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Uniform Complaint Procedures Monitoring

Guidance for local educational agencies to meet compliance with Uniform Complaint Procedures (UCP) monitoring.

Federal Programs Monitoring (FPM) Uniform Complaint Procedures (UCP) Resources

These UCP resources are for all local educational agencies (LEAs) for programs and activities that are subject to the UCP such as Adult Education, After School Education and Safety, Agricultural Vocational Education, American Indian Education Centers and Early Childhood Education Program Assessments, Bilingual Education, California Peer Assistance and Review Programs for Teachers, Career Technical and Technical Education; Career Technical; Technical Training, Career Technical Education, Child Care and Development, Child Nutrition, Compensatory Education, Consolidated Categorical Aid, Course Periods without Educational Content, Economic Impact Aid, Education of Pupils in Foster Care, Pupils who are Homeless, and former Juvenile Court Pupils now enrolled in a school district, English Learner Programs, Every Student Succeeds Act / No Child Left Behind (Titles I–VII), 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 Safety Plans, Special Education, State Preschool, and Tobacco-Use Prevention Education. FPM review documents are for agencies scheduled for an FPM review; however, any LEA may utilize the following documents for meeting the state and federal requirements regarding UCP:

UCP Instrument

UCP Checklist for 2017-2018 (PDF; Posted 22-Jun-2017)
The UCP Checklist is a comprehensive list of required statements to be included in the six (6) different UCP policies, procedures, notices, and forms according to California Code of Regulations, Title 5 (5 CCR) §§ 4600-4687.

UCP 1

Sample UCP Policies and Procedures (DOC; Posted 22-Jun-2017)
LEAs are required to have established their own UCP policies and procedures consistent with 5 CCR §§ 4600-4687. The Sample UCP Policies and Procedures is a document provided by the CDE to assist LEAs in meeting the federal and state requirements for describing how LEAs process UCP complaints. This Sample UCP Policies and Procedures is a single document and includes all language and components of required elements. This document will assist LEAs in meeting the requirements to make available information in their areas for the investigation and resolution of UCP complaints according to 5 CCR § 4621(a). LEAs must ensure their UCP policies and procedures are approved and adopted by their governing boards and that the requirements remain current each year.

Sample Memorandum of Understanding for Authorized Designee (PDF; Posted 20-Jun-2017)
According to 5 CCR § 4621 (a) “Each LEA shall adopt policies and procedures not inconsistent with sections 4600-4695 of this chapter for the investigation and resolution of complaints... School Districts and County Offices of Education shall submit their policies and procedures to the local governing board for adoption.” During the FPM review, the Department of Education requires that UCP 1 (UCP Policies and Procedures) and UCP 4 (Williams Complaint Policies and Procedures) be approved and adopted by the LEA’s governing board. The date in which the documents are adopted by the local governing board is to be clearly indicated in the final copy of the policies and procedures. If, as a district policy, an LEA has an authorized designee to adopt all board policies and procedures instead of the local governing board, LEA staff must provide evidence of delegation by way of a Memorandum of Understanding to the UCP monitors before the scheduled onsite or online FPM review. The Memorandum of Understanding will help to avoid a finding for not complying with state regulations in cases where policies and procedures were not approved by an LEA’s governing board.

UCP 2

Sample UCP Annual Notice 2017-2018 (DOC; Posted 22-Jun-2017)
The Sample UCP Annual Notice will assist LEAs in meeting 5 CCR § 4622, the requirement to annually notify in writing the LEA’s stakeholders of their own UCP complaint process; stakeholders are their students, employees, parents/guardians of its pupils, the district advisory committee, school advisory committees, appropriate private school officials or representatives, and other interested parties. This Sample UCP Annual Notice includes all language and components of required elements.

Translations of the Sample UCP Annual Notice 2017-2018 (Coming soon)

Distribution of the UCP Annual Notice 2017-2018 (DOC; Posted 22-Jun-2017) (for both on-site and online FPM reviews)
The form for Distribution of the UCP Annual Notice is a questionnaire provided by the CDE for the LEA to complete before its FPM on-site or online review. This form confirms the distribution of a valid UCP Annual Notice to students, employees, parents or guardians, district and school advisory committee members, private school officials and other interested parties by the end of the current school year.

