Procedural Guide
1. WHEN TO CONTACT A SELPA REPRESENTATIVE
In California, every local education agency (LEA) is required to belong to a Special Education Local Plan Area (SELPAs). The SELPAs are a consortium of LEAs responsible for the development of special education policies and procedures, the distribution of federal and state special education funds, and providing a range of professional development opportunities pertaining to special education. Individuals at an LEA/district may contact a SELPA representative about a student-related issue when:
- Conducting a manifestation determination.
- Considering a non-public school (NPS), day treatment, or residential facility.
- Support is needed to come to a resolution on any component of the IEP.
- Requested by an IEP team member (parent or LEA/district).
- The LEA/district or parent requests a facilitated IEP meeting.
- There has been a request for records from the parents and/or an attorney.
- There is an attorney or advocate involved with the case.
- The parent has filed a request for a due process hearing or mediation only.
- The parent has filed a California Department of Education (CDE) or Office of Civil Rights (OCR) complaint.
- The parent would benefit from or requests outside guidance in understanding legal elements and/or processes around special education.
- Support is required following an IEE request.
- Any time more information is needed and/or provide additional consultation on policy and procedures for special education.
2. PRE-REFERRAL PROCESS
The parent(s) of a student will be contacted whenever there is a concern about their child’s academic, behavioral, or social-emotional performance. Concerns may be addressed in a Student Study Team (SST) meeting. An SST is a multi-disciplinary team that considers, plans, and assesses general education interventions and supports for students experiencing academic, speech/language, and/or social-emotional/behavioral difficulties. The purpose of the SST is to problem-solve and to identify supports in the general education setting to allow a student to be successful. Early intervention planning for students through the SST process is a function of the general education program. The SST process provides an opportunity for an in-depth focus on improving school success one student at a time. It is highly recommended that every LEA/district has an SST process in place. This process may be initiated by school staff or the parent/student. During an SST meeting, the Student Study Team will document concerns and current strategies being implemented or that will be implemented to attempt to address the student’s concerns related to their learning. Areas that are important to discuss and document during the SST meeting are:
For in-depth information regarding the SST process and other pre-referral considerations, please refer to the El Dorado SELPA’s Student Study Teams Handbook. This comprehensive document includes the following helpful topics as well as several appendices and sample forms:
- Developmental/medical history
- Attendance/school enrollment history
- Review of current hearing and vision results
- Social-Emotional skills
- Behavior
- Academics:
- Current academic performance, results of past interventions, results of current interventions.
- Current or past services provided by LEA/district and/or private provider.
- What is a Student Study Team (SST)?
- Who Participates on the SST Team
- SST Referral
- SST Flowchart
- Insufficient Student Progress
- Legal Requirements
- Parent/Guardian Referral for Special Education Assessment
- Special Considerations for English Learners
- Helpful Suggestions for Effective SST Meetings
- Sample SST Interventions
- Commonly Asked Questions
Please note: If a parent makes a written request for a special education consideration, the LEA/district must respond within 15 days. Should the LEA/district determine testing is merited, they should respond by sending an assessment plan and a Prior Written Notice (PWN), with a copy of Procedural Safeguards to the parent. 1 The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
3. CHILD FIND BASICS
The Individuals with Disabilities Education Improvement Act (IDEA) (20 U.S.C. § 1400 et. seq) and California Education Code §56301 require every local educational agency (LEA) to identify, locate, and evaluate students enrolled with known or suspected disabilities to determine whether a need for special education and related services exists. LEAs/Districts are obligated to develop and implement a plan to locate all IDEA-eligible students, including but not limited to students who are homeless or wards of the state. The process an LEA/district develops to locate and identify students with disabilities is known as Child Find. To fulfill their Child Find obligation, each LEA/district conducts what are known as Child Find activities. Such activities may include the following:
- The use of a child find letter (i.e. “Child Find Sample Letter” in Spanish and English, located in the SEIS Document Library under Child Find) to parents* or the responsible party of a child who may need special education or related services, in their primary language.
- Inclusion of targeted questions regarding areas of need and/or previous Special Education services in enrollment packets.
- Carefully screening files and enrollment documentation of all students transferring into the LEA/district to identify students who may have been receiving special services in their prior LEA/district.
- Complete a California Longitudinal Pupil Achievement Data System (CALPADS) record search for all students transferring into the LEA/district, looking for reported Special Education data to identify students who may be eligible for special education. Please refer to the Monitoring 16.7 and 16.8 Overview guidance documents (located in the SEIS Document Library under Child Find) for further detail on this process.
- Providing information in languages spoken in the community to parents that explains the LEA’s/district’s special services and whom to contact if they suspect their student may have a disability.
- Utilizing a clear referral system (i.e. Student Study Team process. Please refer to the EDCOE Charter SELPA’s Student Study Teams (SST) Handbook for more information).
- Providing annual in-service activities to assist all staff in making appropriate referrals and on the Child Find process and obligation. Consider using the “Referral for Special Education and Related Services” form located in the SEIS Document Library under Child Find.
- Screening all students entering kindergarten to identify students with suspected disabilities.
- Review of files for all students with a health plan to screen for suspected disabilities.
- Publication of a child find notice in the LEA/district newsletter or website. This notice may also be included in the enrollment packet and sent home annually to parents.
- Creation of a poster or other document for display in the main office (and other prominent areas) which includes whom to contact if there is a student suspected to be eligible under IDEA.
Failing to meet Child Find requirements is a matter of serious concern that can deny a Free and Appropriate Education (FAPE) to a student whom an LEA/district should have identified. This failure may entitle a student to compensatory education or educationally related reimbursement accruing from the time the LEA/district first should have suspected the disability (Department of Education State of Hawaii. v. Cari Rae S., 2001). Additionally, an LEA/district may be violating its Child Find duty by repeatedly referring a student for interventions rather than evaluating the student’s need for special education and related services (see the Office of Special Education (OSEP) Memorandum to State Directors of Special Education, January 2011).
Useful Links:
SST Handbook: https://charterselpa.org/wp-content/uploads/2017/10/SST_Handbook_Charter_2018-06-28.pdf* The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law.
4. SPECIAL EDUCATION ASSESSMENT REFERRAL PROCESS
A parent* or a public agency may initiate a request for an initial evaluation to determine if a student qualifies as a student with a disability under the Individuals with Disabilities Act (IDEA) (34 CFR §300.301). Additionally, the IDEA’s “Child Find” mandate requires that LEAs/districts seek out potentially IDEA-eligible students and refer those students for an evaluation. For more information relating to Child Find please see the section of this procedural guide titled, “Child Find Basics.” More specifically, referrals for special education assessment and eligibility may be submitted by the following persons:
- The holder(s) of educational rights (e.g., biological parent, adoptive parent, other individuals identified through court order)
- Student Study Team/Student Intervention Team (SST)
- School staff
- Student (may self-refer)
- Community agency
- Court officers
- Any individual with knowledge of a child who may have a disability or may need related services
- It is recommended to document the information received as part of the referral and any correspondence to assist with determining the appropriateness of the request. Under C. R. Sec. 3021(a), there is no specific language requirement for a request to be valid, however, it should be in writing. In the event the parent makes a verbal request for assessment, the LEA/district shall assist in putting their request in writing (see sample parent request for assessment, located on page 9 of the El Dorado SELPA’s Parent Handbook). In the event a referral is made on behalf of the student, it is recommended that the LEA/district confirm the referral request with the holder of educational rights.
- Once the written request has been received by the LEA/district the process below should be followed:
- If the referral is received and the LEA decides to proceed with the assessment, the LEA/district personnel will:
- Notify the holder of education rights that a referral was made
- Input the student’s information into SEIS
- Develop an “Assessment Plan” (located in the SEIS Document Library)
- Deliver the completed assessment plan, Prior Written Notice (PWN), and a copy of Procedural Safeguards to the holder of educational rights within 15 calendar days from receipt of the referral.
- If the referral is received and the LEA decides to proceed with the assessment, the LEA/district personnel will:
- If the referral is received and it is determined that additional information is needed before proceeding with the development of an assessment plan, a meeting (such as an SST) should be convened with the holder of education rights and the referring party (if not referred by the holder of educational rights) to explore educational concerns as well as relevant background and health information.
- As a reminder, a final determination regarding the request for assessment and subsequent PWN, copy of procedural safeguards, and assessment plan (if applicable) must still be provided to the holder of educational rights within 15 calendar days. Therefore, it is highly recommended that a meeting convened to discuss the assessment referral be scheduled immediately upon receiving the request to adhere to the 15-calendar day requirement.
- After a careful review of student data, if it is determined that the student is receiving a Free Appropriate Public Education (FAPE) in the Least Restrictive Environment (LRE) and further assessment is not warranted, the LEA/district must notify the holder of education rights within 15 days with a “Notice of District Refusal” PWN (located in the SEIS Document Library) outlining why the requested assessment will not be initiated. The LEA/district shall include data in the PWN which illustrates that the student is not suspected to be eligible for special education services under any of the 13 eligibility categories of the IDEA. If the LEA/district determines further assessment is not warranted, it is strongly encouraged that the LEA/district consult with their LEA’s assigned SELPA Program Specialist before sending the “Notice of District Refusal” PWN.
5. PROCEDURAL SAFEGUARDS
Procedural Safeguards
Procedural safeguards refer to the educational rights of students with disabilities ages three through 21 and their parents, legal guardians, or surrogate parents under the Individuals with Disabilities Education Act (IDEA) and the California Education Code. Adult students with disabilities who have reached the age of 18, referred to as the age of majority, are also entitled to these rights unless deemed unable to make their own educational decisions under California law. Although LEAs/districts must provide the parent of a student with a disability with notice of the procedural safeguards at least once per year, it is recommended that the parent be provided a copy for review at the start of each IEP meeting. Local Educational Agencies (LEAs) should ensure the parent(s) understand the notice by offering to review the document together, providing ample opportunities for questions or clarification, and documenting receipt on the signature page of the IEP document. The “Notice of Procedural Safeguards and Parents’ Rights” document can be found in multiple languages in the “Procedural Safeguards” section of the El Dorado SELPA’s SEIS Document Library. In addition to the requirement to provide notice of procedural safeguards at least once per year, a copy must also be provided to parents [34 CFR §300.504; EDC §56301(d)(2); EDC § 56321; and EDC § 56341.1(g)(1)]:
- Upon initial referral or parental request for evaluation.
- When sending out an Assessment Plan and/or Prior Written Notice.
- Upon receipt of the first state complaint in the school year.
- Upon receipt of the first due process complaint in the school year.
- In accordance with disciplinary procedures.
- Upon parental request.
- Written in a language understandable to the general public; and
- Provided in the native language of the parent or in another mode of communication that is used by the parent, unless it is clearly not feasible to do so. [34 CFR §300.504(d)]
- The notice is translated orally or by other means to the parent in his or her native language or other mode of communication;
- The parent understands the content of the notice; and
- There is written evidence that these requirements have been met. 34 CFR §300.503(c)]
6. PRIOR WRITTEN NOTICE
What is prior written notice?
Prior written notice is a legal requirement per the Individuals with Disabilities Education Act (IDEA) and a protection afforded to parent(s)* per their Procedural Safeguards. IDEA includes prior written notice as a measure to ensure that parent(s) have adequate notification and understanding of special education decisions made about their student, including elements of a Free Appropriate Public Education (FAPE).
A Prior Written Notice letter should provide comprehensive documentation of all actions proposed and/or refused by a Local Education Agency (LEA)/District. The information included should be sufficient to ensure that parent(s) understand the rationale by which decisions were made, and all things that were considered. Providing prior written notice affords parent(s) an additional opportunity to consider and/or object to decisions that were made prior to implementation by an LEA/district.
Under what circumstances is prior written notice required?
A Prior Written Notice letter is a document that is required following the proposal and/or refusal related to the initiation or change in the identification, evaluation, educational placement, or offer of FAPE (34 CFR §500.503).
An Individualized Education Program (IEP) team may make decisions regarding the identification of a student including, but not limited to:
- Determination of initial identification (eligibility) for special education
- Refusal to identify a student as eligible
- Changing the identification of a student (eligibility category)
- Termination of identification (student no longer found eligible)
An IEP team may make decisions regarding the evaluation of a student including, but not limited to:
- Requesting consent for initial evaluation
- Requesting consent for reevaluation
- Refusal to conduct an evaluation requested by parent(s)/guardian(s)
- Proposal or refusal to provide a requested independent educational evaluation (IEE)
An IEP team may make decisions regarding the placement of a student including, but not limited to:
- Offering initial placement
- Proposing a change in educational placement
- Refusal to change placement as requested by parent(s)/guardian(s)
- Termination of special education placement due to a student being found no longer eligible
- Proposal or refusal to offer placement to parent(s)/guardian(s)who has unilaterally placed a student with an IEP in a residential facility or nonpublic school
Graduation with a regular high school diploma is also considered a change of placement, though not through an IEP team decision, thus requiring the provision of prior written notice (EDC §56500.5). Additionally, any disciplinary removal of more than 10 consecutive days or a series of removals accumulating more than 10 days is considered a change of placement, triggering the prior written notice requirement (34 CFR §300.530(h)).
An IEP team may make decisions regarding the provision of FAPE to a student including, but not limited to:
- Changes in IEP services, including addition, deletion, change in minutes, frequency, location, or refusal to change a service
- Changes in accommodations/modifications or refusal to change per parent/ guardian request
- Change(s) in annual goals or refusal to change goals per parent/ guardian request
- Changes in how a student will participate in statewide and districtwide assessments
- Refusal to provide a specific instructional methodology requested by a parent/ guardian
Any changes made to FAPE in an IEP or through the amendment process also generate the requirement to provide prior written notice.
Parent(s) may submit a letter revoking consent for special education services when they no longer wish for their student to receive special education services or be considered a student with a disability. The LEA/district must terminate the provision of special education services upon receipt of a revocation of consent, thus generating the requirement to provide prior written notice (EDC §56346(d)). When the LEA/district receives revocation of consent from the parent(s), they may not be required to attend any additional meetings, and are not required to provide an explanation for their request. The U.S. Department of Education requires that the LEA/district “promptly” respond to parent(s) written revocation letter with prior written notice (34 CFR §300.503). Prior written notice must be provided prior to ending any services, and allow parent(s) the opportunity to consider the change(s) that will result from revoking consent. For further information on revocation of consent, see section 23: Parental Consent and Parental Revocation of Consent” in this Procedural Guide.
What are the required elements of a Prior Written Notice?
To be considered compliant, a Prior Written Notice must include seven required elements (34 CFR §300.503), including:
- A description of the action proposed or refused by the LEA/district;
- An explanation of why the LEA/district proposes or refuses to take the action;
- A description of each evaluation procedure, assessment, record, or report the agency used as a basis for the proposed or refused action;
- A statement that the parent(s) of a student with a disability have protection under the procedural safeguards of this part and, if this notice is not an initial referral for evaluation, the means by which a copy of a description of the procedural safeguards can be obtained;
- Sources for parent(s) to contact to obtain assistance in understanding the provisions of this part;
- A description of other options considered by the IEP Team and the reason why those options were rejected; and
- A description of the factors that are relevant to the LEA’s/district’s proposal or refusal.
In addition to including these elements, the Prior Written Notice letter must be provided in a language that is understandable to parents and the general public and should be provided in the native language or another mode of communication of the parent unless it is not feasible to do so. To ensure that the Prior Written Notice letter is understandable, it is recommended that it be written without the use of acronyms or abbreviations. It should serve as a stand-alone document that can be understood by a person who does not have other reports and/or IEP documents to which they may refer. Phrases such as “N/A” and “see above” should be avoided.
How soon after educational decisions should prior written notice be provided?
Though there are not any specific timelines around when to provide prior written notice, it must be provided “within a reasonable timeline prior to action” (34 CFR 300.503(a)). This means prior written notice must be given to parents in a reasonable time before the LEA/district implements that action, but after the LEA’s/district’s decision on the proposal or refusal has been made. It is recommended that the LEA/district use their best judgement when considering the timeline for providing a Prior Written Notice letter. It should be provided after the meeting but soon enough so that a parent has time to review and provide a response prior to the change in the IEP taking place.
How should prior written notice be formatted?
Neither federal nor state special education regulations specify the format in which a Prior Written Notice letter must be provided. Permissible formats include a formal letter on letterhead, the use of fill-in-the-blank forms (located in the SEIS document library), and the use of the IEP form in the SEIS tower of forms. It is recommended that LEAs/districts exercise caution when considering the use of the IEP document itself to provide prior written notice. It is not generally the case that an IEP document contains the seven elements that are required for prior written notice to be considered compliant. If the LEA/district is not confident that all the required elements for prior written notice exist in the IEP document, it is strongly recommended that a separate Prior Written Notice letter be provided along with a copy of the IEP.
How should the LEA/district document that prior written notice has been provided?
IDEA does not require that a parent acknowledge receipt of a Prior Written Notice letter. Since the LEA/district will not receive copies of a Prior Written Notice letter with parent signatures or other confirmations of receipt, it is recommended that the LEA/district develops a system and record-keeping mechanism to document that the Prior Written Notice letters have been provided.
*The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
7. GENERAL TIMELINES
Special Education Timelines
| Initial Assessment and Individualized Education Program (IEP) Development |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
|
Proposal of Assessment Plan (AP) for Initial Assessment
|
15 calendar days from the date of referral |
Exceptions may include:
*School breaks in excess of 5 school days
*If a referral is received 10 days or fewer before the end of the school year, then the AP must be sent to the parent/guardian within the first 10 days of the following school year
See the “Assessment Plan” section of this Procedural Guide for more information on the content of the assessment plan and accompanying documents.
|
EDC §56043(a)
EDC §56321(a)
|
| IEP team meeting to review initial assessments | 60 calendar days from the receipt of parent/guardian consent on the Assessment Plan, to determine eligibility and areas of need |
Exceptions may include:
*Student enrolls in another LEA
*Student is not made available
*School breaks in excess of 5 school days
*If the referral is received 30 days or fewer before the end of the school year, the IEP meeting must be held within the first 30 calendar days of the next school year.
|
EDC §56043(c)
EDC §56302.1
EDC §56344(a)
|
| IEP Team Meetings |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
| Plan Review | Not to exceed 12 months (365 days) from the date of the last IEP |
IDEA makes parents/guardians mandatory members of the IEP team.
See the “Parent Participation” section of this Procedural Guide for more information on parent participation and conducting an IEP meeting without a parent in attendance.
|
EDC §56043(d), (j)
EDC §56343(d)
EDC §56380
|
| IEP team meeting to review reassessments including eligibility evaluations | 60 calendar days after the receipt of parent/guardian consent on the Assessment Plan |
Exceptions may include:
* School breaks in excess of 5 school days
*If the referral is received 30 days or fewer before the end of the school year, the IEP is due within the first 30 calendar days of the next school year
|
EDC §56043 (f) (l)
EDC §56343 (a)
EDC §56344 (a)
|
| Parent/guardian requests an IEP meeting for a student with an existing IEP | 30 calendar days after a written request is received |
Exceptions may include:
*School breaks in excess of 5 school days
If a verbal request is made by the parent/guardian, the LEA must direct and/or assist the parent/guardian in making the request in writing.
|
EDC §56043 (I)
EDC §56343.5
|
| IEP to review student’s lack of progress toward IEP goals | No specific timeline |
Consideration: Convene the IEP team within 30 days of determining that a student is demonstrating a lack of progress.
See the “Annual Review and Re-Evaluation” section of this Procedural Guide for more information regarding steps the IEP team may take when considering a lack of progress towards IEP goals.
|
EDC §56343(b) |
| Notify parents of the IEP team meeting and send the IEP Notice of Meeting | Early enough to ensure an opportunity to attend the meeting |
Consideration: At least 10 school days before the meeting date.
See the “Individualized Education Program Meeting” section of this Procedural Guide for more information on parent notification of IEP team meetings.
|
EDC §56043(e)
EDC §56341.5(b)
|
| Notice of Procedural Safeguards | Give a copy of procedural safeguards at each IEP meeting and at least once each year |
See the “Procedural Safeguards” section of this Procedural Guide for other instances where a copy of the procedural safeguards must be provided to parents/guardians. “Notice of Procedural Safeguards and Parent’s Rights” can be found in many languages in the SEIS Document Library or in the Parent's Rights section of the Parent Resources page.
|
EDC §56500.1
34 CFR §300.504
|
| Implement the signed IEP | As soon as possible after receiving the signed IEP from the parent/guardian | See the “Parental Consent and Parental Revocation of Consent” section of this Procedural Guide for the definition of parental consent. |
EDC §56043(i)
EDC §56344(b)
|
| Progress reports on IEP goals provided to the parent(s) /guardian(s) | Frequency is determined by the IEP team and should be provided at least in concurrence with the issuance of report cards at the LEA | EDC §56345(a)(3) |
| Eligibility Evaluations |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
| Eligibility Evaluation | Every 3 years based on the date of the last eligibility evaluation |
May occur more often if needed, but no more than once per year, unless the IEP team agrees
Parent/guardian and LEA may agree in writing that eligibility evaluations are not necessary and may also agree to limit the scope of the review.
See the “Annual Review and Re-Evaluation” section of this Procedural Guide for more information regarding Eligibility Evaluations, circumstances warranting more frequent eligibility evaluations, and instances in which the team may consider a review of records.
|
EDC §56043(k)
EDC §56381
|
| Proposal for re-assessment | 15 calendar days from the date of referral |
Exceptions may include:
*School breaks in excess of 5 school days
*If a referral is received 10 days or fewer before the end of the school year, then the AP would be due within the first 10 days of the following school year.
See the “Assessment Plan” section of this Procedural Guide for more information on the content of the assessment plan and accompanying documents.
|
EDC §56043(a)
EDC §56321(a)
|
| Individual Transition Plans (ITP) |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
| Individual Transition Plan (ITP) |
Must be in the IEP when the student turns 16
ITPs must be updated at least annually
|
See the “Transition Planning” section of this Procedural Guide for considerations of transition planning. |
EDC §56043 (g)(1), (h)
EDC §56341.5(e)
EDC §56345(a)(8)
|
| Students are informed of the transfer of rights at the age of 18, known as the “age of majority” | LEA must inform the parent(s)/guardian(s) and special education student before the student turns 17 | See the “Age of Majority” section of this Procedural Guide for more information on the age of majority timeline and IEP requirements. |
EDC §56041.5
EDC §56043(g)(3)
EDC §56345(g)
|
| Notice to parent(s) /guardian(s) of student’s graduation from high school with a diploma | No specific statutory timeline, “reasonable” Prior Written Notice must be given | See the “Graduation Options for Students with Disabilities” and “Age Out Timelines” sections of this Procedural Guide for information on the termination of special education services. | EDC §56500.5 |
| Independent Educational Evaluation (IEE) |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
| Respond to a request for an IEE | No specific statutory timeline, but should respond without unnecessary delay |
Consideration: Respond within 15 days of parent/guardian request for IEE.
See the “Independent Educational Evaluations” section of this Procedural Guide and the “Independent Educational Evaluations Guidelines” resource for IEE policy and procedure recommendations.
|
34 CFR §300.502(b)
(b)
|
| Discipline |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
| Provide parent(s) /guardian(s) with notice of change of placement if a student has been removed from current placement as well as a copy of procedural safeguards | The day a decision is made to remove a student for disciplinary purposes for more than 10 school days | See the “Suspension, Expulsion and Manifestation Determination” section of this Procedural Guide for information on discipline procedures. | 34 CFR §300.530(h) |
| Conduct a manifestation review | Within 10 school days of the decision to remove the student for disciplinary purposes that result in the removal of the student for more than 10 days within the same school year | See the “Suspension, Expulsion and Manifestation Determination” and "Manifestation Determination Flowchart” sections of this Procedural Guide for information on the process of a Manifestation Determination. | 34 CFR §300.530(e) |
| Student Records/Records Request |
| Service | Timeline | Considerations & Supporting Guidance | Regulation |
| Provide parent(s)/guardian(s) with copies of student records | After an oral or written request from the parent(s) /guardian(s); the records should be provided within 5 business days and before any IEP meeting or resolution session, if applicable | See the “Student Records” section of this Procedural Guide for guidelines that apply to each type of student record and access to records. |
EDC §56043(n)
EDC §56504
|
| Provide a receiving LEA with special education records for students that have transferred | 5 business days after a request for records from the receiving LEA is received | See the “Student Records” section of this Procedural Guide for information on transferring records. | EDC §56043(o) |
| Notification to the District of Residence when a student leaves a charter school | A charter school must notify the superintendent of the school district of the pupil’s last known address within 30 days if a pupil is expelled or leaves the charter school without graduating | See the “Student Records” section of this Procedural Guide for details on what records must also be provided upon request. | EDC §47605(d)(3) |
8. ASSESSMENT PLANS
An Assessment Plan (AP) is a document that outlines the assessment tools and methods used to determine eligibility for special education services as well as present levels of performance, the types of measurements used to collect this information, and the assessor(s) responsible for the collection/review of the data. Assessments will be comprised of data from multiple sources and require a multidisciplinary team of specialists to gather and interpret the data. An AP can be initiated for several reasons. Some examples may include the following:
- When a parent* requests assessment
- To initiate an assessment for an initial evaluation
- To initiate an assessment for a triennial evaluation (e.g., in preparation for an eligibility determination meeting)
- If a student is suspected as having an area of need that is not identified in the current IEP (including but not limited to behavior, social-emotional, and/or speech-language)
- If a student is suspected of having an additional disability that is not identified in the current IEP
Parent Request for Assessment
A parent has a right to request an evaluation at any time. Under EDC §56320.1(a), if a parent is requesting an assessment, the LEA/district must respond in writing within 15 days of the written request. For a student with an existing IEP, a triennial re-evaluation may be held early if mutually agreed upon by the school and parent(s).
An LEA/district may deny a parent’s request for an initial assessment or additional assessment for a student with an IEP using a Prior Written Notice (PWN) within 15 calendar days from the date of the request if the school team determines that data indicates the student is receiving a Free Appropriate Public Education (FAPE) in the Least Restrictive Environment (LRE). For initial assessments, the LEA/district must include data in the PWN to demonstrate that the student is not suspected to be eligible for special education services under any of the 13 eligibility categories of the IDEA. If an LEA/District is considering denying a request for an initial assessment or additional assessment for a student with an IEP, it is strongly encouraged that the LEA/District consult with their LEA’s assigned SELPA Program Specialist.
Assessment Plan Content
The proposed AP (along with a PWN) given to parents shall meet all the following requirements:
- Be individualized to reflect the concerns identified through the referral process
- Be provided in the primary language of the parent(s) (EDC §56321(b)(2)) or another mode of communication used by the parent(s), unless doing so is not feasible.
- Explain the types of assessments to be conducted and the professional personnel who is responsible for the administration and interpretation of the assessment (EDC §56321(b)(3)). The El Dorado SELPAs recommends that assessors be listed by titles rather than by their names.
- Address all areas of suspected disability.
- State that no educational placement will result from the assessment without the consent of the parent(s) (EDC §56321(b)(4)).
Areas of Assessment
The AP must be comprehensive and allow for assessing the student in all areas related to the suspected disability, including, if appropriate (34 CFR, EDC §56320):
- Health and developmental history
- Vision, including low vision, and hearing (must be completed within the past year and before conducting assessments)
- Motor Abilities
- Speech and language functioning
- General intelligence or cognitive abilities*
- Processing skills
- Academic achievement
- Adaptive skills
- Orientation and mobility skills
- Career and vocational interests (transition planning)
- Social, emotional, and/or behavioral functioning
- Any other area of suspected disability
The AP must reflect an evaluation that is sufficiently comprehensive to identify all the student’s needs for special education and related services by including assessment tools and strategies that provide relevant information that directly assists in determining the educational needs of the student. The LEA/district is entitled to select who will conduct the evaluations and determine how the process will work by deferring to the professional judgment of the appropriately credentialed/licensed evaluators. Parents have the right to information about the types of assessments an LEA plans to conduct. However, parents may not dictate terms or set conditions for an evaluation for special education purposes.
Please note: Because of the Larry P. litigation, the use of cognitive tests is prohibited for African American students, even with informed parental consent. For further information on selecting appropriate tests for African American students, please see the procedural guide section titled “Assessment, Test Selection, and Reports.”
Obtaining Parent Consent to Assess
An AP requires consent from the student’s educational rights holder. Most commonly, the educational rights holder is the student’s parent(s). If there are questions about who holds educational rights, please contact the LEA/district’s assigned SELPAs Program Specialist. For this section, the educational rights holder is referred to as the “parent”. The AP must be provided either in person, sent electronically (with permission from the parent), sent home with the student, and/or mailed to the parent’s home. In some cases, the school may need to require a return receipt via certified mail to provide documentation that the parent received the assessment plan. When the AP is provided to a parent for review, the following must be attached:
- A copy of the Notice of Procedural Safeguards
- A Prior Written Notice (PWN)
Follow-up with the parent is strongly encouraged to allow the parent(s) an opportunity to communicate questions and/or concerns before providing consent for an assessment. An assessment shall not be conducted unless the written consent of the parent is obtained. Assessment may begin immediately upon receipt of the AP signed by the parent(s). If a parent is not identified or the location of a parent is unknown, a surrogate parent must be appointed to represent the student with a suspected disability. For more information on surrogate parents, please see the section of this Procedural Guide entitled “Surrogate Parents.” If the student is a ward of the state and is not residing with their parent(s), the LEA/district must make reasonable efforts to obtain informed consent from the parent(s). When a parent consents to the proposed AP, the LEA/district may proceed with assessments for determining special education eligibility. Consent to an AP does not grant the LEA/district any authority to implement changes to the student’s educational program. Consent for initial assessment shall not be construed as consent for initial placement of initial provision of special education and related services to the student 34 CFR §300.300(a)(ii).
When Parents Refuse Consent to the Proposed Assessment Plan
When a parent refuses to consent to an assessment, it is recommended that the LEA reach out to the parent to discuss their concerns with the proposed AP. When a parent of a student with IEP refuses an AP or is non-response to a proposed AP, an IEP meeting should be scheduled to review the parent’s concerns with the IEP team. The LEA must provide the parent with the necessary information to fully understand the AP and document their attempts to obtain parental consent. If a parent continues to deny a proposed AP, the LEA must make every effort to obtain a signature on the AP with the box checked for “I do not consent to the proposed assessment described above.”
For initial assessments, if a parent refuses to consent or doesn’t respond to requests for consent, an LEA may, but isn’t required to pursue the initial evaluation of the student by utilizing the procedural safeguards in the IDEA, which include mediation procedures under 34 CFR §300.507 through 34 CFR§300.516 and 34 CFR §300.300 (a)(3)(I).
For triennial re-evaluations, in situations where an LEA/district believes a re-evaluation is necessary but the parent disagrees and refuses consent for re-evaluation, the public agency may but is not required to use the consent to override procedures (34 CFR §300.300 (c)(1)(ii) and 34 CFR §300.300(a)(3)).
When a parent refuses to consent to an AP proposed by the LEA/district, it is recommended to reach out to the LEA/district’s assigned SELPA Program Specialist.
Assessment Timelines
- Initial Evaluation Referral: The AP will be developed and sent to the parent(s) for review within 15 calendar days from the receipt of the referral. Once consent is received, the assessment team has 60 days to conduct assessments and hold an IEP meeting to determine initial eligibility for services EDC §56043(c).
- Triennial Evaluation: The AP will be developed and sent to the parent(s) for review, giving the evaluation team enough time to complete the assessment before the triennial due date. The IEP team has 60 days to conduct assessments and hold an IEP meeting to determine if the student continues to qualify for special education services.
- It should be noted that the triennial IEP due date, as listed in the “Information/Eligibility” section of the current IEP, is the date on which the IEP must be held, regardless of the 60-day assessment plan timeline. If the 60-day timeline generated from the AP results in a date before the triennial due date, then the team must convene by the 60-day timeline’s established date.
- Transition Evaluation: The AP will be developed and sent to the parent for review, giving enough time to complete and review the transition assessments and hold the IEP before the student’s 16th birthday (EDC § 50643((g)(1)).
- Other Requests for Evaluation: Upon request for assessment by the parent or other interested parties, the AP will be developed and sent to the parent(s) for review within 15 days of the receipt of the referral.
* The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
9. ASSESSMENT, TEST SELECTION AND REPORTS
General Guidelines for Conducting Assessments
Assessments must:
- Address all areas of suspected disability.
- Be sufficiently comprehensive to identify the student’s special education and related services needs, whether or not commonly linked to the disability category in which the child has been classified (34 CFR §300.304).
- Be conducted by a multidisciplinary team, including input from the parent*.
- Include, if appropriate:
- Health and developmental history
- Vision, including low vision, and hearing (unless completed within the past year)
- Motor abilities
- Speech and language function
- General intelligence or cognitive level
- Processing skills
- Academic achievement
- Adaptive skills
- Orientation and mobility skills
- Career and vocational interests (transition planning)
- Social, emotional, and behavioral functioning
- Educationally Related Mental Health Services (ERMHS) assessment
- Functional Behavioral Assessment (FBA)
- Any other area of educationally related suspected disability (EDC §56320)
| Service/Obligation | Timeline | Exceptions / Notes / Considerations | Authority |
| Propose an assessment plan for initial assessment. | 15 calendar days from date of referral. |
|
EDC §56043(a) EDC §56321(a) |
| IEP team meeting to review initial assessments. | 60 calendar days to determine the student’s eligibility and areas of need after receipt of parent consent to assessment plan. |
|
EDC §56043(c) EDC §56302.1 EDC §56344(a) |
Assessment Considerations (Vision, Hearing, Health, and Medical)
- All students being assessed for initial and three-year reviews shall be screened in the areas of hearing and vision, unless parent consent is denied (CCR Title 5 §3027).
- All students continuing to fail a threshold hearing test shall be assessed by appropriately trained personnel for hearing, such as an audiologist (CCR Title 5 §3028). This is the responsibility of the LEA/district and access to these services shall be provided by the LEA/district.
- For students with residual vision, a low vision assessment shall be conducted by a specialist.
- For students who have been medically diagnosed with a chronic illness or acute health problem, relevant information shall be included within the assessment and reviewed by the IEP team (CCR Title 5 §3021.1).
Tests and other assessment materials must meet all of the following requirements:
- Are selected and administered so as not to be racially, culturally, or sexually discriminatory (EDC §56320(a)).
