Special Education State Complaint Procedures Overview

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U.S. Department of Education
Office of Special Education Programs
 
State Complaints, Mediation,
Due Process Procedures, and
the Resolution Process
 
Procedural Safeguards
 
2
 
Topic Briefs (TB)
 
A
 – Resolution Meetings and Due
Process Hearings
B
 – Mediation
C 
– State Complaint Procedures
D 
– Surrogate Parents, Notice &
Parent Consent
 
Regulation
 
Day
means a calendar day unless
otherwise indicated as a “business
day” or “school day”
34 CFR §300.11(a)
 
3
 
State Complaint Procedures
 
4
 
State Complaint Procedures 
 
(TBC 3-5)
 
State Complaint 
A signed, written document submitted
to a state educational agency (SEA)
by an individual or organization that
alleges that a public agency has
violated a requirement of Part B of
IDEA
 
5
 
State Complaint Procedures (TBC 1-1)
 
Who can file a complaint?
Not only may a child’s parent file a
State complaint, but any organization
or individual may file a signed, written
complaint with the SEA
 
6
 
7
 
State Complaint Procedures
Required Content 
 
(TBC 3-5)
 
A statement that the public agency has
violated a requirement of Part B of the
IDEA
 or of Part 300 of the 
IDEA
regulations
The facts on which the statement is
based
The signature and contact information
for the complainant
 
8
 
State Complaint Procedures
 
(TBC 3-5)
 
If alleging violations with respect to a
particular child—
Child’s name and
address (if the child is homeless,
available contact information for the
child and name of the child’s school)
Name of the school the child is
attending
 
State Complaint Procedures
 
(TBC 3-5)
 
Description of the nature of the
problem, including facts relating to
the problem
Proposed resolution of the problem,
if known
34 CFR §300.153(b)
 
9
 
10
 
Regulation 
 
(TBC 1-1)
 
Each SEA must adopt written procedures
for –
Widely disseminating to parents and other
interested individuals, including parent and
training centers, protection and advocacy
agencies, independent living centers, and other
appropriate entities, the State procedures under
§§300.151 through 300.153
34 CFR §300.151(a)(2)
 
11
 
State Complaint Procedures
 
(TBC 3-5)
 
The party filing the complaint must
also send a copy to the LEA or
public agency serving the child at
the same time the complaint is
filed with the SEA
   
34 CFR §300.153(d)
 
12
 
Regulation 
 
(TBC 3-6)
 
The complaint must allege a
violation that occurred not more
than one year prior to the date
that the complaint is received in
accordance with 
34 CFR §
300.151
   
 
34 CFR §300.153(c)
 
13
 
State Complaint Procedures
 
(TBC 2-3)
 
SEA must provide the public agency
with the opportunity to respond to
the complaint filed with the SEA,
including at a minimum:
 
14
 
State Complaint Procedures
 
(TBC 2-3)
 
At the discretion of the public
agency, a proposal to resolve the
complaint, and
An opportunity for a parent who
has filed a complaint and the public
agency to voluntarily engage in
mediation
 
Mediation
 
15
 
Mediation  
 
(TBB 1-1)
 
Mediation
a process conducted by a qualified
and impartial mediator to resolve a
disagreement between a parent and
public agency
 
16
 
Regulation 
 
(TBB 3-6)
 
Discussions that occur during the
mediation process must be confidential
and may not be used as evidence in any
subsequent due process hearing or civil
proceeding of any federal court or state
court of a state receiving assistance
under Part 300
34 CFR §300.506(b)(7)
 
17
 
Due Process Procedures
 
18
 
Due Process Procedures
 
Due Process Complaint 
a document filed by a parent or a
public agency to initiate an impartial
due process hearing on matters
relating to the identification,
evaluation, or educational placement
of a child with a disability, or the
provision of a free appropriate public
education (FAPE) to the child
 
19
 
Due Process Complaints
 
(TBA 1-1)
 
