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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 for 2020-2021

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 their own board-approved UCP process that follows specifications as required by law, particularly the California Code of Regulations, Title 5 (5 CCR) sections 4600-4694. The purpose of the UCP review is to ensure that LEAs are meeting the minimum requirements of these UCP process specifications. The Categorical Programs Complaints Management (CPCM) office at CDE monitors the UCP process and provides a coordinated and transparent course of action for monitoring the UCP process. This information contains UCP Resources of all required documents to be submitted for evidence for the UCP portion of the FPM reviews.

The UCP Resources meet all California Code of Regulations, Title 5 (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 Education (federal); Child Care and Development; Compensatory Education; Consolidated Application; Course Periods without Educational Content; Education of Pupils in Foster Care, Pupils who are Homeless, former Juvenile Court Pupils now enrolled in a school district and Children of Military Families; 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; School Safety Plans; Schoolsite Councils; State Preschool; and State Preschool Health And Safety Issues In LEAs Exempt From Licensing.

In addition, for LEAs and for Charter schools that opted in to 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, conditions of facilities that are not maintained in a clean or safe manner or in good repair, and/or teacher vacancy or misassignment.

The 2020-2021 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.

The Uniform Complaint Procedures (UCP) Monitoring Review

How to Have a Successful Uniform Complaint Procedures (UCP) Review (DOCX; Posted 01-Jul-2020)
LEAs that receive state and 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 Categorical Programs Complaints Management (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.

Required UCP Language and Components of Required Elements

2020-2021 UCP Comparison Information (DOCX; Posted 01-Jul-2020) (formerly UCP Checklist)
The UCP Comparison Information (formerly UCP Checklist) is a comprehensive set of required statements to be included in the six different UCP items below according to the California Code of Regulations, Title 5 (5 CCR) sections 4600-4687 of your local educational agency (LEA). Please review the required statements in this 2020-2021 UCP Comparison Information document and compare the required language with the language in your LEA’s UCP documents; e.g. policies, procedures, annual notice, investigation process, Williams Complaint policies and procedures, Williams Complaint classroom notice and Williams Complaint form.

UCP 1

2020-2021 Sample UCP Policies and Procedures (DOCX; 01-Jul-2020)
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. The use of this particular sample is not required. LEAs must ensure that their UCP policies and procedures are approved and adopted by their governing boards and that they are compliant each year.

Sample Memorandum of Understanding Regarding a Local Educational Agency (LEA) Authorized Designee (DOCX; Posted 01-Jul-2020)
According to 5 CCR section 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, CDE 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, the LEA must provide evidence of delegation by way of a Memorandum of Understanding on the CDE Monitoring Tool (CMT) before the scheduled onsite or online FPM review. The Memorandum of Understanding will help to avoid a finding in cases when policies and procedures were not approved by an LEA’s governing board.

UCP 2

2020-2021 Sample UCP Annual Notice (DOCX; Posted 01-Jul-2020)
The Sample UCP Annual Notice will assist LEAs, including Charter schools, in meeting 5 CCR section 4622, the requirement to annually notify in writing the LEA’s stakeholders of their UCP. Stakeholders consist of students; employees; parents or guardians; district and school advisory committees (such as ELAC, SSC, DAC, DELAC, and LCAP); private school officials and other interested parties. The use of this particular sample is not required. This Sample UCP Annual Notice includes all language and components of required elements.

Translations of the 2020-2021 Sample UCP Annual Notice

2020-2021 Distribution of the UCP Annual Notice (DOCX; Posted 01-Jul-2020) (for both on-site and online FPM reviews)
The Distribution of the UCP Annual Notice is a questionnaire provided by the CDE for LEAs, including Charter schools, to complete before its FPM on-site or online review. This record confirms the distribution of a valid UCP Annual Notice to agency stakeholders by the end of the current school year. Stakeholders consist of students; employees; parents or guardians; district and school advisory committees (such as ELAC, SSC, DAC, DELAC, and LCAP); private school officials and other interested parties. The use of this particular document is not required but the information specified therein needs to be provided on the CDE Monitoring Tool (CMT).

UCP 3

2020-2021 Sample Uniform Complaint Procedures (UCP Log) (DOCX; Posted 01-Jul-2020) (for online FPM reviews only)
The Sample UCP Complaint Log is a tool designed to assist LEAs, including Charter schools, in preparing for the FPM online review of UCP 3. The use of this particular 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.

2020-2021 Self-certification for UCP 3 for Online Reviews (DOCX; Posted 01-Jul-2020) (for online FPM reviews only)
The Self-certification for UCP 3 is 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. The use of this particular sample is required for those scheduled with an online FPM review only.

UCP 4

2020-2021 Williams Complaint Policies and Procedures (DOCX; Posted 01-Jul-2020)
LEAs, including Charter schools, are required to establish Williams Complaint policies and procedures consistent with 5 CCR sections 4680-4687. Charter schools may opt out of this Williams Settlement requirement. 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. The use of this particular sample is not required. LEAs must ensure that their Williams Complaint policies and procedures are approved and adopted by their governing boards and that they are compliant each year.

2020-2021 Sample Memorandum of Understanding Regarding a Local Educational Agency (LEA) Authorized Designee (DOCX; Posted 01-Jul-2020)
According to 5 CCR section 4621 (a) “Each LEA shall adopt policies and procedures ... 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, CDE 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, the LEA must provide evidence of delegation by way of a Memorandum of Understanding on the CDE Monitoring Tool (CMT) before the scheduled onsite or online FPM review. The Memorandum of Understanding will help to avoid a finding in cases when policies and procedures were not approved by an LEA’s governing board.

UCP 5

2020-2021 Sample Williams Complaint Classroom Notice (DOCX; Posted 01-Jul-2020)
The Sample Williams Complaint Classroom Notice is provided by the CDE for LEAs to explain the complaint 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 section 4684(a). The use of this particular sample is not required.

Translations of the 2020-2021 Sample Williams Complaint Classroom Notice

2020-2021 Self-certification for UCP 5 for Online Reviews (DOCX; Posted 01-Jul-2020) (for online FPM reviews only)
The Self-certification for UCP 5 is 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. The use of this particular sample is required for those scheduled with an online FPM review only.

UCP 6

2020-2021 Filing a Williams Complaint in a Local Educational Agency (LEA) (DOCX; Posted 01-Jul-2020)
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. The use of this particular sample is not required. 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 California Education Code (EC) Section 35186 and 5 CCR sections 4600-4687.

Translations of the 2020-2021 Sample Filing a Williams Complaint

Questions:   Categorical Programs Complaints Management Office | 916-319-0929
Last Reviewed: Wednesday, July 08, 2020
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