CALIFORNIA DEPARTMENT OF EDUCATION Tom Torlakson, State Superintendent of Public Instruction Uniform Complaint Procedures Complaint Processing Training for Local Educational Agencies Categorical Programs Complaint Management Office 2015

TOM TORLAKSON State Superintendent of Public Instruction Purpose To gain an understanding of: Uniform Complaint Procedures (UCP) purpose and scope Legal definitions Identifying and analyzing complaints UCP complaint process Non-categorical UCP complaints Frequently occurring issues Resources and contacts 2

TOM TORLAKSON State Superintendent of Public Instruction 3 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) Facilities Federal Class Size Reduction Initiative (K-3) Local Control Funding Formula (LCFF)- Content or Procedures Program or Service Phone Number Local Control Funding Formula (LCFF)- Fiscal Migrant Education NCLB: Titles I- VII Nutrition Services (including child nutrition) Regional Occupational Centers and Programs Special Education Tobacco-Use Prevention Education

TOM TORLAKSON State Superintendent of Public Instruction What is the UCP? 4 The UCP is a process, not a program. The UCP is a uniform system of complaint processing for specified programs or activities that receive state or federal funding. The UCP strives to resolve problems at the local level but allows some issues that have not been resolved to be appealed to the CDE. Various CDE program offices use the UCP.

TOM TORLAKSON State Superintendent of Public Instruction UCP Scope Educational Equity complaints (unlawful discrimination, harassment, intimidation, or bullying) “Williams” complaints Complaints regarding unlawful pupil fees Federal Categorical Aid Programs State Categorical Aid Programs with remaining allocations in 2014–2015 Local Control Funding Formula (LCFF) 5

TOM TORLAKSON State Superintendent of Public Instruction Not in UCP Scope Hiring and evaluation of staff Pupil classroom assignments Student advancement and retention Student discipline Graduation requirements Homework policies and practices Use of general education funds Dress codes and school uniforms (may fall into pupil fee scope if requiring students to provide their own) Provision of core curricula 6

TOM TORLAKSON State Superintendent of Public Instruction Not in UCP Scope (Cont.) Note: Local Educational Agencies (LEAs) can use the UCP to process local complaints. However, this does not mean the issues fall under the UCP scope. 7

TOM TORLAKSON State Superintendent of Public Instruction Legal Definitions (California Code of Regulations, Title 5, Section 4600) “Appeal” - a request made in writing to a level higher than the original reviewing level by an aggrieved party requesting reconsideration of a reinvestigation of the lower adjudicating body’s decision. “Days” - calendar days unless designated otherwise. 8

TOM TORLAKSON State Superintendent of Public Instruction Legal Definitions (Cont.) (5 CCR Section 4600) “Complainant” - any individual, including a person’s duly authorized representative or an interested third party, public agency, or organization who files a written complaint alleging violation of federal or state laws or regulations, including allegations of unlawful discrimination, harassment, intimidation or bullying in programs and activities funded directly by the state or receiving any financial assistance from the state. 9

TOM TORLAKSON State Superintendent of Public Instruction Legal Definitions (Cont.) (5 CCR Section 4600) “Complaint” - a written and signed statement alleging a violation of federal or state laws or regulations, which may include an allegation of unlawful discrimination, harassment, intimidation or bullying. If the complainant is unable to put the complaint in writing, due to conditions such as disability or illiteracy, the public agency shall assist the complainant in the filing of the complaint. 10

TOM TORLAKSON State Superintendent of Public Instruction Identifying a Complaint It is the LEA’s responsibility to determine if a communication is a complaint and whether it is formal or informal. Sometimes, formal UCP complaints are mistaken for comments or suggestions for improvements, and are handled informally. Knowing that a formal UCP complaint has been received is crucial for proper handling. 11

TOM TORLAKSON State Superintendent of Public Instruction Identifying a Complaint (Cont.) Complaints are written. It is not a legal requirement for complaints to be submitted on specific forms, even if required by your local complaint procedures. Most complaints are signed but, when legally allowed, they can be anonymous (i.e. pupil fees). 12

TOM TORLAKSON State Superintendent of Public Instruction Sample of an Inaccurate UCP complaint form 13 UCP Name ____________________________________________ Date _____________________________________________ Person(s) the complaint is filed against __________________ __________________________________________________ Problem___________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ 12

TOM TORLAKSON State Superintendent of Public Instruction Identifying a Complaint (Cont.) The complainant may or may not specify if/whether the complaint falls under the UCP. There may be multiple issues in a single complaint or the issues may not be clear-cut. Mediation is a possible avenue to use in your handling of the complaint. 14

TOM TORLAKSON State Superintendent of Public Instruction Nature of Complaints The nature of a complaint determines how it is handled upon receipt and also at the appeal level: –How, where, and when the complaint was originally filed –Complaint timelines (filing, response) –Qualify for an appeal? (Yes/No) –How, where, and when to appeal Regardless of the nature of the complaint, they must be filed locally, except under limited circumstances. 15

