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Document Sample
Categorical Programs
Monitoring Training
Uniform Complaints
Procedures
September 2011
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Purpose of Presentation
TOM TORLAKSON
State Superintendent
Participants will gain knowledge and understanding of:
of Public Instruction
– Updates
– The Uniform Complaint Procedures (UCP) Process
and Scope
– Legal Requirements: The six parts of the UCP
– The California Accountability and Improvement
System (CAIS) and how it is used to monitor UCP
– Resources
2
Updates
TOM TORLAKSON
• New - Sample Annual Notice (UCP 2) The Web
State Superintendent
of Public Instruction
site for accessing the notice is:
http://www.cde.ca.gov/re/cp/uc.
• The content of the UCP Checklists are now
incorporated in the UCP Instrument for 2011–
2012
• The legal requirements for UCP remain
unchanged
• Self-Certification Processes for Online Reviews
of UCP 3 and UCP 5
3
Most Frequent Non-compliant
UCP Findings 2010–11
TOM TORLAKSON
Percentage of LEAs
State Superintendent
of Public Instruction
Item 2010 – 2011
(includes Cycles A & C)
UCP 1 46%
UCP 2 64%
UCP 3 Less than 1%
UCP 4 37%
UCP 5 27%
UCP 6 44%
4
UCP Process
TOM TORLAKSON
State Superintendent
of Public Instruction
What is UCP?
It is a process not a program!
5
UCP Process
TOM TORLAKSON
State Superintendent
of Public Instruction • Uniform Complaint Procedures are
commonly referred to as UCP.
• UCP is a uniform system of complaint
processing for specified programs or
activities that receive state or federal
funding.
[T5CCR 4610(a)]
6
UCP Process
TOM TORLAKSON
State Superintendent
of Public Instruction
A “complaint” is a written and signed
statement alleging a violation of
federal or state laws or regulations,
which may include an allegation of
unlawful discrimination.
[T5CCR 4600(d)]
7
UCP Scope
• Federal Categorical Aid Programs
TOM TORLAKSON
State Superintendent
of Public Instruction
• State Consolidated Categorical Aid
Programs
• Unlawful Discrimination of a
Protected Group
8
UCP Scope
Federal Categorical Aid Programs in UCP Scope:
TOM TORLAKSON No Child Left Behind (NCLB) Act of 2001:
State Superintendent
of Public Instruction
– 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 Education Achievement
Program)
9
UCP Scope
TOM TORLAKSON
Programs in UCP Scope (cont.)
State Superintendent
of Public Instruction
• Adult Education
• Career/Technical Education
• Child Development
• Consolidated Categorical Aid
• Indian Education
• Migrant Education
• Nutrition Services
• Special Education
10
UCP Scope
TOM TORLAKSON
State Superintendent
of Public Instruction State Consolidated Categorical Aid
Programs in UCP Scope:
• Economic Impact Aid, (EIA-SCE)
• Economic Impact Aid, (EIA-LEP)
• Peer Assistance and Review (PAR)
• School Improvement Program (SIP)
• School Safety and Violence Prevention
• Tobacco Use Prevention Education (TUPE)
11
UCP Scope
Unlawful Discrimination of Protected Groups in UCP
TOM TORLAKSON
State Superintendent
Scope
of Public Instruction
California Code of Regulation, Title 5
Section 4610, Civil Rights Protections include:
Actual or perceived sex Mental and/or physical disability
Age National origin
Ancestry Race
Color Religion
Ethnic group identification Sexual orientation
Gender
A person’s association with a person or group with one or
more of these actual or perceived characteristics.
