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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 2022-2023

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 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. 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 California Code of Regulations, Title 5 (5 CCR) sections 4600-4694 (July 1, 2020) and are for the twenty-three 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 and pupils formerly in Juvenile Court now enrolled in a school district; 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; 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, conditions of facilities that are not maintained in a clean or safe manner or in good repair, and/or teacher vacancy or misassignment.

The 2022-2023 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 2022-23 year please go to your agency’s file on the California Monitoring Tool (CMT) for sample UCP documents. You'll find 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 01-Jul-2022)
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.

UCP 1

2022-2023 Sample UCP Policies and Procedures (DOCX; Posted 01-Jul-2022)
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 or authorized designee and that they are compliant each year. Please click on the title link above for a copy of the 2022-2023 Sample UCP Policies and Procedures.

UCP 2

2022-2023 Sample UCP Annual Notice (DOCX; Posted 01-Jul-2022)
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. The use of this particular sample is not required. 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 2022-2023 Sample UCP Annual Notice.

Translations of the 2022-2023 Sample UCP Annual Notice

2022-2023 Distribution of the UCP Annual Notice (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, DELAC, LCAP, etc.); 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).

For LEA staff with a scheduled FPM review for UCP in the 2022-2203 year please go to your agency’s file on the California Monitoring Tool (CMT) for sample UCP documents. You'll find the 2022-2023 Distribution of the UCP Annual Notice in the UCP section in the "FPM Box."

UCP 3

2022-2023 Sample Uniform Complaint Procedures (UCP) Complaint Log (for online FPM reviews only) (DOCX; Posted 01-Jul-2022)
The Sample UCP Complaint Log is a tool designed to assist LEAs 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. Please click on the title link above for a copy of the 2022-2023 Sample Uniform Complaint Procedures (UCP) Complaint Log.

2022-2023 Self-certification for UCP 3 (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.

For LEA staff with a scheduled FPM review for UCP in the 2022-2023 year please go to your agency’s file on the California Monitoring Tool (CMT) for sample UCP documents. You'll find the 2022-2023 Self-certification for UCP 3 in the UCP section in the "FPM Box.

UCP 4

2022-2023 Sample Williams Complaint Policies and Procedures (DOCX; Posted 01-Jul-2022)
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. 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 or authorized designee and that they are compliant each year. Please click on the title link above for a copy of the 2022-2023 Sample Williams Complaint Policies and Procedures.

UCP 5

2022-2023 Sample Williams Complaint Classroom Notice (DOCX; Posted 01-Jul-2022)
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. Please click on the title link above for a copy of the 2022-2023 Sample Williams Complaint Classroom Notice.

Translations of the 2022-2023 Sample Williams Complaint Classroom Notice

2022-2023 Self-certification for UCP 5 for Online Reviews (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.

For LEA staff with a scheduled FPM review for UCP in the 2022-2023 year please go to your agency’s file on the California Monitoring Tool (CMT) for sample UCP documents. You'll find the 2022-2023 Self-certification for UCP 5 in the UCP section in the "FPM Box.

UCP 6

2022-2023 Sample Williams Complaint Form (DOCX; Posted 01-Jul-2022)
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. Please click on the title link above for a copy of the 2022-2023 Sample Williams Complaint Form.

Translations of the 2022-2023 Sample Filing a Williams Complaint

Questions:   Categorical Programs Complaints Management Office | 916-319-0929
Last Reviewed: Monday, June 27, 2022
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