Compliance
Indicator

The contractor complies with the program’s due process requirements, including:

1. Providing parents with written information regarding their responsibility to comply with program rules

2. Issuing a Notice of Action (NOA) where appropriate

3. Establishing procedures for parental appeal of any contractor’s decision contained in the Notice of Action; and

4. Establishing procedures for suspension, expulsion, and unenrolling a child due to behavior
   

Regulations/Reference

EED Program Instrument: I. Family Files EED 05
Education Code: 8207, 8208, 8214, 8239.1, 8243, 8489 & 8489.1
Title 5: 17705 & 17781 – 17786

Monitoring Review Evidence

• Current Notice of Action

• Parent Appeal Procedures

• Recently Completed Notice of Action & Parent Appeal

Notice of Action

Appeal Tools/Decision Letters

Parent Handbook

Notice of Action (NOA) Overview

Use NOA to Communicate Action

According to the regulations, the contractor's decision to approve, deny or change services must be communicated to the applicant through a written statement referred to as a Notice of Action (NOA).

There is a Notice of Action available for contractor’s to use.

NOTE: Do not use NOA to request missing items. A system must be in place to request items, such as a letter that includes due dates and/or a checklist informing the parent what is needed in order to recertify services

When to Issue a NOA

Based on the regulations a NOA must be issued:

• Within 30 calendar days of a parent’s signature on application for services

• Within 10 days of submitting documents requesting a change in services

NOTE: The Notice of Action should be provided in the parent’s primary language

There are 4 main reasons or categories for issuing a NOA in a Part-day State Preschool Program:

• Approval

• Denial

• Change in Services

• Dis-enroll/Termination

What this might look like in a program:

• At the time of application: Parent submits enrollment documentation & signed an application for services on April 14th. Agency Representative verifies eligibility & issues NOA on April 21st which did not exceed the allowed 30 days from the date parent signed the application for services.

• At the time of requesting a change in services: Parent submits Request to Change Services form, along with supporting documentation. Within 10 days, a NOA is issued indicating the approved or denied change in services

Completing the NOA

Section 1. Notice of Action

Depending upon the reason the NOA is being issued, within Section 1 either 1.A. Application for Services OR 1.B. Recipient of Services would be completed.

1.A. Application for Services

• Approval

• Denial

1.B. Recipient of Services

• Change in Services

• Family Fees

• Dis-enroll/Termination

Section 2. Distribution of Notice

The contractor must provide information on how & when the NOA was provided to the parent:

• If the NOA is given to a parent, the “Given to Parent” box is checked & the agency representative must have the parent initial the original NOA on the date they receive it.  

• When the NOA is mailed, check the “Mailed to Parent” box & insert the date it is placed in the mail. If the NOA is certified, express mailed, or registered, also insert the tracking number. 

Section 3. Parent/Caretaker Information

Include the parent’s contact information as it appears in the family data file.

Section 4. Approved Child Care Services

Enter the names of the child or children receiving services & the program code. Program code options may be found within the Application for Services instructions page.

The NOA must reflect the certified days & hours of care eligible for reimbursement as indicated on the Application for Services.

NOTE: Fees are not applicable to Part-Day CSPP

Section 5. Basis for Family Eligibility for Services

Select the family’s eligibility criteria:

Child

• Child Protective Services

• At-Risk of abuse, neglect or exploitation

• Child with Exceptional Needs

• Early Enrollment Child

Family

• Homelessness

• CalWORKs Cash Aid Recipient

• Receiving Benefits from Certain Governmental Program

• Neighborhood School

• Income Eligible (100% SMI)

• Income Eligible (15% above 100% SMI)

NOTE: If the family has more than one eligibility criteria, select all that apply. 

Section 6. Basis for Family Need for Services

Part-Day CSPP parents are not required to have a need for services so this section will be blank

Section 7. Reason for Action

The specific reason for the action being taken must be included.

The NOA Cheat Sheet provides sample language that may be used.

When indicating the action, be sure the action aligns with program policies.

NOTE: Contractors must note any breaks in service such as summer break within box 7.

Section. 8 -10

The final section of the Notice of Action includes:

8. Agency Name

9. Name/Title of Agency Representative

10. Signature of Agency Representative

Termination

In the event that a family’s services will be discontinued for any reason, a NOA must be issued.

A termination of service can either be:

• Parent initiated- may be due to child no longer needing services

• Agency initiated- due non-compliance of a regulation or policy

Before sending an NOA to a family for failing to provide eligibility information, the contractor must be able to demonstrate that a written request for the information preceded the NOA. Basically remember a few things:

• Use NOA’s to inform parents of an action being taken.  

• Do not use NOA to request missing items. A system must be in place to request items, such as a letter that includes due dates &/or a checklist informing the parent what is needed in order to recertify services.

Appeal is due by timelines:

• 14 days if given to parent/emailed

• 15 days if sent via overnight delivery

• 19 days if mailed

What this might look like in a program:

• Parents are issued a NOA that includes both the front & back of the Notice of Action.

• Contractors use the specific language from the agency disenrollment policy that is typically written in your parent handbook.

Due Process Instructions

According to the regulations, all NOAs must contain instructions for the parent on how to request a hearing if the parent does not agree with the contractor’s action. 

For CSPP only, contractors must include the California Department of Education appeals unit contact information within step 5:

California Department of Education
Early Education Division
Attn: Appeals Coordinator
1430 N Street, Suite 3410
Sacramento, CA 95814
Phone: 916-322-1273
Fax: 916-323-6853

If the parent disagrees with the action, the parent may file a request for a hearing with the contractor within 14 calendar days of the date the NOA was received.

What this might look like in a program:

• Contractors include Due Process instructions within the parent handbook.

Levels of Appeal

There are two levels of appeal:

1. First Level: A local hearing conducted by a hearing officer who is not involved with the decision. This is typically a neutral person at your agency whose position is at least 1 step higher than the agency representative who issued the NOA.

2. Second Level: In the event that a parent disagrees with the decision of the hearing officer, then at the second level a state level appeal is conducted by the California Department of Education.

What this might look like in a program:

• Jim is issued a termination of service due to failure to provide the required documentation to establish eligibility.

• During the first level appeal, the appeals officer denies Jim’s appeal. Jim did not provide the documentation requested by the enrollment specialist.

• Jim disagrees with the decision of the hearing officer & submits an appeal to CDE.

• CDE will review program policies along with first level appeal support documentation & make a decision on the basis of what the Title 5 regulations state & the information that was provided.

Appeals due to Suspension or Expulsion

For center-based programs, in the event that the action taken is due to child suspension or expulsion, a request for an appeal hearing is sent directly to the program(s) State Department, no later than 14 calendar days after receipt of the notice.

The effective date of the suspension or expulsion may not be less than 24 hours after serving the notice of action.

NOTE: Since the action to suspend or expel the child involves persistent and serious behaviors impacting the safety of children, the child may not attend the program during the appeal process.

For samples on implementing the Suspension or Expulsion process, see our Suspension | Expulsion Kit located within the platform resources.

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