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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

The Uniform Complaint Procedures (UCP) covers alleged violations by local educational agencies (LEAs) (school districts, county offices of education, and charter schools) and local public or private agencies which receive direct or indirect funding from the State to provide any school programs, activities, or related services. The UCP resources below meet all California Code of Regulations, Title 5 (5 CCR) sections 4600-4687 and are 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 (State); Career Technical Education (Federal); 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, former Juvenile Court Pupils now enrolled in a school district, and Pupils in Military Families; 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.

For Charter schools that opted in to the Williams Settlement requirements and all other LEAs the Williams Complaint documents are for issues concerning 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 UCP resources below are primarily used for FPM review for school districts, county offices of education, and charter schools that are scheduled for an FPM review; however, any agency may utilize the documents on this page for meeting the state and federal requirements regarding UCP.

UCP Instrument

UCP Comparison Information (DOC; Posted 09-Jul-2018) (formerly UCP Checklist)
The UCP Required Statements (formerly UCP Checklist) is a comprehensive set of required statements to be included in the six (6) different UCP policies, procedures, reports, notices, and forms according to the California Code of Regulations, Title 5 (5 CCR) sections 4600-4687 of your local educational agency (LEA). Please review these required statements and compare with what is included in your LEA’s UCP documents.

UCP 1

Sample UCP Policies and Procedures (DOC; Posted 09-Jul-2018)
LEAs, including Charter schools, are required to establish UCP policies and procedures consistent with 5 CCR sections 4600-4687. 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 for Authorized Designee (DOC; Posted 09-Jul-2018)
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 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

Sample UCP Annual Notice 2018-2019 (DOC; Posted 09-Jul-2018)
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 Sample UCP Annual Notice 2018-2019

Distribution of the UCP Annual Notice 2018-2019 (DOC; Posted 09-Jul-2018) (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 LEAs, including Charter schools, to complete before its FPM on-site or online review. This form 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 form is not required but the information specified therein needs to be provided on CMT.

UCP 3

Sample UCP Complaint Log 2017/18 - 2018/19 (DOC; Posted 09-Jul-2018) (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.

Self-certification Form for UCP 3 2018-2019 (PDF; Posted 02-Aug-2018) (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. The use of this particular sample is required for those scheduled with an online FPM review only.

UCP 4

Sample Williams Complaint Policies and Procedures (DOC; Posted 09-Jul-2018)
LEAs, including Charter schools, are required to establish Williams Complaint policies and procedures consistent with 5 CCR sections 4600-4687. 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.

Sample Memorandum of Understanding for Authorized Designee (DOC; Posted 09-Jul-2018)
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 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

Sample Williams Complaint Classroom Notice 2018-2019 (DOC; Posted 09-Jul-2018)
The Sample Williams Complaint Classroom Notice is provided by the CDE for LEAs 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 section 4684(a). The use of this particular sample is not required.

Translations of the Sample Williams Complaint Classroom Notice 2018-2019

Self-certification Form for UCP 5 2018-2019 (PDF: Posted 02-August-2018) (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. The use of this particular sample is required for those scheduled with an online FPM review only.

UCP 6

Sample Williams Complaint Form (PDF: Posted 26-Jul-2018)
The Sample Williams Complaint Form 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 form contains elements required by California Education Code (EC) Section 35186 and 5 CCR sections 4600-4687.

Translations of the Sample Williams Complaint Form 2018-2019

Questions:   Categorical Programs Complaints Management Office | 916-319-0929
Last Reviewed: Friday, August 10, 2018
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