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

2. TOM TORLAKSON State Superintendent of Public Instruction Purpose To gain an understanding of: The Uniform Complaint Procedures (UCP) purpose and scope Importance of UCP training Legal definitions UCP appeal process Non-categorical UCP appeals Some non-appealable issues Frequently appealed issues Frequent procedural allegations Frequently occurring issues Resources and contacts 2

3. 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 Education916-322-2175 Agricultural Vocational Education916-319-0887 Career Technical Education916-322-5050 Child Care and Development (including State Preschool) 916-322-6233 Educational Equity (Discrimination, Harassment, Intimidation, Bullying and Civil Rights Guarantees) 916-445-9174 Facilities916-322-2470 Federal Class Size Reduction Initiative (K-3) 916-324-4533 Local Control Funding Formula (LCFF)- Content or Procedures 916-319-0809 Program or Service Phone Number Local Control Funding Formula (LCFF)- Fiscal 916-322-3024 Migrant Education 916-319-0851 NCLB: Titles I- VII916-319-0926 Nutrition Services (including child nutrition) 916-445-0850 Regional Occupational Centers and Programs 916-322-5050 Special Education800-926-0648 Tobacco-Use Prevention Education916-319-0914

4. 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 State level. Various CDE program offices use the UCP.

5. 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 2014–15 Local Control Funding Formula (LCFF) 5

6. TOM TORLAKSON State Superintendent of Public Instruction Importance of UCP Training The number of appeals to the CDE per year is rising. The average number of allegations per appeal is also increasing. The complexity of appeals is higher (i.e. involving multiple offices or departments with potential for duplication, contradictions, etc.). 6

7. TOM TORLAKSON State Superintendent of Public Instruction Importance of UCP Training (Cont.) New legislation may result in more appeals due to new potential areas of non-compliance. Incorrect handling of appeals can lead to lawsuits and public discontent/media exposure, and may impact LEA funding. 7

8. 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

9. 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

10. 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

11. TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process Appellant responsibilities: Specifies the basis for the Appeal of the Decision and whether the facts and/or the law is misapplied. Submits a complete appeal packet. Supplies the CDE with any evidence that was supplied to the LEA investigator during the investigation. 11

12. TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process (Cont.) LEA responsibilities: Responds in a timely manner to requests from the CDE. Provides a complete packet of requested materials to the CDE upon receiving the Notification of Appeal (NOA) letter. Provides the CDE access to records and other information as requested. Designates a knowledgeable compliance officer. If necessary, the LEA may seek legal counsel. 12

13. TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process (Cont.) CDE responsibilities: Determines if the LEA failed to address an issue raised by the complainant. Notifies the LEA of receipt of an Appeal (NOA). Considers a variety of alternatives to resolve allegations in the Appeal. Determines if the LEA adhered to its complaint procedures. Issues a Decision or Investigative Report within 60 calendar days, unless the timeline is extended. 13

14. TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process (Cont.) CDE responsibilities: Refers complaints to the LEA for resolution when appropriate (i.e. 20- or 60-day referrals). When the appeal is not in scope, performs an internal or external referral to the proper office. Requires corrective actions by the LEA in the case of non-compliance, or accept the LEA’s self imposed corrective actions. Notifies the appellant of his/her right to request reconsideration. 14

15. TOM TORLAKSON State Superintendent of Public Instruction UCP Appeal Process (Cont.) CDE responsibilities: Processes appeals related to scope. Provides technical assistance for the resolution of complaints. In certain appeals, provides either party the right to reconsideration of the CDE decision. Note: If an LEA concludes that a particular complaint is not appealable, the complainant can appeal to the CDE and the CDE will issue a response. 15

16. TOM TORLAKSON State Superintendent of Public Instruction Non-Categorical Appeals Pupil Fees Appeals (see Pupil Fees module) Williams Appeals (handled at the local level and by the CDE School Facilities and Transportation Services Division [SFTSD]) Appeals regarding certain issues on Special Education (handled by the CDE Procedural Safeguards and Referral Services Unit [PSRSU]) Educational Equity (discrimination, harassment, intimidation and bullying) Appeals (handled by the the CDE Office of Equal Opportunity [OEO]) Local Control Funding Formula (LCFF) Fiscal Appeals (handled by the CDE School Fiscal Services Division [SFSD]) Local Control Funding Formula (LCFF) Content or Procedural Appeals (handled by the CDE Local Agency Systems Support Office [LSSO]) 16

17. TOM TORLAKSON State Superintendent of Public Instruction Some Non-Appealable Issues General fund or general education issues William’s complaints: teacher vacancies or misassignments, instructional materials, non-urgent issues with facilities 17

18. TOM TORLAKSON State Superintendent of Public Instruction Frequently Appealed Issues Pupil fees (including non-compliant LEA Web sites) School Site Council and Parent Advisory Committees Misuse of categorical funds English Learner programs Title I: Supplemental Educational Services and School Choice 18

19. TOM TORLAKSON State Superintendent of Public Instruction Frequent Procedural Allegations Failure of the LEA to investigate or properly document the investigation Incomplete decisions (lacking the required elements) Failure to respond to the complainant within 60 calendar days Not providing the appellant a chance to provide evidence Not addressing all original allegations 19

20. TOM TORLAKSON State Superintendent of Public Instruction Frequently Occurring Issues Failure of LEA to respond to the CDE’s NOA LEA’s incomplete response to the CDE’s NOA LEAs incorrectly defining the allegations when processing complaints Failure of LEA legal staff to send their investigation files to the CDE when requested– this is NOT attorney-client privileged material Failure of LEA to address 3 rd party/proxy issues correctly for categorical complaints Failure of LEA to identify original complaints or appeals (i.e. emails, without signatures, etc.) 20

21. TOM TORLAKSON State Superintendent of Public Instruction Resources and Contacts UCP Brochure and Sample Documents: http://www.cde.ca.gov/re/cp/uc/ Categorical Programs Complaints Management Office Celina Arias-Romero, Administrator 916-319-0929 CAriasRomero@cde.ca.gov 21

22. TOM TORLAKSON State Superintendent of Public Instruction 22 This concludes the current module.