auditor's Assessment of Status: Partially Implemented

Education created a document that outlines the steps to take when reviewing UCP appeals. However, Education stated additional staff is needed to ensure timely review of UCP appeals, and it is considering how to obtain this additional staffing.

  • Auditee did not substantiate its claim of full implementation

Agency Response*

Education is revising Uniform Complaint Procedures to improve compliance with state regulations regarding: (1) the intake of appeals; (2) notification letters to parents and local educational agencies; (3) gathering and reviewing documentation from local educational agencies; and (4) communication with parents and local educational agencies.

  • Response Type†: 60-Day
  • Estimated Completion Date: 2013-14
  • Response Date: November 2013

California State Auditor's Assessment of Status: Pending


All Recommendations in 2012-108

†Response Type refers to the interval in which the auditee is providing the State Auditor with their status in implementing recommendations made in an audit report. Auditees must submit a response regarding their progress in implementing recommendations from our reports at three intervals from the release of the report: 60 days, six months, and one year or subsequent to one year.

*Agency responses received after June 2013 are posted verbatim.


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