- Are provided and administered in the student’s native language or other mode of communication, unless the Assessment Plan indicates reasons why such provision and administration are clearly not feasible (EDC §56320(a)).
- Are used for purposes for which the assessments or measures are valid and reliable.
- Are administered by trained personnel in conformance with the instructions provided by the producer of such tests and other assessment materials (EDC §56320(b)).
- Are tailored to assess specific areas of educational need and not merely those that are designed to provide a single general intelligence quotient (EDC §56320(b)).
- Best ensure that when an assessment is administered to a student with impaired sensory, manual, or speaking skills, the test produces results that accurately reflect the student’s aptitude, achievement level, or any other factors the test purports to measure, rather than the student’s impaired sensory, manual, or speaking skills (unless those skills are the factors the test purports to measure) (EDC §56320(d)).
- Materials and procedures used to assess a student with limited English proficiency are selected to ensure that they measure the extent to which the student has a disability and needs special education services, rather than measuring the student’s English proficiency.
Qualified Assessors by Assessment Type
Please note: This list is not inclusive of all possible special education-related assessments; rather, it is intended to provide an overview of the most common assessments.
| Type of Assessment | Minimum Qualifications |
| Academic Achievement |
Credentialed Special Education Teacher
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
|
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Adaptive Physical Education | Credentialed Adapted Physical Education Specialist |
| Assistive Technology |
Certified or Licensed Speech/Language Pathologist
Occupational Therapist
Certified Assistive Technology Specialist
|
| Auditory Acuity |
Licensed Educational Audiologist
Clinical or Rehabilitative Services Credential
Language, Speech and Hearing and Audiology Credential
|
| Auditory Perception/Auditory Processing |
Language, Speech and Hearing and Audiology Credential
Clinical or Rehabilitative Services Credential
Education Specialist Instruction Credential: Deaf and Hard-of-Hearing
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Functional Behavioral Assessment |
Credentialed Special Education Teacher
Pupil Personnel Services Credential
Licensed Marriage and Family Therapist
Licensed Clinical Social Worker
Licensed Educational Psychologist
Board Certified Behavior Analyst
|
| Cognitive |
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Health |
Licensed Physician
Registered Nurse
School Nurse Services Credential
|
| Motor |
Licensed Physical Therapist
Licensed Occupational Therapist
Adaptive Physical Education Specialist
|
| Occupational Therapy | Licensed Occupational Therapist |
| Orientation and Mobility |
Clinical or Rehabilitative Services Credential
Education Specialist Instruction Credential: Physical and Health Impairment
|
| Physical Therapy | Licensed Physical Therapist |
| Social/Emotional |
Licensed Educational Psychologist
Licensed Clinical Social Worker (LCSW)
Licensed Marriage and Family Therapist
Pupil Personnel Services Credential
|
| Transition/Vocational |
Credentialed Special Education Teacher
Adult Education Credential with a Career Development Authorization
Pupil Personnel Services Credential
|
| Visual Acuity/ Developmental Vision |
Licensed Optometrist
Licensed Ophthalmologist
Education Specialist Instruction Credential: Visual Impairments
|
| Visual Motor |
Licensed Educational Psychologist
Licensed Clinical Social Worker (LCSW)
Pupil Personnel Services Credential
|
| Functional Vision | Education Specialist Instruction Credential: Visual Impairments |
Assessment Reports
Personnel who assess the student shall prepare a written report of the results of each assessment. The report shall include, but not be limited to, the following (EDC §56327):
- Whether the student may need special education and related services and the basis for making that determination;
- The relevant behavior noted during the observation of the student in an appropriate setting and the relationship of that behavior to the student’s academic and social functioning;
- Summarize relevant background information (including the educationally relevant health and development and medical findings, if any);
- Make a determination concerning the effects of environmental, cultural, or economic disadvantage, where appropriate;
- Assessment in all areas of suspected disability;
- Be understandable;
- List tests conducted;
- State areas of educational need/interventions previously attempted and their results;
- Include interviews and/ or questionnaires;
- Include assessment results and conclusions;
- Make recommendations for teaching strategies and additional assessment if necessary;
- Include a statement on whether the student appears to meet eligibility criteria, with specific criteria stated (it may be relevant to not only determine eligibility but also to rule out other areas of suspected disability).
- For additional guidance on the development of assessment reports, please refer to the EDCOE SELPAs assessment report templates available in the SEIS document library.
A copy of the assessment report and the documentation of recommendation for eligibility shall be given to the parent or guardian. LEAs/districts can prepare and present an assessment report, provided they make it clear to the parents that the eligibility criteria listed is a recommendation to the IEP team by the psychologist, but that eligibility is ultimately the IEP team’s decision. LEAs/districts must avoid any predetermination of program, services, and placement.
Outside Reports
The following are general guidelines for addressing the receipt of outside reports (EDC §56329):
- Outside reports may be submitted by the parent for consideration by the IEP team. Information gathered from outside reports may guide the IEP team in identifying the need to assess new areas of disability.
- Outside reports do not automatically determine eligibility or drive goals. LEAs must conduct their own evaluations to examine student health/mental health needs in the school setting and how those needs impact the student’s education or how the medically diagnosed condition manifests in the school setting.
- An outside report may trigger the need for further assessment but does not immediately change or determine eligibility in the school setting (medical diagnosis versus educational eligibility). Conversely, a medical diagnosis is not required for determination of eligibility in the school setting. For example, a student with a medical diagnosis of ADHD does not necessarily automatically qualify under OHI.
IDEA (20 U.S.C. §1414) requires an LEA/district to ensure that an IEP team for a child with a disability includes:
- The parent(s) of the child.
- Not less than one general education teacher of the child (if the child is or may be participating in the general education environment).
- Not less than one special education teacher of the child, or, where appropriate, not less than one special education provider of the child.
- An LEA/district representative who:
- Is qualified to provide or supervise the provision of specially designed instruction to meet the unique needs of children with disabilities;
- Is knowledgeable about the general education curriculum; and
- Is knowledgeable about the availability of LEA/district resources.
- A correctly credentialed or certified individual who can interpret the instructional implications of evaluation results.
- At the discretion of the parent or the LEA/district, other individuals who have knowledge or special expertise regarding the child, including related services personnel as appropriate.
- Whenever appropriate, the student.
Test Selection Considerations for African-American Students
In the state of California, the use of cognitive tests is prohibited for African-American students as a result of the Larry P. vs. Riles litigation, regardless of informed parental consent. However, parents are not required to self-identify their race or ethnicity. If an assessment report is found that includes information on IQ testing of an African-American student, practitioners have been instructed to follow the procedure set out in the sub-section entitled Purging Assessment Reports and Records at the end of this section. It should be noted that this law and its implications are controversial and evolving in the field of Special Education. The El Dorado SELPAs encourages LEAs to engage in additional research and reflection when developing an approach to assessing African-American students for special education services. Additionally, the California Association of School Psychologists (CASP) has provided resources and opinions on this topic. Please access the CASP webpage titled “Larry P. Assessments and Related Issues FAQ” to learn more.
The following intelligence tests are prohibited based upon the original 1979 Larry P. court decision:
The 1986 Larry P. Settlement recommended additional tests, which purport to be or are understood to be a standardized test of intelligence, would be subject to the Larry P. prohibitions. These may include but are not limited to the following tests:
- Arthur Point Scale of Performance Test
- Cattell Infant Intelligence Scale
- Columbia Mental Maturity Scale
- Draw-a-Person (Good enough)
- Gessell Developmental Schedule
- Good enough – Harris Drawing Test
- Leiter International Performance Scale
- Merrill- Palmer Pre-School Performance Test
- Peabody Picture Vocabulary Test (P147)
- Raven Progressive Matrices
- Slosson Intelligence Test
- Stanford – Binet
- Van Alstyne Picture Vocabulary
- Wechsler Intelligence Scale for Children (WISC)
- Wechsler Intelligence Scale for Children-Revised (WISC- R)
- Wechsler Pre-School and Primary Scale of Intelligence (WPPSI)
- Cognitive Abilities Test
- Expressive One-Word Picture Vocabulary Test (EOWPVT)
- K- ABC Mental Processing Subtests
- McCarthy Scales of Children’s Abilities
- Structure of Intellect Learning Aptitude Test
- Test of Nonverbal Intelligence (TONI)
- Test of Nonverbal Intelligence- II (TONI- II)
- Test of Cognitive Ability from the Woodcock-Johnson (including the cognitive section of the Bateria Woodcock Psico-Educativa en Espanol)
- Test of Cognitive Ability from the Woodcock- Johnson- Revised (WJ- R)
- Test of Cognitive Ability from the Woodcock- Johnson -Ill (WJ -Ill)
- Cognitive Subtest of the Battelle Developmental Inventories
- Is the test standardized and does it purport to measure intelligence (cognition, mental ability or aptitude)?
- Are the test results reported in the form of IQ or mental age?
- Does evidence of the (construct) validity of the test rely on correlations with IQ tests?
Purging Prohibited Reports and Records Under Larry P. v. Riles
In California, LEAs/districts are prohibited from administering IQ tests to African-American students. IQ scores from any other source also cannot become part of a student’s record. If the records of an African-American student are received from out-of-state and/or another agency and contain IQ test information, the IQ scores (and all references to them) must be purged. The following steps are recommended when it becomes necessary to purge IQ information from a student record:
- Review the case file to determine if prohibited information is contained therein.
- Remove any prohibited protocols and all assessment reports which contain IQ information.
- Copy the original report.
- Use a black tip marker or liquid “white-out” to remove the following information on the copy:
- Any reference to a test instrument that yields an IQ score or standard score that is an indication of cognitive functioning.
- Any test data summary scores from the test instruments(s).
- Commentary in the report or IEP, which discusses the student’s performance on the test instrument(s).
- Make a copy of the purged report. File this in the student record.
- Destroy the copy with the black tip marker or liquid “white-out.”
- Notify the parent/guardian that the student’s records are being sealed.
- Seal the original report, any relevant protocols, and a copy of the letter sent to the parent/guardian in an envelope. Indicate the student’s name and destruction date of five years hence on the outside of the envelope. Attach a label indicating the envelope is only to be opened for purpose of litigation, official state or federal audits, or upon parent request.
- Add the student’s name to an LEA/district-level master list of students whose files have been purged and reports sealed due to the Larry P. v. Riles ruling.
- Memorandum from the Director of Special Education, Special Education Assessment of African American Students (2022)
- CASP Resource re: Larry P.
- State of California Memorandom To Special Education Consultants (1997)
The following requirements of test selection and administration are specifically related to students who are in stages of English Language Development (ELD). Tests must:
- Be selected and administered so as not to be racially, culturally, or sexually discriminatory (EDC §56320(a)).
- Be provided and administered in the student’s native language or other mode of communication, unless the Assessment Plan indicates reasons why such provision and administration are clearly not feasible (students who have been formally re-designated/reclassified as Fluent English Proficient may not need testing in their native language) (EDC §56320(a)).
- Materials and procedures used to assess a student with limited English proficiency are selected to ensure that they measure the extent to which the student has a disability and needs special education, rather than measuring the student’s English proficiency.
- Background information
- Developmental milestones
- Language use: home survey to determine predominant language
- Interviews with parents and teachers regarding students’ language use and academic progress
- Health history
- Observations in multiple settings
- Assessment in both native language and acquiring language
- Criterion-referenced measures
- Nonverbal Tests of Intelligence: Nonverbal tests are often used in testing bilingual students. Unfortunately, nonverbal measures of intelligence are less reliable than verbal measures as they measure limited aspects of overall intellectual ability.
- Translated Tests: Assessors are cautioned against the use of translated tests due to the impact on validity. While it is not difficult to translate a test, it may be difficult to translate psychometric properties from one language to another. For example, a word in English may have a different meaning when translated into another language such as Spanish, Hmong, Russian, or Chinese. Furthermore, translation assumes that the EL student has the same cultural background as the norming population, which may not be the case.
- Use of Interpreters: The use of trained bilingual paraprofessionals is an invaluable resource to an evaluator when she/he does not speak the language(s) of the student to be assessed. Qualified individuals can be used to gather information in interviews and to collect data from non-standardized, criterion-referenced instruments.
- Test Results: Assessors should interpret results with caution and take into account developmental history, observations, and other forms of data to inform decisions.
- The student has made slow progress in learning English and academics despite accommodations and special classroom interventions. It is suggested that interventions are evidence-based and implemented with consistency and fidelity for 6-8 week periods before evaluating effectiveness.
- The student has a significant medical history that may have impaired speech and language development.
- Family reports impairment in the primary/native language.
- Teachers and parents report student is learning very differently from other siblings and/or students who have had similar linguistic background and learning opportunities.
- The student has signs of language loss that seem to transcend normal limits.
- The impact of language, cultural, environmental, and economic factors on learning.
- The presence of a disability or impairment in both the native language and language(s) the student is acquiring.
- How standardized tests and techniques were altered, if appropriate.
- Use of translation of English tests, including reference to validity and reliability.
- Limitations of non-verbal measures and comparison of those results to other areas assessed.
- Examiner’s level of language proficiency in a language other than English and its effect on the interpretation of results.
- Use of an interpreter and its effect on the tests results and overall assessment.
- Cross-validation of information from the home setting that supports findings from more formal measures.
- Recommendations for linguistically appropriate goals.
- Student’s language level in both languages (such as ELPAC scores)
- History of language of instruction
- Change in language used at home
- Response to Interventions
- English Learners who qualify for Special Education services may not meet the district/LEA’s reclassification criteria. Therefore, reclassification of English Learners should be considered. In order to consider reclassification, the IEP team should be expanded to include district/ LEA English Learner program personnel.
- In 2019, the California Department of Education developed the California Practitioners’ Guide for Educating English Learners with Disabilities to provide information on identifying, assessing, supporting, and reclassifying English learners who may qualify for special education services and pupils with disabilities who may be classified as English learners.
- In collaboration with the California Department of Education (CDE) and California Collaborative for Educational Excellence (CCEE), the Imperial County SELPA has developed several resources with the aim of improving outcomes for English learners with Disabilities.
10. IEP MEETING
Parent Notification
- Contact parents and IEP team members (at school and outside service providers) to arrange a meeting at a mutually agreed upon time and place.
- It is recommended that parents be sent a Meeting Notice a minimum of 10 days before the IEP Meeting (the Meeting Notice form is available in SEIS).
- On the Meeting Notice, indicate the purpose of the meeting, time, location, and the titles of those in attendance.
- Ask the parent(s) to sign and return the meeting.
- Arrange for an interpreter if necessary.
- Notify all IEP team members of the upcoming meeting to ensure their attendance.
- Place a copy of the signed Meeting Notice in the student’s special education file and upload this notice to the student’s record in SEIS.
According to EDC §56341.1(g), parents, LEAs/districts, and the Special Education Local Plan Area (SELPA) may electronically record an IEP meeting if the requesting party provides other IEP team members with 24 hours’ notice. If the recording is at the request of the LEA/district or the SELPAs, and the parent objects or refuses to attend the meeting because it will be recorded, then the meeting shall not be recorded.
IEP Team Membership
- The student’s parent(s)/legal guardian(s)/surrogate parent or an individual selected by the parent. For further information regarding the definition of parent or information on surrogate parents, visit the "Surrogate Parent Procedures" section of this Procedural Guide. It is important to note that no individual or agency is authorized to sign with consent to an IEP unless they possess educational rights for the student.
- An administrator or an administrative designee (other than the student’s teacher) who is knowledgeable of program options appropriate for the student. This person must be authorized to make decisions and allocate resources.
- Not less than one general education teacher. The El Dorado SELPAs advise that the student’s current general education teacher attend the meeting. If the student does not have a general education teacher, the teacher with the most recent and complete knowledge of the child and who is qualified to teach a student of their age should attend.
- Not less than one special education teacher of the student, or, if appropriate, not less than one special education provider of the student.
When appropriate, the IEP team may also include the following:
- The student.
- Other persons who possess expertise or knowledge necessary for the development of the IEP.
- An assessor(s) who conducted an assessment and is presenting their report for the IEP team; or an individual with the appropriate qualifications to present the assessment report on behalf of an assessor.
- For students with suspected learning disabilities, at least one member of the IEP team other than the student’s general teacher who has observed the student’s educational performance in an appropriate setting.
Membership Excusal
34 CFR §300.321 allows for the excusal of IEP team members based on the following: Not Necessary: A member of an IEP team may not be required to attend an IEP meeting, in whole or in part, if the parent of a child with a disability and the LEA/district agree that the attendance of such member is not necessary because the member’s area of the curriculum or related services is not being modified or discussed in the meeting.
- Necessary, but excusable: A member of the IEP team may be excused from attending an IEP meeting, in whole or in part, when the meeting involves a modification to or discussion of the member’s area of the curriculum or related services, if both of the following occur:
- The parent and the LEA/district consent to the excusal in writing by completing the IEP Excusal Form (available in SEIS) and
- The excused IEP team member submits, in writing, to the parent and the IEP team input into the development of the IEP prior to the meeting.
When an IEP team member is excused, other team members should refrain from reinterpreting the data of the excused team member or answering questions outside of the scope of their credentials.
Agenda
It is essential that a well-organized and structured IEP team meeting be conducted. The meeting outline which follows is recommended as a guide for conducting IEP team meetings. Depending on the purpose of the meeting, the IEP Meeting agenda may be amended. An example IEP Meeting agenda can be found in the SEIS document library. Additionally, please see the "Initial and Triennial Planning Sheet” and "Educational Benefit Guidelines" as additional resources when planning IEP Meetings. Efforts should be made to present information in a manner that is easily understood by all members of the IEP team, including the parents. This includes providing parents with translated documents when necessary.
- Welcome: Welcome all participants to the meeting and thank them for their participation.
- Introduction of All Persons Present: Record the names, titles, and agency/school of all attendees, including individuals who may be participating by phone, in the meeting notes. Use the Excusal Form if necessary and obtain parent signature. The IEP team may wish to sign the attendance sheet at this point or at the close of the IEP.
- Purpose: The meeting facilitator should briefly review the purpose of the meeting.
- Agenda Overview: The meeting facilitator should briefly review the proposed agenda and request additional agenda items or questions from IEP meeting team members. The IEP team shall finalize and agree on an agenda before continuing the meeting.
- Establish Time Parameters: The meeting facilitator should review the previously agreed-upon start and end time for the IEP meeting. If anyone has to leave the meeting at a specific time, address it with the entire team and document the time the individual(s) leave in the IEP meeting notes. An excusal form should be completed and signed by the parent and the Administrative Designee. If the parent disagrees with someone’s request to leave early, the team will have to adjourn the meeting at the point of the member’s departure and schedule a continuation meeting when the member can attend the entire meeting. Assign a designated person to be the timekeeper, if necessary.
- Procedural Safeguards: Provide/verify that the parents have received a copy of their Notice of Parental Rights and Procedural Safeguards. The meeting facilitator shall ask the parents if they have any questions or would like further clarification regarding their rights and procedural safeguards. A copy of Parent Rights and Procedural Safeguards should be presented at minimum one time annually, but it is suggested that they be provided at the beginning of each IEP Meeting. Parents may decline an additional copy of these rights, although one must be offered. It is recommended that the note-taker document in the IEP notes that these rights were offered and accepted or offered and declined and whether the parent had any questions. Further information can be found in the "Procedural Safeguards" section of this Procedural Guide. Copies of the Procedural Safeguards in English and additional languages can be found in the SEIS Document Library.
- Review of Information/Eligibility Page: Review the Information/Eligibility page of the IEP to make sure that parent(s) address(es) and phone number(s) are up to date.
- Statement of Eligibility/Non-eligibility: If eligibility is being considered or reviewed, the following applies:
- If the IEP team determines that the student is not eligible for special education services or no longer eligible, document on the IEP form that "assessment results indicate that special education services are not appropriate at this time" and check the box on the form indicating "not eligible".
- If further assessment is needed to clarify eligibility, the IEP team meeting may be suspended pending further testing or evaluation but reconvened as soon as possible.
- If the student is not eligible for special education services but educational concerns are present, the IEP team meeting should be adjourned. The general education support options may be explored, including possible referral to the Student Study Team (SST) and/or consideration of an assessment for 504 eligibility.
- If the student is determined by the IEP team to be eligible for special education, proceed with the rest of the IEP meeting agenda.
- Student Strengths/Preferences/Interests: Any member of the IEP team may share student strengths with the team. These may include but are not limited to academic, social, and behavioral strengths or student preferences, likes, hobbies, and talents.
- Parent Concerns: Parents should have an opportunity to share their concerns and provide relevant information to the team. The person taking the notes should document how the parent’s concerns were addressed during the meeting or capture the discussion regarding how the team will address that concern in the future.
- Present Levels of Performance: The meeting facilitator should request each IEP meeting participant to provide data to update the student’s present levels of performance, including the parent(s)/guardian(s). Each classroom teacher should provide input, as well as parents and each assessor. When appropriate (student will turn 16 years of age before the next annual IEP), complete transition paperwork in conjunction with present levels, goals, and services.
- Areas of Need: For the student to receive educational benefit, in which areas of need do goals need to be written? The areas of need should align with the present levels and be supported by data.
- Assessment reports conducted by specialists trained in these specific areas should provide information indicating the need for specialized materials, devices, or supports.
- Individual Transition Plan (ITP): As defined in California Education Code section 56345, an ITP must be included in the IEP that will be implemented when the student turns 16 years of age, or younger, if deemed appropriate by the IEP Team. The IEP Team must discuss, implement, and review the student’s ITP annually. For further information, guidelines, and resources, visit the "Transition”portion of the SELPA’s website or the "Transition Planning” section of this Procedural Guide.
- Special Factors:
- Assistive technology: Does the student require assistive technology devices and/or services to access learning? Did the team have an assistive technology assessment completed?
- Low incidence: Does the student require low incidence services, equipment and/or materials to meet educational goals? Is this student eligible under a low incidence disability (visual or hearing impairment, severe orthopedic impairment, or any combination thereof)?
- Deaf or Hard of Hearing. Consider the communication needs of the child, including:
- Child’s language and communication needs,
- Opportunities for direct communications with peers and professional personnel in the child’s language and communication mode,
- Academic level, and
- Full range of needs, including opportunities for direct instruction in the child’s language and communication mode
- If yes, does the student need primary language support?
- If yes, who will provide language support?
- What will the language of instruction be for the student?
- Who will provide ELD services to the student? What type of ELD services will be provided?
- Behavior: Does the student’s behavior impede the learning of self or others, yes or no?
- If yes, specify positive behavior interventions, strategies, and supports. Consider whether a behavioral goal and/or a Behavior Intervention Plan (BIP) is appropriate depending on the student’s needs.
- Statewide Assessments: The IEP team shall discuss participation in statewide assessments, including any needed accessibility resources to be documented in the student’s IEP. The "California Assessment Accessibility Resources Matrix”presents the current universal tools, designated supports, and accommodations adopted by the State of California for the Smarter Balanced Assessment Consortium (SBAC) assessment.
- Review of Progress on Current Goals/Objectives: At plan review and eligibility evaluation meetings, IEP teams must address the previous year’s goals and objectives and note on the document whether goals were met. If previous goals were not met, document action to be taken (i.e., continue with additional supports, discontinue or modify) and revise the goal.
- New Goal/Objectives Based on Current Needs: At initial meetings, plan review, and eligibility evaluation meetings, the IEP team shall develop goals tied to the areas of need identified by assessments and/or present levels. As a team, the IEP meeting participants shall establish goals and/or additional support for all areas of need that were identified in the present levels of performance.
- Each measurable annual goal, including academic and functional goals, shall be designed to do the following:
- Meet the individual’s needs that result from the individual’s disability to enable the pupil to be involved in and make progress in the general curriculum
- Meet the pupil’s other educational needs that result from the individual’s disability
- Be linguistically appropriate for the student if the student is an English Language Learner
- Each measurable annual goal, including academic and functional goals, shall be designed to do the following:
- Offer of Program/Services Based on Goals/Objectives: In considering program alternatives, the IEP team shall make a recommendation based on the individual needs of the student and not based on the category under which the student is determined to be eligible for special education.
- The IEP team shall consider the full continuum of program options to ensure that all students are provided a Free Appropriate Public Education (FAPE) in the least restrictive environment (LRE) and document options considered on the services page of the IEP.
- After reviewing all program options, the IEP team shall recommend appropriate related services, calculated to offer the student the opportunity to achieve educational benefit.
- Accommodations/Modifications: Consider what classroom and campus supports the student will need to obtain educational benefit. These accommodations and modifications are those that the student requires beyond what is currently available to general education students. Further information regarding accommodations and modifications can be found in the "Curriculum Adaptations" section of this Procedural Guide.
- Supplementary Aids, Services and Other Supports for School Personnel, for the Student, or on Behalf of the Student: The IEP team shall develop a list of supplementary aids and services based on peer-reviewed research to the extent possible. The frequency, duration, and location of services to be provided must be specified on the IEP. It is not recommended to write in "as needed" for duration or frequency. The IEP team shall also document program modifications or supports for school personnel. The services, supplementary aids, program modifications, and/or supports will be provided to enable the student to do the following:
- To progress towards obtaining their annual goals
- To be involved in and make progress in the general education curriculum in accordance with their present levels and functional performance
- To participate in extra-curricular and non-academic activities
- To be educated and participate with other students with exceptional needs and non-disabled peers.
- The El Dorado SELPAs recommends that the IEP include all accommodations and supports a student requires, including those related to behavior intervention plans or state testing. Document needed classroom supports at the top portion of the "Services- Offer of FAPE (Free and Appropriate Public Education)" form under supplementary aids, services & other supports. Classroom support refers to support in the classroom, which may include additional adult support. If a student requires individualized support from an aide, it would be documented on the bottom portion of the "Services-Offer of FAPE" form under special education and related services.
- Emergency Circumstances Page: The Emergency Circumstances Page must be discussed and completed at the initial and subsequent annual plan review meetings. If instruction, services, or both, cannot be provided to the student, either at school or in person for more than 10 school days due to one or more emergency conditions as defined by EDC §46392(a) and EDC §41422(a), student’s IEP services will be provided to the extent practicable, taking into consideration the student’s unique circumstances, the specific emergency circumstance(s), district policy, and federal, state and local orders.
- Educational Setting-Offer of FAPE: What is the most appropriate placement in the Least Restrictive Environment (LRE) for this student? Each LEA/district must ensure that:
- To the maximum extent appropriate, children with disabilities, including children in public or private institutions or other care facilities, are educated with children who are nondisabled; and
- Special classes, separate schooling, or other removal of children with disabilities from the regular educational environment occurs only if the nature or severity of the disability is such that education in regular classes with the use of supplementary aids and services cannot be achieved satisfactorily [34 CFR §300.114(a)].
- Additional Considerations:
- Percentage (%) of time in/out of general education classes and rationale for time out of general education
- Indicate other agencies working with the student
- Indicate promotion criteria
- Progress monitoring/progress reporting
- Activities to support transition
- Extended School Year (ESY): Complete the "Extended School Year" (ESY) forms located in SEIS to help the team determine if a student needs ESY support. For more information, see the "Extended School Year” section of this Procedural guide.
- Ending the Meeting:
- Confirm Agreements
- Obtain Signatures:
- All IEP team members, including parents and the student (when the student is present), sign in attendance of the IEP. If parents agree to the IEP and placement of their child, they will also sign in consent to the IEP document.
- If the parent does not consent to all components of the IEP, then the parent should indicate those areas of exception on the signature page. If the parent needs more writing space, an additional piece of paper can be used and attached to the IEP. Whether the parent submits their letter of exception at the IEP meeting or returns with a letter that explains the areas of exception, it shall be accepted as a supplemental document to the IEP and attached in the Special Education Information System (SEIS).
- The notes page should reference the additional page of exceptions. If a parent submits consent to some components of the IEP and lists exceptions to others, the case manager should work with the parent to schedule a future IEP meeting to discuss the areas of exception. Any areas of the IEP to which the parent does not consent will become areas of exception and will not be implemented.
- The components of the program to which the parents have consented may be implemented so as not to delay providing support and services to the student.
- Written parent permission must be obtained prior to initiating services and/or educational placement. The services and/or placement will begin following the parent’s written approval of the IEP.
- Follow Up: If there are any outstanding agenda items or concerns that the IEP team was not able to discuss/reach a consensus on, another IEP meeting shall be scheduled as soon as the team can set a mutually agreeable meeting date.
- Provide parents with a copy of the IEP.
- Place a copy of all IEP Documents into the student’s special education file and upload all signed documents (i.e., Notice of Meeting, Parent Consent, Excusal Forms, and Reports) into SEIS.
- The LEA/district may need to send parents a Prior Written Notice (PWN) after the meeting. The purpose of this is to document any changes or proposed changes to the IEP. For further information, see the "Prior Written Notice” section of this procedural guide.
11. ELIGIBILITY CRITERIA
General Information
- Lack of appropriate instruction in reading
- Lack of appropriate instruction in mathematics
- Due primarily to limited school experience or poor school attendance
- Is a result of environmental, cultural differences, or economic disadvantages
- Could be corrected through other interventions and supports offered within the general education program
- Limited-English proficiency
To receive special education and related services under Part B of IDEA (34 CFR §300.8), a child must be evaluated to determine both:
- Whether they have a disability, and
- Whether they, because of the disability, need special education and related services.
- The student is not making satisfactory progress toward grade-level standards.
- There is an overall pattern of poor or failing grades present for an extended period of time on grade reports.
- Quality and degree of task completion are significantly below the range of the class.
- The student demonstrates a significant difference between ability and achievement on standardized and curriculum-based achievement tests.
- The student demonstrates a pattern of missing instruction due to behavior challenges.
- The student’s social-emotional functioning is interfering with the student’s ability to attend school, engage with peers, and/or complete schoolwork.
Eligibility Categories
Under the IDEA, a student with a disability refers to a student “evaluated in accordance with 34 CFR §300.304 through §300.311 as having an intellectual disability, a hearing impairment (including deafness), a speech or language impairment, a visual impairment (including blindness), a serious emotional disturbance (referred to in this part as “emotional disturbance”), an orthopedic impairment, autism, traumatic brain injury, an other health impairment, a specific learning disability, deaf-blindness, or multiple disabilities, and who, by reason thereof, needs special education and related services.” 34 CFR §300.8(a)(1) The IDEA sets forth how states define who is eligible for special education, and these 13 categories are defined by the California Code of Regulations (5 CCR §3030) for determining eligibility in California. The list below reflects all 13 categories followed by corresponding definitions.
- Specific Learning Disability (SLD)
- Other Health Impairment (OHI)
- Emotional Disturbance (ED)
- Speech or Language Impairment (SLI)
- Autism (AUT)
- Intellectual Disability (ID)
- Hard of Hearing (HH)
- Deafness (DEAF)
- Visual Impairment (VI)
- Orthopedic Impairment (OI)
- Deaf-Blindness (DB)
- Multiple Disabilities (MD)
- Traumatic Brain Injury (TBI)
Specific Learning Disability (SLD)
- Attention
- Visual processing
- Auditory processing
- Sensory-motor skills
- Cognitive processing
SLD Eligibility Models
- Disabilities do not include learning problems that are primarily the result of the visual, hearing, or motor disabilities, intellectual disability, emotional disturbance, or of environmental, cultural, or economic disadvantage, and
- The student is observed in the student’s learning environment.
Discrepancy Model
- Oral expression
- Listening comprehension
- Written expression
- Basic reading skill
- Reading fluency skills
- Reading comprehension
- Mathematical calculation
- Mathematical reasoning
The decision as to whether a severe discrepancy exists shall take into account all relevant material that is available for the student. No single score, test, or procedure shall be used as the sole criterion for the decisions of the IEP team as to the student’s eligibility for special education. In determining the existence of a severe discrepancy, the IEP team shall use the following procedures. When standardized tests are considered to be valid for a specific student, a severe discrepancy is demonstrated by:
- Converting into common standard scores, using a mean of 100 and standard deviation of 15, the achievement test score and the intellectual ability test score to be compared,
- Computing the difference between these common standard scores, and
- Comparing the computed difference to the standard criterion, which is the product of
1.5 multiplied by the standard deviation of the distribution of computed differences of students taking these achievement and ability tests. A computed difference that equals or exceeds this standard criterion, adjusted by one standard error of measurement, the adjustment not to exceed four common standard score points, indicates a severe discrepancy when such discrepancy is corroborated by other assessment data, which may include other tests, scales, instruments, observations, and work samples, as appropriate. If the standardized tests do not reveal a severe discrepancy, the IEP team may find that a severe discrepancy does exist (between cognitive ability and academic achievement), provided that the team documents in a written report that the severe discrepancy between ability and achievement exists as a result of a disorder in one or more of the basic psychological processes. The report shall include a statement of the area, the degree, and the basis and method used in determining the discrepancy. The report shall contain information considered by the team, which shall include, but not be limited to:
- Data obtained from standardized assessment instruments
- Information provided by the parent
- Information provided by the student’s present teacher
- Evidence of the student’s performance in the general and/or special education classroom obtained from observations, work samples, and group test scores
- Consideration of the student’s age, particularly for young students
- Any additional relevant information
A severe discrepancy shall not be primarily the result of limited school experience, poor school attendance, or limited English proficiency. Per Larry P. vs. Riles litigation, African American students in the state of California cannot be administered cognitive assessments. For additional information on Test Selection and Eligibility for African American Students as a result of the Larry P. vs Riles litigation, please see the corresponding section of this procedural guide titled, “Assessment, Test Selection, and Reports”. Response to Intervention Model (RtI) and Patterns of Strengths and Weaknesses Model (PSW) Regardless of whether a student shows a severe discrepancy, a student may be determined to have a specific learning disability if: The student does not achieve adequately for the student’s age or meet state-approved grade-level standards in one or more of the following areas when provided with learning experiences and instruction appropriate for the student’s age or state-approved grade-level standards:
- Oral expression
- Listening comprehension
- Written expression
- Basic reading skill
- Reading fluency skills
- Reading comprehension
- Mathematical calculation or
- Mathematical reasoning
-AND-
Response to Intervention Model (RtI)
The student does not make sufficient progress in meeting age or state-approved grade-level standards in one or more of the areas identified above when using a process based on the student’s response to scientific, research-based intervention; -OR- Patterns of Strengths and Weaknesses Model (PSW)- The student exhibits a pattern of strengths and weaknesses in performance, achievement, or both, relative to age, state-approved grade-level standards, or intellectual development, that is determined by the group to be relevant to the identification of a specific learning disability, using research/evidence-based assessments. To ensure that underachievement in a student suspected of having a specific learning disability is not due to lack of appropriate instruction in reading or math or due to limited English proficiency, the group making the decision must consider the following:
- Data that demonstrate that before, or as a part of, the referral process, the student wasprovided appropriate instruction in general education settings, delivered by qualified personnel;
–AND-
- Data-based documentation of repeated assessments of achievement at reasonable intervals, reflecting formal assessment of student progress during instruction, which was provided to the student’s parents.
