704 KAR 3:365 - Complaint procedures for programs under the Elementary and Secondary Education Act of 1965
RELATES TO: KRS 156.010, 156.035, 20 U.S.C. 6320, 20 U.S.C. 7844, 20 U.S.C. 7883
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation establishes complaint procedures pursuant to Sections 1117, 8304, and 8503 of the Elementary and Secondary Education Act of 1965 (ESEA) as amended by the Every Student Succeeds Act. Section 8304 of ESEA requires the Kentucky Department of Education (department) to adopt written procedures for the receipt and resolution of complaints alleging violations of law in the administration of programs under ESEA. Sections 1117 and 8503 of ESEA require the department to resolve complaints related to equitable services to nonpublic school children.
Section 1. Complaints
Against a Local Education Agency.
(1)
Complaints related to equitable services to nonpublic school children shall be
governed by Section 3 of this administrative regulation.
(2) Complaints originating at the local level
alleging a violation by a local education agency (LEA) of a federal statute or
regulation that applies to a program under ESEA shall be decided by the
department only after such complaints have been filed and heard at the local
level in accordance with local education agency policy.
(3) A complaint not resolved at the local
level may be submitted to the department by mail at the following address:
Kentucky Department of Education, c/o ESEA Complaints, 300 Sower Boulevard -
5th Floor, Frankfort, Kentucky 40601.
(4) Complaints mailed to the department shall
be in the form of a written, signed statement that includes:
(a) A statement that a requirement that
applies to an ESEA program has been violated by the LEA;
(b) The facts on which the statement is
based, a description of the nature of the problem, and the specific
requirement(s) allegedly violated by the LEA;
(c) A signature and contact information for
the complainant; and
(d) A
potential resolution of the problem to the extent it is known and available to
the complainant at the time of the filing.
(5) Upon receipt of a complaint, the
department shall carry out an investigation if necessary. During the
investigation period:
(a) The complainant and
the LEA shall each have an opportunity to submit additional information about
any allegation in the complaint;
(b) The LEA shall have an opportunity to
respond to the complaint, including making a proposal to resolve such amicably;
and
(c) Any on-site investigation,
if deemed necessary by the department, shall be made following adequate advance
notice to the parties involved and may include the gathering of information
through:
1. Direct observation;
2. Interviews; or
3. Examination of records.
(6) Within forty-five
(45) days of receiving a complaint, the department shall issue a written
decision for each allegation in the complaint. If exceptional circumstances
exist with respect to a particular complaint, an extension of the time limit
may be granted by the department.
(7) The complainant or LEA shall have a right
to request the Commissioner, or his designee, reconsider the written decision
in subsection (6). To initiate reconsideration, the complainant or LEA shall
send, by certified mail to the department, a written request within fifteen
(15) days of the issuance of the department's decision in subsection
(6).
(8) Following the receipt of a
request pursuant to subsection (7), the Commissioner, or his designee, shall
reconsider the department's decision in subsection (6) and shall issue a final
written decision for each allegation in the complaint within thirty (30)
days.
(9) Following the final
determination on a complaint, the LEA shall take any required corrective
action. To ensure compliance, the department may use one (1) or more of the
following methods:
(a) A corrective action
plan for the LEA;
(b) Follow-up
visits by department staff to determine whether the LEA is taking the required
corrective action;
(c) Repayment of
previously dispersed funds or withholding of future funds; or
(d) To the extent permissible under ESEA and
other applicable laws and regulations, any corrective action necessary to
ensure compliance.
Section
2. Complaints Against the State Education Agency.
(1) Appeals relating to the department's
accountability classification of a school or district shall be governed by
703
KAR 5:240 and not by this administrative
regulation.
(2) Complaints related
to equitable services to nonpublic school children shall be governed by Section
3 of this administrative regulation.
(3) All other complaints originating at the
state level alleging a violation by the state education agency (SEA) of a
federal statute or regulation that applies to a program under ESEA shall be
submitted to the department by mail at the following address: Kentucky
Department of Education, c/o ESEA Complaints, 300 Sower Boulevard - 5th Floor,
Frankfort, Kentucky 40601.
(4)
Complaints mailed to the department shall be in the form of a written, signed
statement that includes:
(a) A statement that
a requirement that applies to an ESEA program has been violated by the
SEA;
(b) The facts on which the
statement is based, a description of the nature of the problem, and the
specific requirement allegedly violated by the department;
(c) A signature and contact information for
the complainant; and
(d) A
potential resolution of the problem to the extent it is known and available to
the complainant at the time of the filing.
(5) Upon receipt of a complaint, the
department shall follow the same procedures outlined in Section 1 of this
administrative regulation to the extent practicable.
Section 3. Complaints Related to Equitable
Services to Nonpublic School Children.
(1)
Complaints related to equitable services to nonpublic school children shall be
submitted to the nonpublic school ombudsman by mail at the following address:
Kentucky Department of Education, c/o Nonpublic School Ombudsman, 300 Sower
Boulevard - 5th Floor, Frankfort, Kentucky 40601.
(2) Complaints mailed to the nonpublic school
ombudsman shall be in the form of a written, signed statement that includes:
(a) A statement that
20 U.S.C.
7881 has been violated by the SEA, an LEA, an
education service agency, a consortium of those agencies, or other
entity;
(b) The facts on which the
statement is based and a description of the nature of the problem;
(c) A signature and contact information for
the complainant; and
(d) A
potential resolution of the problem to the extent it is known and available to
the complainant at the time of the filing.
(3) Upon receipt of a complaint, the
nonpublic school ombudsman shall carry out an investigation if necessary.
During the investigation period:
(a) The
complainant and the SEA, LEA, education service agency, consortium of those
agencies, or other entity shall each have an opportunity to submit additional
information about any allegation in the complaint;
(b) The SEA, LEA, education service agency,
consortium of agencies, or other entity shall have an opportunity to respond to
the complaint, including making a proposal to resolve such amicably;
and
(c) Any on-site investigation,
if deemed necessary by the department, shall be made following adequate advance
notice to the parties involved and may include the gathering of information
through:
1. Direct observation;
2. Interviews; or
3. Examination of records.
(4) Within forty-five
(45) days of receiving a complaint, the nonpublic school ombudsman shall issue
a final written decision for each allegation in the complaint..
Section 4. Appeals to the United
States Secretary of Education. An involved party may appeal the final written
decision of the department under Sections 1, 2, or 3 of this administrative
regulation to the United States Secretary of Education (Secretary) to the
extent permissible under ESEA and in accordance with written procedures
developed and implemented by the Secretary.
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