12
Not In UCP Scope
TOM TORLAKSON
State Superintendent
of Public Instruction • Hiring and Evaluation of Staff
• Pupil Classroom Assignments
• Student Advancement and Retention
• Selection/Provision of Textbooks and
Instructional Materials
• Student Discipline
• Provision of Core Curricula Subjects
• Facilities
• Graduation Requirements
• Homework Policies and Practices
• Use of General Education Funds
• Dress Codes and School Uniforms
13
TOM TORLAKSON
State Superintendent
of Public Instruction
Legal Requirements
14
Legal Requirements
TOM TORLAKSON
State Superintendent
of Public Instruction
The six UCP requirements:
UCP 1: UCP Policy and Administrative Regulations
UCP 2: UCP Annual Notice
UCP 3: Implementation
UCP 4: Williams Complaints Policy and Administrative
Regulations
UCP 5: Williams Complaints Classroom Notice
UCP 6: Williams Complaints Form
15
UCP 1
Policy and Administrative Regulations
TOM TORLAKSON
Policy and Procedures
State Superintendent
of Public Instruction
The LEA has adopted Uniform Complaint
Procedures for all specified programs
and provides civil rights guarantees.
(34 CFR 300.510-511; EC 200, 220, 262.3; GC 11135, 11138;
T 5CCR 4600–4687)
16
UCP 1
TOM TORLAKSON
State Superintendent
of Public Instruction Local Educational Agency (LEA) Responsibilities:
Comply with statutes and regulations.
Have proper and up-to-date UCP board
policies and administrative regulations that
include the approval date by its local
governing board.
Include all components listed in the
instrument.
17
UCP 1
TOM TORLAKSON LEA Responsibilities (cont.)
State Superintendent
of Public Instruction
• Protect complainants against retaliation.
• For discrimination complaints, ensure
confidentiality.
• Designate a responsible staff position for
receiving complaints.
• All revisions to existing policy must be
approved by the local board.
18
UCP 2
TOM TORLAKSON
State Superintendent
of Public Instruction
UCP Annual Notice
19
UCP 2
TOM TORLAKSON
State Superintendent
of Public Instruction The LEA annually notifies, in writing, its
students, employees, parents or
guardians of its students, the district
advisory committee, school advisory
committees, private school officials, and
other interested parties of the LEA’s
Uniform Complaint Procedures process.
[T5CCR 4622]
20
UCP 2
TOM TORLAKSON
State Superintendent
of Public Instruction
When 15 percent or more of the
students in the school speak a primary
language other than English, all notices
to parents or guardians regarding the
complaint procedures are written in the
student’s primary language in addition to
English.
[EC 48985]
21
UCP 2
TOM TORLAKSON
State Superintendent
If an LEA’s Annual Notice is found
of Public Instruction
to not meet requirements during a
FPM review, the CDE recommends
that an LEA revise and disseminate
the revised notice to all required
groups, as part of the FPM’s
Corrective Action timeline (45
days).
22
UCP 3
TOM TORLAKSON
State Superintendent
Implementation of the
of Public Instruction
UCP Investigation
Process
23
UCP 3
TOM TORLAKSON
State Superintendent
of Public Instruction
Local Educational Agency Responsibilities:
The LEA must investigate complaints alleging a
violation by the LEA of a federal or state law or
regulation governing the programs listed in the
California Code of Regulations, Title 5, Section
4610(b), or discrimination complaints and seek
to resolve those complaints in accordance with
the complaint procedures adopted by the LEA.
[EC 262.3(d), T5CCR 4630–4632]
24
UCP 3
TOM TORLAKSON
State Superintendent
The CDE reviewer will:
of Public Instruction
• Ask the LEA if it received any UCP
complaints in the last 12 months. If the
answer is yes, the FPM team lead or the
assigned consultant will review a random
selection of complaint files onsite.
• If no complaints have been received by the
LEA, the LEA will be asked to upload a
statement certifying that no complaints have
been received.
25
UCP 3
TOM TORLAKSON
State Superintendent
of Public Instruction
On-Site vs. Online Reviews
• For onsite reviews, the FPM team lead will
complete a random selection of UCP files and
check those files for the required elements.