Although the law allows LEAs/districts the option of using RTI and PSW procedures as part of the evaluation procedures for special education eligibility, a comprehensive assessment is still required to ensure that IEP team members have carefully evaluated and considered all relevant aspects of a student’s performance and history. The comprehensive assessment must occur before determining that a student has a disability that impacts progress in the general curriculum, thus making them eligible for special education services.
SLD Eligibility Related to Reading Fluency
Reading fluency is a defined criteria for the PSW and RTI models but not the discrepancy model, which identifies basic reading skills and reading comprehension. Reading fluency is recognized as a foundational reading skill and likely an integral part of basic reading skills. Additionally, a deficit in reading fluency is typically accompanied by a deficit in reading comprehension. Therefore reading fluency may meet the threshold for "basic reading skills" for the purposes of SLD eligibility under the discrepancy model.
A Comparison Between SLD Models
| Specific Learning Disability Models |
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Specific Learning Disability (SLD) Defined: A disorder in one or more of the basic psychological processes involved in understanding or in using language, spoken or written, that may have manifested itself in the imperfect ability to listen, think, speak, read, write, spell, or do mathematical calculations, including conditions such as perceptual disabilities, brain injury, minimal brain dysfunction, dyslexia, and developmental aphasia. The basic psychological processes include attention, visual processing, auditory processing, sensory-motor skills, and cognitive abilities including association, conceptualization, and expression. Specific Learning Disabilities do not include learning problems that are primarily the result of visual, hearing, or motor disabilities, intellectual disability, emotional disturbance, or of environmental, cultural, or economic disadvantage. *Note: the criteria listed above, including the presence of a processing deficit and consideration of exclusionary criteria, applies to all three models of identification: Discrepancy Model, Response to Intervention, and Patterns of Strength and Weakness.
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| Models of Identifying SLD | Brief Overview |
| Discrepancy Model | The IQ-achievement discrepancy model assesses whether there is a significant difference between a student’s scores on a test of general intelligence (e.g., an IQ test such as the WISC-V) and scores obtained on a test of academic achievement (e.g., the Woodcock-Johnson Achievement Test). If a student’s score on the IQ test is at least two standard deviations (23-30 points) higher than his or her scores on an achievement test, the student is identified as having a significant discrepancy between IQ and achievement. In addition to the discrepancy, testing must indicate a psychological processing disorder in one of the basic psychological processes. The discrepancy paired with a processing disorder yields eligibility under SLD. |
| Response to Intervention (RtI) Model | The term Response to Intervention (RtI) refers to a process that emphasizes how well a student responds to meaningful and targeted changes in instruction. The essential elements of the RtI approach are: the provision of scientific, research-based instruction and interventions in general education; monitoring and measurement of student progress in response to the instruction and interventions; and use of these measures of student progress to inform instruction and make educational decisions. A student is identified as having a Specific Learning Disability if they display insufficient response to scientific, research-based intervention as well as insufficient progress toward grade-level standards. |
| Patterns of Strength and Weakness (PSW) Model | The Patterns of Strengths and Weaknesses model refers to a thorough examination of a student’s basic psychological processes (i.e. visual, auditory, memory, attention, etc.) using a range of information gathered through standardized assessment in conjunction with school-based performance measures. There are pre-established and research-based methods a psychologist may rely on (e.g., Cross Battery Assessment, Dehn’s Processing Model, Discrepancy/Consistency Method). Regardless of the model a psychologist uses, the focus is to answer the following questions:
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Other Health Impairment (OHI)
Other health impairment means having limited strength, vitality, or alertness, including a heightened alertness to environmental stimuli, that results in limited alertness with respect to the educational environment that:
- Is due to chronic or acute health problems such as asthma, attention deficit disorder or attention deficit hyperactivity disorder, diabetes, epilepsy, a heart condition, hemophilia, lead poisoning, leukemia, nephritis, rheumatic fever, sickle cell anemia, Tourette syndrome, Fetal Alcohol Syndrome;
-AND-
- Adversely affects a student’s educational performance.
OHI and ADHD
- Substance abuse
- Mood disorders (i.e.: anxiety/depression)
- Conduct disorders
- Oppositional defiant disorder
- Malnutrition
Emotional Disturbance (ED)
- An inability to learn that cannot be explained by intellectual, sensory, or health factors
- An inability to build or maintain satisfactory interpersonal relationships with peers and teachers
- Inappropriate types of behavior or feelings under normal circumstances
- A general pervasive mood of unhappiness or depression
- A tendency to develop physical symptoms or fears associated with personal or school problems
- Emotional disturbance includes schizophrenia
The term does not apply to students who are socially maladjusted unless it is determined that they also have an emotional disturbance. School-based assessments do not diagnose mental health disorders. They document the presence of behavior that may be symptomatic of mental health disorders and how those symptoms impact educational performance. Due to the complexity of ED assessments, assessors may wish to provide differential eligibility criteria to rule in and/or rule out other areas of eligibility such as OHI, AUT, or SLD. ED assessments typically include both broadband and narrow-band assessments to help IEP team members pinpoint specific areas of need and target IEP Goals. A thorough ED evaluation should encompass all the components of an Educationally Related Mental Health Services (ERMHS) assessment and provide ample documentation to support students’ need for ERMHS services, which may include counseling or Behavior Intervention Plan (BIP). In very rare circumstances, a student who meets the eligibility criteria for ED may not additionally require ERMHS support, including a BIP.
Speech or Language Impairment (SLI)
- Articulation disorder- The student displays reduced intelligibility or an inability to use the speech mechanism which significantly interferes with communication and attracts adverse attention. Significant interference in communication occurs when the student’s production of single or multiple speech sounds on a developmental scale of articulation competency is below that expected for his or her chronological age or developmental level, which adversely affects educational performance. A student does not meet the criteria for an articulation disorder if the sole assessed disability is an abnormal swallowing pattern.
- Abnormal voice- A student has an abnormal voice which is characterized by persistent, defective voice quality, pitch, or loudness.
- Fluency disorders- A student has a fluency disorder when the flow of verbal expression including rate and rhythm adversely affects communication between the student and listener.
- Language disorder- The student has an expressive or receptive language disorder when he or she meets one of the following criteria:
- The student scores at least 1.5 standard deviations below the mean, or below the 7th percentile, for his or her chronological age or developmental level on two or more standardized tests in one or more of the following areas of language development: morphology, syntax, semantics, or pragmatics. When standardized tests are considered to be invalid for the specific student, the expected language performance level shall be determined by alternative means as specified on the assessment plan, or
- The student scores at least 1.5 standard deviations below the mean or the score is below the 7th percentile for his or her chronological age or developmental level on one or more standardized tests in one of the areas listed in section A and displays inappropriate or inadequate usage of expressive or receptive language as measured by a representative spontaneous or elicited language sample of a minimum of 50 utterances. The language sample must be recorded or transcribed and analyzed, and the results included in the assessment report. If the student is unable to produce this sample, the language, speech, and hearing specialist shall document why a fifty-utterance sample was not obtainable and the contexts in which attempts were made to elicit the sample. When standardized tests are considered to be invalid for the specific student, the expected language performance level shall be determined by alternative means as specified in the assessment plan.
Autism (AUT)
Intellectual Disability (ID)
Hard of Hearing (HH)
Deafness (DEAF)
Visual Impairment (VI)
Orthopedic Impairment (OI)
Deaf-Blindness (DB)
Multiple Disabilities (MD)
Traumatic Brain Injury (TBI)
Other Considerations with Regard to Eligibility:
A student whose educational performance is adversely affected by a suspected or diagnosed attention deficit hyperactivity disorder (ADHD), may meet eligibility requirements under the following categories:
- Other Health Impaired (OHI) when ADHD is a chronic, acute health problem that causes a limited and/or heightened alertness to the educational environment and adversely impacts educational performance.
- Specific Learning Disability (SLD) with a significant discrepancy between ability and achievement and a deficit in attention which is one of the five basic psychological processes; or
- Emotional Disturbance (ED) when the lack of attention is causing a severe emotional condition so pervasive that it adversely affects educational performance.
It is suggested that the Assessment Team provide differential eligibility criteria (in assessment reports) to examine all three of the above criteria (SLD, ED, OHI) to rule in or rule out each category and assist the IEP team in documenting that these needs were fully explored.
Medical Diagnosis: ADHD, Autism, Other Medical Conditions, and/or Mental Health Disorders
Eligibility for special education differs from a medical diagnosis provided by an outside medical provider in the following ways:
- Educational eligibility allows a student to access IDEA services and is determined by a school-based IEP team after assessments are conducted within the school setting.
- Medical diagnosis is a process conducted by a doctor or team of doctors to determine whether a medical need exists, including a physical or a mental health disorder.
There is no requirement for medical documentation from a doctor for a student to become eligible for or continue to receive special education services, unless the IEP team deems it necessary. If an IEP team suspects ADHD, autism, other medical conditions, and/or mental health disorders may be impacting a student’s learning, the team should conduct a school-based assessment to examine the ways in which the suspected disability is manifesting at school and impacting the student’s ability to learn. In some circumstances, an IEP team may determine that additional medical documentation is required. If the school deems a medical diagnosis necessary to determine special education eligibility, the school would be liable to provide access to the medical diagnosis from the doctor and incur responsibility for the costs of the doctor’s visits. In order to access special education services, a student must have an assessment for special education conducted to examine how the student’s learning is impacted by the disability. A doctor’s recommendation, report, prescription, or letter is not sufficient to determine eligibility, but must be taken into account by the IEP team.
Eligibility for Related Services
For information regarding eligibility for Educationally Related Mental Health Services (ERMHS), please refer to the El Dorado SELPA’s ERMHS Program Guidelines. If you have any questions regarding the guidance provided in this document, please contact your El Dorado County SELPA Program Specialist.
12. TRANSITION PLANNING AND STUDENT-LED TRANSITION MEETINGS
As a student with disabilities moves into their teen years, the Individualized Education Program (IEP) focuses more on the interests of the student and what they hope for in the future. It is the IEP team’s responsibility to create a transition individualized education program to support those interests. Transition, in reference to individuals receiving special education services, is defined as a coordinated set of activities for a student with a disability that:
- Is designed to be within a results-oriented process that is focused on improving the academic and functional achievement of the student with a disability to facilitate the student’s movement from school to post-school activities, including postsecondary education, vocational education, integrated employment (including supported employment), continuing and adult education, adult services, independent living, or community participation;
- Is based on the individual student’s needs, taking into account the student’s strengths, preferences, and interests; and
- Includes instruction, related services, community experiences, the development of employment and other post-school adult living objectives, and, if appropriate, acquisition of daily living skills and functional vocational evaluation.
[34 CFR §300.43 (a)] [20 U.S.C. 1401(34)] The student’s IEP must be updated, prior to their 16th birthday (or younger if deemed appropriate by the IEP Team), to include the following transition components:
- Appropriate measurable postsecondary goals based upon age-appropriate transition assessments related to training, education, employment and, where appropriate, independent living skills;
- The transition services (including courses of study) needed to assist the student in reaching those goals; and
- Beginning not later than one year before the student reaches the age of majority under state law (18 in California), a statement that the student has been informed of the student’s rights under Part B, if any, that will transfer to the student on reaching the age of majority, must be included in the IEP.
The LEA/district must invite the student with a disability to attend the student’s IEP Team meeting if a purpose of the meeting will be the consideration of the postsecondary goals for the student and the transition services needed to assist the student in reaching those goals. If a purpose of a student’s IEP Team meeting will be the consideration of postsecondary goals for the student and the transition services needed to assist the student in reaching those goals, the LEA/district must invite a representative of any participating agency that is likely to be responsible for providing or paying for transition services to attend the student’s IEP Team meeting.
Overview of Transition Planning
- Transition Assessment: Conduct age-appropriate assessments to determine interests, aptitudes, and areas of need.
- Assessment Results: Describe the student’s strengths and present levels of performance, achievement, and functioning.
- Measurable Postsecondary Goals: Based upon assessment information and present levels, develop student-centered measurable postsecondary goals.
- Course of Study: Determine the course of study that will support the student’s transition goals.
- Coordinated Set of Activities to Support Transition Goals: Develop a “coordinated set of activities” that supports the measurable postsecondary goals and transition plan.
- Transition Services: Determine transition services and document those services in the student’s IEP.
- Student-Led Transition (IEP) Meeting: Assist the student to plan and prepare to lead the IEP meeting. Be sure to include these additional components:
- Age of Majority: Document the information shared with the student around the Age of Majority. Please see the section of this Procedural Guide titled, “Age of Majority” for more details on this topic.
- Invite Appropriate Outside Agencies: Ensure appropriate agencies are invited to the IEP meeting.
- Implementation: Implement the IEP, monitor progress on goals and course of study, and modify and update the plan annually.
- Annual Review of Goals and Updates to Plan: Develop annual IEP goals that align with and support the transition plan and postsecondary goals.
- Summary of Performance: The Summary of Performance must be completed in the final year of a student’s high school education. It is intended for postsecondary schools, service providers, and employers to be used at the student’s discretion.
Transition Assessment
Tools that can be used to assess a student’s transition needs may include:
- Psycho-educational Assessments
- Job Evaluations
- Labor market Surveys/Aptitudes Tests
- Progress on IEP Goals
- Transition Inventories
- Observations & Record Reviews
- Interest Surveys
- Personality Inventories
- Academic Assessments/Curriculum-Based Assessments
- Computerized Career Systems
- Student and family interviews
If completing an individual transition assessment, there should be an assessment plan signed by the parent1. Some assessments are often done as group activities and may not require an assessment plan. For example, if a whole class is taking an online career interest inventory, individual parent consent is not required. But, if an individual student is asked to complete a career interest inventory and the assignment is not required class-wide, an assessment must be consented to by a parent or guardian. Document the assessment(s) done each year in the transition assessment section of the IEP. Include the name and date of each tool used, a brief summary of the results, and outcomes of any work, training, or community service in which the student has participated.
Measurable Postsecondary Goals
Measurable postsecondary goals in the area of training/education may include college studies (university and community college), occupational certification, technical training, industry certification, or on-the-job training.
Measurable postsecondary goals in the area of employment might include paid, competitive, supported, or sheltered employment. It may also include unpaid opportunities such as volunteering in a training capacity, military, etc.
A third measurable postsecondary goal in the area of independent living is recommended but not required. It is up to the student’s IEP Team to determine whether IEP goals related to the development of independent living skills are appropriate and necessary for the student to receive Free and Appropriate Public Education (FAPE) (71 Fed. Reg. 46668 (Aug. 14, 2006)). Measurable postsecondary goals in the area of independent living should be considered for students who are Regional Center clients, students taking alternative assessments, students on a non-diploma track, and for students with medical and mental health issues. Recommended best practice is to have a goal in independent living for all students with an IEP.
The IEP template in SEIS starts the MPSG with “Upon completion of school I will…” From that point on, you could choose to add specificity, i.e., “receive a certificate of completion and…,” or “receive a high school diploma and…” and align MPSGs with the outcome identified in the student’s Course of Study. Use results-oriented terms such as, “Will enroll in, will work at, will live independently,” etc. (Avoid “hope to,” “plan to,” or “will seek employment,” etc.). Use descriptors such as full-time, part-time, independently, with adult support, etc. Annual goals should be specifically and directly linked to measurable postsecondary goals. Annual goals must be reasonably calculated to assist the student in achieving readiness for postsecondary goals. Skills targeted should be based on identified areas of student need, and there should be at least one annual goal tied to each measurable postsecondary goal.
Suggested IEP Language for Measurable Postsecondary Goals
Course of Study
- The course of study must intentionally and explicitly reflect each student’s secondary completion goals and postsecondary transition goals.
- For students who plan to earn a high school diploma, the student must meet state and district graduation requirements.
- Elective classes or those meeting the state and district graduation requirements such as performing and visual arts, foreign language (language other than English including American Sign Language), and career technical classes should reflect the individual student’s career interests and postsecondary goals.
- The course of study should be sufficiently generic to be portable across district or state lines.
- Student progress toward achieving a high school diploma or certificate of completion should be monitored at least once annually with consideration given to attendance, grades, credit status and other educational performance measures. The course of study should also be reviewed at least once annually for all students.
- It should be recognized that, to the maximum extent possible, attainment of a high school diploma should be recognized as partially meeting postsecondary education and employment goals. (Some employers require a diploma to meet their minimum requirement when considering job applicants).
- It should be emphasized that the course of study and attainment of a diploma or certificate are not sufficient to document the provision of transition services as mandated in the Individuals with Disabilities Education Act (IDEA).
- For students whose course of study will lead to certificates that are alternatives to a high school diploma, the certificate should intentionally and explicitly reflect each student’s secondary completion goals and postsecondary goals.
Note: The certificate of completion option is available to those students who are not able to complete the requirements for a regular high school diploma as offered by the LEA/district. These students are eligible for educational placement and services in accordance with their IEP until the age of 22. If the school is a charter school, the governing board of the LEA/district approves the requirements for the certificate of completion option. In a standard public school, the certificate of completion option is in accordance with EDC §56390.
Also, effective June 30, 2022, EDC §51225.31 established a new high school diploma pathway exclusively for students with significant cognitive disabilities in alignment with the federal Every Student Succeeds Act (“ESSA”) (20 U.S.C. §7801(23)(A)(ii)(I)(bb)). For more information on the certificate of completion or a new pathway to a high school diploma, please see the El Dorado SELPAs Certificate of Completion Guidelines and the Alternative Pathways to a Diploma Document.
Coordinated Set of Activities to Support Transition Goals
- Career Day for all students
- Visits to local community college(s)
- Visit local recreation centers
- Taking public transportation to community activities
- Community Service
- Job shadow other peers
Activities to support a student’s transition goals may be provided by a variety of properly qualified personnel, depending on the needs of the student. Some examples might include:
Many service codes for transition services are 800 codes in SEIS. Students who struggle with activities of daily living may need direct instruction in areas such as hygiene, cooking, budgeting, etc. In some cases, “specialized academic instruction (code 330)” may be the appropriate service to support a measurable postsecondary goal in independent living, even though it is not an 800 code.
- A school counselor provides information on college admissions, financial aid or campus information
- An occupational therapist provides fine motor therapy for a student to be able to brush her hair on her own
- A special education teacher provides specialized academic instruction to improve math skills in the area of banking and money management
- A case manager arranges for job shadowing opportunities in the community
- A “careers class” provides instruction in job search and interviewing skills
Transition Service Codes
800 Codes available in SEIS are as follows:
| 820 | College awareness: College awareness is the result of acts that promote and increase student learning about higher education opportunities, information, and options that are available including, but not limited to, career planning, course prerequisites, admission eligibility, and financial aid. |
| 830 | Vocational assessment, counseling, guidance, and career assessment: Organized educational programs that are directly related to the preparation of individuals for paid or unpaid employment, and may include provision for work experience, job coaching, development and/or placement, and situational assessment. This includes career counseling to assist a student in assessing his/her aptitudes, abilities, and interests in order to make realistic career decisions. |
| 840 | Career awareness: Transition services include a provision for self-advocacy, career planning, and career guidance. This also emphasizes the need for coordination between these provisions and the Perkins Act to ensure that students with disabilities in middle schools will be able to access vocational education funds. |
| 850 | Work experience education: Work experience education means organized educational programs that are directly related to the preparation of individuals for paid or unpaid employment, or for additional preparation for a career requiring other than a baccalaureate or advanced degree. |
| 855 | Job Coaching: Job coaching is a service that provides assistance and guidance to an employee who may be experiencing difficulty with one or more aspects of the daily job tasks and functions. The service is provided by a job coach who is highly successful, skilled and trained on the job who can determine how the employee that is experiencing difficulty learns best and formulate a training plan to improve job performance. |
| 860 | Mentoring: Mentoring is a sustained coaching relationship between a student and teacher through ongoing involvement. The mentor offers support, guidance, encouragement and assistance as the learner encounters challenges with respect to a particular area such as acquisition of job skills. Mentoring can be either formal, as in planned, structured instruction, or informal that occurs naturally through friendship, counseling, and collegiality in a casual, unplanned way. |
| 865 | Agency linkages (referral and placement): Service coordination and case management that facilitates the linkage of individualized education programs under this part and individualized family service plans under part C with individualized service plans under multiple Federal and State programs, such as title I of the Rehabilitation Act of 1973 (vocational rehabilitation), title XIX of the Social Security Act (Medicaid), and title XVI of the Social Security Act (supplemental security income). |
| 870 | Travel training (includes mobility training) |
| 890 | Other transition services: These services may include program coordination, case management and meetings, and crafting linkages between schools and between schools and postsecondary agencies. |
Summary of Performance (Postsecondary Exit)
The Summary of Performance (SOP) is required under the reauthorization of the Individuals with Disabilities Education Act of 2004. The language as stated in IDEA 2004 regarding the SOP is as follows: For a student whose eligibility under special education terminates due to graduation with a regular diploma or due to exceeding the age of eligibility, the local education agency “shall provide the student with a summary of the student’s academic achievement and functional performance, which shall include recommendations on how to assist the student in meeting the student’s postsecondary goals” (CFR §300.305(e)(3)).
The Summary of Performance (SOP), with the accompanying documentation, is important to assist the student in the transition from high school to higher education, training, and/or employment. This information is necessary under Section 504 of the Rehabilitation Act and the Americans with Disabilities Act to help establish a student’s eligibility for reasonable accommodations and supports in postsecondary settings. The information about students’ current level of functioning is intended to help postsecondary institutions consider accommodations for access. These recommendations should not imply that any individual who qualified for special education in high school will automatically qualify for services in the postsecondary education or employment setting. Postsecondary settings will continue to make eligibility decisions on a case-by-case basis (adapted from the Council for Educational Diagnostic Services, a division of the Council for Exceptional Children).
The Summary of Performance (SOP) must be completed in the final year of a student’s high school education. It is intended for postsecondary schools, service providers, and employers, to be used at the student’s discretion. The different organizations may have their own standards regarding the documentation required to establish eligibility. Students may (but are not required to) share their Summary of Performance with colleges, adult agencies, vocational and rehabilitative centers, employers, and others. The SOP helps such organizations identify services and accommodations the student might need in the classroom, the workplace, or the community. Each Summary of Performance must include information about the student’s academic achievement, information about the student’s functional performance, and recommendations on how to assist the student in meeting their postsecondary goals. IDEA does not identify a specific individual responsible for preparing the Summary of Performance. Typically, a student’s special education teacher completes the SOP when a student exits high school. There is no mandate in IDEA that requires a meeting to be held to discuss a Summary of Performance, and if a meeting is held, membership at the meeting is not prescribed. Typically, there can be a meeting with the case manager, student, and parent. If an exit IEP is being held, an SOP discussion could naturally occur during this meeting.
The Individuals with Disabilities Education Act (IDEA) was reauthorized on December 3, 2004, becoming effective on July 1, 2005. In conjunction with the reauthorization, the U. S. Department of Education required states to develop six-year State Performance Plans on 17 indicators. Data on each of the 17 indicators are to be submitted annually in Annual Performance Reports.
State Performance Plan Indicator Related to Transition
Indicator 13 relates to transition services for students and includes eight specific components to determine compliance with transition mandates: “Percent of youth with IEPs aged 16 and above with an IEP that includes appropriate (1) measurable postsecondary goals, (2) that are annually updated and based upon an age appropriate (3) transition assessment and (4) transition services, including (5) courses of study, that will reasonably enable the student to meet those postsecondary goals and (6) annual IEP goals related to the student’s transition services’ needs. There also must be evidence that (7) the student was invited to the IEP team meeting where transition services are to be discussed and evidence that, if appropriate, a representative of any (8) participating agency was invited to the IEP team meeting with the prior consent of the parent or student who has reached the age of majority (20 U.S.C. 1416(a)(3)(B)).” There are eight questions that must be answered in the Transition Plan of a student’s IEP to satisfy Indicator 13:
- Are there appropriate measurable postsecondary goals (MPSGs) that address education/training, employment, and as needed, independent living?
- Are the MPSGs updated annually?
- Is there evidence that MPSGs were based upon assessment?
- Are there transition services in the IEP that will reasonably enable the student to meet the MPSGs?
- Will the course of study (in the transition services) reasonably enable the student to meet the MPSGs?
- Are there annual IEP goals related to the transition needs of the student?
- Is there evidence the student was invited to the IEP?
- Is there evidence of an invitation to the IEP extended to a representative of an involved agency (as appropriate)?
An IEP may be considered compliant in meeting the requirements of Indicator 13 if it includes evidence of the eight (8) required components stated above. For more information on State Performance Indicators, please visit the resources section on the System Improvement Leads website. For resources and guidance with IEP transition planning, please visit: California Department of Education Secondary Transition Planning website.
Student Participation in the IEP
IDEA requires the student to be invited to the IEP meeting whenever appropriate. The IEP is based on the individual student’s needs, strengths, preferences, and interests. When planning for the transition from high school to post-school life, the student’s input is essential for their success. In accordance with 34 CFR §300.321(a)(7), the public agency must invite a student with a disability to attend the student’s IEP Team meeting if a purpose of the meeting will be the consideration of the postsecondary goals for the student and the transition services needed to assist the student in reaching those goals under 34 CFR §300.320(b). There are four areas where a student can be involved in the IEP process:
- Planning the IEP: includes laying the foundation for the meeting by identifying strengths and needs, establishing goals, considering options, and preparing materials for the IEP meeting.
- Drafting the IEP: provides practice in self-advocacy skills and includes having students create a draft of their IEP that reflects these strengths and needs, as well as their interests and preferences.
- Participating in the IEP meeting: in which students have the opportunity to share their interests, preferences, and needs and participate in dialogue with other members of the IEP team to develop a plan.
- Implementing the IEP: involves students evaluating how well they are achieving the goals identified in their IEP.
Suggested Self-Advocacy strategies to prepare students to participate actively in the IEP:
- Inventory strengths: areas to improve or learn, goals and choices for learning or needed accommodations. Students complete an inventory sheet they can use at the IEP meetings.
- Provide inventory information: Use inventory, portfolio, presentation video, etc.
- Listen and respond: learn the proper times to listen and to respond.
- Ask questions: teach students to ask questions when they don’t understand something.
- State goals: students list the goals they would like to see in their IEP.
- Use the IEP as an opportunity to develop self-advocacy and leadership skills.
Below is a Student-Led IEP Script and Transition (IEP) Meeting Agenda (Compiled by Sue Sawyer, California Transition Alliance, 2015, Secondary Transition Planning: The Basics; Konrad, M., & Test, D. W. (2004). Teaching middle-school students with disabilities to use an IEP template. Career Development for Exceptional Individuals, 27, 101-124.)
"Hello everyone. Welcome to my IEP meeting. I am……………………….. . Today we will talk about how I am doing in school right now, the progress I’ve made on my special education goals, my goals for the future, and what type of help I will need to reach my goals. I will be leading this meeting, so please be sure to address me directly with all of your comments. Will everyone please introduce yourselves? Starting with… Thank you. Here is a copy of your parent rights (hand to parent). When I turn 18, I will be legally responsible for myself (Team may discuss transfer of rights). My strengths and interests are……………….…………………………………………………………….. The reason I have a right to special education services is because I which makes it hard for me to ………………………………………… I am interested in working as a …………………………………………………………………………….. Would anyone like to add to what I have already shared? After high school I want to (Student shares Measurable Post- Secondary Goals) My concerns about school are…. ………………………………………………………………………….. What are your concerns, Mom or Dad? Here is how I am doing in school right now: State testing Credits I need to earn Current grades Attendance Progress on last year’s IEP goals Work samples Student asks Team Members (specialists) to share reports in other areas (health, social, motor, vocational, living skills). This year I want to (Student or teacher shares Annual Goals for this IEP) The kind of help I will need is………………………………………………………………………………………… The services I need are………………………………………
- Support in…..
- Special attention on…..
- Work with…..
Are there any other questions or things we need to cover? Will everyone please sign the attendance page? Thanks for coming, everyone."
Suggested Transition Individualized Education Plan Agenda (with Annual IEP)
- Welcome
-
- Introductions
- Purpose of Meeting/Expected Outcomes
- Agenda Overview
- Review Child/Parent Rights
- Present Levels of Performance
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- Parent Concerns
- Review of Reports (General Education, Related Service Providers, other agencies, if applicable)
- Review of Progress on Current Goals/Objectives
- Transition Plan (for Students 16 Years and Older)
-
- Discuss Student Strengths/Preferences/Interests
- Review Results from Transition Assessments
- Develop/Review Measurable Postsecondary Goals
- Discuss Activities and Services to Support Postsecondary Goals
-
- Document Course of Study
- Discuss Age of Majority
- New Goals/Objectives
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- Based on Current Need Areas
- Aligned with Postsecondary Goals
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- Based on Student’s Plan for the Future
- Special Factors
-
- Assistive Technology requirements, if needed
- Low Incidence Requirements, if needed
- Blindness or Visual Impairment, or Deaf or Hard of Hearing, if appropriate
-
- English Learner, if appropriate
- Behavior Supports, if needed
- Areas of Need Identified
- Participation in State/District-wide Assessments
- Offer of Program/Services Based on Goals and Transition Plan
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- Service Delivery Options (LRE)
- Supplementary Aids, Services and Other Supports
- Accommodations/Modifications
- Special Education and Related Services
- Review Transition Services
- Offer of Educational Setting
-
- Percentage of time in/out of general education classes (rationale for time out of general education)
- Other Agencies Involved
- Promotion Criteria
- Progress Monitoring/Progress Reporting
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- Special Education Transportation
- Graduation Plan
- Closing
-
- Confirm Agreements
- Gather Signatures
- At Exit IEP or Graduation IEP, complete the Summary of Performance.
13. INDIVIDUAL HEALTH PLANS AND NURSING SERVICES
School health services and school nurse services are designed to enable a student with a disability to receive FAPE as described in the student’s Individualized Education Program (IEP). School nurse services are provided by a qualified school nurse. School health services may be provided by either a qualified school nurse or other qualified person. For specific recommendations and guidance on these qualifications, see California Department of Education (CDE) Program Advisory on Medication Administration, p.7, www.cde.ca.gov/ls/he/hn/documents/medadvisory.pdf).
School health services and school nurse services are considered related services under the Individuals with Disabilities Education Act (IDEA). An IHP is a formal written agreement developed in collaboration with the school staff (School Nurse), the student, the student’s health care provider(s), and the student’s family. An IHP is written for students whose healthcare needs affect or have the potential to affect safe and optimal school attendance and academic performance. An Individual Health Plan (IHP) generally focuses exclusively on addressing a student’s medical needs and may be appropriate for a general education student through a 504 Plan as well as a student receiving special education services.
Per the National Association of School Nurses (NASN) the IHP should include:
- Assessment: The data collection phase helps determine the student’s current health status and any actual or potential health concerns.
- Diagnosis: The school nurse uses the assessment data to formulate a nursing diagnosis, including a diagnostic label, etiology, and presenting signs and symptoms.
- Outcome Identification: The school nurse identifies the desired results of nursing intervention and states these in measurable terms.
- Planning: Interventions are selected to achieve desired results.
- Implementation: The written IHP is put into practice, and the care provided is documented.
- Evaluation: The professional school nurse measures the effectiveness of nursing interventions in meeting the identified outcome. Changes are made to the plan as needed.
According to California Educational Code §49426, "school nurses strengthen and facilitate the educational process by improving and protecting the health status of children and by identification and assistance in the removal or modification of health-related barriers to learning in individual children. The major focus of school health services is the prevention of illness and disability and the early detection and correction of health problems. The school nurse is especially prepared and uniquely qualified in preventive health, health assessment, and referral procedures… It is the intent of the Legislature that the governing board of each school district and each county superintendent of schools maintain fundamental school health services at a level that is adequate to accomplish all the following:
- Preserve pupils’ ability to learn
- Fulfill existing state requirements and policies regarding pupils’ health
- Contain health care costs through preventive programs and education" (EDC §49427)
Holders of the School Nurse Services Credential shall be authorized to perform the following services:
- Conduct immunization programs pursuant to California Education Code, Section 49403, of the California Code of Regulations.
- Assess and evaluate the health and developmental status of pupils.
- Interpret the health and developmental assessment to parents, teachers, administrators, and other professionals directly concerned with the pupil.
- Design and implement individual student health maintenance plans, incorporating plans directed by a physician.
- Refer the pupil and parent or guardian to appropriate community resources for necessary services.
- Maintain communication with parents and all involved community practitioners and agencies to promote needed treatment and secure reports of findings pertinent to educational planning.
- Interpret medical and nursing findings appropriate to the student’s individualized education program and make recommendations to professional personnel directly involved.
- Consult with, conduct in-service training for, and serve as a resource person to teachers and administrators.
- Develop and implement the health education curriculum.
- Act as a participant in implementing a comprehensive health instruction curriculum for students.
- Counsel and assist pupils and parents in health-related and school adjustment services.
- Teach health-related subjects under the supervision of a classroom teacher
The California Department of Education has a page of information to assist schools in effectively managing diabetes, one of the most common chronic diseases in school-aged children. https://www.cde.ca.gov/ls/he/hn/diabetesmgmt.asp
The California Department of Education has a page of comprehensive medical guidelines for Local Education Agencies (LEAs)/districts to use when developing individualized health plans. http://www.cde.ca.gov/ls/he/hn/
14. PLAN REVIEW AND ELIGIBILITY EVALUATION
Plan Review (Annual Review)
For students placed in a community treatment facility, regular evaluations are necessary to determine continuing student needs and appropriate placement in the least restrictive environment. In addition, a parent may request that an IEP review be conducted at any time. When the Local Educational Agency (LEA)/district receives such a request (preferably in writing), an IEP meeting must be held within 30 days. It is necessary to hold an IEP meeting if the student is not making sufficient progress toward goals and objectives. Parents and members of the IEP team must be notified by established notification procedures. The IEP team may:
According to 34 CFR §300.303, a reassessment of the student shall be conducted at least every three years or more frequently, if conditions warrant. As part of this reassessment, the IEP team shall review existing evaluation data, including evaluations and information provided by the parents of the student, current classroom-based assessments and observations, and teacher and related service providers’ observations. If an assessment is warranted for an eligibility evaluation, then an assessment plan will need to be completed and sent to the parent for signature. The procedures for completing an assessment plan are detailed in the “Assessment Plan” section of this Procedural Guide. For additional information, the eligibility evaluation process is explained in the section entitled “Assessment, Test Selection and Reports” in this Procedural Guide.
