Uniform Complaint Procedures Monitoring

Federal Program Monitoring (FPM) Uniform Complaint Procedures (UCP) Resources for 2023–24

Local educational agencies (LEAs), such as school districts, direct-funded charter schools, and county offices of education, that receive state and/or federal funding for certain categorical programs may be chosen for a Uniform Complaint Procedures (UCP) evaluation during a Federal Programs Monitoring (FPM) review by the California Department of Education (CDE).

LEAs are responsible for creating and maintaining documents for the UCP process adopted by their governing board or authorized designee that follows specifications as required by law, particularly the California Code of Regulations, Title 5 (5 CCR) sections 4600–4694, revised and published July 1, 2020. These regulations are compiled in the UCP Instrument which is annually reviewed. The purpose of the UCP review is to ensure that LEAs are meeting the minimum requirements of these UCP process specifications according to the current UCP Instrument. The CDE Categorical Programs Complaints Management (CPCM) Office monitors the UCP process and provides a coordinated and transparent course of action for monitoring the UCP process. The information below contains UCP Resources of required documents to be submitted for evidence for the UCP portion of the FPM reviews.

The UCP Resources meet all 5 CCR sections 4600–4694 and are for the twenty-two programs and activities that are currently subject to the UCP such as:

• Accommodations for Pregnant and Parenting Pupils
• Adult Education
• After School Education and Safety
• Agricultural Career Technical Education
• Career Technical and Technical Education and Career Technical and Technical Training Programs
• Child Care and Development Programs
• Compensatory Education
• Consolidated Categorical Aid Programs
• Course Periods without Educational Content
• Discrimination, harassment, intimidation, or bullying against any protected group as identified under sections 200 and 220 and Section 11135 of the Government Code, including any actual or perceived characteristic as set forth in Section 422.55 of the Penal Code, or on the basis of a person’s association with a person or group with one or more of these actual or perceived characteristics, in any program or activity conducted by an educational institution, as defined in Section 210.3, that is funded directly by, or that receives or benefits from, any state financial assistance
• Educational and graduation requirements for pupils in foster care, pupils who are homeless, pupils from military families, pupils formerly in Juvenile Court now enrolled in a school district, pupils who are migratory, and pupils participating in a newcomer program
• Every Student Succeeds Act
• Local Control and Accountability Plans (LCAP)
• Migrant Education
• Physical Education Instructional Minutes
• Pupil Fees
• Reasonable Accommodations to a Lactating Pupil
• Regional Occupational Centers and Programs
• School Plans for Student Achievement
• Schoolsite Councils
• State Preschool
• State Preschool Health and Safety Issues in LEAs Exempt from Licensing
• And any other state or federal educational program the State Superintendent of Public Instruction (SSPI) or designee deems appropriate.

In addition, for the Williams Settlement requirements, the UCP Resources meet requirements for Williams Complaint issues that are subject to the UCP process such as:

• Deficiencies related to instructional materials.
• Teacher vacancy or misassignments.
• Conditions of facilities that are not maintained in a clean or safe manner or in good repair.

The 2023–24 UCP Resources below are primarily used for FPM reviews, but any agency that receives state and/or federal funding for certain categorical programs may utilize the documents on this page for meeting the state and federal requirements regarding UCP.

For LEA staff with a scheduled FPM review for UCP in the 2023–24 year please go to your agency’s file on the California Monitoring Tool (CMT) for sample UCP documents. You will find additional helpful documents in the UCP section in the "FPM Box."

The Uniform Complaint Procedures (UCP) Monitoring Review

How to Have a Successful Uniform Complaint Procedures (UCP) Review (DOCX; Posted 17-Jul-2023)
LEAs that receive state and/or federal funding for certain categorical programs may be chosen for a UCP evaluation during an FPM review. The purpose is to ensure that these LEAs are following program specifications as required by law. The CPCM Office provides a coordinated and transparent course of action to assist agency coordinators and UCP program staff for a successful UCP review. The information here is developed for LEA staff who work directly with the UCP in their LEAs. However, all LEAs are welcome to utilize the following suggestions for meeting UCP requirements.

Uniform Complaint Procedures (UCP) 2023-24 Program Instrument

2023-24 Uniform Complaint Procedures (UCP) Program Instrument (DOCX; Posted 17-Jul-2023)
The UCP Program Instrument contains federal and state legal requirements. FPM team members use program instruments to determine whether an LEA is meeting the requirements of each item. The UCP Program Instrument is developed and reviewd by the CDE on an annual basis and may change from year to year to respond to changes in federal or state law, regulations, or controlling judicial decisions.

