COMMONWEALTH
OF PENNSYLVANIACOMMONWEALTH
OF PENNSYLVANIA
DEPARTMENT OF EDUCATION
333 MARKET STREET
(Section 9304(a)(3)(C))
Updated
October 2003
Complaint
Resolution Process for NCLB Programs
The No Child Left Behind
Act of 2001 (NCLB) legislation requires State Educational Agencies (SEAs) to
adopt written procedures for “receiving and resolving any complaint alleging
violations of the law in administration of programs.” In accordance with this legislative requirement, the
Pennsylvania Department of Education (PDE) Division of Federal Programs has
adopted the following procedures after presenting them to the Committee of
Practitioners.
A “complaint” is a
written, signed statement filed by an individual or an organization.
It must include:
a.
A statement that PDE or a Local Educational Agency has violated a
requirement of federal statute or regulations which apply to programs under the
No Child Left Behind Act.
b.
The facts on which the statement is based.
c.
Information on any discussions, meetings or correspondence with PDE or
the LEA regarding the complaint.
Complaint
Resolution Procedures
1)
Referral—Complaints against LEAs or appeals from LEA decisions regarding
complaints will be referred to the Regional Coordinator for the LEA against
which the complaint has been filed.
2)
Notice to LEA—The Regional Coordinator will notify the LEA’s superintendent or
chief administrative officer that a complaint or appeal has been received, will
provide a copy, and will direct the LEA to respond.
3)
Investigation—After receiving the LEA’s response, the Regional Coordinator will
determine whether further investigation is necessary. If necessary, the Regional Coordinator may carry out an
independent investigation on-site at the LEA.
4)
Opportunity to Present
Evidence—The Regional
Coordinator may, in his or her
discretion, provide for the complainant, the complainant’s representative, or
both, and the LEA to present evidence. Such
presentation may include the opportunity for each side to question parties to
the dispute and any of their witnesses.
5)
Report
and Recommended Resolution—Once the Regional
Coordinator has finished any investigation and taking of evidence, he or she
will prepare a final report with a recommendation for resolving the complaint or
appeal. The final report will give
the name of the party bringing the complaint or appeal, the nature of the
complaint or appeal, a summary of the investigation, the recommended resolution,
and the reasons for the recommendation. The regional Coordinator will issue the report to all parties
to the complaint or appeal. The
recommended resolution will become effective upon issuance of the final report.
6)
Follow-up—The
Regional Coordinator will insure that the resolution of the complaint or appeal
is implemented.
7)
Time
Limit—The
period between PDE’s receipt of a complaint or appeal and its resolution shall
not exceed sixty (60) calendar days.
8)
Extension
of Time Limit—The
Chief of the Division of Federal Programs may extend the 60 day time limit if
exceptional circumstances exist with respect to a particular complaint or
appeal.
9)
Right
to Appeal—Either
party may appeal the final resolution to the United States Secretary of
Education.
1)
Referral—Complaints
against PDE will be referred to the Chief of the Division of Federal Programs.
2)
Acknowledgment—The
Division Chief will acknowledge receipt of the complaint in writing.
3)
Investigation—The Division Chief will investigate the complaint.
4)
Opportunity
to Present Evidence—The
Division Chief may, in his or her discretion, provide for the complainant and/or
the complainant’s representative to present evidence.
Such a presentation may include the opportunity for each side to question
parties to the dispute and any of their witnesses.
5)
Report
and Recommended Resolution—Once the Division Chief has
finished any investigation and taking of evidence, he or she will prepare a
final report with a recommendation for resolving the complaint.
The final report will give the name of the party bringing the complaint,
the nature of the complaint, a summary of the investigation, the recommended
resolution, and the reasons for the recommendation.
The Division Chief will issue the report to the complainant and the
complainant’s representative, if any.
6)
Appeal
to Secretary of Education—In appropriate cases, the
complainant may appeal from the recommended resolution to the Secretary of
Education of the Commonwealth. In
all other cases, the recommended resolution will become effective upon issuance
of the final report.
7)
Follow-up—The
Division Chief will insure that the resolution of the complaint is implemented.
8)
Time
Limit—The
period between PDE’s receipt of a complaint and its resolution shall not
exceed sixty (60) calendar days.
9)
Extension
of Time Limit--The
Division Chief may extend the 60 day time limit if exceptional circumstances
exist with respect to a particular complaint.
10)Right to Appeal—Either
party may appeal the final resolution to the United States Secretary of
Education.
Local Complaint Procedures
1)
Adoption
of Procedures—Each
LEA must adopt written procedures for resolving complaints filed with them.
2)
Appeal
to PDE—The
LEA’s procedures must provide the complainant or the complainant’s
representative with the right to appeal the LEA’s resolution of the complaint
to PDE.
Complaints
should be addressed as follows:
Jim Sheffer
Chief
Division of Federal Programs
Pennsylvania Department of Education
333 Market Street
Harrisburg, PA 17126-0333