• For online reviews, the CDE reviewer will ask
the LEA for information regarding the UCP
files received and a self certification process
will ensue. (See Handout)
26
UCP 3
TOM TORLAKSON
State Superintendent
of Public Instruction
The following items will be checked during the
random selection review of the UCP files:
– The six month timeline was met for filing
discrimination complaints
– The investigative process allowed the complainants
and/or representatives the opportunity to present
evidence
– The complaint was addressed within the 60 calendar
day timeline
27
UCP 3
TOM TORLAKSON
LEA Decisions include the following:
State Superintendent
of Public Instruction
– Findings of fact based on the evidence gathered
– Conclusions of law
– Disposition of the complaint
– Rationale for such a disposition
– Corrective actions, if any are warranted
– Notice of the complainant’s right to appeal the LEA’s
Decision to the CDE
– Procedures to be followed for initiating an appeal to
the CDE
28
UCP 4
TOM TORLAKSON
State Superintendent
of Public Instruction
Williams Complaints
Policy and Administrative
Regulations
29
UCP 4
TOM TORLAKSON
State Superintendent
Responsibilities of Local Educational
of Public Instruction
Agencies:
The LEA resolves Williams Complaints related to:
•Teacher Vacancy or Misassignment
•Textbooks and Instructional Materials
•Facilities Conditions and Restrooms
•Intensive Instruction and services contingent
upon receipt of funding (Valenzuela)
[EC 35186; EC 37254; T5CCR 4600-4687]
30
UCP 4
TOM TORLAKSON
State Superintendent
of Public Instruction Responsibilities of LEAs (cont.):
• Revisions to board policies must be approved by the
local board. Revised administrative regulations must be
approved by the proper local authority
• All Williams Complaints documents (UCP 4, 5, and 6)
must use the wording of “pupils” and not “students.”
• The language in the policy/regulations must match
those on the complaint form. Districts often forget to
check its documents for consistency.
31
UCP 5
TOM TORLAKSON
Williams Complaints
State Superintendent
of Public Instruction
Classroom Notice
32
UCP 5
TOM TORLAKSON
State Superintendent
of Public Instruction
Williams Complaints Classroom Notice
A notice shall be posted in each classroom, in each school, in the
LEA, notifying parents, guardians, pupils, and teachers:
– There should be sufficient textbooks and instructional
materials.
– School facilities must be clean, safe and maintained in good
repair.
– There should be no teacher vacancies or misassignments.
– Where appropriate, intensive instruction and services are
provided to pupils who have not passed one or both parts of
the high school exit examination after the completion of
grade 12.
– The location at which to obtain a form to file a complaint in
case of shortage.
[EC 35186, T5CCR 4600 – 4687]
33
UCP 5
• The Williams Complaints Classroom
TOM TORLAKSON
State Superintendent
of Public Instruction
Notice uploaded onto CAIS, must be the
same notice (version) that is posted in
the classrooms.
• The Williams Complaints Classroom
Notice should be of a size easily seen,
and should be posted in a visible location
in each classroom.
34
UCP 5
TOM TORLAKSON
State Superintendent
of Public Instruction
On-Site vs. Online Reviews
• For On-Site reviews the FPM team lead
will verify the posting of the Williams
Complaint Notice.
• For Online Reviews the CPCM reviewer
will lead the District through the UCP 5
self-certification process. (See
Handout)
35
UCP 6
TOM TORLAKSON
Williams Complaints
State Superintendent
of Public Instruction
Form
36
UCP 6
TOM TORLAKSON
State Superintendent
of Public Instruction The LEA’s Williams Complaints Form must be
available at all school sites.
The Williams Complaints Form must identify
deficiencies related to:
• Text books and instructional materials
• Conditions of facilities
• Teacher vacancy or missassignment
• Intensive instruction and support
[EC 35186, T5CCR 4600 – 4687]
37
UCP 6
TOM TORLAKSON
State Superintendent
of Public Instruction Williams Complaints Form (cont.)