- Modify the IEP or program, including the provision of related services and other support services.
- Discuss the appropriateness of current goals and make changes as appropriate based on data and input from members of the IEP team.
- Review and discuss the appropriateness of the current educational program and/or placement.
Eligibility Evaluation (Triennial Review)
As part of the eligibility evaluation process, if the student qualifies under Specific Learning Disability (SLD) the psychologist must also complete the appropriate SLD page that corresponds to the SLD Eligibility model used. The SLD pages are listed in each student’s future IEP in SEIS, and signatures on the completed SLD page must be obtained. The different SLD eligibility models are detailed in the “Eligibility Criteria” section of this Procedural Guide.
Review of Records vs. Comprehensive Reassessment
The IEP team must identify what additional information, if any, is needed to establish:
- The present levels of performance.
- The educational needs of the student.
- Whether the student continues to have a disability.
- Whether the student continues to need special education and related services.
- Whether the student requires any additions or modifications to the educational program to meet their annual goals and participate in the general curriculum.
The form entitled “Triennial Re-eval”, located in the future IEP record in SEIS, may assist in documenting the decision-making process for this determination. According to EDC§ 56381(g), a formal IEP meeting is not required to decide on whether additional assessment is necessary unless requested by the parent, or agreement can’t be reached. A reassessment shall be conducted if the LEA/district determines that the educational or related service needs including improved academic achievement and functional performance of the student warrant a reassessment, or if the student’s parents or teacher requests a reassessment. If the team agrees to a review of records, the Assessment Plan should reflect this decision, and a Prior Written Notice (PWN) should be provided to confirm the decision with parents. The requirements for legally compliant PWN are detailed in the “Prior Written Notice” section of this Procedural Guide. Assessment is required in the following situations:
- Upon parent or teacher request (document on assessment plan) [EDC § 56381(a)].
- At least once every three years (for students in special education), unless the parent and the local educational agency agree, in writing, that a reassessment is unnecessary [EDC § 56381(a)].
- When dismissal from special education is being considered [EDC § 56381(h)].
If an LEA/district believes that a student no longer requires special education or related services, the student must be reassessed in all areas of suspected disability. The LEA/district may exit the child from special education if, after a comprehensive evaluation, it is determined that the student does not require Special Education and/or related services to obtain meaningful educational benefit. Related services include but are not limited to speech, occupational therapy, counseling, behavioral supports, and adapted physical education. A comprehensive list of related services under IDEA can be found in Section 300.34 of Title 34 of the Code of Federal Regulations (CFR).
Circumstances When Reassessments May Be Necessary
The following circumstances are examples of conditions warranting more frequent reassessment:
- If a substantial change has been observed in the student’s academic performance or disabling condition.
- If the IEP team suspects that the student has an additional area of eligibility for Special Education or needs that have not been previously assessed/accurately assessed.
- A request for a change in placement may trigger a reassessment, particularly when the new placement is more restrictive. This is suggested, but not required by IDEA. Assessment prior to a placement change will ensure that the student’s eligibility is accurate, that appropriate needs have been defined via past assessments, and that supports, goals, and services reflect identified needs.
15. CURRICULUM ADAPTATIONS
General Guidelines
What are Accommodations?
What are Modifications?
Grading When Adaptations Have Been Made to the Curriculum
Because accommodations do not fundamentally alter the curriculum, a student’s grades should not reflect that accommodations have been made. Accommodations provide students with disabilities an equal opportunity to participate in the general education curriculum. If modifications have been made to the curriculum of any course, it is important that the student’s grade reflect the student’s achievement in the modified curriculum, as long as modified grades are available to all students. However, any modifications to programming, instruction, and grading must be documented in the student’s IEP and be directly related to the student’s disability. To automatically give modified grades to all special education students would be discriminatory and potentially violate Section 504 of the Rehabilitation Act of 1973. Additional information on grading when students have had accommodations or modifications can be found in the "Grading" section of our Procedural Guide.
The IEP team may use the Nine Types of Curriculum Adaptations (Diana Browning Wright, Teaching and Learning, 2005) matrix shown below to determine the most appropriate adaptations required for a student with a disability to gain access to the general curriculum. Once the team has agreed upon the necessary adaptations, it is recommended that they be shared with teachers and service providers to ensure that the accommodations, modifications, and supports written into the student’s IEP are being implemented with fidelity.
How to Determine the Appropriate Adaptations to Curriculum
Nine Types of Curriculum Adaptations
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Quantity*
Adapt the number of items that the learner is expected to learn or number of activities student will complete prior to assessment for mastery. For example: Reduce the number of social studies terms a learner must learn at any one time. Add more practice activities or worksheets.
|
Time*
Adapt the time allotted and allowed for learning, task completion, or testing. For example: Individualize a timeline for completing a task; pace learning differently (increase or decrease) for some learners.
|
Level of Support*
Increase the amount of personal assistance to keep the student on task or to reinforce or prompt use of specific skills. Enhance adult-student relationship; use physical space and environmental structure. For example: Assign peer buddies, teaching assistants, peer tutors, or cross-age tutors. Specify how to interact with the student or how to structure the environment.
|
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Input*
Adapt the way instruction is delivered to the learner. For example: Use different visual aids, enlarge text, plan more concrete examples, and provide hands-on activities, place students in cooperative groups, pre-teach key concepts or terms before the lesson.
|
Difficulty**
Adapt the skill level, problem type, or the rules on how the learner may approach the work. For example: Allow the use of a calculator to figure math problems; simplify task directions; change rules to accommodate learner needs.
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Output*
Adapt how the student can respond to instruction. For example: Instead of answering questions in writing, allow a verbal response, use a communication book for some students, allow students to show knowledge with hands on materials.
|
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Participation*
Adapt the extent to which a learner is actively involved in the task. For example: In geography, have a student hold the globe, while others point out locations. Ask the student to lead a group. Have the student turn the pages while sitting on your lap (kindergarten).
|
Alternate Goals**
Adapt the goals or outcome expectations while using the same materials. When routinely utilized, this is only for students with moderate to severe disabilities. For example: In a social studies lesson, expect a student to be able to locate the colors of the states on a map, while other students learn to locate each state and name the capital. |
Substitute Curriculum**
Provide different instruction and materials to meet a learner’s individual goals. When routinely utilized, this is only for students with moderate to severe disabilities. For example: During a language lesson a student is learning toileting skills with an aide. |
|
* This adaptation is an accommodation if the student can demonstrate mastery of the standard on an assessment. The key concept is: Will the student ultimately master the same material but demonstrate that mastery in alternate ways or with alternate supports? If standards are not fundamentally or substantially altered, then this adaptation is an accommodation to a learning or performance difference.
** This adaptation is a modification if the student will not demonstrate mastery of the standard on an assessment. If routinely utilized, these adaptations are modifications and require individualized goals and assessment.
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| Substantially altered by Diana Browning Wright with permission from Jeff Sprague, Ph.D. from an original by DeSchenes, C., Ebeling, D., & Sprague, J. (1994). Adapting Curriculum & Instruction in Inclusive Classrooms: A Teachers Desk Reference. ISDDCSCI Publication. Diana Browning Wright, Teaching & Learning 2005 | ||
16. GRADING
Impact of Curricular Adaptations on Grades
Accommodations
Impact of Accommodations on Grading
Modifications
Impact of Modifications on Grading
Considerations When Grading a Student with an IEP
- Establish and follow a clear grading policy based on criteria set for aligning progress toward grade-level standards.
- Ensure general and special education teachers are reviewing data and collaborating on progress toward grade-level standards or meeting the grading criteria set forth in the student’s IEP.
- Use a variety of objective assessment methods to monitor student progress toward reaching grade-level standards or progress on alternate achievement standards. For example:
- Monitoring daily assignments
- Multiple testing formats
- Multiple choice, cloze technique, short answer, and long answer responses)
- Performance assessments based on portfolios, demonstrations, projects, and presentations
- Observation of student learning and growth
- Checklists
- Rubrics
- Student self-assessment
- When averaging several scores over an extended period of time, provide proportionate weight to individual scores, ensuring that low scores in the grading period don’t discourage the student and overshadow higher scores in the grading period. It is important to ensure that on formative assessments, a student is provided the opportunity to practice a skill without being penalized on their final grade. On the other hand, it is important that scores on the summative assessment are not so heavily weighted that a low score brings down the grade so significantly and diminishes the effort a student put into learning a new skill or offsets student mastery of that particular skill.
Practices to Avoid
- Avoid traditional grading practices that are fixed. Instead, create a flexible grading system that promotes student success at the beginning of a unit/learning a new skill/standard. Allow frequent opportunities for practice, feedback, and corrections for improved performance and work production.
- Avoid placing an uneven amount of weight on non-academic factors, such as behavior, attendance, and effort, into the final grade. Consider evenly distributing the weight of non-academic factors, while ensuring that formative and summative assessments are appropriately proportioned in a way that the grade is an accurate reflection of mastery of standards and curriculum combined with the learning process that a student experiences along the way.
- Avoid penalizing students’ multiple attempts to mastery. For example, avoid grading policies such as, “a student may retake a test, but the highest grade one could receive is a B.” or “a student may correct missed math problems, but will only earn half a point of credit for each one.” Consider allowing the students’ grades to adequately reflect the level of mastery a student has achieved toward grade-level standards, even if it is after multiple opportunities for practice and/or assessments.
- Avoid placing heavy weight that homework has on a student’s grade, especially if they are failing because of a homework issue. Homework is intended for students to rehearse content already mastered or provide opportunities to practice new skills without being penalized. Ensure that homework is designed in a way that encourages student engagement, is accessible for all, and provides opportunities to practice skills. Then, provide options to grade based on the meaningful learning that occurs through the process.
- Avoid withholding accommodations when they are needed. If an accommodation, such as a graphic organizer, is used to support students in organizing their thinking/writing during day-to-day instruction, then ensure this accommodation is provided during assessments.
- Avoid assessing students in ways that do not accurately indicate their mastery. Ensure students are being assessed in a way that measures what a student has learned. For example, a student with low writing skills and high artistic skills may be able to best demonstrate their learning through art, yet a student with low artistic skills and high writing skills would not be able to demonstrate mastery of content using art.
- Avoid extra credit and bonus points, as it could alter a grade’s accuracy for measuring what a student has mastered.
- Avoid group grades that may not accurately reflect what a student learned and how they came to learn it. Ensure there are multiple areas evaluated, including content mastery, collaboration or participation, meeting deadlines, and presentation or style, so that each person in a group can be graded based on their personal performance.
- Avoid grading on a curve. Grades that are used to document progress, provide feedback, and assess mastery of content are based on a set of criteria. Therefore, grades should be based on a student’s demonstration of knowledge and skills based on the set criteria.
- Avoid recording zeros for work not done, as this may skew the grade to a point where the accuracy is distorted. Instead, consider removing some of the work not completed from the overall grade, providing a mark of not-graded, or providing more weight to the assignments completed.
- Avoid using norm-referenced terms to describe criterion-referenced attributes. When grading based on grade level standards, report on how a student is progressing toward that standard, not how the student is performing in comparison with their peers. Avoid using the term “average” and instead, use “standard met” or “approaching standard.”
- Avoid grade penalties due to behavior.
Report Card Requirements
The Office for Civil Rights (OCR) acknowledges that students with significant disabilities could have unique needs that make the use of traditional report cards and progress reports ineffective or irrelevant. Therefore, OCR has provided guidance that states an LEA/district may use a different report card for students in alternative programs. As previously mentioned, the alternate reporting system shall be as meaningful and effective in conveying information to parents as the system provided to students without disabilities and with at least the same frequency as students who do not have IEPs. Should an LEA/district use its traditional report card for students receiving modified curriculum and/or grading, it may utilize a symbol or code to indicate that the student has received such modification to grade-level standards. However, it should be noted that this type of coding should not be used solely for students with disabilities.
Student Transcripts
An LEA/district may not identify that a student was placed in special education classes or received special education supports and services in any particular course on their transcript. However, course designations with more general connotations, not suggestive of special education, are acceptable. The CDE suggests that LEA/districts use course codes on a transcript to indicate a modification or an alternate grading scale was provided as long as these designated codes are also used for students without disabilities who are graded on an alternate scale. Some codes LEAs/districts have used to indicate remedial courses include terms like “basic,” “level 1,” or “practical.” Other permissible designations might include “independent study” or “modified curriculum” as long as those designations are not limited to special education courses. LEAs/districts are advised to avoid using designations limited to special education courses, such as coding a class using the term “special education.” LEAs/districts are also cautioned to exclude specific information on the transcript that may suggest specialized supports were provided to a student to assist the student in meeting grade-level standards. For example, a notation indicating the use of Braille materials is not related to whether that student mastered all the tenth-grade objectives for their literature class; therefore, it does not need to be included on the student’s transcripts.
In specific circumstances, an LEA/district may disclose the fact that a student has taken special education courses to a post-secondary institution in instances where the parent and the student have knowledge of the specific information on the transcript that will be shared and provide written consent.
For more information on grading please refer to the California Department of Education link on Promotion, Retention, and Grading.
* The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
17. PROMOTION AND RETENTION
Why Retention?
Research Related to Retention
Promotion Criteria for Students with Disabilities
Retention of Students with Disabilities
- Does the current IEP address the student’s academic, linguistic, social, emotional, and behavioral needs?
- Are accommodations and modifications as indicated in the IEP appropriate?
- Were all the services required by the student to make progress in the general education curriculum appropriately identified in the student’s IEP?
- Were the linguistic needs of English Learners appropriately identified?
- Did the student receive all the services identified in the IEP?
- Was the student’s promotion standard appropriate and clarified in the IEP?
- Was Extended School Year (ESY) considered?
If the IEP team answered NO to any of the above questions, it is recommended that the student not be retained due to the LEA’s/district’s failure to implement the IEP. The IEP may be amended to reflect any required changes in service needed to allow the student to receive educational benefit. It may also be appropriate to provide supplemental educational services. Supplemental educational services are not to be provided during the regular instructional day and may be offered during the summer, before school, after school, on Saturdays, during intersession, or in combination.
If all questions above were answered YES, yet the student failed to meet board-approved or IEP-determined promotion criteria, it is also recommended that the student participates in supplemental educational services developed by the local board pursuant to EDC §37252.8. The IEP team should ensure that all supports and related services required for the student to benefit from supplemental instruction are clearly documented. If the student still does not meet the board-adopted or individualized promotion standards after receiving supplemental instruction, an IEP meeting should be convened to determine if additional assessment is required in order to develop an appropriate plan to support student progress1. Team members may also wish to include a statement in the IEP notes to document their recommendation for or against retention based on needs related to the student’s disability. However, the final determination regarding retention will be the decision of the general education administrator in consultation with the parent/guardian(s). Although a parent/guardian cannot request a due process hearing to object to retention or promotion decisions, they may choose to file for due process if a denial of FAPE directly impacted the retention decision. For example, if a student did not receive the IEP services designed to assist in meeting the promotion standards, the student’s parents could challenge the lack of services as a denial of FAPE. Therefore, a careful review of the student’s IEP and access to services that provide meaningful educational benefit is essential when a recommendation for retention is made. Detailed information on pupil promotion, retention and related supplemental instruction can be found on the CDE’s Web page Promotion, Retention, and Grading.
Schools are encouraged to consider a wide array of evidence-based strategies in lieu of retention. Specifically, NASP recommends that educational professionals(3):
Alternatives to Retention
- Encourage parent/guardian involvement in their student’s education through frequent contact with teachers, supervision of homework, etc.
- Adopt age-appropriate, culturally sensitive, and linguistically appropriate instructional strategies that accelerate progress in all classroom settings.
- Incorporate systematic assessment strategies, including continuous progress monitoring and formative evaluation, to enable ongoing modification of instructional efforts.
- Provide effective early intervention academic and mental health programs.
- Consider developing a school-wide Multi-Tiered System of Supports (MTSS) to bolster academic and behavioral progress for all students.
- Use student support teams to assess and identify specific learning or behavior problems, design interventions to address those problems, and evaluate the efficacy of those interventions regularly.
- Use effective behavior management and cognitive behavior modification strategies to reduce classroom behavior problems.
- Provide appropriate education services for students with disabilities, including collaboration between regular, remedial, and special education professionals.
- Offer extended year, extended day, and summer programs that focus on facilitating the development of academic skills as needed.
- Implement tutoring and mentoring programs with peer, cross-age, or adult tutors.
- Incorporate comprehensive school-wide programs to promote the social, emotional, and academic skills of all students.
Recommended Links:
References:
(1) National Association of School Psychologists. (2011). Grade Retention and Social Promotion. https://www.nasponline.org/x32088.xml
(2) California Department of Education. (2015). Promotion, Retention and Grading FAQ. http://www.cde.ca.gov/
(3) Jimerson, Shane R. PhD, NCSP and Woehr, Sarah M., & Kaufman, Amber M., MA. (2007). Grade Retention and Promotion: Information for Parents. National Association of School Psychologists.
18. PARENT PARTICIPATION
Parents are integral to the Individualized Education Program (IEP) development process. The Individuals with Disabilities Education Act (IDEA) designates parents as mandatory IEP team members and outlines several procedural safeguards to ensure parents’ full and meaningful participation in the IEP process. Each LEA/district must take steps to ensure that one or both parents of a student with a disability are present at each IEP Team meeting and are afforded the opportunity to participate.
Definition of a Parent Under IDEA
The 2006 IDEA Part B regulations, (34 CFR §300.30) clarify that a parent is defined as:
- A biological or adoptive parent of a child.
- A foster parent‐‐unless state law, regulations, or contractual obligations with a state or local entity prohibit a foster parent from acting as a parent.
- A guardian is authorized to act as the child’s parent, or authorized to make educational decisions for the child (but not the state if the child is a ward of the state).
- An individual acting in the place of a biological or adoptive parent (including a grandparent, stepparent, or other relative) with whom the child lives, or an individual who is legally responsible for the child’s welfare.
- A surrogate parent appointed in accordance with when a parent cannot be identified, and the school district cannot discover their whereabouts.
- A surrogate parent may also be appointed if the child is an unaccompanied homeless youth, an adjudicated dependent or ward of the court under the state Welfare and Institution Code and is referred to special education or already has an IEP.
Divorced Parent
Notice of Meeting
- Provide notice of an IEP meeting to parents early enough to ensure that they have the opportunity to attend the meeting. (For further information, see the "Meeting Notice" section of the Procedural Guide)
- Schedule the meeting at a mutually agreed upon time and location.
The notice of meeting must:
- Indicate the purpose, time, and location of the meeting and who will be in attendance (note: personnel should be listed by title, not actual name);
- Inform the parents of the participation of other individuals on the IEP Team who have knowledge or special expertise about the student;
- For a student with a disability, beginning no later than the first IEP to be in effect when the student turns 16 years of age (or younger if determined appropriate by the IEP Team), the notice also must:
- Indicate that a purpose of the meeting will be the consideration of the postsecondary goals and transition services for the student;
- Indicate that the LEA/district will invite the student; and
- Identify any other agency that will be invited to send a representative.
Note: IDEA does not specify a timeline requirement for parental notification of an IEP meeting. Ten school days is a customary period based on a standard of reasonableness.
The parents of a student with a disability must be afforded an opportunity to participate in meetings with respect to:
Meaningful Participation of Parents
- The identification, evaluation, and educational placement of the student; and
- The provision of a free and appropriate education (FAPE) to the student.
If a parent states in writing that they decline to participate in a meeting in which a decision is to be made relating to the educational placement of their child, the LEA/district must use other methods to ensure their participation,, including individual or conference telephone calls, or video conferencing. LEAs/districts should consider the parents’ concerns and suggestions and, to the extent appropriate, incorporate them into the IEP. LEAs/districts should consider the results of any independent educational evaluations and any information and reports submitted by the parents, and document these in the IEP.
Use of Interpreters or Other Action, As Appropriate
The LEA/district must take whatever action is necessary to ensure that the parent understands the proceedings of the IEP Team meeting, including arranging for an interpreter for parents with deafness or whose native language is other than English. It is advised that interpreters not serve dual roles on the IEP Team and that interpreters not be members of the IEP Team.
Parent Copy of Student’s IEP
Conducting an IEP Team Meeting Without a Parent in Attendance
- Detailed records of telephone calls made or attempted and the results of those calls.
- Copies of correspondence sent to the parents and any responses received.
- Detailed records of visits made to the parent’s home or place of employment and the results of those visits.
- Detailed records of attempts made via certified US mail and delivery confirmation information.
19. CONSERVATORSHIP
When a student with disabilities reaches the age of 18, the local educational agency (LEA)/district shall provide a notice of procedural safeguards to both the student and the parents of the student. All other rights accorded to a parent shall transfer to the student with disabilities. The LEA/district shall notify the individual and the parent of the transfer of rights prior to the student’s 17th birthday, pursuant to California Education Code. The parent of a student determined to be incompetent under state law may seek conservatorship.
A conservatorship is granted in a court proceeding where a superior court judge appoints a responsible person (“conservator”) to care for another adult (“conservatee”) who cannot care for themselves and their finances. A limited conservatorship is specifically available to benefit adults with developmental disabilities. A limited conservator can do only those things granted at the time of appointment by the local superior court. A limited conservator (usually a family member) may have the authority to:
- Decide where the conservatee will live.
- Manage the conservatee’s social affairs.
- Manage the conservatee’s financial affairs.
- Examine the conservatee’s confidential records and papers.
- Sign a contract for the conservatee.
- Give or withhold consent for medical treatments.
- Make decisions regarding education and vocational training.
- Give or withhold consent to the conservatee’s marriage.
- Control the conservatee’s sexual contacts and relationships.
After the filing of a petition for limited conservatorship with the Superior Court of the county in which the proposed conservatee lives, a proposed limited conservatee is assessed at a Regional Center to determine if they are indeed developmentally disabled. The Regional Center submits a written report of its findings and recommendations regarding the conservatorship to the court. While the Regional Center report is not binding, it provides the court with guidance about the appropriateness of the conservatorship. Additionally, the court appoints an attorney and an investigator to represent the disabled adult to make certain that the proposed conservatorship is of merit. Note: An LEA/district may ask to see a copy of the court documents to ensure compliance with court orders.
20. SURROGATE PARENT PROCEDURES
Definition of a Parent Under the Individuals with Disabilities Education Act (IDEA)
The IDEA Part B regulations, (34 CFR §300.30) define a parent as:
- A biological or adoptive parent of a child.
- A foster parent‐‐unless state law, regulations, or contractual obligations with a state or local entity prohibit a foster parent from acting as a parent.
- A guardian is generally authorized to act as the child’s parent or authorized to make educational decisions for the child (but not the State if the child is a ward of the State).
- An individual acting in the place of a biological or adoptive parent (including a grandparent, stepparent, or other relative) with whom the child lives, or an individual who is legally responsible for the child’s welfare.
- A surrogate parent is appointed in accordance with when a parent cannot be identified, and the school district cannot discover a parent’s whereabouts.
- A surrogate parent may also be appointed if the child is an unaccompanied homeless youth, an adjudicated dependent or ward of the court under the state Welfare and Institution Code and is referred to special education or already has an IEP.
Definition of a Surrogate Parent
A "surrogate parent" is an adult appointed by a Local Education Agency (LEA)/district or Special Education Local Plan Area (SELPA) to represent a student aged 0‐21 for the purpose of their Individualized Education Program (IEP) to ensure that the rights of the student to a Free Appropriate Public Education (FAPE) are protected. A surrogate parent may be appointed when the biological parents, or the parents as defined by IDEA, cannot be found, or the courts have removed their educational rights, and those rights have not been assigned to another.
An LEA/district shall appoint a surrogate parent for a student in accordance with 34 CFR §300.519 under one or more of the following circumstances:
When to Appoint a Surrogate Parent
- No parent can be identified;
- The public agency, after reasonable efforts, cannot locate a parent;
- The child is a ward of the State under the laws of the State, or the adult student is a ward of the court and has been found to be incompetent;
- The child is an unaccompanied homeless youth as defined in Section 725(6) of the McKinney‐ Vento Homeless Assistance Act (42 U.S.C. 11434a (6)); or
- The child is referred for Special Education.
A child may need an interim surrogate parent when they are initially placed in a SELPA to meet the requirements for immediate educational placement, while the status or location of the child’s parent is researched. These children may be living in the following settings:
- Foster home
- Private group home
- State hospitals and other health facilities
- Correctional facilities
- Residential treatment centers
Reasonable efforts to contact parents include, but are not limited to, the following measures:
- Documented phone calls
- Letters, certified letters with return receipts
- Documented visits to the parent’s last known address
- The placement of an agency notice of a court order that terminates parents’ rights
If the efforts above fail to locate the parent or to obtain parent status notification from the placing agency, an interim surrogate parent appointment may be necessary. A surrogate parent shall be appointed not more than 30 days after the LEA/district determines that a student needs a surrogate parent (EDC §7579.5 (a)). This appointment will facilitate timely IEP review, establish consent for special education assessment, or both.
When a Surrogate Parent is Not Needed
The following are instances in which a surrogate parent does not need to be appointed:
Individuals who may serve as surrogate parents include, but are not limited to, foster care providers, retired teachers or school district administrators, social workers, and probation officers who are not employees of the State Department of Education, the local educational agency, or any other agency that is involved in the education or care of the child. A public agency authorized to appoint a surrogate parent under this section may select a person who is an employee of a nonpublic agency that only provides non-educational care for the child. An individual, who would have a conflict of interest, for the purposes of this section, means a person having any interest that might restrict or bias his or her ability to advocate for all of the services required to ensure that the student has a free appropriate public education. A person who otherwise qualifies to be a surrogate parent under this section is not an employee of the LEA/district solely because they are paid by the LEA/district to serve as a surrogate parent.
- The parent’s educational rights pertaining to the student have not been removed by a court.
- The parent maintains educational rights and has appointed their own educational representatives for their child.
- A court has appointed a guardian for the student.
- The student was voluntarily placed in a residential facility.
- The student is 18 years of age or older, and they do not have a conservator or guardian, regardless of the individual’s functional level.
- The student is an emancipated minor.
- The student is married.
- The student has a legal guardian.
- The student has someone "acting" as the child’s parent, such as a grandparent or other family member, and the child resides with this person and is defined as a "parent" according to 34 CFR §300.30.
Who to Appoint as a Surrogate Parent
When appointing a surrogate parent, the LEA/district shall, as a first preference, select a relative caretaker, foster parent, or Court‐Appointed Special Advocate (CASA) if any of these individuals exist and are willing and able to serve. If none of these individuals are willing or able to act as a surrogate parent, the LEA/district shall select the surrogate parent. If the child is moved from the home of the relative‐caretaker or foster parent who has been appointed as a surrogate parent, the LEA/district shall appoint another surrogate parent if a new appointment is necessary to ensure adequate representation of the child. To find an approved list of surrogate parents fingerprinted and trained, please refer to the list in the SEIS Document Library.
Responsibilities/Expectations of a Surrogate Parent
- Identification
- Assessment
- Instructional Planning and Development of the IEP
- Educational Placement
- Reviewing and Revising the IEP
- Other matters related to a free and appropriate public education (FAPE)
The surrogate parent serves as the child’s parent and has parental rights relative to the child’s education under 20 U.S.C. § 1400 (2004).
Monitoring Surrogate Parents
- The child is no longer in need of special education;
- The student reaches the age of majority;
- The age of majority is the legally defined age at which a person is considered an adult, with all the attendant rights and responsibilities of adulthood.
- The biological parent is found, or the court restores educational rights to the parent.
The LEA/district should inform the SELPA when a student requires a surrogate parent. The SELPA should also be notified when a surrogate no longer represents a student.
A surrogate parent:
Surrogate Parent Safeguards
- Is held harmless by the State of California during the execution of duties except when actions are found to be wanton, reckless, or malicious.
- May inspect and have copies of all student educational records.
- Has permission to request changes when inappropriate or inaccurate information is contained in the student’s records.
- Should be informed about assessment procedures, tests, and all results.
- May seek an Independent Educational Evaluation (IEE).
- Shall participate fully in the planning of the student’s IEP.
- Can decide if the proposed offer of FAPE is appropriate for the student by either signing or refusing to sign the IEP.
- Should receive progress reports and regular routine communications.
- May request a teacher conference, new evaluation, or IEP as deemed necessary by the surrogate.
- Should be notified in writing when the school proposes any educational changes.
- May initiate due process proceedings.
- Should be informed if any due process proceedings have been initiated.
- Receives information about all other State and local agencies that provide services to special education students (EDC §56050(b)).
21. SURROGATE PARENT FLOWCHART
22. AGE OUT TIMELINES
Eligibility for special education services under the IDEA generally terminates when the student graduates with a regular high school diploma or reaches their 22nd birthday, whichever comes first (EDC §56026). A student’s receipt of an alternative diploma or a certificate of completion does not terminate their right to receive special education and related services under the IDEA. For further information on alternative diplomas or certificate of completion, see the "Graduation Options for Students with Disabilities" section of this Procedural Guide, the "Certificate of Completion Guidelines" section of this Procedural Guide, or the El Dorado SELPA’s "Certificate of Completion Guidelines."
Students with IEPs who have not received a regular high school diploma and are between the ages of 19 and 21 years, inclusive, must be enrolled in or eligible for a special education program before their 19th birthday to continue receiving special education services. Any student who turns 22 years of age during the months of January to June while participating in a special education program may continue their participation for the remainder of the current fiscal year (the fiscal year runs from July 1 through June 30), including any extended school year (ESY) program for students with disabilities. Any student aged 21 eligible to participate in a special education program shall not be allowed to begin a new fiscal year in a program if they become 22 years of age in July, August, or September of the new fiscal year. However, if a student is in a year-round school program and is completing their individualized education program in a term that extends into the new fiscal year, then the student may complete that term.
Any student who becomes 22 years of age during the months of October, November, or December while participating in a special education program shall be terminated from the program on December 31 of the current fiscal year unless the student would otherwise complete their individualized education program at the end of the current fiscal year. For example, if a student has a 22nd birthday in November but is on track to receive a high school diploma in June of the same fiscal year, they will not continue to receive services past June, which is the end of that fiscal year.
23. PARENTAL CONSENT AND REVOCATION OF CONSENT
Important notes:
The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
“Local Education Agency (LEA)” is defined by California state law as a school district, a county office of education, a nonprofit charter school participating as a member of a special education local plan area, or a special education local plan area (EDC §56026.3)
When the term consent or parental consent is used in IDEA, it has the same meaning as the term informed written consent. The following indicates that the parent has been fully informed regarding the action of the LEA/district for which parental consent is being requested:
A parent may revoke consent for the continued provision of special education and related services at any time. The parent must provide a written statement revoking consent for special education and related services. Upon parent request, LEAs/districts may assist in writing the revocation statement. A statement of revocation of consent must include the date, student’s name, and parent’s signature. Revocation of consent applies to the entire IEP, not to just individual sections of the IEP. A parent may also revoke consent for assessment after an assessment plan has been signed. A Prior Written Notice (PWN) must be sent once the revocation statement for assessment has been received. A "Notice of Intent to Grant a Revocation of Consent" PWN template is located in the SEIS document library in the Prior Written Notice Forms and Documents section.
Parental Consent
- The parent has been fully informed of all information relevant to the activity for which consent is sought, in their native language, or through another mode of communication.
- The parent understands and agrees in writing to the carrying out of the activity for which their consent is sought, and the consent describes that activity and lists the records (if any) that will be released and to whom.
- The parent understands that the granting of consent is voluntary on the part of the parent and may be revoked at any time.
- If a parent revokes consent, that revocation is not retroactive (i.e., it does not negate an action that has occurred after the consent was given and before the consent was revoked). [34 CFR 300.9]
Revocation of Consent
Upon revocation of consent for continued special education and related services, the LEA/district:
- May not continue to provide special education and related services to the student and must provide Prior Written Notice (PWN) before ceasing services that explains the change in the educational program that will result from the parent’s revocation of consent. The provision of this notice gives parents the information and time to fully consider the ramifications of the revocation of consent. The PWN should include a copy of parental rights.
- May not use mediation or due process procedures to obtain a ruling that services may be provided to the student.
- Will not be considered to be in violation of the requirement to make Free and Appropriate Public Education (FAPE) available to the student because of a failure to provide further services.
- Is not required to convene an IEP team meeting or develop an IEP for the student.
Once an LEA/district has properly discontinued the provision of special education and related services, the LEA/district may place the student following the placement procedures of the general education students. As with all general education students, if the student is not progressing in the general education setting or adequately accessing the general education curriculum, the LEA/district has the responsibility to fulfill Child Find requirements. LEAs/Districts may also consider evaluating the student for a 504 Plan. If a parent changes their mind and later requests that the child be re-enrolled in special education, the LEA/district must treat this request as an initial evaluation. The LEA/district will need to do an initial evaluation for the student and determine eligibility before developing a new IEP. A student who reaches the age of majority and retains their educational rights may revoke consent of their special education and related services; the district must provide prior written notice to the adult student as noted above.
In the case of two parents in conflict, the written consent of only one parent with educational decision-making authority is necessary to revoke consent for a child’s receipt of special education and related services. A Prior Written Notice should be sent to both parents. As long as the parent has the legal authority to make educational decisions for the child, the school district must accept the parent’s written revocation of consent. A subsequent disagreement by the other parent does not overturn the revocation. Further, a subsequent request for special education services does not overturn the revocation (unless the request is made by the parent who initiated the original revocation) and would initiate the initial assessment process. Note: Neither the school district nor the objecting parent can use IDEA due process procedures to overcome a parent’s written revocation of consent. The IDEA provides that a parent may file a due process complaint over actions by a public agency and not actions by another parent.
