Uniform Complaint
Procedures
Categorical Programs Complaints
Management (CPCM) Unit
School and District
Accountability Division
California Department of Education
1
UCP Workshop Overview
 Welcome
 Introductions
 Powerpoint presentation
 Materials
 Guided practice
2
Materials in Workshop Packet

Agenda for workshop

Uniform Complaint Procedures (UCP) checklist

UCP sample brochure

Sample California Department of Education (CDE)
letter

CDE UCP contacts

Powerpoint presentation

Uniform Complaint Procedures

Title 5 California Code of Regulations
3
What is a UCP Complaint?
 An allegation about a possible
violation of federal and state law or
regulation
 A complaint that is related to the
California Code of Regulations, Title
5, Sections 4600-4671.
 A way to initiate resolution of
noncompliant issues related to the
law
4
UCP Related Programs
 Adult Education
 Career Technical Education
 Child Development
 Consolidated Programs
 Indian Education
 Migrant Education
 Nutrition Services
 Special Education
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Consolidated Categorical
Aid Programs (Federal)
No Child Left Behind Act of 2001
-Title
I (Basic Programs)
-Title
II (Teacher Quality and Technology)
-Title
III (Limited English Proficient)
-Title
IV (Safe and Drug Free Schools)
-Title
V (Innovative Strategies)
-Title
VI (Rural and Low Income School
Programs)
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Consolidated Categorical
Aid Programs (State)
 Economic Impact Aid / State Compensatory
Education (EIA/SCE)
 Economic Impact Aid / State Program for Students
of Limited English Proficiency (EIA/LEP)
 School Improvement
 Tenth-Grade Counseling
 Tobacco-Use Prevention Education (TUPE)
 Peer Assistance and Review (PAR)
 School Safety and Violence Prevention Act
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Special Education
 A public agency (other than a local educational
agency)
- Fails or refuses to follow provisions for free,
appropriate, public education
- Fails to comply with due process
procedures
 The complainant alleges that a student is not
receiving services specified in the student’s
individualized education program (IEP).
 Violation of federal law governing special
education
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Unlawful Discrimination
Title 5, California Code of Regulation Section
4610 Civil Rights Protection
Age
Sex
Sexual orientation
Gender
Ethnic identification
Race
Ancestry
National origin
Religion
Color
Mental disability
Physical disability
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Referrals to Other Agencies
 Rehabilitation Act of 1973 Section 504
- Office for Civil Rights
 Child Abuse
- Dept of Social Services, Protective Services
- Local Law Enforcement Agency
 Health and Safety/Child Development
- Department of Social Services
 General Education
- Local Education Agency
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Referrals to Other Agencies
(Cont.)
Discrimination / Nutrition Services
- U.S. Secretary of Agriculture
- U.S. Dept of Agriculture, West Region
Employment Discrimination
- Dept of Fair Employment and Housing
- Office for Civil Rights
Fraud
- CDE directors or legal counsel
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Responsibilities of a Local
Agency

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





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
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Hiring and evaluation of staff
Classroom assignments
Student advancement and retention
Selection and provision of textbooks and
materials
Student discipline
Provision of core curriculum subjects
Facilities
Graduation requirements
Homework policies and practices
Use of general education funds
Dress codes and school uniforms
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Filing a Complaint
Who can file?
Any person, public agency, or
organization is eligible to file.
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Complainant’s
Responsibilities
 Receive and read the annual written
notice of UCP from the district
 Follow the steps of the district UCP
complaint procedures
 File the complaint in writing with the
district’s complaint officer
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Complainant’s
Responsibilities (Cont.)
 Appeal to the state agency for
resolution (within 15 days) if
dissatisfied with the local agency
decision.
 Appeal to the State Superintendent of
Public Instruction (SSPI) if dissatisfied
with state agency’s determination.


Federal programs
U.S. Dept. of Education
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Local Agency Responsibilities
 Comply with statutes and regulations.
 Adopt policies and procedures to
resolve complaints.
 Protect complainants against retaliation.
 Ensure confidentiality for discrimination
complaints.
 Designate a responsible staff position
for receiving complaints.
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Local Agency Responsibilities
(Cont.)
Distribute annual notification
regarding the local
procedures to:
Students
Employees
Parents
Committees
Other interested parties
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Notification Requirements

Statement of purpose

Identification of with whom to file a
complaint

Description of complaint procedures

Applicable primary languages

Civil law remedies
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Local Agency Responsibilities
(Cont.)

