CALIFORNIA DEPARTMENT OF EDUCATION Tom Torlakson, State Superintendent of Public Instruction Uniform Complaint Procedures (UCP) Training Categorical Programs Complaints Management Office 2016 Title I Conference

TOM TORLAKSON State Superintendent of Public Instruction Training Purpose To gain an understanding of: An overview of Uniform Complaint Procedures New laws impacting the UCP Federal Program Monitoring Requirements UCP Complaint Process and Resolution Title I Case Study: Effective UCP Complaint Processing Resources and Contacts 2

TOM TORLAKSON State Superintendent of Public Instruction UCP Purpose The California Code of Regulations, Title 5, (5 CCR) Sections , describe the process for filing, investigating, and resolving a complaint regarding an alleged violation, by a local agency, of federal or state laws or regulations governing educational programs, including allegations of unlawful discrimination. UCP Complaints regarding Title 1 programs are authorized by the Code of Federal Regulations Section and 5 CCR 4610 (b). 3

TOM TORLAKSON State Superintendent of Public Instruction UCP Scope Educational Equity complaints (unlawful discrimination, harassment, intimidation, or bullying, student lactation services) “Williams” complaints Complaints regarding unlawful pupil fees Federal and state programs as authorized in California Education Code Local Control Funding Formula (LCFF) Every Student Succeeds Act (ESSA) 4

TOM TORLAKSON State Superintendent of Public Instruction Federal Categorical Aid Programs Every Student Succeeds Act (ESSA) of 2015: Title I – Improving Basic Programs Title II – Teacher Preparation and Recruitment Title III – English Learners and Immigrant Students Title IV – 21 st Century Schools Title V – Flexibility and Accountability Title VI – Indian, Native Hawaiian, and Alaska Native Education Title VII – Impact Aid 5

TOM TORLAKSON State Superintendent of Public Instruction New Laws SB 81 Adult Education (added COEs) AB 302 Student Lactation Services AB 379 Education of Foster and Homeless Youth AB 1012 Course Content AB 1391 Physical Education Minutes AB 827 Lesbian, Gay, Bisexual, Transgender and Questioning (LGBTQ) Resources* * 6

TOM TORLAKSON State Superintendent of Public Instruction Federal Program Monitoring UCP Documents to be Uploaded UCP 1 Policies and Procedures One set of the local governing board-approved UCP policy and procedures UCP 2Annual Notice One sample UCP annual notice in English – format examples: flyer, handbill, leaflet, brochure, pamphlet (a second sample in another language is acceptable) UCP 3Implementation On-site reviews - no document is needed; online reviews only – one local educational agency (LEA) Self-certification for UCP 3 form, one complaint log UCP 4 Williams Complaints Policies and Procedures One set of the local governing board-approved Williams Complaints Policy and Procedures UCP 5 Williams Complaints Classroom Notice One sample Williams Complaints Classroom Notice in English (a second sample in another language is acceptable), and for online reviews only, an LEA Self-certification UCP 6 Williams Complaints Form One sample Williams Complaints form in English (a second sample in another language is acceptable) 7

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (General) How to file: In writing. Where/with whom the complaint is originally filed: Usually, school principal or LEA superintendent. See local school or LEA’s complaint procedures. Who can file: Any individual, including a person's duly authorized representative or an interested third party, public agency, or organization alleging violation of federal or state laws or regulations (for definitions, consult your LEA’s legal counsel). 8

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) (General) Complaint Timelines: Filing: If no statute of limitations is legally established, it is generally accepted that there is a 3-year statute of limitations on complaints. This arises from the fact that LEAs are only required to keep records for three years with regards to categorical program funds. Consult your LEA’s legal counsel for further guidance on this issue. Response: LEA must respond within 60 calendar days. This time period may be extended with the written consent of the complainant. 9

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) (General) The written response must include all of the following components: the findings of fact based on the evidence gathered, conclusion of law, disposition of the complaint, the rationale for such disposition, corrective actions, if any are warranted, notice of the complainant's right to appeal the LEA’s decision to the California Department of Education (CDE), and procedures to be followed for initiating an appeal to the CDE. 10

TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process (General) 11 Complainant’s Rights to Appeal Qualify for appeal? Yes, if allegations fall under the scope of the UCP. Where to appeal: CDE (various divisions) How to appeal: The complainant shall comply with the appeal requirements of 5 CCR Section (5 CCR Section 4687): – In writing, with signature – Must identify the basis for the appeal by identifying: (1) which facts are incorrect; or (2) which law is being misapplied – Appeal packet must contain a copy of the original complaint and the LEA’s decision

TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process (Cont.) (General) Appeal Timelines: Filing: May appeal an LEA’s decision to the CDE by filing a written appeal within 15 calendar days of receiving an LEA’s decision. Response: The CDE must respond within 60 calendar days. No extensions are allowed for pupil fee appeals. 12

TOM TORLAKSON State Superintendent of Public Instruction Consequences of Failing to Comply with UCP 5 CCR Section 4670(a) The withholding of all or part of the local agency's relevant state or federal fiscal support in accordance with state or federal statute or regulation; Probationary eligibility for future state or federal support, conditional on compliance with specified conditions; Proceeding in a court of competent jurisdiction for an appropriate order compelling compliance. 13

TOM TORLAKSON State Superintendent of Public Instruction Questions? 14

TOM TORLAKSON State Superintendent of Public Instruction Resources and Contacts UCP Brochure and Sample Documents: Categorical Programs Complaints Management Office Celina Arias-Romero, Administrator

TOM TORLAKSON State Superintendent of Public Instruction 16 UCP Contacts The information provided in this training applies only to complaints under the jurisdiction of the Categorical Programs Complaints Management (CPCM) Office. For information regarding UCP complaints outside of our jurisdiction, please contact the appropriate CDE program office. Program or Service Phone Number Adult Education Agricultural Vocational Education Career Technical Education Child Care and Development (including State Preschool) Educational Equity (Discrimination, Harassment, Intimidation, Bullying and Civil Rights Guarantees, LGBTQ Resources, Student Lactation Services) Facilities Federal Class Size Reduction Initiative (K-3) Local Control Funding Formula (LCFF) - Content or Procedures Foster and Homeless Education Program or Service Phone Number Local Control Funding Formula (LCFF)- Fiscal Migrant Education ESSA: Titles I- VII Nutrition Services (including child nutrition) Regional Occupational Centers and Programs Special Education Tobacco-Use Prevention Education Physical Education Minutes