When Parents Do Not Agree with One Another
24. AGE OF MAJORITY
Age of Majority is a term used to describe the age after which a person is legally no longer considered a child and becomes a legal adult. In California, the legal age of majority is 18 years. When a student with a disability turns 18, all rights under state and federal special education law transfer from the parent(s) to the adult student (except in the case of a student with a disability who has been deemed unable to make their own educational decisions under California Law). At this point, the student becomes responsible for all educational, medical, financial, and legal decisions on their own behalf. This transfer of rights also applies to those students incarcerated in an adult or juvenile federal, state, regional, or local correctional institution.
Per IDEA, an LEA/district must inform the parent(s) and special education student before they turn 17 that all rights will transfer to the student on their 18th birthday (34 C.F.R. §300.320(c)). The Transition Plan section of the IEP includes a statement that must be completed to document the discussion with the parent and student regarding the transfer of rights upon reaching the age of majority. This conversation typically occurs during an IEP meeting before the student turns 17 and should be documented in the notes of the IEP meeting. Both the student and the parent must be present at the meeting for the discussion to ensure all questions are answered and that the student and parent clearly understand what is included in the transfer of rights.
25. INTERIM PLACEMENT
Whenever a student in special education transfers from one LEA/district to another, the LEA/district receiving the student shall:
- Request records from previous LEA/district as soon as student is enrolled in the new LEA.
- If the previous LEA/district did not use SEIS, manually enter student information to create a new student record (SELPA minimum requirement is CASEMIS A&B tabs).
- Complete the “Interim Placement Form” (located in the SEIS Document Library) and give it to parents. Obtain parental signature. The special education services will begin on the first day of attendance. The LEA/district will provide the student with a Free Appropriate Public Education (FAPE), including services comparable to those described in the previously approved IEP.
- Current information, records, and reports from the previous LEA/district will be reviewed and utilized to develop an Interim IEP. Prior to the Interim (30 day) IEP meeting, the LEA/district will determine if any additional assessment is required in order to determine student’s educational needs and make program recommendations. If an additional assessment is required, an assessment plan will be developed, and parent’s signature obtained.
- An Interim (30 day) IEP meeting is held to review the placement/offer of FAPE (including review of goals, accommodations & modifications, services and educational environment, etc.) within 30 days of the student’s first day of instruction.
- At this Interim (30 day) IEP meeting the LEA/district will adopt the previously approved IEP or develop and implement a new IEP based on updated assessment results and/or review of records.
Additional resources (including easy-to-follow flow charts) on Interim Placements are available in the SEIS Document Library under “Newly Joining Partners: Change of SELPA for schools that already existed”.
26. INDEPENDENT STUDY, HOME-HOSPITAL INSTRUCTION, AND HOME INSTRUCTION
In the incidence that a student is unable to attend school due to a medical disability such as illness or hospitalization, an LEA/district may implement one of the following programs to meet the student’s general and/or special education needs for the duration of their absence from the school setting: Home and Hospital Instruction, Home Instruction, or Independent Study. The purpose of this section is to outline which instructional program is most appropriate based on the student’s educational program and level of need.
What is Home and Hospital Instruction?
Home and Hospital Instruction (HHI): Eligibility
Charter Schools and Home and Hospital Instruction: Considerations for General Education
| There is no law that expressly authorizes nor prohibits a charter school from providing home-hospital instruction. Therefore, a charter school may choose to either provide HHI services directly or work with the district of residence to ensure services are provided. Under current guidance, it is not recommended that a charter school refuse to provide HHI services if required for a student with a temporary disability to access their education. Assembly Bill 2109, which took effect on January 1, 2019, made several changes to the laws governing home-hospital instruction for students with temporary disabilities. AB 2109 authorizes, but does not require, an LEA/district to continue to enroll a pupil who is receiving individual instruction in a hospital, regardless of district boundaries, to facilitate timely reentry following the hospitalization and limit barriers to re-enrollment. AB 2109 provides a right for the student to return to the school of origin (the student attended prior to the health issue) if the student is well enough to attend school and returns prior to the end of the school year in which the home and hospital instruction was initiated. Accordingly, all schools must re-enroll a student who receives home-hospital instruction in another school district but is well enough to return during the same school year. AB 2109 also authorizes the school of origin to provide a partial week of instruction to a pupil who is receiving individual instruction in a hospital for fewer than five days per week. For example, a student receiving medical treatment in a hospital on Monday and Tuesday may receive individual instruction from the district in which the hospital is located on those days. Then, the student may receive instruction from the school of origin on Wednesday through Friday. This instruction may occur within the school setting or home, depending on the student’s level of need. It should be noted that AB 2109 particularly affects general education students with temporary disabilities. Any decision regarding the appropriateness of individualized instruction for students receiving special education services pursuant to an IEP must be made by the student’s IEP team (2). |
A school must begin HHI services within five days of determining eligibility. While out of school due to a temporary disability, a student may receive individual instruction either in the home, hospital, or other residential facility. A student may receive one clock hour of instruction per calendar day of school, up to five hours per week through the HHI program. Services are not provided over the summer or holiday breaks. Additionally, electives such as foreign languages or PE are typically not provided through HHI. For purposes of computing Average Daily Attendance ("ADA"), the district in which the hospital or other residential health facility is located may only claim ADA for the days of the week the student is receiving individual instruction, and the school of origin may only claim ADA for the days the student attends the school. The total combined ADA cannot exceed five school days or the equivalent. As a reminder, each hour of individual instruction may be counted as one day of attendance. It is recommended that charter schools research ADA collection for home/hospital instruction and collaborate with their CALPADS administrator to ensure appropriate rules regarding enrollment and attendance reporting are followed. As a reminder, if a student with an IEP is unable to attend school due to a temporary disability, the LEA/district where the student is enrolled continues to be responsible for provision of special education and related services during that time. General education supports would also be provided through the Home Instruction program as indicated in the IEP. For additional information please refer to the Home Instruction section below or visit the CDE Home and Hospital Instruction Guidance page: https://www.cde.ca.gov/sp/eo/hh/.
Home and Hospital Instruction: Credentialing
What is Home Instruction?
Home Instruction: Eligibility, Services, and Teacher Requirements
- Student has been identified as having exceptional needs (IEP)
- IEP team has recommended home instruction
- IEP team recommendation is based on a medical report which:
- Is from the student’s attending physician, surgeon, or psychologist;
- States the diagnosed condition;
- Certifies that the student’s condition prevents attendance in a less restrictive setting;and
- Contains a "projected calendar date for student’s return to school."
*Note: As a reminder, procedures followed by the IEP team in developing an IEP for a student receiving home instruction are the same as those followed for any other student with special education services.
The IEP team will determine the duration and type of instruction required to address the student’s unique needs (may be more or less than five hours per week of instruction and may require related services). If home instruction is intended to be temporary, please include an end date. Any home instruction program must be individually designed to ensure that the student continues to make progress on goals and objectives. The law also requires that students have access to and make progress in the general education curriculum. Home instruction may be provided over the summer if required to provide FAPE (Free Appropriate Public Education). It may be provided more than five hours per week if required for the student to continue progressing on goals and objectives. Equipment or technology necessary to enable the child to benefit from home instruction to access and make progress in the general curriculum or to ensure progress on IEP goals must be provided as part of FAPE. The teacher providing home instruction shall contact the student’s prior teacher to determine:
- The coursework to be covered;
- Books or other materials to be used; and
- Who is responsible for issuing grades and/or promoting the student?
For grades 7-12, a school must determine:
Home instruction services may include individual, small group, or virtual instruction. They must be provided by a regular education teacher or a specialist with the appropriate teaching or related services credential. There is currently no law in California requiring a parent to be home during periods of instruction; however, it may be within the best interest of the educator and student to schedule instruction while parent/guardians are home whenever possible.
Independent study provides an alternative education program available to all students across all grade levels. Independent study programs are voluntary and use alternative instructional strategies that respond to individual student needs and learning styles. Students may access independent study through a range of quality educational options that include classroom-based, hybrid, and non-classroom-based virtual programs. While a student is participating in independent study, the LEA/district is responsible for the provision of general education as well as special education and related services as deemed appropriate by the IEP team. Independent study may be offered through a variety of formats, including:
- Hours earned toward course credit in each subject;
- Student’s grade in each subject; and
- Who will issue credit or diploma when work is completed.
Home Instruction: Credentialing
What is Independent Study?
- As a program or class within a comprehensive school
- Through an alternative school or program of choice (EDC §58500 et seq)
- Through charter schools
- Through board-approved online courses
- As an accommodation for pupil travel
- As specialized and/or advanced courses
- As a credit recovery method
- On a short-term basis (less than 15 total school days per school year)
Students with disabilities may participate in traditional and course-based independent study programs if their individualized education programs (IEP) specifically provide for such instruction. For students with special education services, a determination as to whether independent study is appropriate must be made by the IEP team within 30 days of the request and documented in the IEP prior to initiating independent study. The IEP team may not decline a student’s request for independent study based on the student’s inability to work independently, the need for adult support, or the need for special education or related services (EDC §51745 (c)). The offer of special education and related services must continue to be based on student need while enrolled in the independent study program and must not be decreased based solely on the availability of student, staff, and/or resources. The IEP must specify the appropriate content under the Individuals with Disabilities Education Act (IDEA) 34 Code of Federal Regulations (CFR) 300.302, including:
- The percentage of time the student will participate in independent study.
- The percentage of time to be spent in regular education, if any.
- The percentage of time the student will receive special education support.
- Discussions of the placement options and supports considered in developing an independent study program for a student with special needs.
- The academic goals and services that are unique to the needs of the special education student.
- The accommodations and related services needed to maximize access in an independent study placement.
- A plan that outlines the course of study as it relates to the independent study curriculum.
Assembly Bill 181 was signed into law on June 30, 2022 and authorizes LEAs to claim apportionment for students served in nonpublic, nonsectarian schools through a "virtual program," as long as the LEA offers independent study, the parent or guardian requests independent study, and the IEP team determines the student can receive FAPE in the virtual program. This provision becomes inoperative on July 1, 2024. For more information on AB 181 visit: https://www.cde.ca.gov/sp/se/lr/om081922.asp For more information, please visit the Independent Study section of this procedural guide.
| Independent Study, HHI, HI: Quick Reference | |||
| Independent Study | Home and Hospital Instruction | Home Instruction | |
| Brief Description | Provides an alternative education program that is available to all students across all grade levels. | Provides access to a general education curriculum for students with temporary disabilities for whom it is impossible or unadvisable to attend regular classes. | Home Instruction is considered a placement on the continuum of services for students receiving special education services. |
| Eligibility | Independent study programs are voluntary. Students with exceptional needs may participate in traditional and course-based independent study if their individualized education programs (IEP) specifically provide for such instruction. An IEP team shall not deny a request for independent study based on a student’s inability to work independently, need for adult support, or need for special education or related services. For additional information, please visit the Independent Study section of this procedural guide. | It is the primary responsibility of the parent or guardian of a student with a temporary disability to notify the school of the request for Home and Hospital Instruction, or of the student’s presence in a qualifying hospital. Medical documentation of need and return date is required. Note: there is no law which expressly authorizes nor prohibits a charter school from providing home-hospital instruction. Therefore, a charter school may choose to either provide HHI services directly or work with the district of residence to ensure services are provided. It is not recommended that a charter school refuses to provide HHI services if required for a student with a temporary disability to access his or her education. | To qualify for Home Instruction, a student must have an Individualized Education Program (IEP) plan. Placement in Home Instruction program is the decision of the IEP team. Please refer to the section above titled Home Instruction: Eligibility, Services and Teacher Requirements for specific eligibility requirements. |
| Timelines | For a student who has an IEP and wants to participate in independent study, a determination as to whether independent study is appropriate must be made within 30 days and written into the IEP. | Upon receiving notification of an HHI request from the parent, the school must determine the appropriateness of HHI services within five days of the request. The school must then begin HHI services within five days of determining eligibility. Within five days of beginning such services, the LEA/district must notify the prior LEA/district that the student is receiving HHI and the date on which HHI services began. | If a parent requests Home Instruction based on medical documentation, or if Home Instruction is deemed appropriate due to another medical or mental health need, it is recommended that the IEP team respond to the request within five days by offering IEP dates for scheduling and/or IEP meeting notice to participants. Convene an IEP meeting as soon as possible to consider the appropriateness of Home Instruction. |
For additional information, please contact your El Dorado SELPA Program Specialist.
Recommended Links:
References:
(1) California Department of Education (12 September 2018). Home and Hospital Instruction. Retrieved from https://www.cde.ca.gov/sp/eo/hh/.
(2) Jassawalla, A. (19 February 2019). State Legislature Makes Changes to Home-Hospital Instruction for Students with Temporary Disabilities.
27. SCHOOL-SPONSORED NON-ACADEMIC AND EXTRACURRICULAR ACTIVITIES AND FIELD TRIPS
School-Sponsored Non-Academic and Extracurricular Activities
- Has a physical or mental impairment that substantially limits one or more major life activities;
- Has a record of such impairment; or
- Is regarded as having such an impairment.
School Sponsored Nonacademic and Extracurricular Activities include, but are not limited to:
- Counseling services
- Athletics
- Transportation
- Health services
- Recreational activities
- Special interest groups, clubs, or before/after school daycare sponsored by the public agency
- Referrals to agencies that provide assistance to individuals with disabilities
- Employment of students, including both employment by the public agency and assistance in making outside employment available.
Simply because a student is a “qualified” student with a disability does not mean that the student must be allowed to participate in any selective or competitive program offered by the LEA/district. An LEA/district that offers school-sponsored extracurricular athletics (which include clubs, intramural, or interscholastic athletics) may require a level of skill or ability of a student for that student to participate in a selective or competitive program, as long as the set criteria is non-discriminatory. Additionally, the LEA/district must afford students with a qualified disability an equal opportunity to participate in school-sponsored extracurricular athletics. This means making reasonable accommodations/modifications and providing the supports and services necessary to ensure equal opportunity unless the LEA/district can show that doing so would fundamentally alter the program or activity.
An LEA/district must afford students with disabilities an equal opportunity to participate in school-sponsored field trips and supply the necessary supports or services for that student to participate in the field trip. In some cases, an IEP or 504 team, or the LEA/district, may determine that a student with a disability should not participate in a field trip. A determination as to whether a student with a disability can be denied the opportunity to participate in a field trip must be made on an individual basis. In these circumstances, it is critical that the district provides sufficient documentation and evidence to support why the student was prohibited from attending the field trip. An LEA/district may not exclude a student with a disability from participating in a school-sponsored field trip because of a lack of funds when such funding is made available for students in general education. Additionally, an LEA/district may not deny a student with a disability the opportunity to attend, contingent upon parent supervision. Generally, an LEA/district may not require that a parent of a student with a disability accompany the student on a field trip when parents of non-disabled peers are not obligated to attend. Although a parent cannot be required to attend a field trip, they may certainly be invited to attend. In addition, an LEA/district may not deny a student with a disability the opportunity to attend a field trip due to the school’s failure to provide the student equal notice about the planned field trip. An LEA/district may only prohibit a student with a disability from attending a field trip under the following circumstances:
Field Trips
- If the purpose of the field trip is related to curriculum and the student with disabilities is not studying that curriculum (ie. a field trip to a local museum that is intended to supplement a social studies curriculum, but the student with the disability does not participate in the general social studies curriculum, the student may be excluded from the trip).
- If the school has applied behavior and attendance rules to students with disabilities if they are applied equally to their non-disabled peers, and the student breaches the LEAs/district’s behavior or attendance policy.
- If the LEA/district believes participation presents an unacceptable risk to the student’s health or safety.
28. SERVING STUDENTS WITH DISABILITIES IN VIRTUAL & HYBRID LEARNING PROGRAMS
Helpful Links from the California Department of Education:
The purpose of independent study is to provide a voluntary alternative education program available to all students across all grade levels. Independent study programs use alternative instructional strategies to meet individual student needs and learning styles while following the Local Education Agency (LEA)/district-adopted curriculum standards and graduation requirements. This procedural guide section provides a general overview of independent study program1 requirements as well as specific considerations for students with disabilities.
General Information
According to the California Department of Education (CDE), students may access independent study through a range of quality educational options that include classroom-based, hybrid, and non-classroom-based virtual programs. LEAs/Districts are encouraged to offer more than one independent study model to best serve the needs of their students (EDC §51744), thereby improving academic outcomes while maximizing enrollment. Independent study may be offered through a variety of formats, including:
- As a program or class within a comprehensive school
- Through an alternative school or program of choice (EDC §58500 et seq)
- Through charter schools
- Through board-approved online courses
- As an accommodation for student travel
- As specialized and/or advanced courses
- As a credit recovery method
- On a short-term basis (less than 15 total schooldays in a school year, see below for additional information)
An Independent Study Written Agreement must be completed for each independent study student. The Independent Study Written Agreement outlines the course of study and must be agreed upon by the student, parent/caregiver/guardian, supervising teacher, and any other assisting person(s) responsible for the student’s program. As applicable, the certificated team member designated as having responsibility for the special education programming of the student shall also sign the written agreement. For more information about the required elements of the Independent Study Written Agreement, please visit the California Department of Education’s Independent Study Guide.
Independent study can be used on a short-term or long-term basis:
Short-term
- Short-term independent study refers to a student’s participation in independent study for fewer than 15 cumulative instructional days in a school year. Once the student has participated in independent study for 15 days in a school year, it is no longer short-term.
- LEAs/districts are exempt from the requirements to provide tiered re-engagement strategies, daily live interaction, synchronous instruction, and of returning the student to in-person instruction within five instructional days (EDC § 51747(h)(2)(i)).
- With the exception of the information provided above, there is no further distinction in legal requirements between short-term and long-term independent study.
- The student’s classroom teacher often serves as the independent study supervising teacher and provides the independent study assignments (coursework the student would have covered had they remained in the classroom during this period).
- For students scheduled for less than 15 school days, the written agreement shall be signed within 10 school days of the commencement of the first day of enrollment in independent study.
- Final determinations regarding the participation of students with disabilities in short-term independent study, including the provision of special education-related services, must be agreed upon by the IEP team and reflected in the Independent Study Written Agreement. For more information, please refer to the Considerations for Students with Disabilities section below.
Long-term
- Long-term independent study refers to a student’s participation in independent study for 15 or more cumulative school days in a school year. Students may participate in independent study on a full-time basis or in conjunction with courses taken in a classroom setting.
- For students scheduled for more than 14 school days, the written agreement shall be signed before the commencement of independent study.
- Final determinations regarding the participation of students with disabilities in long-term independent study, including the provision of special education-related services, must be agreed upon by the IEP team and reflected in the Independent Study Written Agreement. For more information, please refer to the Considerations for Students with Disabilities section below.
| Independent Study: Compare and Contrast | |
| Independent Study IS… | Independent Study IS NOT… |
| Is provided as an alternative instructional strategy. | Is not an alternative curriculum. |
| Is, and must remain, a voluntary option for students to access. | Is not a required educational program. |
| Is an educational option an LEA/district may choose and is encouraged to offer. The requirement that LEAs/districts and county offices of education offer independent study expired on June 30, 2022. | Is not an educational option an LEA/district is required to offer. |
| Is an educational program offered and monitored by an LEA/district. Students work independently under the general supervision of a credentialed teacher(s) and follow LEA/district-adopted curriculum, are aligned with grade-level standards, and meet graduation requirements. The parent is a member of the team who facilitates the implementation of the master agreement. Although they may be highly involved, the parent does not serve as the instructor. | Is not synonymous with Home School. In a home school program, all instructional needs are met solely by the family, independently of an LEA/district. The parent serves as the instructor. In order to transfer a student to a home school setting, the parent(s) must file a "private school affidavit" with CDE. |
| Is a short-term educational option for students who have health problems, are traveling for a period of time, are parents/guardians, need to work, or are child actors. | Is not synonymous with Home-Hospital Instruction (EDC §48206.3) which serves students with temporary disabilities for whom it is impossible or unadvisable to attend regular classes, regardless of their disability status. For more information about the distinguishing characteristics of IS and HHI, please visit [link to PG section with updated title.] |
| Is an alternative education program available to all students across all grade levels. | Is not synonymous with Home Instruction (HI) which is considered a placement on the continuum of services for students receiving special education services. For more information about the distinguishing characteristics of IS, HHI, and HI, please visit [link to PG section with updated title.] |
Considerations for Students with Disabilities
Students with disabilities may participate in short- or long-term traditional and course-based independent study programs if their individualized education programs (IEP) specifically provide for such instruction. For students with special education services, a determination as to whether independent study is appropriate must be made by the IEP team within 30 days of the request and documented in the IEP prior to initiating independent study. The IEP team may not decline a student’s request for independent study based on the student’s inability to work independently, the need for adult support, or the need for special education or related services (EDC §51745 (c)). The offer of special education and related services must continue to be based on student need while enrolled in the independent study program and must not be decreased based solely on the availability of student, staff, and/or resources. The IEP must specify the appropriate content under the Individuals with Disabilities Education Act (IDEA) 34 Code of Federal Regulations (CFR) 300.302, including:
- The percentage of time the student will participate in independent study.
- The percentage of time to be spent in regular education, if any.
- The percentage of time the student will receive special education support.
- Discussions of the placement options and supports considered in developing an independent study program for a student with special needs.
- The academic goals and services that are unique to the needs of the special education student.
- The accommodations and related services needed to maximize access in an independent study placement.
- A plan that outlines the course of study as it relates to the independent study curriculum.
Equal Enrollment for Students with Disabilities: Virtual or Hybrid Charter Schools
Charter schools that offer virtual learning opportunities and other hybrid learning programs through independent study must enroll all students who meet the enrollment requirements set in their charter agreement, including students with and without disabilities. Federal and state law prohibits any public school, including charter schools, from denying admission to any student based on a disability, or the nature of or extent of a disability. To ensure legal compliance, it is recommended that the LEA adopt policies and procedures to address admissions of a student with a disability in an independent study program. These policies may include, but are not limited to, the following information:
- Specific information pertaining to the independent study written agreement.
- Educational opportunities offered through independent study.
- The maximum length of time which may elapse between the time an independent study assignment is made and the date by which the student must complete the assigned work.
- An explanation that the student will have access to the same services and resources of the LEA/district in which they are enrolled, as is available to other students enrolled in the LEA/district.
- The provisions of independent study and restrictions for providing independent study as an alternative curriculum, as a program for the temporarily disabled, and the exclusive method of course offerings for high school graduation.
- Procedures to address the enrollment process for students with disabilities and the need for an Individualized Education Program (IEP) team decision for placement in an independent study program for a student with exceptional needs.
When a student with an IEP applies to enroll in a virtual or hybrid charter school, it is recommended that the LEA follow enrollment procedures to enroll the student in accordance with equal enrollment requirements. During the 30-day interim IEP process (please refer to the interim placement section of the procedural guide), the IEP team will review the IEP to determine whether independent study is an appropriate offer of a free and appropriate public education (FAPE). If the IEP team determines that independent study is not an appropriate offer of FAPE, the student will remain enrolled in the LEA. In this case, the LEA maintains responsibility for funding an appropriate alternative placement. If the IEP team determines that the independent study program is appropriate, it must be written into the IEP document and consented to by the parent/guardian of the student.
IEP Team Considerations
When developing an IEP for a student in an independent study program, the IEP shall clearly demonstrate that the following have been considered: the student’s individualized needs, alternative placement options, and how the independent study program can provide the student with FAPE in the least restrictive environment (LRE). The IEP placement recommendation should reflect the independent study program. It is recommended that the LEA/district consider the following information when developing the student’s IEP:
Assessments and the individual student needs including:
- Social-emotional
- Behavioral
- Social skill development of the student, including needs for social interaction, peer modeling, and generalization of skills learned with peers
- If face-to-face assistance is required and if so, how much
- Accommodations and/or modifications
- IEP goals based on the student’s individual needs, including progress on IEP goals which are individually monitored
- Services and supports that are required to meet the student’s needs within the independent study program. This includes all related services such as, but not limited to, specialized academic instruction, occupational therapy, speech and language services, educationally relevant mental health (ERMHS) services, behavior intervention services, assistive technology services, etc.
- Where and how special education services will be delivered- including the frequency, duration, and how and where the student will access service minutes
- Assistive technology needed to access the curriculum
- Transportation (see transportation section of the procedural guide for additional guidance)
- Progress monitoring and program review to ensure that the independent study program continues to be appropriate and the student continues to receive educational benefit
It is important that the IEP team carefully investigate and identify student needs for socialization, language pragmatics, and emotional regulation to ensure all needs are being addressed in the independent study program.
Accommodations and Modifications
There are some basic accommodations and modifications not automatically provided to all students in traditional school environments, but are often characteristic of education provided in an independent study program:
- Extended time on lessons and tests
- Flexibility in start and end dates
- Continuous means of communication
- Parent/guardian communication of progress
- Prepared notes/reviews
- Clear rubrics
- Appropriate placements by skill level
- Working in a closely supported environment
- Varied activity formats
- Screen readers and talking browsers
- Daily lesson planning with the student; just-in-time remediation
The IEP team shall consider which accommodations and modifications are necessary for the student to receive educational benefit. A student may require curricular adaptations to access, make progress, and meet standards in their grade-level curriculum. For additional information on accommodations and modifications, please refer to the "Curriculum Adaptations" section of this procedural guide.
Assistive Technology
In virtual independent study programs, the use of computer technology may increase the need for assistive technology. The following is a non-exhaustive list of assistive technologies that may be considered for inclusion in a student’s IEP, if required for a student to access their educational program:
- On-screen keyboards
- Grammatical support tools
- Braille embosser and text to Braille conversion
- Animated signing characters (signing avatars)
- Switches
- Alternative mouse systems
- Word prediction
- Accessible online learning tools
- Alternative keyboards
- Display-based personal data assistants
- Voice recognition systems
Continuum of Special Education Services
An LEA/district must provide a continuum of special education, related services, and placement options for students with IEPs. If an IEP team determines that an independent study program is not an appropriate placement for a student, the LEA/district must take steps to ensure that the student receives FAPE in the appropriate educational setting. The LEA/district will incur any costs associated with the educational placement. In some cases, such settings may include another LEA/district program, non-public school, or residential facility. The student will remain enrolled in the LEA/district until placement determinations are made and agreed upon by the IEP team. LEA/districts are cautioned to use careful consideration when determining placement for students with disabilities. Students with disabilities must not be placed in separate schools merely because of the availability of placement options, administrative convenience, or institutional barriers to providing related services rather than because of their individual needs (Letter to Johnson, OSERS 1988). As a reminder, the IEP team may not decline a student’s request for independent study based on the student’s inability to work independently, the need for adult support, or the need for special education or related services (EDC §51745 (c)). The offer of special education and related services must continue to be based on student needs while enrolled in the independent study program and must not be decreased based solely on the availability of student, staff, and/or resources.
Virtual IEP Meetings
Parents(2) are required members of the IEP team. LEAs/Districts must provide a parent with the opportunity for meaningful participation in an IEP meeting. The LEA/district shall keep a record of attempts to arrange a mutually convenient IEP meeting and attempts to convince the parent to attend the IEP meeting. This record can include detailed logs of telephone calls or e-mails, IEP notice of meetings, copies of correspondence sent to the parent/guardian and any responses received, detailed records of visits made to the parent’s home, and the result of those visits. The law dictates who must attend an IEP meeting but does not prescribe where the meeting must be held. If the LEA/district has a central office that is geographically proximate to the student and convenient to the other team members of the IEP team, then the IEP meeting may be held in person at the central office. However, if this is not the case, the LEA/district is responsible for providing capabilities for all IEP team members to meaningfully participate in the meeting, including making reasonable accommodations for parents’ special needs under section 504 or the ADA. Virtual IEP meetings can be held using computer software programs and services that allow attendees to log in or call into the meeting from wherever they are located. Examples may include but are not limited to, video conferencing (i.e., Zoom) or conference calling using a shared conference call phone line. If the parent is uncomfortable with the use of technology, the LEA/district may need to send a staff member to the home to help the parent meaningfully participate in the virtual IEP meeting.
(1) "Independent study programs" refer to classroom-based, hybrid, and non-classroom-based virtual programs in traditional schools, charter schools, and alternative school settings.
(2) The term "parent" refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except when a student with a disability has been deemed unable to make their own educational decisions under California Law.
29. EXTENDED SCHOOL YEAR
Defining Extended School Year Services
Extended School Year (ESY) services are special education and related services provided to a student with a disability during extended school breaks. These services differ from summer school, which is an extension of the regular school year available to all students. ESY services are special education and related services provided in accordance with the student’s Individualized Education Program (IEP). ESY services are not provided to enhance a student’s education or to provide the best possible educational program. Additionally, ESY services are not intended as compensatory time or to help a student who has missed school. Instead, ESY services should be provided when an IEP team has determined them necessary for the student to progress and benefit from their educational program.
Legal Guidelines
34 CFR §300.106 states the following about ESY services:
- Each public agency must ensure that extended school year services are available as necessary to provide a Free Appropriate Public Education (FAPE).
- ESY services must be provided only if a student’s IEP team determines, on an individual basis, that the services are necessary for the provision of FAPE to the student.
- In implementing this section’s requirements, a public agency may not limit extended school year services to particular categories of disability or unilaterally limit the type, amount, or duration of those services.
The ESY program shall be provided for a minimum of 20 instructional days per the California Code of Regulations (CCR §3043).
General Guidelines
The following general guidelines should be considered when determining a student’s need for ESY services. The case manager may use the “ESY Eligibility Worksheets” located in the student’s future IEP on SEIS to document the IEP team’s decision-making process.
- The key question before the IEP team is whether the student needs ESY services to secure the minimum benefits of a free and appropriate public education during the regular school year.
- ESY services do not need to duplicate the services provided during the school year because the purpose is different (prevent regression rather than continued progression). A student may require ESY services in only one area (e.g., speech and language) but not in other areas (e.g., specialized academic instruction).
- When an IEP team discusses ESY services, they should consider the student’s current placement to avoid placing the student in a restrictive environment for ESY services.
- The determination of ESY eligibility must be based on empirical and qualitative data collected by the IEP team members for the student’s individual skills.
- The IEP should clearly indicate the start date, end date, frequency, and duration of the ESY services.
Regression and Recoupment
The two main criteria that need to be addressed to determine if a student qualifies for ESY services are the high probability that the student will regress without additional services during the summer and, their inability to recoup that loss within 4-6 weeks (about 1 and a half months) after the start of the school year. All students will experience regression during the summer. The problem exists when a student experiences serious regression without the ability to recoup the loss. Regression refers to a decline in knowledge and skill that can result from an interruption in education; recoupment is the amount of time it takes to regain the prior level of functioning. The issue is whether the benefits derived by the student during the regular school year will be significantly jeopardized if they are not provided an educational program during the summer months.
Other Factors When Determining the Need for ESY Services
In Reusch v. Fountain, the court listed other factors in addition to regression and recoupment that the IEP team should consider in deciding if the student is eligible for ESY as a related service.
- The degree of progress toward IEP goals and objectives
- Emerging skills/breakthrough opportunities
- Will a lengthy summer break cause significant problems for a student learning a key skill, like reading or speaking?
- Interfering Behavior
- Does the student’s behavior interfere with their ability to benefit from special education?
- Nature and/or severity of disability
- Special circumstances that interfere with a student’s ability to benefit from special education
For more information about the extended school year, please see. “Charter SELPA’s FAQ for Extended School Year (ESY)"
30. GRADUATION OPTIONS FOR STUDENTS WITH DISABILITIES- CHARTER
Types of Graduation Options
- A diploma based on the state-mandated requirements,
- A diploma based on A-G requirements, or
- A charter school may set its own diploma requirements,
- A certificate of completion
Students with disabilities must be given adequate notice of the requirements for the types of graduation options offered. The following table shows a comparison of the different types of graduation options.
| Subject Area | State Mandated Requirements for High School Graduation (EC 51225.3) | A-G Requirements (as approved by UC course approval process) | Certificate of Completion (EC 56390) |
| English | Three Years. | Four years. | Satisfactorily completed a prescribed alternative course of study approved by the district governing board and identified in the student’s IEP AND Satisfactorily met his or her IEP goals and objectives as determined by the IEP team AND Satisfactorily attended high school, participated in instruction, and met the objectives of the statement of transition services. NOTE: The above is a requirement of a standard public school, but not of a charter school. A charter school can use this Ed. Code as a guideline for determining criteria for the board approved certificate of completion option. |
| Mathematics | Two years, including Algebra I. | Three years, including algebra, geometry, and intermediate algebra. Four years recommended. | |
| Social Science | Three years of social science (including U.S. history and geography; world history, culture, and geography; one semester of American government; and one semester of economics). | Two years of history/social science, including one year of U.S. history or 1/2 year of U.S. history and 1/2 year of civics or American government; and one year of world history, cultures, and geography. | |
| Science | Two years, including biology and physical science. | Two years with lab required, chosen from biology, chemistry, and physics. Three years recommended. | |
| Visual and Performing Arts | One year of either visual and performing arts, foreign language, or career technical education. | One year of visual and performing arts chosen from the following: dance, drama/theater, music, or visual art. | |
| Physical Education | Two years | Not Applicable | |
| Electives | Not Applicable | One year |
Termination of Special Education Services
The following table illustrates the guidelines around the termination of special education services. Prior written notice is required upon the termination of special education services for any of the situations below.
| If a student’s 22nd birthday is between January and June, the student may continue through the remainder of the fiscal year (through and ending on June 30th of that same fiscal year). | EC 56026(c)(4)(A) |
| If a student’s 22nd birthday is in July, August, or September of the new fiscal year, then the student will not be allowed to begin a new fiscal year (school year and ESY (Extended School Year) ending July 1st of the current year). However, if a student is in a year-round school program and is completing her individualized education program in a term that extends into the new fiscal year, then the student may complete that term. | EC 56026(c)(4)(B) |
| If a student’s 22nd birthday is during October, November, or December, the student shall be terminated from the program on December 31 of current fiscal year unless the student would otherwise complete their IEP at the end of the current fiscal year. | EC 56026(c)(4)(C) |
| Student graduates from high school with a regular high school diploma. | EC 56026.1(a) |
Certificate of Completion or Regular High School Diploma
The IEP team must determine which graduation option is most appropriate for the student, given the options made available by the LEA/district as determined by the governing board. Not all LEAs/districts offer a diploma based on the state-mandated requirements; some choose to offer only diplomas based on A-G requirements or their own requirements as outlined in their charter. If the student is on track for earning a regular high school diploma, either A-G or state-mandated, then the student has until the date indicated in the table above to complete this course of study. Students may not receive a diploma if they do not meet the requirements of the types of diplomas offered as determined by the LEA/district. The LEA/district cannot deny a student a diploma based on their disability, but the student does not have a right to a diploma because of their disability either. The certificate of completion option is available to those students who are not able to complete the requirements for a regular high school diploma as offered by the LEA/district. These students are eligible for educational placement and services in accordance with their IEP until the date indicated in the above table. If the school is a charter school, the governing board of the LEA/district approves the requirements for the certificate of completion graduation option. In a standard public school, the certificate of completion option is in accordance with EDC §56390, as stated above. The graduation option chosen by the IEP team shall be documented clearly as part of the Transition Plan and marked on the Offer of FAPE- Educational Settings page of the IEP.