Who may file a due process
complaint?
A 
parent
 or 
public agency 
may file a
due process complaint on issues
relating to the identification,
evaluation, or educational placement
or provision of FAPE
34 CFR §300.507(a)
 
20
 
Due Process Procedures 
 
(TBA 2-2)
 
The party filing a 
due process
complaint
 must provide a copy to the
other party and forward a copy to the
SEA
 
21
 
22
 
Required Notice 
 
(TBA 2-2)
 
Specific information must be
included in a due process complaint
The due process complaint is
deemed sufficient 
unless
 the party
receiving the notice, challenges the
sufficiency
 
23
 
Regulation 
 
(TBA 3-3)
 
A party may amend its due process
complaint only if –
i.
The other party consents in writing to the
amendment and is given the opportunity to
resolve the due process complaint through a
meeting held pursuant to 300.510; or
ii.
The hearing officer grants permission, except
that the hearing officer may only grant
permission to amend at any time not later than
five days before the due process
 
hearing begins
34 CFR §300.508(d)(3)
 
Regulation 
 
(TBA 3-3)
 
If a party files an amended due
process complaint, the timelines for
the resolution meeting in 34 CFR
§300.510(a) and the time period to
resolve in 34 CFR §300.510(b) begin
again with the filing of the amended
due process complaint
34 CFR §300.508(d)(4)
 
24
 
Resolution Process
 
25
 
Resolution Meeting 
 
(TBA 4-4)
 
Resolution Meeting 
a meeting convened by the local
educational agency (LEA), with the
parent(s) and other relevant
member(s) of the individualized
education program (IEP) Team who
have specific knowledge of the facts in
the parent’s due process complaint
 
26
 
27
 
Resolution Meeting 
(
cont.
) 
 
(TBA 4-4)
 
The purpose is for the parent to
discuss the due process complaint,
and the facts that form its basis so
that the LEA has the opportunity to
resolve the dispute that forms the
basis of the due process complaint
 
28
 
Resolution Process in Brief
 
(TBA 4-4; 4-5)
 
Within 15 days of receipt of a due
process complaint, the public
agency must convene a resolution
meeting
If the dispute is not resolved
within 30 days of the public
agency’s receipt of the due
process complaint, the due
process hearing timeline begins
 
29
 
Resolution Process in Brief 
(
cont.
)
 
(TBA 4-4)
 
Parties can agree to mediation as
an alternative to the resolution
process
Parties can agree to waive the
resolution process
 
30
 
Regulation 
 
(TBA 4-5)
 
If the LEA is unable to obtain the
participation of the parent in the
resolution meeting after reasonable
efforts have been made (and documented
using the procedures in 34 CFR
§300.322(d)), the LEA may, at the
conclusion of the 30-day period, request
that a hearing officer dismiss the parent’s
due process complaint
34 CFR §300.510(b)(4)
 
31
 
Regulation 
 
(TBA 4-5)
 
If the LEA fails to hold the resolution
meeting…within 15 days of receiving
notice of a parent’s due process
complaint or fails to participate in the
resolution meeting, the parent may
seek the intervention of a hearing
officer to begin the due process
hearing timeline
34 CFR
 
§300.510(b)(5)
 
32
 
Preview of Coming Attraction
 
The IDEA curriculum is being
developed by NICHCY and is
available through the
http://sites.ed.gov/idea
 Web site
Designed as a “trainer of trainers”
tool, the slides are targeted to a
variety of audiences, including
school staff, parents, advocates and
others interested in IDEA
 
33
 
Web Resources
 
Consortium for Appropriate Dispute
Resolution in Special Education
(CADRE):
http://www.directionservice.org/cadre
OSEP’s IDEA website:
http://sites.ed.gov/idea
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Explore the procedural safeguards, state complaint procedures, mediation, and due process in special education as outlined by the U.S. Department of Education. Learn about filing complaints, required content, and who can file a complaint. Get insights into the resolution process, surrogate parents, notice, and parent consent, ensuring compliance with Part B of IDEA.


