Report 2017-116 Recommendation 17 Responses

Report 2017-116: Community Child Care Council of Santa Clara County: Because It Disadvantaged Some Families and Misused State Funds, It Could Benefit From Increased Monitoring by the California Department of Education (Release Date: April 2018)

Recommendation #17 To: Community Child Care Council of Santa Clara County

To ensure that it maintains the integrity and impartiality of its HR investigations, 4Cs should implement controls by October 2018 to ensure that it consistently follows its HR investigation process for all complaints, and it should maintain proper documentation of all actions taken.

60-Day Agency Response

The agency has reviewed the investigation process and has modified the HR Investigation Checklist to specify which items on the checklist are required or are optional and has been designated as, If Applicable. By adding the "required" notation in the checklist this will alert the assigned investigator that those items must be followed and processed, this will ensure that all complaints processed will include the same "required" items.

One of the "required" items on the checklist is, "the accused person informed of decision". Since this item is now noted as "required" the assigned investigator must complete this item. This means that any actions taken will be communicated to the necessary persons and that any actions taken will be documented in the investigation file.

The checklist will now also require the investigator to sign off on the checklist certifying that all items checked off are completed and are included in the confidential investigation file. This will ensure that documentation is maintained and accounted for.

(Supporting documentation submitted, "HR Investigation Checklist" and "4C Council HR Investigation Process")

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

Based on its response and supporting documentation, it appears that 4Cs implemented controls that, if followed properly, will allow it to maintain the integrity and impartiality of its HR investigations.

All Recommendations in 2017-116

Agency responses received are posted verbatim.