UCP 3

Sample UCP Complaint Log 2017-2018 (PDF; Posted 22-Jun-2017) (for online FPM reviews only)
The Sample UCP Complaint Log is a tool designed to assist LEAs in their preparation for the FPM online review of UCP 3. The use of this sample log is not required. 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.

Self-certification Form for UCP 3 2017-2018 (DOC; Posted 22-Jun-2017) (for online FPM reviews only)
The Self-certification for UCP 3 is a form provided by the CDE for the LEA to complete before its FPM online review declaring either: (A) the LEA had no UCP complaints within a 12-month period or (B) the proper implementation of the LEA's UCP process with the investigation and resolution of complaints alleging discrimination, harassment, intimidation, bullying, and/or a violation of a federal or state law or regulation governing programs and activities subject to the UCP including the final Decision.

UCP 4

Sample Williams Complaint Policies and Procedures (DOC; Posted 20-Jun-2017)
LEAs are required to have established their own Williams Complaint policies and procedures consistent with 5 CCR §§ 4600-4687. The Sample Williams Complaint Policies and Procedures is a document provided by the CDE to assist LEAs in meeting the state requirements for describing how LEAs process Williams complaints using the UCP. This Sample Williams Complaint Policies and Procedures is a single document and includes all language and components of required elements. This document will assist LEAs in meeting the requirements to make available information in their areas for the investigation and resolution of complaints about possible insufficient instructional materials, unclean and/or unsafe school facilities, and/or teacher vacancies and/or misassignments. LEAs must ensure their Williams Complaint policies and procedures are approved and adopted by their governing boards and that the requirements remain current each year.

Sample Memorandum of Understanding for Authorized Designee (PDF; Posted 22-Jun-2017)
The LEA adopted the UCP process in accordance with Chapter 5.1 (commencing with Section 4680) of 5 CCR, to resolve Williams Complaints regarding alleged deficiencies related to instructional materials, the condition of a facility that is not maintained in a clean or safe manner or in good repair, and teacher vacancy or misassignment. The LEA is required to have local policies and procedures that enable Williams Complaints to be handled through its UCP process. These complaints regard alleged deficiencies related to instructional materials, the condition of a facility that is not maintained in a clean or safe manner or in good repair, and teacher vacancy or misassignment. During the FPM review, the Department of Education requires that UCP 1 (UCP Policies and Procedures) and UCP 4 (Williams Complaint Policies and Procedures) be approved and adopted by the LEA’s governing board. The date in which the documents are adopted by the local governing board is to be clearly indicated in the final copy of the policies and procedures. If, as a district policy, an LEA has an authorized designee to adopt all board policies and procedures instead of the local governing board, LEA staff must provide evidence of delegation by way of a Memorandum of Understanding to the UCP monitors before the scheduled onsite or online FPM review. The Memorandum of Understanding will help to avoid a finding for not complying with state regulations in cases where policies and procedures were not approved by an LEA’s governing board.

UCP 5

Sample Williams Complaint Classroom Notice 2017-2018 (DOC; Posted 22-Jun-2017)
The Sample Williams Complaint Classroom Notice is provided by the CDE for LEAs to post in each classroom in each school to explain the complaints process for Williams-related issues. The 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 § 4684(a). Note that the translations of the Sample Williams Complaint Classroom Notice available in the link below are from December 2007 but meet all current, required language.

Available Translations of the Sample Williams Complaint Classroom notice
Note that translations of the Sample Williams Complaint Classroom Notice available in the link above are from December 2007 but still meet all current required language and components of required elements.

Self-certification Form for UCP 5 2017-2018 (DOC; Posted 22-Jun-2017) (for online FPM reviews only)
The Self-certification for UCP 5 is a form provided by the CDE for the LEA to complete before its FPM online review declaring the proper implementation of the UCP process, consistent with the Williams Complaint requirements found in 5.0 of the UCP Instrument.

UCP 6

Sample Williams Complaint Form (DOC; Posted 22-Jun-2017)
The Sample Williams Complaint Form 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 form contains elements required by California Education Code (EC) Section 35186 and 5 CCR sections 4600-4687. Note that the translations of the Sample Williams Complaint Form available in the link below are from December 2007 but meet all current, required language.

Available Translations of the Sample Williams Complaint Form
Note that translations of the Sample Williams Complaint Form available in the link above are from December 2007 but still meet all current required language and components of required elements.

Questions:   Categorical Programs Complaints Management Office | 916-319-0929
Last Reviewed: Friday, June 23, 2017
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