The California High School Proficiency Examination (CHSPE) is a testing program established by California law (EC 48412). Passing this test earns a student the legal equivalent of a high school diploma. The CHSPE consists of two sections: an English-Language Arts section and a Mathematics section. If a student passes both sections of the CHSPE, the California State Board of Education will award a Certificate of Proficiency, which by state law is equivalent to a high school diploma (although not equivalent to completing all coursework required for regular graduation from high school). If a student with an IEP takes and passes the CHSPE, the student is still eligible to receive educational placement and services in accordance with their IEP at the LEA/district until they meet the requirements of one of the graduation options offered by the LEA/district. For more information please visit https://www.chspe.org/.
When preparing a student with an Individualized Education Plan (IEP) to graduate with a high school diploma, please ensure the IEP team has completed the following steps:
Additional Pathway to High School Diploma for Students with Significant Cognitive Disabilities
Effective June 30, 2022, California Education Code section 51225.31 established a new high school diploma pathway exclusively for students with significant cognitive disabilities in alignment with the federal Every Student Succeeds Act ("ESSA") (20 U.S.C. § 7801(23)(A)(ii)(I)(bb)).
California High School Proficiency Examination (CHSPE)
Graduation Checklist
- Schedule an IEP Amendment to be held within the last 8-10 weeks of school to address:
- Update Present Levels of Performance
- Complete SEIS Post-Secondary Exit Page 1 and Page 2
- Ensure the student’s "Age of Majority" information has been discussed with the student and documented on the SEIS Individual Transition Plan page 2 form.
- Provide the parent(1) with a copy of the most recent eligibility evaluation reports, most recent IEP documents, and a copy of the documents completed at the amendment
Upon completion of the required credits for graduation:
- Send the parent a Prior Written Notice (PWN) confirming the student has met the requirement to graduate with a high school diploma. The notice shall also specify that the Individuals with Disabilities Education Act (IDEA) states that students who receive a high school diploma are no longer eligible to receive a Free Appropriate Public Education (FAPE). As a result, the student’s graduation is a change in placement, and upon graduation from high school the student will no longer be eligible for special education-related services. Lastly, the notice should include contact information for the LEA/district, should the parent disagree with the determination.
(1) The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
31. SPECIAL EDUCATION TRANSPORTATION
Helpful Links:
El Dorado SELPAs Transportation Guidelines
California Department of Education (CDE) Special Education Transportation Guidelines
Legal Requirements Regarding Special Education Transportation
Education Code Section 56040(a) states that every individual with exceptional needs who is eligible to receive special education instruction and related services shall receive that instruction and those services at no cost to their parents1 or, as appropriate, to them. “Related services” refers to transportation and such developmental, corrective, and other supportive services required to assist a student with a disability to benefit from special education [34 CFR 300.34(a)]. Transportation as a related service includes travel to and from school and between schools, travel in and around school buildings, and specialized equipment (such as special or adapted buses, lifts, and ramps) if required to provide special transportation for a student with a disability [34 CFR 300.34(c)(16i‐iii)]. LEAs/districts should not automatically assign students to transportation based on the students’ disability without considering the student’s individual needs and the continuum of placements [Hopkinton (MA) Pub. Schs., 108 LRP 41626 (OCR 2007)]. For students with medical needs, 34 CFR 300.34(a)(ii) limits the responsibility of a public agency to appropriately monitor and maintain medical devices that are needed to maintain the health and safety of the student, including breathing, nutrition, or operation of other bodily functions, while being transported to and from school.
Length of School Day, Related Services, Extracurricular Events
The use of alternative starting times for all special education students at a site can lead to program compliance concerns. Students receiving special education and related services must be provided with an educational program in accordance with their Individualized Education Program (IEP) for at least the same length of time as the regular school day for their chronological peer group unless otherwise stated in a student’s IEP. If a student is temporarily placed on a shortened day due to an IEP team decision, the LEA/district is required to offer transportation to the student to accommodate their modified schedule if that student is otherwise eligible for special education transportation. In addition, there may be occasions where the needs of the student require services that cannot be provided during the "established" school day. If it is determined by an IEP team that a student requires services outside the typical school day, the team must also consider whether transportation to and from the service is required. If provisions for "early" or "late" transportation are made for students within the general education program due to extracurricular events, provisions for equal opportunity to these events for students with exceptional needs who require special transportation must also be made.
Transportation in IEPs
It is the responsibility of the IEP team to determine whether transportation is required to assist a student with a disability to benefit from special education and related services, as well as how the transportation services should be implemented. Parent participation in the IEP process, including decisions relating to the least restrictive environment for transportation, is required. Denial of parent participation may result in a procedural violation that results in substantive harm to the student. The IEP document should describe the transportation services to be provided, including transportation to enable a student with disabilities an equal opportunity to participate in nonacademic and extracurricular activities to the maximum extent appropriate. The Individuals with Disabilities Education Act’s (IDEA’s) Least Restrictive Environment (LRE) mandate applies to all aspects of special education and related services, including the provision of transportation services. According to the comments and discussion preamble to the 2006 IDEA Part B regulations, the Education Department stated: "It is assumed that most children with disabilities will receive the same transportation provided to nondisabled children, consistent with the LRE requirements in 34 CFR 300.114 through 34 CFR 300.120 unless the IEP team determines otherwise.” LEAs/districts should start with the presumption that a student with a disability will access transportation services with nondisabled peers as long as such transportation is appropriate to meet the student’s educational needs. It is important to remember that all students, including those receiving special education instruction and services, are subject to the rules and policies governing regular transportation offerings within the LEA/district unless the specific needs of the eligible student or the location of the special education program/service dictate that special education transportation is required.
Transportation Options
The IEP must clearly specify how the student’s transportation needs will be met. Regarding transportation as a related service, it is recommended that services be described in sufficient detail to inform the parties of:
- How, when and from/to where the transportation will be provided
- When arrangements for the reimbursement of parents are required, the amount and frequency of reimbursement.
Transportation options may include, but not be limited to, walking, riding the regular school bus, utilizing available public transportation (any out‐of‐pocket costs to the student or parents are reimbursed by the LEA/district), riding a special bus from a pick-up point, and portal‐to‐portal special education transportation via school bus, taxi, reimbursed parent’s driving with a parent’s voluntary participation, or other modes as determined by the IEP team. The student’s specific needs must be the primary consideration when determining transportation services. If a student with a disability is found eligible for specialized transportation and parents voluntarily elect to arrange for their own transportation, it is advisable that the LEA/District document this decision in the IEP. Thorough documentation of this arrangement should include the following information:
- That the student is entitled to transportation;
- That parents are knowledgeable about their special education rights;
- That parents prefer to provide their own transportation without the involvement of the LE/district; and
- An explanation of how the reimbursement will be calculated.
The school also may seek to include a waiver of liability for injuries that result from parents using their own methods of transportation and attempt to obtain parents’ signature to give legal effect to these provisions. The IDEA does not specify the type of vehicles to be used for students with disabilities or the nature of the specialized equipment that is appropriate. Choice and type of equipment is determined by the IEP team. If decisions regarding these aspects of transportation will have an impact on the health, safety, welfare of the student, or the educational program provided to the student, then parental input into these decisions may be required. Safety is only one of many relevant considerations when deciding the appropriate equipment for transporting a student with a disability. The following criteria should also be met in selecting assistive devices:
- Functional assistance
- Whether an excessive amount of equipment is involved
- Normalcy of the student’s appearance in using the device
- Family’s acceptance of the device
- Student’s acceptance of the device
While the student’s IEP can specify the type of transportation or special equipment required, it may not mandate the selection of the company that will perform the service. Even in situations justifying parental leverage over the mode of transportation and types of equipment to be used in transporting a student with a disability, parents generally cannot compel the use of a specific brand of vehicles or equipment, unless the device in dispute is the only one of its kind on the market and no substitutes would be reasonable under the circumstances. LEAs/districts generally have discretion in selecting the item to fit necessary specifications and criteria, provided the LEA’s/district’s choices are equally as suitable as parental preferences.
Participation of Transportation Personnel and Administrators/Designees in IEPs
Effective practice requires that procedures are developed for communication with transportation personnel and that transportation staff are present at IEP team meetings when:
- Student needs the use of adaptive or assistive equipment
- School bus equipment is required to be modified
- Student exhibits severe behavioral difficulties, and a Behavior Intervention Plan (BIP) is to be implemented
- Student is medically fragile and requires special assistance
- Student has other unique needs
It is often beneficial to have transportation staff present at IEP team meetings for planning, problem-solving, and communication, even if the above-mentioned conditions are not met. The LEA/district will to determine when it may be beneficial to have transportation staff attend the IEP meeting. In order to facilitate consideration of transportation options in the LRE, It is recommended that administrative designees and case managers be familiar with the transportation options available prior to attending IEP meetings at which transportation may be identified as a necessary related service. An LEA/district may need to conduct research to identify transportation options available to serve students.
Special Education Transportation Evaluation
Districts must evaluate the student’s transportation needs prior to determining what services to provide. LEAs/districts should keep in mind that, in many instances, the results of the evaluation will be essential in designing appropriate transportation programs for students. For example, findings about motor skills, communication abilities, health, vision, and hearing are not only important in the classroom, but they also can impact the student’s ability to access transportation and may present unique needs that do not arise among the general student population. Medical evaluations of transportation needs may be necessary for some students with medically fragile needs. While some transportation requirements will remain constant, others may change in direct response to a student’s needs or other circumstances unrelated to the student’s disability. LEAs/Districts must stay responsive to such developments as they arise. Evaluation is also important when considering changes in an existing transportation program. While the student need not be observed on the school bus or other form of transportation, LESs/districts have found observation to be extremely helpful in gauging the student’s needs.
Key Considerations When Determining Need for Transportation
The case‐by‐case determination of students’ eligibility for transportation should include consideration of a student’s mobility, behavior, communication skills, physical needs, age, ability to follow directions, the distance the student will have to travel, the nature of the area, and the availability of private or public assistance. Factors that may contribute to the consideration of special education transportation may include, but are not limited to:
- Medical diagnosis and health needs: consideration of whether long bus rides could affect a student’s health (duration, temperature control, need for services, health emergencies); general ability and/or strength to ambulate/wheel; approximate distance from the school or the distance needed to walk or wheel oneself to the school; consideration of student needs in inclement weather.
- Physical accessibility of curbs, sidewalks, streets, and public transportation systems.
- Consideration of a student’s ability to arrive at school on time, to avoid getting lost, to avoid dangerous traffic situations, and avoid other potentially dangerous or exploitative situations on the way to and from school.
- Behavioral Intervention Plans (BIP) specified by the student’s IEP and consideration of how to implement such plans while a student is being transported.
- Mid‐day or other transportation needs as required on a student’s IEP (occupational or physical therapy or mental health services at another site, community-based classes, etc.) must also be taken into consideration when the IEP team discusses a student’s placement and transportation needs.
- Extended school year services should be another consideration of a student’s need for transportation if considered necessary to provide a free appropriate public education as specified in a student’s IEP.
IEP Goals and Services to Increase Transportation Independence
The determination as to whether goals and objectives addressing transportation are required in a student’s IEP depends upon the purpose of the transportation. If transportation is being provided solely to enable the student to attend school, no goals or objectives may be needed. However, if transportation is provided for some other purpose related to the student’s education and the student receives instruction during the provision of the related service, then goals and objectives must be provided. For instance, if services are being provided to increase a student’s independence while in transit, goals and objectives would be necessary. When developing specific IEP goals and objectives related to the student’s use of transportation, the IEP team may wish to consider a blend of transportation services as the student’s needs evolve. Students may require ongoing assessment and refinement of IEP goals as transportation skills increase. The 2006 IDEA Part B regulations continue the requirement of travel training for some students. Travel training is "instruction, as appropriate, to children with significant cognitive disabilities, and any other children with disabilities who require this instruction, to enable them to:
- Develop an awareness of the environment in which they live; and
- Learn the skills necessary to move effectively and safely from place to place within that environment (e.g., in school, in the home, at work, and in the community.”
The IEP team may wish to consider the travel training needs of some students for whom transportation is being considered as a related service.
Bus Suspension
Occasionally, students receiving special education services are suspended from bus transportation. The suspension of a student receiving special education services from transportation can constitute a significant change of placement if the LEA/district:
- Has been transporting the student;
- Suspends the student from transportation as a disciplinary measure; and
- Does not provide another mode of transportation.
A significant change in placement requires a meeting of the IEP team to review the student’s IEP. An alternative form of transportation must be provided if transportation is specified in the student’s IEP. During the period of any exclusion from bus transportation, students must be provided with an alternative form of transportation at no cost to the student or parent to ensure access to the required special education instruction and related services. 1 The term "parent" refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except when a student with a disability has been deemed unable to make their own educational decisions under California Law.
32. STATE SPECIAL SCHOOLS AND SERVICES
The State Special Schools and Services Division is a subdivision of the California Department of Education (CDE). It provides services to deaf, hard-of-hearing, blind, and visually impaired students in addition to offering LEA/district special education programs with assessment services, technical assistance, and staff development. State-run schools for the deaf (EDC §59001) and schools for the blind (EDC §59100) also provide intensive, disability-specific educational services to students ages 3 to 22 who are blind, visually impaired, deaf, hard of hearing, or deaf-blind. The Diagnostic Centers provide comprehensive assessments to special education students and staff development and training services to LEA/districts.
A referral to a Special School or the Diagnostic Center must follow the guidelines below:
Referral to Special Schools and Services for Further Assessment
- Prior to referring a student for further assessment to California Schools for the Deaf or Blind or to one of the Diagnostic Centers, assessments shall first be conducted locally within the LEA’s/district’s capabilities. Results of local assessments shall accompany the referral request. The reason for the referral shall be discussed with the parent1.
- The LEA/district completes the referral by submitting an application packet. Applications are reviewed by the Admissions Committee at the State School or Diagnostic Center to determine if the applicant meets the admissions criteria set forth in the (CCR Title 5 §17660-17663).
- The Schools for the Deaf and Blind and the Diagnostic Centers shall conduct assessments pursuant to the provisions of EDC §56320.
- A representative of the LEA/district shall participate in the staffing meeting and shall receive copies of the final report and recommendations. Conference calls may be acceptable forms of participation, provided written reports and recommendations have been received by the LEA/district representative before the meeting.
Procedure for Referral to State Schools for Placement
The procedure for a referral is as follows:
The LEA/district shall be notified of any upcoming review of students placed in state special schools. The LEA/district may request assistance from the County Office of Education (if appropriate) in attending the review, considering assessment results, or any other activity needed. Helpful Links: CA School for the Deaf CSD Fremont, CSD Riverside, CA School for the Blind CSB, Diagnostic Centers of Northern California DCNC, Central California DCCC, and Southern California DCSC . 1 The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
- Referrals to state special schools for placement shall be made only as a result of recommendations from the IEP team, upon determining that no appropriate placement is available in the local plan area. Parents have the right to appeal any decision of the IEP team, including whether their child should be referred to a state special school.
- Whenever a referral for placement is being considered to one of the state special schools, the IEP team shall include a representative of the LEA/district.
- If the IEP team (including the representative from the LEA/district) determines that a referral to a state special school is appropriate, a case manager shall be designated to coordinate the referral process. Notification to a SELPA (Special Education Local Plan Area) representative should also occur.
- The LEA/district of the parent or guardian of any student attending a state-operated school is responsible for 10% of the excess cost of the placement (EDC §59300). The cost for a student placed less than a full year is prorated based on the number of days in attendance.
Review of Placement at State Special Schools
33. FUNCTIONAL BEHAVIOR ASSESSMENT
What is a Functional Behavior Assessment?
A Functional Behavior Assessment (FBA) is a type of special education evaluation conducted by a team of specialists to examine a student’s challenging behavior (or maladaptive behavior). An FBA serves the general purpose of providing the Individualized Education Program (IEP) team with additional information, analysis, and strategies for dealing with behavior that impedes the learning of self or others. The information gathered in the FBA may be used by the IEP team to develop a Behavior Intervention Plan (BIP) for the student. What Does an FBA Include? An FBA involves the following components:
- Identifying the “target” behavior(s) that impedes the learning of self or others
- Multiple observations of the student across various settings
- Interviews with the student, parent/guardian(s), and school staff
- Collecting data on the target behavior, antecedents, and consequences
- Formulating a hypothesis about the cause(s)/function(s) of the behavior(s)
When Must an FBA be Conducted?
- An FBA and BIP must be developed when a student with a disability is removed from their current placement for more than ten (10) school days during the same school year for behavior determined to be a manifestation of his disability (34 CFR § 300.530 (f)).
When Should an FBA be Conducted?
- An FBA should be considered when behavior challenges interfere with the student’s learning or the learning of others as reflected by the IEP team’s determination within the Special Factors section of the IEP, or when the current behavioral supports identified in the student’s IEP have been ineffective.
- An FBA and BIP may be developed when a student’s interfering behavior is repetitive, anticipated to re-occur, and/or may lead to disciplinary action(s) or removals prior to accumulating ten (10) days of suspension during one school year.
- An FBA and BIP may be developed when a student is removed and placed in an interim alternative educational setting (IAES) for up to 45 school days for weapons, drugs, or serious bodily injury, irrespective of whether the behavior is a manifestation of the student’s disability (34 CFR § 300.530 (d)(1)(ii)).
Note: The student’s parent/guardian is required to provide their consent before conducting an FBA. The LEA/district shall use the “Assessment Plan” form located in SEIS to obtain parent/guardian consent. Who May Conduct an FBA? Pursuant to EDC §5620 (5 CCR §3051.23), behavioral interventions shall be designed or planned only by personnel who have a:
- Pupil Personnel Services (PPS) credential that authorizes school counseling or school psychology; or
- Credential authorizing the holder to deliver special education instruction; or
- License as a Marriage and Family Therapist certified by the Board of Behavioral Sciences, within the Department of Consumer Affairs; or
- License as a Clinical Social Worker by the Board of Behavioral Sciences, within the Department of Consumer Affairs; or
- Licensed Educational Psychologist (LEP) license issued by the licensing agency within the Department of Consumer Affairs; or
- License in psychology regulated by the Board of Psychology, within the Department of Consumer of Affairs; or
- Master’s degree issued by a regionally accredited post-secondary institution in education, psychology, counseling, behavior analysis (e.g., Board Certified Behavior Analyst), behavior science, human development, social work, rehabilitation, or in a related field.
LEAs/Districts are encouraged to utilize trained personnel who are employed on-site before considering contracting with an outside NPA to design or plan behavior assessments or interventions (such as FBAs/BIPs). School personnel provide an in-depth understanding of the school’s unique culture and resources that allow them to design, plan, and monitor comprehensive behavior interventions.
What is Included in an FBA Report?
The results of the Functional Behavior Assessment must result in a written report. The information included in the written report is crucial for developing a data-informed BIP. For specific guidance on the contents of an FBA report, please refer to the FBA Template located in the SEIS document library. What if a Parent Requests a Functional Analysis Assessment? Functional Analysis Assessments (FAA) are not required to be conducted in the school setting following the repeal of the Hughes Bill (July 1, 2013) and implementation of AB 86. An FAA may still be conducted at the discretion of the IEP team. If the IEP team determines that there is an intensive behavioral need that cannot be addressed by an FBA, or if the FBA/BIP has been conducted and more intensive data is needed, then the IEP team may wish to consider working with a Board Certified Behavior Analyst (BCBA) or other specialist certified to conduct an FAA.
34. BEHAVIOR INTERVENTION PLAN
What is a Behavior Intervention Plan (BIP)?
- Identifying the hypothesized function of the problem behavior(s)
- Describing positive changes to the environment;
- Defining supports and resources to be provided; and
- Providing instructional strategies and materials to ensure the student has access to their education by prompting alternative replacement behavior(s).
A BIP is:
- A written plan for school–site staff to support the needs of the student.
- A tool for focusing team members, establishing accountability for tasks, and ensuring consistent communication and intervention implementation.
- A document developed and/or revised by the IEP team based on the data and information gathered in the Functional Behavior Assessment (FBA) and ongoing progress monitoring. Please refer to the section titled, "Functional Behavior Assessment" of this procedural guide for more info.
- A legal component of the Individualized Education Program (IEP) document (to be included in the numbered pages of the IEP document) that is revised on an annual basis, or as needed based upon the individual student’s circumstances. Please refer to the "Behavior Intervention Plan" form located in the SEIS form tower.
- A BIP should be created with an emphasis positively shaping behavior
When MUST a BIP be Developed or Reviewed?
- When a student is subjected to a disciplinary change of placement (e.g., removed from their current educational setting for 10 days or more, or being recommended for expulsion), and the parent and relevant members of the IEP Team determine that the conduct was a manifestation of the student’s disability, pursuant to 34 CFR § 300.530, the IEP Team must either:
- Conduct a functional behavioral assessment, unless the LEA had conducted a functional behavioral assessment before the behavior that resulted in the change of placement occurred, and implement a behavioral intervention plan for the student; or
- If a behavioral intervention plan already has been developed, review the behavioral intervention plan, and modify it, as necessary, to address the behavior;
- Any time a physical Behavioral Emergency Intervention is implemented, a Behavior Emergency Report (BER) must be written, and the LEA must schedule an IEP team meeting within two days to review the BER and the necessity for an FBA. If the student already has a BIP in place, the IEP team will need to consider whether the BIP must be modified, CA EDC §5621(g) & §5621(h).
For additional information regarding a disciplinary change of placement, please refer to the section of this guide titled, "Suspension, Expulsion, and Manifestation Determination Review."
Pursuant to EDC §5620 (5 CCR §3051.23) BIPs shall be designed and planned only by personnel who have:
When MIGHT a BIP be Developed or Reviewed?
- When a student with a disability demonstrates a pattern of behavioral challenges and/or behavior that results in disciplinary actions. Note, ensure that a meeting is held in accordance with 34 CFR § 300.530 (as outlined above) for removals of 10 days or more.
- In developing an IEP, if the IEP team finds the student’s behavior impedes their own learning or the learning of others, the team may consider a BIP as an intervention to address the behavior.
- An LEA/district should consider the implementation of a BIP as a supplementary aide and service for a student whose behavior is disruptive to other students prior to changing his placement to a more restrictive setting. When a student is transitioning to/from a more restrictive environment (e.g., when a student is placed into a Nonpublic School or transitioning back to the LEA/district from a Nonpublic School)
- Should an IEP team determine that behavior goals are appropriate in lieu of a BIP for a student whose behavior impedes their own learning or the learning of others, it is strongly encouraged that behavioral supports be thoroughly described in the Special Factors and Program Accommodations sections of the student’s IEP.
- All students who demonstrate behaviors that impede their own learning, or the learning of others, should be considered for the development of a BIP to address their specific behavioral needs.
Who May Develop a BIP?
- Pupil personnel services credential that authorizes school counseling or school psychology; or
- Credential authorizing the holder to deliver special education instruction; or
- License as a Marriage and Family Therapist certified by the Board of Behavioral Sciences, within the Department of Consumer Affairs (DCA); or
- License as Clinical Social Worker, Board of Behavioral Sciences certified, within the Department of Consumer Affairs; or
- License as an Educational Psychologist issued by the licensing agency within the Department of Consumer Affairs; or
- License in psychology regulated by the Board of Psychology, within the Department of Consumer Affairs; or
- Master’s degree issued by a regionally accredited post-secondary institution in education, psychology, counseling, behavior analysis, behavior science, human development, social work, rehabilitation, or in a related field.
LEAs/Districts are encouraged to use trained personnel on staff at their schools before considering contracting to an outside Nonpublic Agency (NPA) to design or plan behavior interventions (such as FBAs/BIPs). School personnel provide an in-depth understanding of the school’s unique culture and resources, allowing them to design or plan comprehensive behavior interventions. Should a school plan, design, implement, and modify behavior interventions and continue to fail to see documented progress on behavior goals tied to these interventions, they may then wish to consider hiring a California Department of Education (CDE) Certified NPA for additional guidance and support.
Pursuant to EDC §5620 (5 CCR §3051.23) , to be eligible for certification to provide behavior intervention, including implementation of behavior modification plans but not including development or modification of behavior intervention plans, a school shall deliver those services utilizing personnel who:
Who May Implement a BIP?
- Possess the qualifications (listed above) under "Who May Develop a BIP";
-OR-
- A person who is under the supervision of personnel qualified to develop a BIP (listed above) who also possess a high school diploma or its equivalent;
-AND-
- Who has received the specific level of supervision required in the pupil’s IEP.?
What are the Key Components of a BIP?
LEAs/districts may utilize the BIP form provided in SEIS. This document serves as a template that provides all the legal components of a BIP. For more information, you may also reference the Positive Environments Network of Trainers (PENT) "Desk Reference" (www.pent.ca.gov).
What are the Steps in Developing a BIP?
- Obtain written parent consent to conduct an FBA (see the section of this manual titled, "Functional Behavior Assessment" for more details) and BIP.
- Upon receipt of written parental consent, set the IEP Meeting date to align with the 60-day timeline for assessment.
- Conduct the FBA and compose a written FBA report.
- Information and data gathered as part of the FBA assists the IEP team in developing BIP. It is recommended that a draft BIP is developed and shared at the IEP meeting for input from members of the IEP team.
- Complete the BIP forms located in SEIS and attach the FBA Report in SEIS.
- When the team develops a BIP, IEP goal(s) must be developed that are tied to the BIP (at least one goal should be tied to the BIP’s Functionally Equivalent Replacement Behavior (FERB)).
- As with all IEP goals, the IEP goal(s) tied to the BIP shall have a person responsible for providing support, service, and monitoring progress for each goal.
- All IEP goals related to the BIP should be listed in SEIS on the goals page.
- Once a BIP has been developed, the case manager shall document the following in SEIS:
- Present Levels Page: Indicate in the area of Social/Emotional/Behavioral all areas of need tied to the FBA/BIP.
-
- Special Factors Page: "Does the student’s behavior impede the learning of self or others" Please check "YES" box. If yes, please specify the behavior interventions, strategies, and supports used and check the appropriate box for BIP and Behavior Goal.
- Goals Page: Develop goals tied directly to the BIP to allow the IEP team to monitor progress on the BIP.
- Services/FAPE Page: Include any Aids, Services, Program Accommodations/Modifications and/or supports tied to the BIP. Include any Special Education or Related Services that may be required to provide support/service to the student related to the goal. At the IEP meeting, present the draft BIP to the parent1 and the IEP signature page to request their consent to implement the agreed upon BIP.
- Begin implementing the BIP, and all supports and services tied to BIP, including progress monitoring of BIP-related goal(s).
- Ongoing data collection related to the BIP goal(s) should be conducted regularly to determine if the BIP is effective and student is making progress on the goal(s).
How Should the BIP be Monitored for Effectiveness?
- Ongoing data collection should be conducted to evaluate the IEP goal(s) tied to the BIP.
- Data collection will help the IEP team to determine if the BIP is successful. If the data collected indicates that the student is not making progress on the IEP goal(s) tied to the BIP; the team should hold an IEP meeting to either update the BIP-related goal(s), revise the BIP, or both.
- If the student meets IEP goal(s) tied to BIP and data indicates that the problem behaviors are no longer an area of need, the team may:
- Extinguish the BIP at an IEP Meeting (document this in IEP Notes with rationale and data to support decision) or,
- Revise BIP to focus on continued or new areas of behavioral need.
- The BIP should be updated at the annual IEP, or any time the student displays a lack of progress on BIP-related IEP goal(s) or displays new behaviors that require support. BIP Revisions should only be made in an IEP team meeting.
BIPs and Least Restrictive Environment (LRE):
- A BIP is a support that is used to help a student with behavioral needs to remain in the LRE. A student’s BIP may not require them to earn access to a general education setting or less restrictive placement.
- A student’s BIP should not change their access to the placement provided on their IEP, if a BIP changes student placement it needs to be revised or placement options need to be revisited.
Additional Guidance: Discipline and Behavior Emergency Interventions
There are several important factors to consider should a student with an IEP engage in behaviors that merit disciplinary action and/or emergency intervention. Please visit the Suspension, Expulsion, and Manifestation Determination or Behavioral Emergency Intervention sections to learn more.
35. SHORTENED DAY GUIDELINES
FAPE, LRE, and Educational Benefit
Consideration of Shortened Day
It is recommended that any offer of a shortened day as FAPE should be brief, for a specific purpose, and designed to meet a student’s unique needs. It is often prompted by the recommendation of a physician through written request. A student’s IEP should reflect team discussion of the continuum of services and placement, including a shortened day and any alternatives considered. It is best practice for IEPs of students placed on a shortened day to include language regarding reintegration and return to a full day, as well as a method and criteria for determining reintegration to a less restrictive setting. For examples of sample monitoring and fading plans, see the "Paraeducator Guidelines” Resource.
When considering shortening the school day of a student based on their needs, the following cautions should be considered:
The use of a shortened day to provide FAPE may be appropriate for a limited number of students, in limited circumstances, and for limited periods of time. Examples of appropriate uses of a shortened day may include, but are not limited to:
- Removal limits still apply. Sending a student home for a partial day based on behavior is not considered a shortened day as an offer of FAPE. This would be considered a removal, which is subject to IDEA and the education code.
- In order to be defensible, any IEP offering a shortened day needs to carefully document that services and placement are providing FAPE. Compensatory education may be determined appropriate if shortened days are not providing FAPE per a student’s IEP.
- If a student is temporarily placed on a shortened day due to an IEP team decision, the LEA/district is required to offer transportation to the student to accommodate their modified schedule if that student is otherwise eligible for special education transportation.
- Ensure behavioral interventions do not deprive a student of necessary instructional time. A Behavior Intervention Plan (BIP) should be developed to minimize instructional disruption. For further information, see the Procedural Guide Section on “Behavior Intervention Plans.”
- Pay attention to unintended interruptions that can have an unintended impact on instruction and progress. For instance, transportation issues, such as a late bus arrival or a parent/guardian dropping a student late every day, may negatively impact a team’s ability to offer FAPE. In that instance, the IEP team needs to address these concerns, even when transportation is considered a parental obligation.
Examples of Appropriate and Inappropriate Use of Shortened Day:
- For a student with a recent brain trauma who is currently in recovery.
- Upon recommendation of a physician for a student beginning new seizure medication and request to gradually increase the length of the student’s school day.
- For a recently adopted student from another country who is experiencing transition difficulties when parent(s)/guardian(s) and when the therapist requests a gradual transition to school.
- For a student with school phobia, school refusal, or selective mutism who is in treatment, when the student’s therapeutic plan specifies a gradual transition to full-day attendance with beginning and end dates specified.
- Teams who are considering a shortened day may also benefit from reviewing the “Independent Study, Home-Hospital Instruction, and Home Instruction” section of this Procedural Guide.
In many cases, a shortened day will not provide a student FAPE in the LRE and will not provide a student with educational benefit. In these instances, a full day must be offered to support the needs of a student. A shortened day should only be considered when such an offer of FAPE can address the unique needs of a student. Inappropriate uses of a shortened day may include, but are not limited to:
- When a shortened day will not allow the student to earn the required number of credits to graduate. The use of shortened day in this situation may be considered in limited circumstances with caution.
- Instead of a full-day program that could offer FAPE. An IEP team should not make an offer of a shortened day if another public or non-public placement could provide a full-day learning experience to meet IEP goals and progress in the general curriculum.
- Instead of appropriate BIP or necessary behavioral supports.
- Upon parent/guardian request alone. The team is obligated to offer and implement a legally compliant IEP and thus must refuse a parent’s/guardian’s request if the team believes the shortened day does not constitute FAPE in an LRE and provide a student with an opportunity to receive educational benefit.
- When FAPE has yet to be determined. Indefensible rationales: “We knew they shouldn’t attend school only one hour a day, but we didn’t know what else to do, so we shortened their day.” “We can’t have the student at our school. They get into too many fights in the afternoon. The student is fine in the morning, so we will only have them on campus for the first three periods.” Having a parent/guardian come to pick the student up in these temporary situations would be considered removal, so caution is warranted.
Alternatives to a Shortened Day
Creative problem-solving by an LEA/district and IEP team may be necessary to identify solutions or service arrangements that meet the needs of students without shortening the school day as appropriate. Some alternatives to a shortened day may include the following:
- Volunteer or paid work outside the school setting in addition to a shorter school day. In this case, volunteer or paid work could be included to address IEP goals (such as transition or social skills), and on-the-job experience credit may be granted.
- School-based activities outside of class time, such as assisting staff or onsite work experience (if supporting IEP goals).
- Part-time school/part-time intensive educationally related mental health treatment. A day treatment component might be required to address the student’s social-emotional needs. The IEP team would document the combination of placements as offering FAPE in the LRE.
If you have concerns or questions regarding the use of shortened day as an offer of FAPE, please contact an El Dorado SELPA program specialist. As mentioned above, a shortened day may be an appropriate offer of FAPE in limited circumstances, and care must be taken to ensure that an offer of placement and services also provides a student educational benefit in the Least Restrictive Environment.
36. BEHAVIORAL EMERGENCY INTERVENTIONS
Limitations on the Use of Emergency Interventions
Approved Behavioral Emergency Interventions
- The following Safety Intervention Disengagement Skills may be used to keep yourselves and others safe from injury if you encounter someone engaging in risk behavior (hitting, kicking, wrist grab, shirt grab, neck grab, body grab, or biting). The verbal interventions and staff approaches learned as part of the de-escalation process still apply.