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  1. Procedural Safeguards State Complaints, Mediation, Due Process Procedures, and the Resolution Process U.S. Department of Education Office of Special Education Programs

  2. Topic Briefs (TB) A Resolution Meetings and Due Process Hearings B Mediation C State Complaint Procedures D Surrogate Parents, Notice & Parent Consent U.S. Department of Education Office of Special Education Programs 2

  3. Regulation Day means a calendar day unless otherwise indicated as a business day or school day 34 CFR 300.11(a) U.S. Department of Education Office of Special Education Programs 3

  4. State Complaint Procedures U.S. Department of Education Office of Special Education Programs 4

  5. State Complaint Procedures (TBC 3-5) State Complaint A signed, written document submitted to a state educational agency (SEA) by an individual or organization that alleges that a public agency has violated a requirement of Part B of IDEA U.S. Department of Education Office of Special Education Programs 5

  6. State Complaint Procedures (TBC 1-1) Who can file a complaint? Not only may a child s parent file a State complaint, but any organization or individual may file a signed, written complaint with the SEA U.S. Department of Education Office of Special Education Programs 6

  7. State Complaint Procedures Required Content (TBC 3-5) A statement that the public agency has violated a requirement of Part B of the IDEA or of Part 300 of the IDEA regulations The facts on which the statement is based The signature and contact information for the complainant U.S. Department of Education Office of Special Education Programs 7

  8. State Complaint Procedures (TBC 3-5) If alleging violations with respect to a particular child Child s name and address (if the child is homeless, available contact information for the child and name of the child s school) Name of the school the child is attending U.S. Department of Education Office of Special Education Programs 8

  9. State Complaint Procedures (TBC 3-5) Description of the nature of the problem, including facts relating to the problem Proposed resolution of the problem, if known 34 CFR 300.153(b) U.S. Department of Education Office of Special Education Programs 9

  10. Regulation (TBC 1-1) Each SEA must adopt written procedures for Widely disseminating to parents and other interested individuals, including parent and training centers, protection and advocacy agencies, independent living centers, and other appropriate entities, the State procedures under 300.151 through 300.153 34 CFR 300.151(a)(2) U.S. Department of Education Office of Special Education Programs 10

  11. State Complaint Procedures (TBC 3-5) The party filing the complaint must also send a copy to the LEA or public agency serving the child at the same time the complaint is filed with the SEA 34 CFR 300.153(d) U.S. Department of Education Office of Special Education Programs 11

  12. Regulation (TBC 3-6) The complaint must allege a violation that occurred not more than one year prior to the date that the complaint is received in accordance with 34 CFR 300.151 34 CFR 300.153(c) U.S. Department of Education Office of Special Education Programs 12

  13. State Complaint Procedures (TBC 2-3) SEA must provide the public agency with the opportunity to respond to the complaint filed with the SEA, including at a minimum: U.S. Department of Education Office of Special Education Programs 13

  14. State Complaint Procedures (TBC 2-3) At the discretion of the public agency, a proposal to resolve the complaint, and An opportunity for a parent who has filed a complaint and the public agency to voluntarily engage in mediation U.S. Department of Education Office of Special Education Programs 14

  15. Mediation U.S. Department of Education Office of Special Education Programs 15

  16. Mediation (TBB 1-1) Mediation a process conducted by a qualified and impartial mediator to resolve a disagreement between a parent and public agency U.S. Department of Education Office of Special Education Programs 16

  17. Regulation (TBB 3-6) Discussions that occur during the mediation process must be confidential and may not be used as evidence in any subsequent due process hearing or civil proceeding of any federal court or state court of a state receiving assistance under Part 300 34 CFR 300.506(b)(7) U.S. Department of Education Office of Special Education Programs 17

  18. Due Process Procedures U.S. Department of Education Office of Special Education Programs 18

  19. Due Process Procedures Due Process Complaint a document filed by a parent or a public agency to initiate an impartial due process hearing on matters relating to the identification, evaluation, or educational placement of a child with a disability, or the provision of a free appropriate public education (FAPE) to the child U.S. Department of Education Office of Special Education Programs 19