TOM TORLAKSON State Superintendent of Public Instruction Complaint Not in UCP scope (local control) in UCP scope Not in CPCM scope (under other CDE offices such as OEO, Facilities, Special Education, etc) in CPCM scope Categorical Programs Pupil Fees 16 Follow LEA complaint procedures

TOM TORLAKSON State Superintendent of Public Instruction Example 1 A parent leaves a handwritten note for the vice principal: “My daughter Mary Smith is a third grader at XYZ school and she is struggling in math. I heard that we should be getting free tutoring because we are a program improvement school, but we never received any information about that.” 17

TOM TORLAKSON State Superintendent of Public Instruction Example 2 An anonymous person sends an to the principal. The address is and the sender’s name is “complianceofficer”. The reads: “The School Site council did not vote to approve the Single Plan for Student Achievement.” 18

TOM TORLAKSON State Superintendent of Public Instruction Example 3 A letter is received by mail. There is a sender’s name and address. It states: “Please consider this my UCP complaint. I was at the SSC meeting last week. The Principal totally violated Robert’s Rules of Order, and the SSC bylaws. I demand that all items voted on at the meeting be rescinded and voted on again at the next regularly scheduled meeting.” 19

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process Complainant responsibilities: Receives, reviews, and adheres to the LEA’s complaint procedures. Submits a written and signed complaint which alleges a specific violation of law (5 CCR Section 4600[d].) Provides the investigator with documents and evidence related to the allegations in the complaint. 20

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) LEA responsibilities: Ensures compliance with federal and state laws and regulations. Create a uniform system for receiving and processing complaints. Adopts complaint policies and procedures consistent with 5 CCR sections

TOM TORLAKSON State Superintendent of Public Instruction Sample of Inaccurate School Board Policies 22 UCP Discrimination Complaints … The district has responsibility for ensuring that it complies with applicable state and federal laws and regulations governing educational programs. The district shall investigate and seek to resolve complaints at the local level. The district shall follow the Uniform Complaint Procedures (UCP) when addressing complaints alleging unlawful discrimination based on ethnicity, religion, age, gender, sexual orientation, color or physical or mental disability, or failure to comply with state and/or federal laws in consolidated categorical aid programs, child nutrition programs, and special education programs. The Board acknowledges and respects parents/guardians and students rights to privacy. Complaints shall be investigated in a manner that protects the confidentiality of the parties and the facts. This includes keeping the identity of the complainant confidential except to the extent necessary to carry out the investigation, as determined by the superintendent or designee on a case-by-case basis. The superintendent shall ensure that employees designated to investigate complaints are knowledgeable about the laws and programs for which they are responsible. Such employees may have access to legal counsel as determined by the superintendent or designee. This notification will be distributed annually to ALL STUDENTS, PARENTS/GUARDIANS, AND STAFF… 123

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) LEA responsibilities: Annually notifies specific parties of the complaint procedures. Designates a knowledgeable staff member to be responsible for receiving, investigating, and resolving complaints. Conducts and documents a complete investigation. 23

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) LEA responsibilities: Protects complainants from retaliation. In cases of discrimination, harassment, or bullying, protects the confidentiality of the complainant and the facts related to the case. Provides the complainant an opportunity to present the complaint and evidence or information leading to evidence to support the allegations. 24

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) LEA responsibilities: Issues a written investigative report, which contains all of the legal requirements, to the complainant within 60 calendar days from receipt of the complaint. 25

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) LEA responsibilities: The written decision must include: 1.The findings of fact based on the evidence gathered 2. Conclusion of law 3. Disposition of the complaint 4. The rationale for such a disposition 5. Corrective actions, if any are warranted 6.Notice of the complainant’s right to appeal the LEA’s Decision to the CDE 7. Procedures to be followed for initiating an appeal to CDE 26

TOM TORLAKSON State Superintendent of Public Instruction UCP Complaint Process (Cont.) LEA’s responsibilities: Requests and obtains a written extension of the 60 calendar days time frame, if needed. Adhere to any self-imposed corrective actions and document the LEA’s actions. 27

TOM TORLAKSON State Superintendent of Public Instruction Non-Categorical Complaints Pupil Fees Complaints (see Pupil Fees module) Williams Complaints (handled at the local level and by the CDE School Facilities and Transportation Services Division [SFTSD]) Educational Equity (discrimination, harassment, intimidation and bullying) Complaints (handled by the CDE Office of Equal Opportunity [OEO]) Local Control Funding Formula (LCFF) Fiscal Complaints (handled by the CDE School Fiscal Services Division [SFSD]) Local Control Funding Formula (LCFF) Content or Procedural Complaints (handled by the CDE Local Agency Systems Support Office [LSSO]) 28

TOM TORLAKSON State Superintendent of Public Instruction Frequently Occurring Issues Which May Lead to Appeals Failure of an LEA to have policies, forms, or notices that meet requirements Failure of an LEA to respond to the complainant within 60 calendar days, or get the necessary extension Failure of an LEA to conduct and document a proper investigation Failure of an LEA to provide the complainant an opportunity to provide evidence Failure of an LEA to address all allegations in the original complaint on final report 29

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 31 This concludes the current module.