- Hold and Stabilize: Limit the range of motion and prevent harm.
- Pull/Push: Move in opposite directions at the same time, weakening the person’s grip while minimizing any pain or injury.
- Lever: Combining momentum with movement around a single point, creating whole-body energy to increase the effectiveness of the lever.
- The following approved CPI Restrictive Interventions may only be used as a last resort when the student is a danger to self or others. In this situation, staff may have no alternative other than using restrictive interventions to maximize safety and minimize harm:
- CPI Holding in a Seated Position (Low, Medium, and High-Level holding utilizing at least two trained CPI team members)
- CPI Holding in a Standing Position (Low, Medium, and High-Level holding utilizing at least two trained CPI team members)
- CPI High-Level Team Control Position (utilizing at least two trained CPI team members)
- CPI High-Level Children’s Control Position (utilizing a trained CPI team member for a child who is significantly smaller than the trained adult)
- Prone restraints (lying face down) of any type or performing a restraint on a student on the ground are not approved by the El Dorado SELPA and are not a part of the CPI training.
- Any restrictive intervention should be used as a last resort. It should be reasonable, proportionate, and least restrictive to maximize safety and minimize harm.
- Teams should utilize the “Opt-Out Sequence”, “The Decision-Making Matrix”, and “The Physical Skills Review Framework (SEAT)” to ensure the team continues to assess the situation by taking account of the student, their behavior, and the risks. When assessing the student and their behavior, you may start discontinuing use of a restrictive intervention as the student regains self-control and moves to tension reduction.
Not-Approved Behavioral Emergency Interventions
Behavioral emergency interventions shall not include (EDC §56521.1):
- Locked seclusion, unless it is in a facility otherwise licensed or permitted by state law to use a locked room
- Employment of a device, material, or objects that simultaneously immobilize all four extremities, except that techniques such as prone containment may be used as an emergency intervention by staff trained in those procedures
- An amount of force that exceeds that which is reasonable and necessary under the circumstances
- Restrictive interventions that employ a device, material, or objects that simultaneously immobilize all four extremities, including the procedure known as prone containment, except that prone containment or similar techniques may be used by trained personnel as a limited emergency intervention
- An intervention that precludes adequate supervision of the individual
- An intervention that deprives the individual of one or more of his or her senses
In addition, a local educational agency or nonpublic, nonsectarian school or agency serving individuals with exceptional needs pursuant to EDC §56365 and §56366, shall not authorize, order, consent to, or pay for the following interventions or any other interventions similar to or like the following:
- Any intervention that is designed to, or likely to, cause physical pain, including, but not limited to, electric shock.
- An intervention that involves the release of noxious, toxic, or otherwise unpleasant sprays, mists, or substances in proximity to the face of the individual.
- An intervention that denies adequate sleep, food, water, shelter, bedding, physical comfort, or access to bathroom facilities.
- An intervention that is designed to subject, used to subject, or likely to subject the individual to verbal abuse, ridicule, or humiliation or that can be expected to cause excessive emotional trauma.
- Restrictive interventions that employ a device, material, or objects that simultaneously immobilize all four extremities, including the procedure known as prone containment, except that prone containment or similar techniques may be used by trained personnel as a limited emergency intervention.
- Locked seclusion, unless it is in a facility otherwise licensed or permitted by state law to use a locked room.
- An intervention that precludes adequate supervision of the individual.
- An intervention that deprives the individual of one or more of his or her senses.
CPI Nonviolent Crisis Intervention Certification & Training Guidelines
- El Dorado SELPA offers training for staff members to become CPI certified. Staff members who attend the training will be taught how to deescalate student behaviors by using the “CPI Crisis Development Model” and how to implement the “Physical Interventions” that are approved by CPI.
- In order to remain certified, LEA/district staff members will need to take the course every 18 months.
- LEA/Districts are encouraged to review the “Risks of Restraint” (see CPI Training Manual) and practice the CPI Safety Interventions on a weekly basis to ensure their staff will continue to provide the safest interventions possible.
- Should a staff member become injured in the course of implementing a Safety Intervention, they should refer to their LEA/district’s policy on reporting injuries.
- Staff members who obtain the CPI certification need to notify their LEA/district if they become unable to perform a CPI Safety Intervention.
- Only staff members who have current CPI certification are authorized to engage in approved Behavioral Emergency Interventions.
- An LEA/district shall assume responsibility for tracking staff who are trained and need to update their training.
- Contact your administrator and/or your Program Specialist at the SELPA if you feel your role at your school site warrants you being certified through CPI.BEHAVIOR EMERGENCY REPORT
Parents/guardians shall be notified within one school day whenever a behavioral emergency intervention is used that is defined above under the “Approved Behavioral Emergency Interventions” section or if serious property damage occurs. The LEA/district must also immediately complete the Behavioral Emergency Report (BER) Form documenting the details of the incident and whether the student has a BIP. The BER must be immediately submitted to, and reviewed by, a designated, responsible administrator (within the LEA/district) and placed in the student’s-maintained file. The behavioral emergency report shall include all of the following (EDC §56521.1):
(1) The name and age of the individual with exceptional needs.
(2) The setting and location of the incident.
(3) The name of the staff or other persons involved.
(4) A description of the incident and the emergency intervention used, and whether the individual with exceptional needs is currently engaged in any systematic behavioral intervention plan.
(5) Details of any injuries sustained by the individual with exceptional needs, or others, including staff, as a result of the incident.
The El Dorado SELPA Behavior Emergency Report (BER) form can be accessed from the SEIS document library.
Anytime a Behavioral Emergency Report (BER) is written for a student who does not have a BIP, the designated responsible administrator shall:
Obligation to Convene an IEP Meeting When Emergency Interventions are Used
- Schedule an IEP team meeting within two days to review the emergency report.
- At the IEP team meeting, the IEP team shall decide the necessity for a Functional Behavioral Assessment (FBA) and/or Interim BIP.
- If the IEP team decides not to perform the FBA or develop an Interim BIP, the IEP team shall document the reasons for not conducting the functional behavioral assessment, not developing an interim plan, or both.
Anytime a BER is written regarding a student who has a BIP, any incident involving a previously unseen, serious behavior problem or where a previously designed intervention is not effective, should be referred to the IEP team to review and determine if the incident constitutes a need to modify the BIP (EDC §56521.1).
37. SUSPENSION, EXPULSION AND MANIFESTATION DETERMINATION REVIEWS
General Information
Students may be subject to suspension or recommended for expulsion after demonstrating behaviors consistent with California Education Code (EDC) sections 48900 and 48915. The decision to implement a suspension or recommend expulsion is at the discretion of the Local Education Agency (LEA)/district administration. Under California Law, the disciplinary procedures, including expulsion procedures (EDC §48900), for students attending public schools do not apply to charter schools (EDC §47610). Instead, California law requires all disciplinary procedures be included in the charter petition and provided to parents before any expulsion (CA EDC § 47605(b)(5)(J)). If a Charter seeks to expel a student, it must follow the procedures in its charter and ensure, before taking any action, the parents are given a copy of these procedures. All students have basic rights when disciplinary actions are taken by an LEA/district. In addition to their basic rights, students with disabilities have additional protections. If a student qualifies as a student with a disability under either the Individuals with Disabilities Education Act (IDEA) (20 U.S.C. § 1400 et seq.) or Section 504 of the Rehabilitation Act (Section 504) (29 U.S.C. §794) the Charter must comply with any requirements imposed by these laws, including guidelines set forth by this section of the El Dorado SELPA Procedural Guide.
State Guidance for New Laws on Discipline
The California Department of Education (CDE) encourages administrators to provide alternatives to suspension or expulsion, using a research-based framework with strategies that improve behavioral and academic outcomes for students. The CDE’s letter to County and District Superintendents and Charter School Administrators, titled “State Guidance for New Laws on Discipline,” outlines recent laws, minimizing suspension for attendance, highlights the importance of suspension as a last resort, and the idea of support instead of suspension. The El Dorado SELPA recommends that LEA/districts consider implementing alternatives to suspension as part of their multi-tiered system of support.
Suspension, In-school Suspension, and Removal
The IDEA distinguishes between short-term suspensions — a period of 10 school days or less— and long-term suspensions. Generally, a special education student who has been suspended for less than 10 days receives no special protection under the IDEA, even if the misconduct is related to the student’s disability 34 CFR §300.530 (b).
Special education students are considered removed from their educational placement when they cannot (34 CFR §300.530 and 71 CFR 46715):
- Continue to appropriately progress in the general education curriculum
- Continue to receive services or progress on goals listed on their IEP; and
- Participate with non-disabled peers to the extent dictated by their IEP.
An in-school suspension or any other disciplinary action that meets the criteria above counts towards the total number of days of suspension for a student with a disability. The terms “suspension” and “removal” are utilized interchangeably in the Code of Federal Regulations, California Education Code, and within this section of the El Dorado SELPA Procedural Guide.
An LEA/district may remove a student with a disability who violates a code of student conduct from their current placement to an appropriate interim alternative educational setting, another setting, or suspension, for 10 days or less, as long as the removal does not constitute a change of placement (34 CFR §300.536).
If a student with a disability is removed from their current placement for more than 10 days in an academic school year (including extended school year), the removals qualify as a change in placement and the LEA/district must conduct a Manifestation Determination Review (MDR) meeting within ten days of the decision to change the student’s placement (34 CFR § 1415(k)).
Disciplinary Removals of 10 days or Less
Determining Whether a Change of Placement Occurs
For removals of a student with a disability from their current educational placement, a change of placement occurs if (34 CFR §300.536):
- The removal is for more than 10 consecutive school days; or
- The child has been subjected to a series of removals that constitute a pattern when:
- A series of removals totaling more than 10 school days, within a single school year;
- The student’s behavior is substantially similar to their behavior in previous incidents that resulted in the series of removals; and
- Additional factors, such as the length of each removal, the total amount of time the child has been removed, and the proximity of the removals to one another
Disciplinary Removals of More Than 10 Days
Manifestation Determination Review
A Manifestation Determination Review (MDR) must be held when an LEA/district proposes to take disciplinary action that results in a change of placement. More specifically, it is required once a student reaches 10 days of suspension and for each instance of suspension thereafter. It is also required when a student is being considered for expulsion (see Expulsion Procedures for Students with Disabilities). An MDR examines the relationship between a student’s disability and their misconduct (34 CFR §300.530 (e)(1)). The purpose of an MDR is to determine the following:
(i) If the conduct in question was caused by, or had a direct and substantial relationship to, the child’s disability; or (ii) If the conduct in question was the direct result of the LEA’s failure to implement the IEP. To achieve this purpose, the MDR meeting attendees shall review all relevant information in the student’s file, including but not limited to:
- Current/past health and medical information
- Current/past assessments
- Current/past IEPs
- Current/past teacher observations,
- Any relevant information provided by the parents
MDR Meeting Requirements Attendees The following individuals shall be in attendance:
- Parent*
- LEA/District Representative
- Any relevant members of the IEP team as determined by the parent and the LEA/district
Note: The school psychologist falls under the “relevant members” of the IEP team and is generally regarded as the expert in understanding and explaining a student’s disability. Due to this critical role, it is strongly suggested that the school psychologist be included. Although it is not legally required, it is considered best practice for the LEA/district school psychologist to complete a written MDR report to assist the MDR team in answering the relevant questions. A template to support school psychologists in writing MDR reports is available for download through the El Dorado SELPA School Psychologist Portal (padlet).
To access a visual summary of the MDR process please refer to the Manifestation Determination Review Flowchart. After completing a full review of all relevant information, the manifestation determination meeting attendees shall answer the following two questions:
- Was the conduct in question caused by the student’s disability (medical or educational), or did it have a direct and substantial relationship to the disability?
- Was the conduct in question the direct result of the LEA/district’s failure to implement the IEP?
If the team needs additional information to answer either of the questions listed above, further assessment may be required. Under these circumstances, the MDR process is on hold, and an Assessment Plan shall be developed and provided to the parent. The MDR would resume once the assessments have been completed and reviewed by the IEP team. The student returns to the placement identified in the last IEP that was signed with parental consent. When appropriate, the IEP team may convene while the MDR is on hold to review the student’s current needs/goals/services and placement while awaiting additional assessment information. If the MDR meeting attendees answer “no” to both questions above, the determination is made that the behavior was not a manifestation of the disability. If the MDR meeting attendees answer “yes” to either or both questions above, the determination is made that the behavior was a manifestation of the disability. The El Dorado SELPA recommend MDR meeting attendees utilize and complete the “Manifestation Determination” form located in the student’s SEIS profile.
MDR Team Determines Misconduct is a Manifestation of the Student’s Disability
- Conduct a Functional Behavioral Assessment (FBA), unless the LEA/district had conducted an FBA before the behavior that resulted in the change of placement occurred, and implement a Behavioral Intervention Plan (BIP) for the child; or
- If a BIP already has been developed, review the BIP and modify it, as necessary, to address the behavior.
MDR Team Determines Misconduct is not a Manifestation of the Student’s Disability
Expulsion Procedures for Students with Disabilities
- The LEA/district must determine whether the behavior constitutes “special circumstances” under which a student may be removed to an Interim Alternative Educational Setting (IAES) for up to 45 school days.
- Convene an MDR meeting within 10 school days of the decision to start the expulsion process, see Manifestation Determination Review Meeting Requirements.
- At the MDR meeting, the team must review all relevant information regarding the student, including information on the specific conduct leading to disciplinary action.
- After fully reviewing all relevant information, the team must answer the following two questions:
- Was the conduct in question caused by the student’s disability or did it have a direct and substantial relationship to the student’s disability?
- Was the conduct in question the direct result of the Charter’s failure to implement the IEP?
- The procedures vary based on whether the team determines the behavior was a manifestation of the student’s disability.
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- When the behavior is a manifestation of the student’s disability, the LEA/district may not go forward with the expulsion and return the student to the placement from which the student was removed, unless an IEP meeting is convened, and a new placement is agreed upon. The LEA/district must also conduct a functional behavioral assessment (FBA), unless an FBA was completed before the behavior occurred, and implement a behavior intervention plan, or if a behavior intervention plan has been developed, review it, and modify it as necessary to address the behavior.
- If the behavior is not a manifestation of the student’s disability, then the LEA/district may go forward with expulsion proceedings used for all students. However, the student is still entitled to FAPE 34 CFR §300.530 (b). Therefore, the IEP team must convene and develop a program and placement. (See Program and Placement for Students Who Are Expelled) The student must receive, as appropriate, a functional behavioral assessment, and behavioral intervention services and modifications, designed to address the behavior violation to prevent the behavior from occurring again.
Program and Placement for Students Who are Expelled Students must continue to receive FAPE during any period of suspension beyond ten days, during any period of interim placement, and during any period of expulsion 34 CFR §300.530 (b)(2). However, FAPE is defined differently for expelled students. The following IDEA requirements apply to expulsions:
- A student with a disability who is expelled from the student’s current placement must:
- Continue to receive educational services to enable the student to continue to participate in the general education curriculum, although in another setting, and to progress toward meeting the goals set out in the student’s IEP;
-and-
- Receive, as appropriate, an FBA and BIP and modifications designed to address the behavior violation so it does not reoccur.
The services required to provide a student with a FAPE, may be provided in an IAES.
Prior Written Notice Requirements
The LEA/district must provide the parent with prior written notice (PWN), including their procedural safeguards, before taking any action to change a student’s placement, including any decision to commence expulsion proceedings 34 CFR §300.503. When an MDR is conducted, a PWN may be provided with the written findings following the meeting.
Special Circumstances
An LEA/district may remove a student to an Interim Alternative Educational Setting (IAES) for no more than 45 school days without regard to whether the behavior is determined to be a manifestation of the student’s disability if the student 34 C.F.R. §300.530(g):
- Carries a weapon to or possesses a weapon at school, on school premises, or to or at a school function under the jurisdiction of an LEA/district;
- Knowingly possesses or uses illegal drugs, or sells or solicits the sale of a controlled substance, while at school, on school premises, or at a school function under the jurisdiction of an LEA/district; or
- Has inflicted serious bodily injury upon another person while at school, on school premises, or at a school function under the jurisdiction of an LEA/district.
When a decision is made by an LEA/district to place a student into an IAES based on any of the behaviors listed above, the IEP team is responsible for determining the student’s IAES placement. This includes the location of the IAES and the services the student receives during their IAES placement 34 CFR § 300.531. Although the student may remain in an IAES for up to 45 days without regard to whether the behavior is determined to be a manifestation of the student’s disability, an MDR meeting must still be held within 10 days from the decision to change the student’s placement 71 Fed. Reg. 46715 (2006). This meeting may support the IEP Team with relevant information in determining the next steps to support the student. A student removed to an IAES "must continue to receive educational services to enable the child to continue to participate in the general education curriculum, although in another setting, and to progress toward meeting the goals set out in the child’s IEP" 34 CFR 300.530(d)(1). However, the LEA/district is not required to provide exactly the same services in the same setting as the student was receiving before the removal to an IAES 71 Fed Reg 46716 (2006).
Student Not Yet Found Eligible
A student who has not been determined to be eligible under the IDEA or Section 504 of the Rehabilitation Act and who has engaged in behavior that violated a code of student conduct may be entitled to a manifestation determination review meeting if the LEA/district had knowledge the student was a student with a disability before the behavior that precipitated the disciplinary action occurred (34 CFR 300.534(a)). An LEA/district shall be deemed to have knowledge a student is a student with a disability if before the behavior precipitated the disciplinary action occurred; one or more of the following took place:
- The parent of the student expressed concern in writing to administrative or instructional personnel of the LEA/district that the student needs special education and related services;
- The parent of the student requested an evaluation of the student;
- The teacher of the student, or other personnel of the LEA/district, expressed specific concerns about a pattern of behavior demonstrated by the student to the Director of Special Education or to other supervisory personnel of the LEA/district (34 CFR 300.534);
LEA previously assessed the student, and the student did not qualify for special education services; or the student did qualify for services and parents declined them;
- LEA referred the student for special education testing to establish initial eligibility, but the parent refused evaluation and/or services.
Alternatives to Suspension & Expulsion
LEAs are encouraged to provide alternatives to suspension or expulsion, using a research-based framework with strategies that improve behavioral and academic outcomes, that are age-appropriate and designed to address and correct the pupil’s specific misbehavior under EDC §48900(w)(1).It is recommended LEAs consider replacing Suspension with Support and except for specified exceptions, suspension, including supervised suspension, shall be imposed only when other means of correction fail to bring about proper conduct and then continues to provide an extensive list of suggested positive, non-exclusionary alternative practices. Other means of correction may include additional academic support, to ensure, for example, instruction is academically appropriate, culturally relevant, and engaging for students at different academic levels and with diverse backgrounds EDC §48900.5. The CDE provides a webpage for Behavioral Intervention Strategies and Supports which can be found at: https://www.cde.ca.gov/ls/ss/se/behaviorialintervention.asp. If you have any questions regarding the guidance provided in this document, please contact your El Dorado SELPA Program Specialist.
Additional Information:
State Guidance for Laws on Discipline: https://www.cde.ca.gov/nr/el/le/yr21ltr0819.asp
State Guidance for Laws on Discipline: https://www.cde.ca.gov/nr/el/le/yr21ltr0819.asp
Federal Guidance Documents to Help Schools Support Students with Disabilities and Avoid Disparities in the Use of Discipline: https://sites.ed.gov/idea/new-guidance-helps-schools-support-students-with-disabilities-and-avoid-discriminatory-use-of-discipline/
* The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
38. MANIFESTATION DETERMINATION FLOW CHART
39. CONTRACTING WITH NONPUBLIC SCHOOLS AND NONPUBLIC AGENCIES
Nonpublic Agencies
A Nonpublic Agency (NPA) is a private, nonsectarian establishment or certified individual that provides related services necessary for a pupil with exceptional needs to benefit educationally from the pupil’s individualized education program. This does not include an organization or agency that operates as a public agency or offers public service, including, but not limited to, a state or local agency, an affiliate of a state or local agency, including a private, nonprofit corporation established or operated by a state or local agency, a public university or college, or a public hospital EDC § 56035. Some of the reasons an LEA/district may contract with an NPA include the following:
A Nonpublic School (NPS) is a private, nonsectarian school that enrolls individuals with disabilities under an individualized education program and is certified by the California Department of Education (CDE). It does not include an organization or agency that operates as a public agency or offers public service, including, but not limited to, a state or local agency, an affiliate of a state or local agency, including a private, nonprofit corporation established or operated by a state or local agency, or a public university or college. A nonpublic, nonsectarian school shall also meet standards as prescribed by the Superintendent and board EDC § 56034.
- The LEA/district is experiencing a staffing shortage and has not been successful in recruiting employees
- The LEA/district may not have an appropriately credentialed staff member to provide a low-incidence service
- The LEA/district does not have the number of special education students enrolled at their school site to warrant employing a full-time special education provider
Nonpublic Schools
The tuition of a student in an NPS is paid by the public LEA that places the student in the NPS based on the student’s individual needs. For information regarding fiscal responsibility when a parent places a student in an NPS outside of the IEP process, please refer to the Unilateral Placement section of this procedural guide.
Nonpublic Schools Affiliated with Residential Treatment Centers
An LEA may contract directly with an NPS affiliated with a residential treatment center (RTC), either in or out-of-state, that is certified as an NPA by the CDE when placement in the residential treatment center is determined by the IEP team to be the least restrictive environment and necessary for the student’s educational benefit under EDC § 56365 & EDC § 56366. RTCs provide support 24 hours a day, seven days a week.
California Department of Education Approved Nonpublic Agency/Nonpublic School List
A list of CDE-approved NPA/NPSs can be accessed through the following link: https://www.cde.ca.gov/sp/se/ds/. An excel workbook will automatically download by clicking on the bullet titled "Nonpublic Schools and Agencies Certification Data Worksheet."
Nonpublic School and Residential Placement Center Referral and Placement Procedures
When a student is not able to access FAPE with maximized support in their current setting, the LEA/district has an obligation to convene an IEP team meeting. The IEP team must review the student’s identified needs and progress toward their IEP goals to re-examine the student’s placement least restrictive environment (LRE).
Specific educational placement means that unique combination of facilities, personnel, location, or equipment necessary to provide instructional services to an individual with exceptional needs, as specified in the IEP, in any one or a combination of public, private, home and hospital, or residential settings. (b) The IEP team shall document its rationale for placement in other than the pupil’s school and classroom in which the pupil would otherwise attend if the pupil were not disabled. The documentation shall indicate why the pupil’s disability prevents his or her needs from being met in a less restrictive environment even with the use of supplementary aids and services CCR Title 5 §3042.
For detailed information relating to NPS and NPS/RTC placements, please access the El Dorado SELPA Nonpublic School and Residential Treatment Center Guidelines.
Master Contract
When an LEA/district deems it necessary to contract with an NPA, NPS, or NPS/RTC, the LEA/district and the NPA shall enter into a master contract to specify the general administrative and financial agreements in providing related services to students with disabilities, in accordance with their IEP EDC § 56366.
Individual Service Agreement
When an LEA/district and NPA, NPS, or NPS/RTC enter into a master contract, an individual service agreement (ISA) is required for each student served by the contracting NPA. The ISA specifies the type and frequency/duration of services to be provided by the NPA, as specified by the student’s IEP. ISAs are required at the onset of services being delivered. Additionally, the ISA must be updated anytime the corresponding services are changed under the student’s IEP EDC § 56366 [a][2A].
Assembly Bill 1172 Requirements
On-Site Monitoring Visits Prior to Nonpublic School Placements Beginning in the 2020-2021 school year, LEAs/districts are required to conduct onsite monitoring visit(s) consistent with Assembly Bill 1172 as follows and as outlined by EDC § 56366.1(e)(3)(A) and (B) as follows:
- An onsite visit to the nonpublic, nonsectarian school before placement of a pupil if the local educational agency does not have any pupils enrolled at the school at the time of placement.
- At least one onsite monitoring visit during each school year to the nonpublic, nonsectarian school at which the LEA/district has a pupil attending and with which it maintains a master contract. The monitoring visit shall include but is not limited to, a review of services provided to the pupil through the individual service agreement between the LEA/district and the nonpublic, nonsectarian school, a review of progress the pupil is making toward the goals outlined in the pupil’s individualized education program, a review of progress the pupil is making toward the goals outlined in the pupil’s behavioral intervention plan, if applicable, an observation of the pupil during instruction, and a walkthrough of the facility. The local educational agency shall report the findings resulting from the monitoring visit to the California Department of Education within 60 calendar days of the onsite visit.
A link to CDE’s LEA Onsite Visit for Nonpublic Schools form can be accessed at: https://www.cde.ca.gov/sp/se/ds/documents/leaonsitemonitoring.pdf. The form includes recommended criteria for reporting information relevant to each required component of the onsite monitoring visit to the CDE. The use of this form is not required but is encouraged. Onsite monitoring visit information may be submitted to the CDE via the nonpublic school’s email: NPSA@cde.ca.gov. Behavior Training Requirements and Verification Beginning in the 2020-21 school year, AB 1172 requires that all NPA, NPS, and NPS/RTC staff members who will have contact or interaction with students during the school day complete training on the use of evidence-based practices and interventions specific to the unique behavioral needs of the NPS/RTC’s student population. This training must be provided within 30 days of employment for new staff, and annually to existing staff. Adherence with this requirement must be verified and submitted to the CDE for NPS/RTC certification or annual recertification. The contracting LEA is responsible for verifying the NPS/RTC’s compliance with the training requirements. The NPS/RTC shall report the contracting LEA’s verification to the Superintendent (via the California Department of Education (CDE) NPS/RTC verification process) annually.
- The form for NPA verification to be submitted by the LEA to the CDE can be found here: https://charterselpa.org/wp-content/uploads/2020/09/NPA07_-Verification-of-Behavior-Training-Requirement-1.pdf.
- The NPS verification form to be submitted by the LEA to the CDE can be found here: https://charterselpa.org/wp-content/uploads/2020/09/NPS-13_-Verification-of-Behavior-Training-Requirement-1.pdf.
The annual recertification for NPS/RTCs is due to the CDE by October 31st of each year (EDC §56366.1(h)). For the contracting LEA to be afforded the time necessary to complete the verification of behavioral training required for the renewal application, it is recommended that the LEA request the documentation of training be provided no later than October 1st annually. For additional information related to AB 1172 and other requirements set forth by the CDE for NPAs, NPSs, and NPS/RTCs, please refer to the El Dorado SELPA’s Nonpublic School and Residential Treatment Center Guidelines. If you have any questions regarding the guidance provided in this document, please contact your SELPA Program Specialist.
Additional Resources:
40. UNILATERAL PLACEMENTS
How is Placement Generally Defined?
- Specific educational placement means that unique combination of facilities, personnel, location or equipment necessary to provide instructional services to an individual with exceptional needs, as specified in the IEP, in any one or a combination of public, private, home and hospital, or residential settings.
- The IEP team shall document its rationale for placement in other than the pupil’s school and classroom in which the pupil would otherwise attend if the pupil were not disabled. The documentation shall indicate why the pupil’s disability prevents his or her needs from being met in a less restrictive environment even with the use of supplementary aids and services. (CCR §3042)
What is a Unilateral Placement?
May students who are parentally placed in private schools participate in publicly funded special education programs?
Students who are enrolled by their parents in private schools may participate in publicly funded special education programs. The LEA/district must consult with private schools and with parents to determine the services that will be offered to private school students. Although LEAs/districts have a clear responsibility to offer FAPE to students with disabilities, those students, when placed by their parents in private schools, do not have the right to receive some or all of the special education and related services necessary to provide FAPE. (20 USC 1415[a][10][A]; 34 CFR 300.137 and 300.138; EC 56173) If a parent of a student with disabilities who previously received special education and related services under the authority of the LEA/district enrolls that student in a private elementary school or secondary school without the consent of or referral by the local educational agency, the LEA/district is not required to provide special education if the LEA/district has made FAPE available. A court or a due process hearing officer may require the LEA/district to reimburse the parent or guardian for the cost of special education and the private school only if the court or due process hearing officer finds that the LEA/district had not made FAPE available to the student in a timely manner prior to that enrollment in the private elementary school or secondary school, and that the private placement is appropriate. (20 USC 1412[a][10][C]; 34 CFR 300.148; EC 56175)
When may reimbursement be reduced or denied?
- At the most recent IEP team meeting attended before removing the student from the public school, or
- In writing to the LEA/district at least ten (10) business days (including holidays that occur on a business day) before removing the student from the public school. (20 USC 1412[a][10][C]; 34 CFR 300.148; EC 56176)
When may reimbursement not be reduced or denied?
- The school prevented parent(s) from providing notice
- Parent(s) had not received a copy of the Notice of Procedural Safeguards or otherwise been informed of the requirement to notify the LEA/district
- Providing notice would likely have resulted in physical harm to the student
- Illiteracy and inability to write in English prevented them from providing notice, or
- Providing notice would likely have resulted in serious emotional harm to the student (20 USC 1412[a] [10] [C]; 34 CFR 300.148; EC 56177)
What steps may the LEA/district consider when informed of a Unilateral Placement change?
- Ensure that all related service providers, case managers, and LEA/district Special Education staff are aware of the Unilateral Placement and suspend providing services.
- Provide parents with a Prior Written Notice (PWN) indicating that services provided by the LEA/district will be suspended based on the parent’s Unilateral Placement decision.
- Invite the parent(s) to an IEP Meeting to discuss Unilateral Placement (preferably within 10 days of when the parent provided notice).
- Contact your SELPA Program Specialist.
- Contact your legal counsel.
Additional Resources:
41. STUDENT EDUCATION RECORD
Student Records
Each participating agency must protect the confidentiality of personally identifiable information at the collection, storage, disclosure, and destruction stages. LEA/districts shall establish, maintain and destroy pupil records as authorized by law. Parents(1) have the right to inspect and review education records relating to their children that are collected, maintained, or used by the agency. The following guidelines pertain to the maintenance of student records:
- One official at each participating agency must assume responsibility for ensuring the confidentiality of any personally identifiable information.
- All personnel collecting or using personally identifiable information must receive training or instruction regarding the state’s policies and procedures under 34 CFR 300.123 and 34 CFR part 99 (Family Educational Rights and Privacy Act).
- Each participating agency must maintain, for public inspection, a current listing of the names and positions of those employees within the agency who may have access to personally identifiable information.
Student Records and Gender Designation
LEAs/districts should update student forms to ensure the indication of non-binary gender is available. The California Department of Education, in its guidance on AB 12662, states, "when a school district receives documentation that a legal name or gender has been changed, the district must update the student’s official record accordingly." This would apply to all official student records, including but not limited to enrollment and registration forms, IEPs, 504 plans, report cards, and transcripts. LEAs/districts should also contact their electronic student information system providers to ensure electronic systems are updated accordingly.
Types of Student Records
Title 5 of the California Code of Regulations, section 432 describes the three types of pupil records in detail; mandatory permanent records, mandatory interim pupil records, and permitted records. Please see below for further exploration of each record type:
Mandatory Permanent Records
Mandatory permanent records are those records that the schools have been directed to compile by California statute authorization or authorized administrative directive. Each LEA/district shall indefinitely maintain all mandatory permanent pupil records or an exact copy thereof for every pupil who was enrolled in a school program within that LEA/district. The sending LEA/district shall forward the mandatory permanent pupil record or a copy thereof on request of the public or private school in which the student has enrolled or intends to enroll. Such records shall include the following:
- Legal name of the pupil
- Date of birth
- Method of verification of birth date
- Sex of pupil
- Place of birth
- Name and address of parent of minor pupil
- Address of minor pupil if different than the above
- An annual verification of the name and address of the parent and pupil residence
- Entering and leaving date of each school year and for any summer session or other extra session
- Subjects taken during each year, half-year, summer session, or quarter
- If marks or credits are given, the mark or number of credits toward graduation allows for work taken
- Verification of or exemption from required immunizations
- Date of high school graduation or equivalent
Mandatory Interim Pupil Records
Mandatory interim pupil records are those records that schools are required to compile and maintain for stipulated periods and are then destroyed as per California statute or regulation. Such records include:
- A log or record identifying those persons (except authorized school personnel) or organizations requesting or receiving information from the record. The log or record shall be accessible only to the legal parent or guardian, the eligible pupil, a dependent adult pupil, an adult pupil, or the custodian of records.
- Health information, including Child Health Developmental Disabilities Prevention Program verification or waiver
- Participation in special education programs, including required tests, case studies, authorizations, and actions necessary to establish eligibility for admission or discharge
- Language training records
- Progress slips and notices as required by EDC §49066 and §49067
- Parental restrictions regarding access to directory information or related stipulations
- Parent or adult pupil rejoinders to challenged records and to disciplinary action
- Parental authorizations or prohibitions of pupil participation in specific programs
- Results of standardized tests administered within the preceding three years.
- Although there is no clear mandate to maintain assessment protocols under Title 5 regulations, it is recommended as best practice that protocols be considered mandatory interim records and therefore maintained as such.
Permitted Records
Permitted records are those pupil records that districts may maintain for appropriate educational purposes. Such records may include:
- Objective counselor and teacher ratings
- Standardized test results older than three years
- Routine discipline data
- Verified reports of relevant behavioral patterns
- All disciplinary notices.
NOTE: The records of students who were assessed but did not qualify for special education aren’t required to be kept. However, they can be of assistance in the event of any future evaluation and may provide evidence that a school fulfilled its Child Find obligations.
Student Record Timelines
- Mandatory permanent pupil records must be retained in perpetuity by all California schools.
- Mandatory interim pupil records may be determined to be disposable when the student leaves the district or when their usefulness ceases unless transferred to another district. Mandatory interim pupil records may be destroyed during the third school year following such classification.
- Permitted pupil records may be destroyed when their usefulness ceases. Permitted pupil records may be destroyed six months after the pupil’s completion or withdrawal from the educational program.
Note: The LEA/district must assure that records are not available to possible public inspection during the destruction process (CCR Title 5 §437).
Required Notification to District of Residence When Student Leaves a Charter School
A charter school must notify the superintendent of the school district of the pupil’s last known address within thirty (30) days if a pupil is expelled or leaves the charter school without graduating or completing the school year for any reason (EDC §47605(d)(3)). Additionally, upon request, charter schools are obligated to provide the LEA/district with a copy of the pupil’s cumulative record, including a transcript of grades or report card and health information. LEAs/districts should maintain a standard notification letter that may be used for this purpose, thereby ensuring compliance with this legal requirement. A sample letter, named Notice of Student Expulsion or Disenrollment, can be found in the SEIS document library.
