20 USC 1415 - Procedural safeguards

U.S Code last checked for updates: Nov 22, 2024

§ 1415.

Procedural safeguards

(a)

Establishment of procedures

(b)

Types of procedures

The procedures required by this section shall include the following:

(1)

An opportunity for the parents of a child with a disability to examine all records relating to such child and to participate in meetings with respect to the identification, evaluation, and educational placement of the child, and the provision of a free appropriate public education to such child, and to obtain an independent educational evaluation of the child.

(2)

(A)

Procedures to protect the rights of the child whenever the parents of the child are not known, the agency cannot, after reasonable efforts, locate the parents, or the child is a ward of the State, including the assignment of an individual to act as a surrogate for the parents, which surrogate shall not be an employee of the State educational agency, the local educational agency, or any other agency that is involved in the education or care of the child. In the case of—

(i)

a child who is a ward of the State, such surrogate may alternatively be appointed by the judge overseeing the child’s care provided that the surrogate meets the requirements of this paragraph; and

(ii)

an unaccompanied homeless youth as defined in

(B)

The State shall make reasonable efforts to ensure the assignment of a surrogate not more than 30 days after there is a determination by the agency that the child needs a surrogate.

(3)

Written prior notice to the parents of the child, in accordance with subsection (c)(1), whenever the local educational agency—

(A)

proposes to initiate or change; or

(B)

refuses to initiate or change,

the identification, evaluation, or educational placement of the child, or the provision of a free appropriate public education to the child.

(4)

Procedures designed to ensure that the notice required by paragraph (3) is in the native language of the parents, unless it clearly is not feasible to do so.

(5)

An opportunity for mediation, in accordance with subsection (e).

(6)

An opportunity for any party to present a complaint—

(A)

with respect to any matter relating to the identification, evaluation, or educational placement of the child, or the provision of a free appropriate public education to such child; and

(B)

which sets forth an alleged violation that occurred not more than 2 years before the date the parent or public agency knew or should have known about the alleged action that forms the basis of the complaint, or, if the State has an explicit time limitation for presenting such a complaint under this subchapter, in such time as the State law allows, except that the exceptions to the timeline described in subsection (f)(3)(D) shall apply to the timeline described in this subparagraph.

(7)

(A)

Procedures that require either party, or the attorney representing a party, to provide due process complaint notice in accordance with subsection (c)(2) (which shall remain confidential)—

(i)

to the other party, in the complaint filed under paragraph (6), and forward a copy of such notice to the State educational agency; and

(ii)

that shall include—

(I)

the name of the child, the address of the residence of the child (or available contact information in the case of a homeless child), and the name of the school the child is attending;

(II)

in the case of a homeless child or youth (within the meaning of section 11434a(2) of title 42), available contact information for the child and the name of the school the child is attending;

(III)

a description of the nature of the problem of the child relating to such proposed initiation or change, including facts relating to such problem; and

(IV)

a proposed resolution of the problem to the extent known and available to the party at the time.

(B)

A requirement that a party may not have a due process hearing until the party, or the attorney representing the party, files a notice that meets the requirements of subparagraph (A)(ii).

(8)

Procedures that require the State educational agency to develop a model form to assist parents in filing a complaint and due process complaint notice in accordance with paragraphs (6) and (7), respectively.

(c)

Notification requirements

(1)

Content of prior written notice

The notice required by subsection (b)(3) shall include—

(A)

a description of the action proposed or refused by the agency;

(B)

an explanation of why the agency proposes or refuses to take the action and a description of each evaluation procedure, assessment, record, or report the agency used as a basis for the proposed or refused action;

(C)

a statement that the parents of a child with a disability have protection under the procedural safeguards of this subchapter 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;

(D)

sources for parents to contact to obtain assistance in understanding the provisions of this subchapter;

(E)

a description of other options considered by the IEP Team and the reason why those options were rejected; and

(F)

a description of the factors that are relevant to the agency’s proposal or refusal.

(2)

Due process complaint notice

(A)

Complaint

(B)

Response to complaint

(i)

Local educational agency response

(I)

In general

If the local educational agency has not sent a prior written notice to the parent regarding the subject matter contained in the parent’s due process complaint notice, such local educational agency shall, within 10 days of receiving the complaint, send to the parent a response that shall include—

(aa)

an explanation of why the agency proposed or refused to take the action raised in the complaint;

(bb)

a description of other options that the IEP Team considered and the reasons why those options were rejected;

(cc)

a description of each evaluation procedure, assessment, record, or report the agency used as the basis for the proposed or refused action; and

(dd)

a description of the factors that are relevant to the agency’s proposal or refusal.