UCP 1

2023–24 Sample UCP Policies and Procedures (DOCX; Posted 17-Jul-2023)
LEAs, including charter schools, are required to establish UCP policies and procedures consistent with 5 CCR sections 4600–4694. The Sample UCP Policies and Procedures is a single document provided by the CDE that meets federal and state requirements for the investigation and resolution of UCP complaints filed at the LEAs. LEAs must ensure that their UCP policies and procedures are approved and adopted by their governing boards or authorized designee and that they are compliant each year. Please click on the title link above for a copy of the 2023–24 Sample UCP Policies and Procedures. The use of this sample is not required.

UCP 2

2023–24 Sample UCP Annual Notice (DOCX; Posted 17-Jul-2023)
The Sample UCP Annual Notice will assist LEAs in meeting 5 CCR Section 4622, the requirement to annually notify in writing the LEA’s stakeholders of their UCP process. Stakeholders consist of students; employees; parents or guardians; district and school advisory committees (such as English Learner Advisory Committee (ELAC), Schoolsite Council (SSC), District English Learner Advisory Committee (DELAC), Local Control and Accountability Plan (LCAP), etc.); private school officials and other interested parties. This Sample UCP Annual Notice includes all language and components of required elements. Please click on the title link above for a copy of the 2023–24 Sample UCP Annual Notice. The use of this sample is not required.

For LEAs with a scheduled FPM review for UCP in the 2023–24 year please go to your agency’s file on the California Monitoring Tool (CMT) for sample UCP documents. You can find the 2023–24 Distribution of the UCP Annual Notice in the UCP section in the "FPM Box".

UCP 3

2023–24 Sample Uniform Complaint Procedures (UCP) Complaint Log (DOCX; Posted 17-Jul-2023) (for online FPM reviews only)
The Sample UCP Complaint Log is a tool designed to assist LEAs in preparing for the FPM online review of UCP 3. However, LEAs are required to provide the CDE information about the complaints received within a 12-month period in order for the CDE to complete its monitoring review of UCP 3. Please click on the title link above for a copy of the 2023–24 Sample UCP Complaint Log. The use of this sample is not required.

For LEA staff with a scheduled FPM review for UCP in the 2023–24 year please go to your agency’s file on the CMT for sample UCP documents. You can find the 2023–24 Self-certification for UCP 3 in the UCP section in the "FPM Box".

UCP 4

2023–24 Sample Williams Complaint Policies and Procedures (DOCX; Posted 17-Jul-2023)
LEAs, including charter schools, are required to establish Williams Complaint policies and procedures consistent with 5 CCR sections 4680–4687. The Sample Williams Complaint Policies and Procedures is a single document provided by the CDE that meets state requirements for the investigation and resolution of Williams complaints filed at the LEAs. LEAs must ensure that their Williams Complaint policies and procedures are approved and adopted by their governing boards or authorized designee and that they are compliant each year. Please click on the title link above for a copy of the 2023–24 Sample Williams Complaint Policies and Procedures. The use of this sample is not required.

UCP 5

2023–24 Sample Williams Complaint Classroom Notice (DOCX; Posted 17-Jul-2023)
The Sample Williams Complaint Classroom Notice is provided by the CDE for LEAs to explain the complaint process for Williams-related issues. LEAs are required to post the Williams Complaint Classroom Notice in each classroom of each school, notifying all parents/guardians, pupils, and teachers of their rights to file a complaint about possible insufficient instructional materials, unclean and/or unsafe school facilities, and/or teacher vacancies and/or misassignments according to 5 CCR Section 4684(a). Please click on the title link above for a copy of the 2023–24 Sample Williams Complaint Classroom Notice. The use of this sample is not required.

For LEA staff with a scheduled FPM review for UCP in the 2023–24 year please go to your agency’s file on the CMT for sample UCP documents. You'll find the 2023–24 Self-certification for UCP 5 in the UCP section in the "FPM Box".

UCP 6

2023–24 Sample Williams Complaint Form (DOCX; Posted 17-Jul-2023)
The Sample Filing a Williams Complaint in a Local Educational Agency (LEA) is for LEAs to make available to anyone who wants to file a complaint regarding Williams-related issues. A Williams issue concerns deficiencies related to instructional materials, conditions of facilities that are not maintained in a clean or safe manner or in good repair, and/or teacher vacancy or misassignment. This sample contains elements required by EC Section 35186 and 5 CCR sections 4600–4687. Please click on the title link above for a copy of the 2023–24 Sample Williams Complaint Form. The use of this sample is not required.