Confidential Special Education Records
The following guidelines apply to confidential special education records:
Special Education Information System (SEIS)
The Special Education Information System (SEIS) is a virtual database that holds electronic versions of each student’s IEPs. Not all LEAs/districts use this system. SEIS can only be accessed by authorized users with a username and password. SEIS is a highly secure database, and information is accessible to only a limited number of users per LEA/district. A student’s original IEP documents (original hard copies) serve as the legal document, with SEIS serving as a management system for record keeping. Original hard copies of students’ IEPs should be printed out and stored in students’ confidential file(s). For more detailed instructions and guidance on SEIS, please contact your El Dorado SELPA Program Technician or visit the Document Library located within SEIS (www.seis.org).
Access
Special education records are subject to the same privacy and access right as other mandatory records. In addition, parents have the right to examine all school records of their child that relate to the child’s identification, assessment, and educational placement. Even though records may be stamped “confidential” or contain sensitive information, the parent or eligible student has full right of access. Parents have the right to receive copies within five business days of making the request, either orally or in writing. An LEA/district may charge no more than the actual cost of reproducing the records. Still, if this cost prevents the parent from exercising their right to receive the copies, they shall be reproduced at no cost to the parents.
The Family Educational Rights and Privacy Act (FERPA) requires that LEAs/districts inform parents that they have the right to:
- Inspect and review the student’s education records
- Seek amendment of the student’s records that they believe to be inaccurate, misleading, or otherwise in violation of the student’s privacy rights.
- Consent to disclosures of personally identifiable information contained in the student’s educational records, except to the extent that FERPA authorizes disclosure without consent.
- File a complaint with the Family Policy Compliance Office (FPCO) alleging the LEA’s / district’s failure to comply with the requirements of FERPA.
The LEA/district will not permit access to any student’s records without written parental permission except as follows:
- LEA/district officials and employees who have a legitimate educational interest, including a school system where the student intends to enroll
- Certain state and federal officials for audit purposes
- A pupil 16 years of age or older, having completed the 10th grade, requests access to their records
The LEA/district may release information from the student’s records for the following:
- In the event of an emergency and when the knowledge of such information is necessary to protect the health or safety of the child and others
- To educational organizations (i.e., the California Department of Education (3)) to the extent necessary for the organization’s function
- To officials and employees of private schools or school systems in which the child is enrolled or intends to enroll
Confidentiality of Records
All procedural safeguards of the Individuals with Disabilities in Education Act (IDEA) shall be established and maintained. Each LEA/district must appoint a custodian of records to ensure the confidentiality of any personally identifiable student information. This is usually the case manager, but another person may be trained in confidentiality procedures. The custodian of records is responsible for ensuring that files are not easily accessible to the public. Files shall be located in a secure area. Records of access are maintained for individual files, which include the name of the party, date, and purpose of access. (EDC §49064).
If an agency or person provides a written report (i.e., assessment reports and protocols) for the school’s information, it becomes a part of the pupil’s record and becomes available to the parent upon request. If emails are electronically or physically maintained, they become part of the pupil’s record and therefore become available to the parent upon request (S.A. v. Tulare County Office of Education, 2009). Test protocols that include personally identifiable information within the IDEA and FERPA are considered part of a pupil’s confidential file. If protocols are maintained in a pupil’s confidential file, copies must be provided to the parent upon request (See Letter to Price, 57 IDELR 50 (OSEP 2010); and Letter to Schuster).
Transfer of Records
When a student transfers from one school to another, records should also be transferred in accordance with state and federal law. California schools are not required to obtain parental permission to forward records. They must forward records to any California school of new or intended enrollment “within five (5) days.” Records cannot be withheld for nonpayment of fees or fines (EC 49068). Mandatory permanent pupil records must be forwarded to the student’s new California public or private school, and the sending LEA/district must retain a copy. Private schools in California are required to forward mandatory permanent pupil records.
School personnel must have parental permission to communicate with outside providers about students. The family must provide consent through a written exchange of information to authorize the transfer of records, verbal and email communications, etc., as appropriate (See “Authorization for Use and/or Disclosure of Information” form provided in the SEIS Document Library). FERPA stipulates different guidelines to schools when communicating about students than the Health Insurance Portability and Accountability Act (HIPAA), with which medical providers are more familiar.
Special Education Record Request Process
When a parent requests copies of a student’s special education records, please use the following process to guide your response:
- Parents have the right to request records verbally or in writing per EDC §56504.
- If a parent’s written request is received, the LEA/district shall date stamp the request. If the parent makes a verbal request, the LEA/district shall have a process to document the date of the request and the specific files requested.
- The special education director/coordinator and LEA/district site administration should be informed of the request so they may assist with this process.
- Provide parents with requested student records within five business days without exception. If your school receives a record request the day before a holiday break, you must provide the records within five business days, regardless of your school break.
- Once you have provided copies, document how the records requested were provided to the parent (if mailing, it is recommended to use certified mail that provides you with a return receipt).
(1) The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
(2) AB 1266 requires a pupil to be permitted to participate in sex-segregated school programs, activities, and facilities, including athletic teams and competitions, consistent with their gender identity, regardless of the gender listed on the pupil’s records.
(3) The disclosure is to comply with a judicial order or lawfully issued subpoena.
42. INDEPENDENT EDUCATIONAL EVALUATIONS
Please refer to the IEE Guidelines for additional information.
What is an Independent Educational Evaluation?
When a parent of a child with a disability disagrees with the Local Educational Agency’s (LEA)/district’s evaluation for special education services, they have the right to request an Independent Educational Evaluation (IEE). An IEE is an evaluation conducted by a qualified examiner not employed by the LEA/district. If the LEA/ district grants the parent’s request for an IEE, the LEA/District either pays the full cost of the evaluation or ensures the evaluation is otherwise provided at no cost to the parent (34 CFR §300.502). This procedural guide section outlines considerations for LEA/districts and families to complete the IEE process.
The following definitions apply for the purposes of this document:
Definition of Terms
- Independent Educational Evaluation: An evaluation conducted by a qualified examiner who is not employed by the responsible LEA/district.
- Public Expense: The LEA/district either pays for the full cost of the evaluation or ensures that the evaluation or evaluation components are otherwise provided at no cost to the parent.
- Parent:
- A child’s biological or adoptive parent
- A child’s foster parent, if the authority of the biological or adoptive parents to make educational decisions specifically has been limited by court order. 34 CFR §300.30(b)(1) or (2)
- A guardian generally authorized to act as the child’s parent or authorized to make educational decisions for the child, including a responsible adult appointed for the child (Welfare and Institutions Code 361 and 726).
- An individual acting in the place of a biological or adoptive parent, including a grandparent, step-parent, or other relative with whom the child lives, or an individual who is legally responsible for the child’s welfare.
- A surrogate parent who has been appointed. Government Code 7579.5 or 7579.6; 34 CFR 300.519; United States Code 20 1439(a)(5).
Individual Educational Evaluation Local Policy
The LEA/district has the right, and is encouraged to, develop local policy determining the IEE process and establishing local criteria regarding evaluator qualifications and reasonable maximum costs. LEAs/districts cannot establish stricter rules than those it applies to its own evaluators, nor can the LEA/district prohibit association with private schools or evaluators with no experience in public schools. The LEA/district may set licensing rules above the minimum qualifications listed in these guidelines, provided the same licensure is required for their own LEA/district evaluators (Letter to Petska (OSEP 2001) 35 IDELR191). A sample policy is available in the SEIS Document Library under "Sample IEE Policies.
When May a Parent Request an IEE?
Responding to a Request for an IEE at Public Expense
- Provide the parent with the Guidelines for Independent Educational Evaluations for Parents packet (located on page 15 of the IEE Guidelines, which can be found in the SEIS Document Library) and local IEE policy, which provides information about where an IEE may be obtained, the agency criteria applicable for IEEs, and expense information; 34 CFR §300.502(a)(2)
OR
- Initiate a due process hearing to demonstrate that the LEA/district’s evaluation is appropriate.
Steps in Response to an IEE Request 
Procedures for Sharing a “Parent-Initiated IEE”
When a parent obtains an IEE at private expense, the results of the evaluation, if shared with the LEA/district, shall:
When the LEA/district is responding to a parent’s request for an IEE, whether granting or denying the request, the LEA/district shall provide the parent with a Prior Written Notice (PWN) and a copy of their Procedural Safeguards.
In circumstances in which the LEA/district is granting the parent’s request for an IEE, the LEA/district shall provide the parent with a PWN, their Procedural Safeguards, and the El Dorado SELPAs IEE Parent Information Packet (located on page 15 of the IEE Guidelines, which can be found in the SEIS Document Library)
According to federal regulations, the criteria under which the IEE is obtained at public expense, including the location of the evaluation and the qualifications of the examiner, must be the same as the criteria that the LEA/district uses when it initiates an evaluation (34 CFR §300.502(e)(1)). The LEA/district may not impose conditions or timelines related to obtaining an IEE at public expense (34 CFR §300.502(e)(2)).
It is recommended to locate an evaluator within the LEA/district’s county or neighboring counties. Evaluators outside of this area should be accepted only on an exceptional basis by the LEA/district if either party can demonstrate there is a unique need for a specialized evaluation and that there are no qualified evaluators within the specified area who can appropriately assess their child’s educational needs. The IEE shall be administered by an evaluator in the same type of educational setting as that used by the LEA/district in providing similar evaluations including, but not limited to, classroom observations (EDC §56329(c)).
All assessments shall be completed by persons competent to perform the assessment as determined by the LEA/district (EDC §56322). The IEE shall be administered by an evaluator who holds equivalent certifications, licenses, or other qualifications that would be required of the LEA/district staff to provide similar evaluations. Independent evaluators shall have the following minimum credentials issued by the appropriate agency or board with the State of California:
- Be considered by the LEA/district, if it meets agency criteria, in any decision made with respect to the provision of a free, appropriate, public education (FAPE) to the student; and
- May be presented as evidence at a due process hearing regarding the student.
Providing Prior Written Notice (PWN)
Obtaining Written Consent to Conduct an IEE
Agency Criteria for Conducting an IEE
Location
Guidelines for Determining Qualifications
| Type of Assessment | Minimum Qualifications |
| Academic Achievement |
Credentialed Special Education Teacher
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Adaptive Behavior |
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Adaptive Physical Education | Credentialed Adapted Physical Education Specialist |
| Assistive Technology |
Certified or Licensed Speech/Language Pathologist
Occupational Therapist
Certified Assistive Technology Specialist
|
| Auditory Acuity |
Licensed Educational Audiologist Clinical or Rehabilitative Services Credential
Language, Speech and Hearing and Audiology Credential
|
| Auditory Perception/Auditory Processing |
Language, Speech and Hearing and Audiology Credential
Clinical or Rehabilitative Services Credential
Education Specialist Instruction Credential: Deaf and Hard-of-Hearing
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Functional Behavioral Assessment |
Credentialed Special Education Teacher
Pupil Personnel Services Credential
Licensed Marriage and Family Therapist
Licensed Clinical Social Worker
Licensed Educational Psychologist
Board Certified Behavior Analyst
|
| Cognitive |
Licensed Educational Psychologist
Pupil Personnel Services Credential
|
| Health |
Licensed Physician
Registered Nurse
School Nurse Services Credential
|
| Motor |
Licensed Physical Therapist
Licensed Occupational Therapist
Adaptive Physical Education Specialist
|
| Occupational Therapy | Licensed Occupational Therapist |
| Orientation and Mobility |
Clinical or Rehabilitative Services Credential
Education Specialist Instruction Credential: Physical and Health Impairment
|
| Physical Therapy | Licensed Physical Therapist |
| Social/Emotional |
Licensed Educational Psychologist
Licensed Clinical Social Worker (LCSW)
Licensed Marriage and Family Therapist
Pupil Personnel Services Credential
|
| Transition/Vocational |
Credentialed Special Education Teacher
Adult Education Credential with a Career Development Authorization
Pupil Personnel Services Credential
|
| Visual Acuity/ Developmental Vision |
Licensed Optometrist
Licensed Ophthalmologist
Education Specialist Instruction Credential: Visual Impairments
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| Functional Vision | Education Specialist Instruction Credential: Visual Impairments |
A parent shall have the opportunity to demonstrate that unique circumstances justify a waiver of any of the criteria listed above as defined by the LEA/district. If a parent selects an evaluator who is not on the LEA/district list and does not meet the LEA/district criteria, the LEA/district must allow the parent the opportunity to demonstrate that unique circumstances justify the selection of this evaluator (Letter to Anonymous, 56 IDELR 175 (OSEP 2010)). If the LEA/district does not believe that unique circumstances justify the selection of an evaluator, the LEA/district may file for due process to deny the parent request (Letter to Parker, 41 IDELR 155 (OSERS 2004)). A parent may also request a list of suggested IEE evaluators who meet the LEA/district agency criteria, but the parent is not required to select from the list provided.
Conflict of Interest
IEE Cost Determination
- Observations;
- Administration and scoring of assessments;
- Report writing; and
- Attendance in person, or by phone, at the IEP meeting in which the IEE is presented.
As a result, the El Dorado SELPA recommends that the LEA/district determine a reasonable cost ceiling for each evaluation. It is recommended that the ceiling be determined by averaging the cost of the following three assessors:
- The cost of an assessment provided by a LEA/district employee;
- The cost of an assessment provided by a neighboring LEA/district; and
- The cost of an assessment provided by a private service provider, with appropriate qualifications, within a reasonable distance from the LEA, usually 40 miles.
LEA/districts may use the guidelines for determining reasonable maximum amount costs when creating a cost policy. The guidelines for determining reasonable maximum amount costs can be found on page 5 of the IEE Guidelines located in the SEIS document library. A parent shall have the opportunity to demonstrate that unique circumstances justify a financial waiver of any of the cost determination criteria listed above as defined by the LEA/district.
Payment of IEE Costs
- IEE Obtained at Public Expense:
- The LEA/district shall issue payment to the independent evaluator for the cost of conducting the IEE following the LEA/district’s receipt of the following:
- A written IEE assessment report prepared by the independent evaluator containing all necessary assessment and eligibility sections. The report shall be received by the LEA/district and the parent five days prior to the IEP meeting;
- The original assessment protocols utilized to conduct the IEE shall be provided to the LEA/district; and
- Detailed invoice(s), including dates of assessment, observation(s), and hourly
- Unilaterally Obtained IEE at Private Expense:
- A parent is requested, but is not required, to notify the LEA/district prior to obtaining a unilateral IEE. Regardless, if a parent obtains an IEE at private expense, the parent’s request for payment and/or reimbursement shall be received by the LEA/district within a reasonable time after receipt of the results of the completed IEE.
Once a parent has requested that a unilaterally obtained IEE be paid for by the LEA/district, the LEA/district must provide the parent with a copy of their Procedural Safeguards and either:
- Initiate a due process hearing to show that the LEA/district’s evaluation is appropriate; or
- Provide the parent with the El Dorado SELPAs IEE Information Packet (SEIS Document Library), which provides information about where an IEE may be obtained, the agency criteria applicable for IEEs, and proceed with consideration of the LEA/district’s obligation to pay for the independent evaluation.
If the LEA /district proceeds with consideration to pay for the unilaterally obtained IEE, the LEA/district shall:
- Review and consider the parent’s request for payment;
- Ensure the request was made within a reasonable time after receipt of the results of the evaluation; and
- Ensure all criteria discussed in this policy are met and the required documents (assessment report, original assessment protocols and invoice(s)) have been
Evaluations Ordered by Hearing Officer:
- If a hearing officer orders an IEE as part of a hearing, the cost of the evaluation must be at the LEA/district expense, unless otherwise specified by the Hearing Officer.
Criteria for Accessing Private Insurance
When private insurance will cover all, or a portion of, the costs of the IEE, the LEA/district may request that the parent voluntarily have their insurance pay the costs of the IEE covered by their insurance. However, parents will not be asked to have private insurance cover the costs of an IEE if the process would result in a financial cost to the parent including but not limited to:
- A decrease in available lifetime coverage or any other benefit under an insurance policy;
- An increase in premiums or the discontinuance of the policy; or
- An out-of-pocket expense such as payment of a deductible amount incurred in filing a claim.
IEE Assessment Results
The results of the IEE, whether obtained at public or private expense, will be considered by the IEP team when making a determination regarding the student’s eligibility for special education and related services, educational placement, and other components of the student’s educational program as required by federal and California special education laws and regulations. However, the results of an IEE will not control the IEP team’s determinations and may not be considered if not completed by a qualified professional, as determined by the LEA/district.
IEE LEA & Independent Evaluator Service Agreement
It is recommended that the LEA complete a service agreement with the independent evaluator to ensure clarification regarding the terms of the agreement. A sample agreement IEE Service Agreement is available in the SEIS Document Library for review and use.
43. LOCAL COMPLAINT PROCEDURES
Local Educational Agencies (LEAs)/Districts may, at times, receive complaints from parents or guardians regarding the provision of special education services. LEAs/Districts are required to adopt policies and procedures to investigate and resolve complaints of an alleged violation of federal or state laws governing educational programs. Below are guidelines to assist LEAs/districts with meeting local complaint procedure requirements (California Code of Regulations Title 5 §4600-§4687).
- Local policies shall ensure that complainants are protected from retaliation and that the identity of a complainant alleging discrimination remains confidential, as appropriate. LEAs/Districts shall submit their policies and procedures to the local governing board for approval and adoption.
- Each LEA/district shall include in its policies and procedures the person(s), employee(s) or agency position(s), or unit(s) responsible for receiving complaints, investigating complaints, and ensuring LEA/district compliance. The LEA’s/district’s policies shall ensure that the person(s), employee(s), position(s), or unit(s) responsible for compliance and/or investigations shall be knowledgeable about the laws/programs that they are assigned to investigate.
- The LEA/district may provide a complaint form for submission by persons wishing to file a complaint. However, a person is not required to use the complaint form provided by the LEA/district to file a complaint.
For more information on complaint procedures, visit the “Uniform Complaint Procedures” section of the California Department of Education website. Uniform Complaint Procedures landing page, CDE website: https://www.cde.ca.gov/re/cp/uc/
44. CDE COMPLAINT AND INVESTIGATION PROCEDURES
California Department of Education Complaint and Investigation Procedures 34 CFR §300.151-153, 34 CFR §300.509, and 20 U.S.C. 1415(b)(8) require state educational agencies such as the California Department of Education (CDE) to:
- Adopt written procedures for resolving complaints
- Include remedies for the denial of appropriate services
- Specify minimum requirements for the state’s complaint procedures
- Contain procedures for complaints related to due process hearings
- Include procedures for filing a CDE complaint
- Specify the timeline for filing a complaint
- Provide model complaint forms
A CDE complaint, often referred to as a “state” complaint, is a formal request to the CDE to investigate allegations of noncompliance with federal or state special education laws. It may be filed by either an organization or individual(s). It is the responsibility of the CDE to ensure that LEAs/districts abide by laws pertaining to special education while meeting the educational needs of students with disabilities. A complaint must be filed within one year of the alleged violation (34 CFR §300.151-153). For more information regarding state special education complaints, visit the “Complaint Process” section of the California Department of Education website.
Individuals, including parents/guardians, students, teachers, and agency representatives, may file a complaint with CDE. Organizations may file complaints as well. The party filing the complaint must forward a copy of the complaint to the LEA/district or public agency serving the student at the same time the party files the complaint with CDE. [34 CFR §300.153(b) and §300.153(d)]
According to 34 CFR §300.153(b) and §300.153(d), a complaint must be submitted in writing and include the following:
CDE complaints may be sent by mail or fax to: California Department of Education Special Education Division Procedural Safeguards Referral Service (PSRS) 1430 N Street, Suite 2401 Sacramento, CA 95814-5901 Fax: 916-327-3704 (Attn: Complaint Resolution Unit) CDE complaints may also be emailed to speceducation@cde.ca.gov. The party filing the complaint must also forward a copy of the complaint to the LEA/district [34 CFR §300.153(d)]. What are the Elements of a Complaint Investigation? Once an individual has filed a complaint with the CDE, an investigator will contact the complainant and the LEA/district named in the complaint. The investigator will gather facts about the allegations through interviews and document reviews. Based on the information collected, the investigator will prepare a complaint investigation report which will contain the following:
Who May File a Complaint?
What are the Required Elements of a Complaint?
- A statement that the LEA/district has violated special education law
- Facts on which such statements are based
- Signature and contact information for the complainant
- Student’s name, address, and school if alleged violations are student specific
- Proposed resolutions
Where Must a CDE Complaint be Filed?
- Allegation summary
- General investigation procedures
- Applicable law and regulation
- Finding of facts
- Report conclusions (compliance or noncompliance)
- Corrective actions and timelines, if applicable
The CDE will send a copy of the investigation report to the complainant, the LEA/district, and the parent/guardian (if different from the complainant). A complaint investigation is completed within 60 days of receipt of the complaint by CDE. However, the 60-day timeline may be extended under certain circumstances.
If the complaint investigation yields a finding of noncompliance, the investigation report may include corrective actions, such as requiring an LEA/district to:
The CDE has an appeal process in which any party involved in the complaint may request reconsideration. To initiate the appeal process, the party in disagreement with the investigation findings shall submit a written reconsideration request to the CDE within 35 calendar days of receiving the investigation report. What Can an LEA/District Do to Facilitate a Complaint Investigation?
What if Noncompliance is Found?
- Convene a new IEP meeting
- Conduct further assessments
- Submit plans outlining proposals to correct violations and prevent future ones
- Initiate personnel training in the area(s) of violation(s)
- Provide compensatory education or reimbursement
- Review and revise procedures and practices
- Participate in monitoring and reporting activities
What if There is Disagreement with the Investigation Findings?
- Cooperate with any complaint investigation and provide any requested documentation in a timely manner. Failure to respond may result in a finding and remedy in favor of the complainant.
- Submit all documentation regarding the complaint
- Offer a resolution session [alternative dispute resolution (ADR)] to resolve concerns that prompted the complaint. This step is voluntary. For more information, please reference the section of this guide titled “Due Process and Mediation.”
Please contact your El Dorado SELPA program specialist or the CDE for additional information regarding the complaint process and investigation procedures.
Useful Links:
- Uniform Complaint Procedures landing page, CDE website: https://www.cde.ca.gov/re/cp/uc/
- "Complaint Process” section of the California Department of Education website: https://www.cde.ca.gov/sp/se/qa/cmplntproc.asp
45. DUE PROCESS AND MEDIATION
Important note: The term “parent” refers to a natural parent, adopted parent, or legal guardian (EDC §49061). Any rights afforded to the parent are transferred to the adult student when they reach the age of majority (age 18), except in cases when a student with a disability has been deemed unable to make their own educational decisions under California Law. Therefore, references to the parent may also include adult students.
“Local Education Agency (LEA)” is defined by California state law as a school district, a county office of education, a nonprofit charter school participating as a member of a special education local plan area, or a special education local plan area (EDC §56026.3)
What is Due Process?
The Individuals with Disabilities Education Act (IDEA) requires Local Education Agencies (LEAs) to provide access to due process and the protections conferred by procedural safeguards. Due process hearings are a principal method for resolving disputes related to identification, evaluation, placement, or provision of Free and Appropriate Public Education under IDEA (34 CFR §300.511).
What are Due Process Protections?
Due process protections include the option of a mediation conference, the right to examine pupil records, and the right to a fair and impartial administrative hearing at the state level before a person knowledgeable in the laws governing special education and administrative hearings. Specific procedures and timelines are provided below.
When May Due Process be Filed?
A parent or LEA may initiate due process hearing procedures under any of the following circumstances:
- There is a proposal to initiate or change the identification, assessment, or educational placement of the student or the provision of a free appropriate public education to the student;
- There is a refusal to initiate or change the identification, assessment, or educational placement of the student or the provision of a free appropriate public education to the student;
- The parent(s)/guardian(s) or adult student refuses to consent to an assessment of the student, with the exception of initial assessment;
- There is a disagreement between parent(s), guardian(s), or adult student(s) and the LEA/district regarding the availability of a program appropriate for the student, including the question of financial responsibility. (34 CFR §300.148)
If programs and services are not provided according to the IEP, the parent may also file a complaint with the California Department of Education (CDE). Please refer to the procedural guide section titled “CDE Complaint and Investigation Procedures” for more information on filing a state complaint.
How is a Request for Due Process Hearing Filed and What Must it Contain?
- The student’s name, address, and school of attendance;
- A description of the problem with specific related facts; and
- A proposed resolution with specific related facts.
To file for mediation or a due process request, a parent or LEA/District may utilize the following methods:
| Office of Administrative Hearings Special Education Division 2349 Gateway Oaks, Suite 200, Sacramento, CA 95833‐4231 | |
| Website | Office of Administrative Hearings Special Education Division Secure E-File Transfer (SFT) Sytstem |
| Phone/Fax | Office of Administrative Hearings Special Education Division Phone: 916‐263‐0880 Fax: 916‐ 263‐0890 |
Upon receipt, OAH will send both parties a Scheduling Order with notification of the dates for the prehearing conference, the hearing, and the date by which the parties must submit a request for mediation. A complaint, as well as other documents sent to OAH, must be "filed" and "served." “Filing” a document refers to sending a document to OAH where it is intended to be part of a case and seen by a judge. All documents and attachments used to communicate with OAH about the case must also be “served”, or provided to the other party or parties in the case. For example, if a parent files a complaint with OAH against an LEA, the parent must send a copy to the LEA. If an LEA files a complaint with OAH, it must send a copy to the parent(s). Proof of serving a document on the other parties must then be sent to OAH to show that the other parties have a copy of the document. This is called either a Statement of Service (also called "Proof of Service"). OAH provides optional forms including Request for Due Process Hearing and Mediation and Proof of Service forms which can be accessed by visiting the Forms page of the OAH website.
A due process request shall be deemed sufficient unless the party receiving it notifies OAH in writing that the complaint does not meet the requirements. LEAs may file a motion to dismiss those complaints that do not meet requirements per IDEA. Such motions must be filed within 15 days of receipt of the complaint. If the LEA chooses not to file a motion to dismiss based on the contents of the complaint, it is assumed that the LEA accepts the complaint as is, and the LEA may be required to defend an incomplete complaint at a due process hearing. Therefore, it is important that the LEA evaluate each new complaint as it is received. A party may amend a due process complaint only for two reasons:
Once a valid due process request is received from the parent(s), the LEA must, within 10 calendar days of receipt, provide a written response to the complaint. The response from the LEA to the parent(s) shall include all of the following:
- The other party consents in writing to the amended complaint
- OAH grants permission for the amended complaint. Due process timelines start over with an amended complaint
What Happens After a Due Process Request is Filed?
- An explanation of why the agency proposed or refused to take the action raised in the due process hearing request
- A description of other options that the individualized education program team considered and the reasons why those options were rejected
- A description of each assessment procedure, assessment, record, or report the agency used as the basis for the proposed or refused action
- A description of other factors relevant to the proposed or refused action of the agency. [34 CFR §300.508(e)(1)]
It is recommended that an LEA notify the SELPA immediately upon receipt of a request for a due process hearing. Mediation and Due Process Timelines The hearing must be completed and a decision reached within 45 days of receipt of the request unless a continuance has been granted. The timelines for due process begin when the party named in the complaint receives the complaint from the filer.
- The LEA is required to convene a resolution session, referred to as an alternative dispute resolution (ADR) session, within 15 days of their receipt of a due process complaint.
- If both parties agree to a mediation conference, it must be held and completed within 15 days of receipt of a hearing request.
- If parties proceed to a due process hearing, it must be held and completed within 30 days of the mediation conference.
Resolution Session
As stated above, an LEA is required to convene a resolution session, referred to as an alternative dispute resolution (ADR) session, within 15 days of their receipt of a due process complaint. The El Dorado SELPAs utilize a local ADR process as an alternative to formal mediation and due process hearing. It should be noted that this process does not preclude the option of formal mediation or due process hearing but is offered as a positive alternative. El Dorado SELPA’s personnel may serve as neutral facilitator(s) for the resolution session. Therefore, as stated above, it is recommended that an LEA provide a copy of the due process complaint to the SELPAs immediately upon receipt to allow the SELPAs, LEA, and parent(s) to schedule and convene an APR session within the 15-day timeline. Attendees at a resolution session may include the parent, LEA representative(s) with decision-making authority, and the facilitator(s).
The purpose of this session is to foster early resolution of the concerns prompting the request for a due process hearing. The meeting shall not include an attorney of the LEA unless the parent(s) is accompanied by an attorney. If a parent(s) brings an attorney, that attorney is not entitled to recover fees from the LEA for attending the resolution session. The resolution session is similar to mediation but without the assistance of a formally trained mediator. If an agreement is reached at the resolution session, OAH must be notified to remove the matter from the hearing. An IEP meeting may be scheduled as needed to document any changes to the IEP that are required as a result of an agreement reached within the resolution session. If concern(s) remain(s) unresolved after the resolution session is held, the LEA may inform the parent(s) student that either:
Mediation is a voluntary process through which parties seek mutually agreeable solutions to education disputes with the help of an OAH Administrative Law Judge serving as a neutral mediator. Parent(s) or LEAs may seek “mediation only” without request for a due process hearing or they may participate in mediation as an element of due process. Mediation cannot be used to delay a parent’s right to a due process hearing.
A parent(s) or LEA may request a mediation-only conference if desired. Requests for mediation only are filed with the OAH. To request mediation only, a party should submit a request to OAH along with a Statement of Service showing that the request was sent to the other party or parties. Both the parent(s) and the LEA must voluntarily agree to participate. OAH provides an optional form called "Request to Set Mediation," which can be found on the OAH Forms page. Attendees at a mediation-only session should include the parent(s), LEA representative(s) who has the authority to make decisions, and the mediator (who is assigned by the OAH). An interpreter may be required if a parent(s) requests one. A parent(s) or the LEA may be accompanied and advised by non-attorney representatives. Attorneys or other independent contractors used to provide legal advocacy services may not participate in the mediation-only conference.
- The LEA will participate in a mediation conference; or
- The LEA waives the mediation conference and is proceeding directly to the due process hearing before a state hearing officer.
Please note that in the event that the LEA files for mediation-only or a due process hearing, a resolution session is not required but may still be offered and held. For more information, please refer to the procedural guide section titled Alternative Dispute Resolution (ADR) and Resolution Sessions.
Mediation
Mediation Only
A mediation-only conference is scheduled by an OAH Administrative Law Judge within 15 days of receipt of the request, and at a time and place reasonably convenient to both parties. If a resolution is reached, both parties execute a legally binding written agreement, which also states that conference discussions are confidential and may not be used in any subsequent request for a due process hearing. If the issues fail to be resolved to the satisfaction of all parties, the party who requested the mediation-only conference has the option of filing a request for a due process hearing. The mediator may assist the parties in specifying any unresolved issues to be included in the request for a due process hearing.
Special education mediations may also occur as part of a due process hearing case. Either an LEA or parent may file a Request for Due Process Hearing and Mediation, requesting OAH set a hearing date. Upon receipt, OAH will send to the other party and to the party requesting the hearing a Scheduling Order setting a hearing date and a date for a prehearing conference. OAH will not set a mediation date in a due process hearing case unless the parties submit a joint request for mediation with agreed-upon mediation dates. The scheduling order will identify the date by which the parties will need to submit this joint request for mediation. OAH provides an optional form called "Request to Set Mediation," which can be found on the OAH Forms page. Attorneys and advocates are permitted to participate in mediation conferences scheduled upon the filing of a request for a due process hearing. A qualified, impartial mediator is appointed when mediation is agreed upon. This person must be trained in effective mediation techniques. During the mediation session, the neutral mediator facilitates communication between the parent(s) and the LEA. All parties are involved in the decision-making.
Mediation and Due Process Hearing
If mediation yields an agreement by both parties, the mediation results are documented in a binding settlement agreement and signed by the involved parties. All discussions in mediation sessions are automatically confidential and cannot be used as evidence in any subsequent due process hearing or civil proceeding. The mediator will confirm that the agreement is consistent with all applicable laws and regulations. It is recommended that an IEP team meeting be scheduled as soon as possible to incorporate pertinent agreement elements into the IEP. A copy of the mediation agreement is sent to each party involved. The compliance status of the LEA will revert to non-compliance if they do not perform the provisions of the mediation agreement within the time specified.
If mediation as part of a request for a due process hearing) does not yield an agreement by both parties, OAH lists unresolved issue(s) as the basis for a due process hearing and sets a hearing date and place convenient for both parties. For more information on mediation and due process hearing requests, please visit the OAH website. Due Process Hearing A due process hearing must be completed within 30 days of the mediation conference or 45 days of receipt of the request for a due process hearing if the mediation conference is waived. OAH assigns a state hearing officer who is knowledgeable of administrative hearing procedures. All evidence (written documentation and list of witnesses) shall be exchanged by parent(s) and LEA five days before the due process hearing. The party requesting the due process hearing shall not be allowed to raise issues that were not raised in the request for a due process hearing unless the other party agrees otherwise.
During the hearing proceedings, the student is to remain in his or her last agreed-upon educational placement, including agreed-upon services and setting, unless the LEA and the parent(s) agree otherwise. This is referred to as “stay put”. Hearing proceedings will be recorded verbatim and both parties will be given access to the recording. All testimony shall be given under oath or affirmation. A hearing is conducted in English with an interpreter provided when necessary. The decision of the OAH hearing officer shall be written in English and, as appropriate, the primary language of the parent(s) and mailed to both parties involved in the hearing. Both parties are given notice of rights and an explanation of the procedure for appealing the hearing decision to a court of competent jurisdiction.
The LEA must continue to meet IEP timelines and FAPE obligations during the period of any due process proceedings and until a resolution is reached. This means that an LEA must continue to offer FAPE as identified in the last agreed-upon IEP and offer to convene IEP meetings to attempt to come to an agreement during due process proceedings, even though the parent(s) may not consent. If the LEA does not intend to appeal the decision made in the due process hearing, it should implement the decision as soon as possible, and in any event, within a reasonable amount of time. For an entire bank of resources, support regarding due process, mediation, and complaints, as well as special education decisions within OAH, please visit the Department of General Services for Special Education support page.