Intensive Instruction Exception:
LEAs that do not receive intensive instruction funds pursuant
to EC 37254, would not have to include the following
statement on their Williams Complaint forms in schools with
grades 10 to 12:
“Intensive instruction and services were not
provided pursuant to Ed. Code Section 37254 to
pupils who have not passed one or both parts of
the high school exit examination after the completion of
grade 12.“
38
TOM TORLAKSON
State Superintendent
of Public Instruction
The California Accountability
and Improvement System
(CAIS) and UCP
39
UCP Required Documents
TOM TORLAKSON
State Superintendent
UCP BP and One Board Policy and set of Administrative
of Public Instruction
UCP 1
AR Regulations
UCP Annual Only one of the following is required: brochure,
UCP 2
Notice flyer, handout, page(s) from handbook, insert
Self- Online reviews will utilize an LEA Self-
UCP 3
Certification certification for UCP 3 (to be provided by CDE)
Williams BP One set of Board Policy with Administrative
UCP 4
and AR Regulations
Williams Williams Classroom Notice, and for online
UCP 5 Classroom reviews, an LEA Self-certification for UCP 5
Notice (self-certification to be provided by CDE)
Williams Form to be available at each school within an
UCP 6
Complaint form LEA for such Williams complaints.
40
Samples of UCP Documents
TOM TORLAKSON
State Superintendent
of Public Instruction UCP 1 CSBA Samples BP1312.3(a-d) and AR
1312.3(a-h)
Must include approval date
UCP 2 On the CDE Uniform Complaint Procedures
Web page at http://www.cde.ca.gov/re/cp/uc/
UCP 3 Online reviews:
Zero non-Williams complaints in the last
12 months=Self certification statement.
1 or more non-Williams complaints in the last
12 months= LEA staff will discuss the situation
directly with the assigned CPCM Consultant.
[LEA Self-certification form soon to be on CAIS]
41
Samples of UCP Documents (cont.)
TOM TORLAKSON
State Superintendent
of Public Instruction UCP 4 CSBA Sample AR1312.4(a-f)
Must include approval date
UCP 5 On the CDE Uniform Complaint Procedures Web
page at http://www.cde.ca.gov/re/cp/uc/
CSBA Sample E(1)1312.4(a-b)
Online reviews: LEA Self-certification form verifying
that a Williams Complaints Classroom Notice has
been posted in each classroom in each school in the
LEA. [Self-certification form soon to be on CAIS.]
UCP 6 On the CDE Uniform Complaint Procedures Web
page at http://www.cde.ca.gov/re/cp/uc/
CSBA Sample E(2)1312.4(a-c)
42
CAIS
TOM TORLAKSON
• Technical assistance to resolve findings
State Superintendent
of Public Instruction
of noncompliance is available after the
FPM visit or CAIS desk review.
• Once the CPCM Consultant determines
that the documents meet the
requirements and have been properly
disseminated (if required) the
Consultant will indicate “resolved” or
“meets requirements” in CAIS.
43
CAIS
TOM TORLAKSON
State Superintendent
of Public Instruction
• LEAs will upload their UCP documents into CAIS for
review by CPCM staff.
• If documents are found to be missing or in the wrong
UCP section, the analyst will contact the LEA staff to
make the discrepancies known and will require missing
documents to be uploaded and/or misplaced documents
to be relocated. The analyst will also ask that irrelevant
documents be removed.
• If areas of noncompliance are found, the consultant will
contact the LEA staff to provide assistance and to
request that revised/proper documents are uploaded
onto CAIS. This includes the Proposed Resolution of
Findings (PRF).
44
CDE Contacts for the UCP
TOM TORLAKSON
State Superintendent
of Public Instruction
Categorical Programs Complaints Management Office:
Celina Arias-Romero, Administrator
Uniform Complaint Procedures
916-319-0929
Special Education Office:
Procedural Safeguards Referral Service
1-800-926-0648
Office of Equal Opportunity:
Sharon Felix-Rochon, Manager
Nondiscrimination Requirements and Civil Rights
Guarantees
916-445-9174
45
Resources
TOM TORLAKSON
State Superintendent
of Public Instruction • For information regarding Intensive Instruction
and Support funding please go to:
http://www.cde.ca.gov/fg/aa/ca/valenzuelacas
e.asp
• UCP Brochure:
http://www.cde.ca.gov/re/cp/uc
• UCP Annual Notice Sample:
http://www.cde.ca.gov/re/cp/uc
• Williams Complaint Form Sample:
http://www.cde.ca.gov/re/cp/uc
46