Investigate, mediate and report to
the complainant within 60 days.

Give the complainant an opportunity
to present relevant information.

Prepare and forward a written report
of the decision to the complainant.

Advise the complainant of the 15-day
appeal rights timeline in the report.
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Local Agency Responsibilities
(Cont.)
If the local decision is appealed,
CDE will review the appeal and
may request the district to
provide the following information:



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The original complaint
Copy of local decision
Summary of local investigation
Action taken to resolve original
complaint
Copy of UCP procedures
Other relevant information
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CDE Responsibilities
CDE WILL REFER all
correspondence to the local
agency if the complaint
was not
originally filed
with the local agency.
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CDE Intervention
CDE will interfere if:
 The local agency fails to comply with
complaint procedures.
 Discrimination is alleged or there is an
indication of an immediate loss of
benefits, such as education or
employment for students
22
CDE Intervention (Cont.)
CDE will interfere if:
 The complainant requests anonymity
and has proven that retaliation has
occurred.
 The local agency fails to implement the
final decision resulting from a local
investigation or mediation process.
 The local agency fails to respond to the
complainant within 60 days.
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Mediation
Mediation involves the following
elements:

Trained mediator

Agreement consistent with laws and
regulations

Agreement sent to each party

Follow-up agreement provisions for
compliance

Completion within 60 days
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Investigation

Conduct fact - finding sessions.

Meet with complainant(s) and
agency personnel.

Investigate and exam information.

Interview agency personnel, parents,
and/or students.

Observe classroom activities.
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Investigative Report
An investigative report contains the
following information:

Allegation

Legal authority

Scope of investigation

CDE factual review

Findings and conclusions

Required actions
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Reconsideration of Report

Within 35 days, either party may
appeal to the SSPI to reconsider

SSPI has 15 days to reconsider
report
- Federal programs
4 U. S. Dept. of Education
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Resolution

Voluntary compliance

Conditional compliance
(probationary eligibility for fiscal
support)

Withholding of all or a part of
state/federal fiscal support

Compliance compelled through
court action
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UCP Contact Persons
Adult Education
Career Technical Education
Child Development
Jean Scott
Al Tweltridge
Terry Miller
Consolidated Categorical Aid Programs
Categorical
Programs Complaints Management Unit
Indian Education
Manuel Alfaro
Migrant Education
Manuel Alfaro
Nutrition Services
Eva Lopez-Contreras
Special Education
Procedural Safeguards
and Referral Services Unit
Nondiscrimination Requirements
Sharon Felix-Rochon
and Civil Rights Protections, Office of Equal Opportunity
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Uniform Complaint
Procedures
Categorical Programs Complaints
Management Unit
916 – 319 – 0929
Kathleen Seabourne, Manager
Stephanie Papas, Education Programs Consultant
Dr. Jacqueline Brownlee, Education Programs Consultant
Judy Reichle, Education Programs Consultant
Charlotte Keuscher-Barkman, Education Programs
Consultant
Sally Lewis, Analyst
Glenda Heath, Office Technician
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Guided Practice

Find your UCP annual notification.

Find out how and where the UCP
notification was disseminated to
students, employees, and parents.

Review the UCP notification by using the
UCP checklist.

Prepare and organize UCP information
for the Coordinated Compliance Review
(CCR).
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Guided Practice (Cont.)
Uniform Complaint Procedures Checklist
UCP 1
- Evidence of compliance with required
provisions of local policy and procedure
UCP 2
- Evidence of compliance with annual
notification requirements
UCP 3
- Evidence of proper implementation of the
mediation or investigation process
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Guided Practice (Cont.)
Yes
No
Elements
1. A statement of purpose regarding
compliance with federal and state
laws and regulations.
2. Includes all relevant programs
implemented in the district and civil
rights protections regarding ancestry,
color, ethnic group identification,
national origin, mental and/or
physical disability, race, religion, sex,
gender, sexual orientation.
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Questions?
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Extra!! Extra!!
If you would like to view this
information again, please visit our
Web site at:
http://www.cde.ca.gov
If you do not have access to the
Internet, please refer to the printed
workshop materials.
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Uniform Complaint Procedures Presentation