Report 2013-124 Recommendation 5 Responses

Report 2013-124: Sexual Harassment and Sexual Violence: California Universities Must Better Protect Students by Doing More to Prevent, Respond to, and Resolve Incidents (Release Date: June 2014)

Recommendation #5 To: University of California

The Office of the President should direct all of the universities within the UC system to comply with the recommendations in this audit report. Also, to ensure that its universities are complying with Title IX requirements, the Office of the President should conduct routine Title IX reviews. When conducting these compliance reviews, the Office of the President should determine whether universities have implemented this report's recommendations.

Annual Follow-Up Agency Response From November 2017

The Office of Ethics, Compliance and Audit Services has contracted with a third party to conduct Title IX compliance reviews at each University location. The locations were evaluated for compliance with UC policy, campus local procedures, guidance from the Office of Civil Rights, and the recommendations from California State Auditor Report 2013-124. If a location was found to be not in compliance with recommendations from the State audit, this was noted as an observation in the report. Management is developing and implementing action plans to respond to the recommendations in the reports. The Office of Ethics, Compliance and Audit Services will periodically follow up on the status of these actions plans.

  • Completion Date: October 2017

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

The third party that UC's response refers to conducted Title IX reviews during 2016 and 2017, and these reports indicate that the recommendations of our report were among those items reviewed. Additionally, UC's Office of Ethics, Compliance and Audit Services has announced plans to conduct routine Title IX compliance reviews at each university location at least once every three years. The scope of the reviews will be determined based on a preliminary risk assessment and at a minimum will include an assessment of the location's implementation of recommendations from our report.


Annual Follow-Up Agency Response From October 2016

The Office of Ethics, Compliance, and Audit Services has made visits to each of the UC campuses to review implementation of the President's Task Force Recommendations and determine each campus status. Ongoing monitoring is occurring regarding implementation. Additionally, Title IX compliance audits have been conducted by a third party to assure Title IX compliance. Management will be developing and implementing action plans to respond to observations in fiscal year 2016-17.

  • Completion Date: October 2016

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Although the Office of Ethics, Compliance, and Audit Services has begun conducting Title IX reviews, the reviews focus on implementation of the President's Task Force Recommendations. Officials stated the Task Force recommendations incorporate the State Auditor's recommendations and that the Office of Ethics, Compliance, and Audit Services has directed all of the campuses to comply with the recommendations in the State Auditor's report and that those recommendations were referenced regularly in these discussions. However, it was unable to provide documentation that shows the status of all universities implementing each of our specific recommendations. Therefore, we have assessed this recommendation as partially implemented.

  • Auditee did not address all aspects of the recommendation

Annual Follow-Up Agency Response From September 2015

The Office of the President through the work of the President's Task Force on Preventing and Responding to Sexual Violence and Sexual Assault has instituted programs and processes for the system that address the recommendations in the audit report (http://www.ucop.edu/ethics-compliance-audit-services/_files/compliance/SVSA-jan-report.pdf). The Task Force developed key recommendations regarding reporting, the complaint processes, utilization of consistent nomenclature, uniform advocacy and case management services, and education and training. The systemwide Office of Audit Services has started routine Title IX audit reviews that will be included in internal audit plans. The reviews will cover all campuses and include an evaluation of the implementation of the recommendations in the audit report.

In the next year, the Office of Ethics, Compliance and Audit Services will make campus visits to assess the status of the implementation of the recommendations from this audit.

  • Estimated Completion Date: Ongoing

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


1-Year Agency Response

The Office of the President through the work of the President's Task Force on Preventing and Responding to Sexual Violence and Sexual Assault has instituted programs and processes for the system that address the recommendations in the audit report (http://www.ucop.edu/ethics-compliance-audit-services/_files/compliance/SVSA-jan-report.pdf). The Task Force developed key recommendations regarding reporting, the complaint processes, utilization of consistent nomenclature, uniform advocacy and case management services, and education and training. The systemwide Office of Audit Services has started routine Title IX audit reviews that will be included in internal audit plans. The reviews will cover all campuses and include an evaluation of the implementation of the recommendations in the audit report.

  • Completion Date: June 2015
  • Response Date: June 2015

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

Although the Office of the President has marked this recommendation as Fully Implemented, it is just initiating the Title IX reviews, which will include an evaluation of universities' implementation of our recommendations. In addition, some of the recommendations developed by the President's Task Force, which it refers to in its response, are also still in progress and are all not yet fully implemented. Therefore, we have assessed this recommendation as Partially Implemented.


6-Month Agency Response

The Office of the President is continuing its work to address all of the recommendations in the audit report across all UC campuses. The systemwide Office of Audit Services will ensure that routine Title IX reviews are included in internal audit plans beginning in fiscal year 2015-16. These reviews will include an evaluation of the implementation of the recommendations in this report.

  • Estimated Completion Date: Fiscal Year 2015-16
  • Response Date: December 2014

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


60-Day Agency Response

The Office of the President, UC Berkeley and UCLA are all working to address all of the recommendations in the audit report. The systemwide Office of Audit Services will ensure that routine Title IX reviews are included in internal audit plans beginning in fiscal year 2015-16. These reviews will include an evaluation of the implementation of the recommendations in this report.

  • Estimated Completion Date: Fiscal Year 2015-16
  • Response Date: August 2014

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


All Recommendations in 2013-124

Agency responses received are posted verbatim.


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