(II)

Sufficiency

(ii)

Other party response

(C)

Timing

(D)

Determination

(E)

Amended complaint notice

(i)

In general

A party may amend its due process complaint notice only if—

(I)

the other party consents in writing to such amendment and is given the opportunity to resolve the complaint through a meeting held pursuant to subsection (f)(1)(B); or

(II)

the hearing officer grants permission, except that the hearing officer may only grant such permission at any time not later than 5 days before a due process hearing occurs.

(ii)

Applicable timeline

(d)

Procedural safeguards notice

(1)

In general

(A)

Copy to parents

A copy of the procedural safeguards available to the parents of a child with a disability shall be given to the parents only 1 time a year, except that a copy also shall be given to the parents—

(i)

upon initial referral or parental request for evaluation;

(ii)

upon the first occurrence of the filing of a complaint under subsection (b)(6); and

(iii)

upon request by a parent.

(B)

Internet website

(2)

Contents

The procedural safeguards notice shall include a full explanation of the procedural safeguards, written in the native language of the parents (unless it clearly is not feasible to do so) and written in an easily understandable manner, available under this section and under regulations promulgated by the Secretary relating to—

(A)

independent educational evaluation;

(B)

prior written notice;

(C)

parental consent;

(D)

access to educational records;

(E)

the opportunity to present and resolve complaints, including—

(i)

the time period in which to make a complaint;

(ii)

the opportunity for the agency to resolve the complaint; and

(iii)

the availability of mediation;

(F)

the child’s placement during pendency of due process proceedings;

(G)

procedures for students who are subject to placement in an interim alternative educational setting;

(H)

requirements for unilateral placement by parents of children in private schools at public expense;

(I)

due process hearings, including requirements for disclosure of evaluation results and recommendations;

(J)

State-level appeals (if applicable in that State);

(K)

civil actions, including the time period in which to file such actions; and

(L)

attorneys’ fees.

(e)

Mediation

(1)

In general

(2)

Requirements

Such procedures shall meet the following requirements:

(A)

The procedures shall ensure that the mediation process—

(i)

is voluntary on the part of the parties;

(ii)

is not used to deny or delay a parent’s right to a due process hearing under subsection (f), or to deny any other rights afforded under this subchapter; and

(iii)

is conducted by a qualified and impartial mediator who is trained in effective mediation techniques.

(B)

Opportunity to meet with a disinterested party.—

A local educational agency or a State agency may establish procedures to offer to parents and schools that choose not to use the mediation process, an opportunity to meet, at a time and location convenient to the parents, with a disinterested party who is under contract with—

(i)

a parent training and information center or community parent resource center in the State established under section 1471 or 1472 of this title; or

(ii)

an appropriate alternative dispute resolution entity,

to encourage the use, and explain the benefits, of the mediation process to the parents.

(C)

List of qualified mediators.—

The State shall maintain a list of individuals who are qualified mediators and knowledgeable in laws and regulations relating to the provision of special education and related services.

(D)

Costs.—

The State shall bear the cost of the mediation process, including the costs of meetings described in subparagraph (B).

(E)

Scheduling and location.—

Each session in the mediation process shall be scheduled in a timely manner and shall be held in a location that is convenient to the parties to the dispute.

(F)

Written agreement.—

In the case that a resolution is reached to resolve the complaint through the mediation process, the parties shall execute a legally binding agreement that sets forth such resolution and that—

(i)

states that all discussions that occurred during the mediation process shall be confidential and may not be used as evidence in any subsequent due process hearing or civil proceeding;

(ii)

is signed by both the parent and a representative of the agency who has the authority to bind such agency; and

(iii)

is enforceable in any State court of competent jurisdiction or in a district court of the United States.

(G)

Mediation discussions.—

Discussions that occur during the mediation process shall be confidential and may not be used as evidence in any subsequent due process hearing or civil proceeding.

(f)

Impartial due process hearing

(1)

In general

(A)

Hearing

(B)

Resolution session

(i)

Preliminary meeting

Prior to the opportunity for an impartial due process hearing under subparagraph (A), the local educational agency shall convene a meeting with the parents and the relevant member or members of the IEP Team who have specific knowledge of the facts identified in the complaint—

(I)

within 15 days of receiving notice of the parents’ complaint;

(II)

which shall include a representative of the agency who has decisionmaking authority on behalf of such agency;

(III)

which may not include an attorney of the local educational agency unless the parent is accompanied by an attorney; and

(IV)

where the parents of the child discuss their complaint, and the facts that form the basis of the complaint, and the local educational agency is provided the opportunity to resolve the complaint,

unless the parents and the local educational agency agree in writing to waive such meeting, or agree to use the mediation process described in subsection (e).