  20. Due Process Complaints (TBA 1-1) Who may file a due process complaint? A parent or public agency may file a due process complaint on issues relating to the identification, evaluation, or educational placement or provision of FAPE 34 CFR 300.507(a) U.S. Department of Education Office of Special Education Programs 20

  21. Due Process Procedures (TBA 2-2) The party filing a due process complaint must provide a copy to the other party and forward a copy to the SEA U.S. Department of Education Office of Special Education Programs 21

  22. Required Notice (TBA 2-2) Specific information must be included in a due process complaint The due process complaint is deemed sufficient unless the party receiving the notice, challenges the sufficiency U.S. Department of Education Office of Special Education Programs 22

  23. Regulation (TBA 3-3) A party may amend its due process complaint only if i. The other party consents in writing to the amendment and is given the opportunity to resolve the due process complaint through a meeting held pursuant to 300.510; or ii. The hearing officer grants permission, except that the hearing officer may only grant permission to amend at any time not later than five days before the due process hearing begins 34 CFR 300.508(d)(3) U.S. Department of Education Office of Special Education Programs 23

  24. Regulation (TBA 3-3) If a party files an amended due process complaint, the timelines for the resolution meeting in 34 CFR 300.510(a) and the time period to resolve in 34 CFR 300.510(b) begin again with the filing of the amended due process complaint 34 CFR 300.508(d)(4) U.S. Department of Education Office of Special Education Programs 24

  25. Resolution Process U.S. Department of Education Office of Special Education Programs 25

  26. Resolution Meeting (TBA 4-4) Resolution Meeting a meeting convened by the local educational agency (LEA), with the parent(s) and other relevant member(s) of the individualized education program (IEP) Team who have specific knowledge of the facts in the parent s due process complaint U.S. Department of Education Office of Special Education Programs 26

  27. Resolution Meeting (cont.) (TBA 4-4) The purpose is for the parent to discuss the due process complaint, and the facts that form its basis so that the LEA has the opportunity to resolve the dispute that forms the basis of the due process complaint U.S. Department of Education Office of Special Education Programs 27

  28. Resolution Process in Brief (TBA 4-4; 4-5) Within 15 days of receipt of a due process complaint, the public agency must convene a resolution meeting If the dispute is not resolved within 30 days of the public agency s receipt of the due process complaint, the due process hearing timeline begins U.S. Department of Education Office of Special Education Programs 28

  29. Resolution Process in Brief (cont.) (TBA 4-4) Parties can agree to mediation as an alternative to the resolution process Parties can agree to waive the resolution process U.S. Department of Education Office of Special Education Programs 29

  30. Regulation (TBA 4-5) If the LEA is unable to obtain the participation of the parent in the resolution meeting after reasonable efforts have been made (and documented using the procedures in 34 CFR 300.322(d)), the LEA may, at the conclusion of the 30-day period, request that a hearing officer dismiss the parent s due process complaint 34 CFR 300.510(b)(4) U.S. Department of Education Office of Special Education Programs 30

  31. Regulation (TBA 4-5) If the LEA fails to hold the resolution meeting within 15 days of receiving notice of a parent s due process complaint or fails to participate in the resolution meeting, the parent may seek the intervention of a hearing officer to begin the due process hearing timeline 34 CFR 300.510(b)(5) U.S. Department of Education Office of Special Education Programs 31

  32. Preview of Coming Attraction The IDEA curriculum is being developed by NICHCY and is available through the http://sites.ed.gov/idea Web site Designed as a trainer of trainers tool, the slides are targeted to a variety of audiences, including school staff, parents, advocates and others interested in IDEA U.S. Department of Education Office of Special Education Programs 32

  33. Web Resources Consortium for Appropriate Dispute Resolution in Special Education (CADRE): http://www.directionservice.org/cadre OSEP s IDEA website: http://sites.ed.gov/idea U.S. Department of Education Office of Special Education Programs 33

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