(ii)

Hearing

(iii)

Written settlement agreement

In the case that a resolution is reached to resolve the complaint at a meeting described in clause (i), the parties shall execute a legally binding agreement that is—

(I)

signed by both the parent and a representative of the agency who has the authority to bind such agency; and

(II)

enforceable in any State court of competent jurisdiction or in a district court of the United States.

(iv)

Review period

(2)

Disclosure of evaluations and recommendations

(A)

In general

(B)

Failure to disclose

(3)

Limitations on hearing

(A)

Person conducting hearing

A hearing officer conducting a hearing pursuant to paragraph (1)(A) shall, at a minimum—

(i)

not be—

(I)

an employee of the State educational agency or the local educational agency involved in the education or care of the child; or

(II)

a person having a personal or professional interest that conflicts with the person’s objectivity in the hearing;

(ii)

possess knowledge of, and the ability to understand, the provisions of this chapter, Federal and State regulations pertaining to this chapter, and legal interpretations of this chapter by Federal and State courts;

(iii)

possess the knowledge and ability to conduct hearings in accordance with appropriate, standard legal practice; and

(iv)

possess the knowledge and ability to render and write decisions in accordance with appropriate, standard legal practice.

(B)

Subject matter of hearing

(C)

Timeline for requesting hearing

(D)

Exceptions to the timeline

The timeline described in subparagraph (C) shall not apply to a parent if the parent was prevented from requesting the hearing due to—

(i)

specific misrepresentations by the local educational agency that it had resolved the problem forming the basis of the complaint; or

(ii)

the local educational agency’s withholding of information from the parent that was required under this subchapter to be provided to the parent.

(E)

Decision of hearing officer

(i)

In general

(ii)

Procedural issues

In matters alleging a procedural violation, a hearing officer may find that a child did not receive a free appropriate public education only if the procedural inadequacies—

(I)

impeded the child’s right to a free appropriate public education;

(II)

significantly impeded the parents’ opportunity to participate in the decisionmaking process regarding the provision of a free appropriate public education to the parents’ child; or

(III)

caused a deprivation of educational benefits.

(iii)

Rule of construction

(F)

Rule of construction

(g)

Appeal

(1)

In general

(2)

Impartial review and independent decision

(h)

Safeguards

Any party to a hearing conducted pursuant to subsection (f) or (k), or an appeal conducted pursuant to subsection (g), shall be accorded—

(1)

the right to be accompanied and advised by counsel and by individuals with special knowledge or training with respect to the problems of children with disabilities;

(2)

the right to present evidence and confront, cross-examine, and compel the attendance of witnesses;

(3)

the right to a written, or, at the option of the parents, electronic verbatim record of such hearing; and

(4)

the right to written, or, at the option of the parents, electronic findings of fact and decisions, which findings and decisions—

(A)

shall be made available to the public consistent with the requirements of section 1417(b) of this title (relating to the confidentiality of data, information, and records); and

(B)

shall be transmitted to the advisory panel established pursuant to section 1412(a)(21) of this title.

(i)

Administrative procedures

(1)

In general

(A)

Decision made in hearing

(B)

Decision made at appeal

(2)

Right to bring civil action

(A)

In general

(B)

Limitation

(C)

Additional requirements

In any action brought under this paragraph, the court—

(i)

shall receive the records of the administrative proceedings;

(ii)

shall hear additional evidence at the request of a party; and

(iii)

basing its decision on the preponderance of the evidence, shall grant such relief as the court determines is appropriate.

(3)

Jurisdiction of district courts; attorneys’ fees

(A)

In general

(B)

Award of attorneys’ fees

(i)

In general

In any action or proceeding brought under this section, the court, in its discretion, may award reasonable attorneys’ fees as part of the costs—

(I)

to a prevailing party who is the parent of a child with a disability;

(II)

to a prevailing party who is a State educational agency or local educational agency against the attorney of a parent who files a complaint or subsequent cause of action that is frivolous, unreasonable, or without foundation, or against the attorney of a parent who continued to litigate after the litigation clearly became frivolous, unreasonable, or without foundation; or

(III)

to a prevailing State educational agency or local educational agency against the attorney of a parent, or against the parent, if the parent’s complaint or subsequent cause of action was presented for any improper purpose, such as to harass, to cause unnecessary delay, or to needlessly increase the cost of litigation.

(ii)

Rule of construction

(C)

Determination of amount of attorneys’ fees

(D)

Prohibition of attorneys’ fees and related costs for certain services

(i)

In general

Attorneys’ fees may not be awarded and related costs may not be reimbursed in any action or proceeding under this section for services performed subsequent to the time of a written offer of settlement to a parent if—

(I)

the offer is made within the time prescribed by Rule 68 of the Federal Rules of Civil Procedure or, in the case of an administrative proceeding, at any time more than 10 days before the proceeding begins;

(II)

the offer is not accepted within 10 days; and

(III)

the court or administrative hearing officer finds that the relief finally obtained by the parents is not more favorable to the parents than the offer of settlement.

(ii)

IEP Team meetings

(iii)

Opportunity to resolve complaints

A meeting conducted pursuant to subsection (f)(1)(B)(i) shall not be considered—

(I)

a meeting convened as a result of an administrative hearing or judicial action; or

(II)

an administrative hearing or judicial action for purposes of this paragraph.

(E)

Exception to prohibition on attorneys’ fees and related costs

(F)

Reduction in amount of attorneys’ fees

Except as provided in subparagraph (G), whenever the court finds that—

(i)

the parent, or the parent’s attorney, during the course of the action or proceeding, unreasonably protracted the final resolution of the controversy;

(ii)

the amount of the attorneys’ fees otherwise authorized to be awarded unreasonably exceeds the hourly rate prevailing in the community for similar services by attorneys of reasonably comparable skill, reputation, and experience;

(iii)

the time spent and legal services furnished were excessive considering the nature of the action or proceeding; or

(iv)

the attorney representing the parent did not provide to the local educational agency the appropriate information in the notice of the complaint described in subsection (b)(7)(A),

the court shall reduce, accordingly, the amount of the attorneys’ fees awarded under this section.

(G)

Exception to reduction in amount of attorneys’ fees

(j)

Maintenance of current educational placement

(k)

Placement in alternative educational setting

(1)

Authority of school personnel

(A)

Case-by-case determination

(B)

Authority

(C)

Additional authority

(D)

Services

A child with a disability who is removed from the child’s current placement under subparagraph (G) (irrespective of whether the behavior is determined to be a manifestation of the child’s disability) or subparagraph (C) shall—

(i)

continue to receive educational services, as provided in section 1412(a)(1) of this title, so as 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; and

(ii)

receive, as appropriate, a functional behavioral assessment, behavioral intervention services and modifications, that are designed to address the behavior violation so that it does not recur.

(E)

Manifestation determination

(i)

In general

Except as provided in subparagraph (B), within 10 school days of any decision to change the placement of a child with a disability because of a violation of a code of student conduct, the local educational agency, the parent, and relevant members of the IEP Team (as determined by the parent and the local educational agency) shall review all relevant information in the student’s file, including the child’s IEP, any teacher observations, and any relevant information provided by the parents to determine—

(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 local educational agency’s failure to implement the IEP.

(ii)

Manifestation

(F)

Determination that behavior was a manifestation

If the local educational agency, the parent, and relevant members of the IEP Team make the determination that the conduct was a manifestation of the child’s disability, the IEP Team shall—

(i)

conduct a functional behavioral assessment, and implement a behavioral intervention plan for such child, provided that the local educational agency had not conducted such assessment prior to such determination before the behavior that resulted in a change in placement described in subparagraph (C) or (G);

(ii)

in the situation where a behavioral intervention plan has been developed, review the behavioral intervention plan if the child already has such a behavioral intervention plan, and modify it, as necessary, to address the behavior; and

(iii)

except as provided in subparagraph (G), return the child to the placement from which the child was removed, unless the parent and the local educational agency agree to a change of placement as part of the modification of the behavioral intervention plan.

(G)

Special circumstances

School personnel may remove a student to an interim alternative educational setting for not more than 45 school days without regard to whether the behavior is determined to be a manifestation of the child’s disability, in cases where a child—

(i)

carries or possesses a weapon to or at school, on school premises, or to or at a school function under the jurisdiction of a State or local educational agency;

(ii)

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 a State or local educational agency; or

(iii)

has inflicted serious bodily injury upon another person while at school, on school premises, or at a school function under the jurisdiction of a State or local educational agency.

(H)

Notification

(2)

Determination of setting

(3)

Appeal

(A)

In general

(B)

Authority of hearing officer

(i)

In general

(ii)

Change of placement order

In making the determination under clause (i), the hearing officer may order a change in placement of a child with a disability. In such situations, the hearing officer may—

(I)

return a child with a disability to the placement from which the child was removed; or

(II)

order a change in placement of a child with a disability to an appropriate interim alternative educational setting for not more than 45 school days if the hearing officer determines that maintaining the current placement of such child is substantially likely to result in injury to the child or to others.

(4)

Placement during appeals

When an appeal under paragraph (3) has been requested by either the parent or the local educational agency—

(A)

the child shall remain in the interim alternative educational setting pending the decision of the hearing officer or until the expiration of the time period provided for in paragraph (1)(C), whichever occurs first, unless the parent and the State or local educational agency agree otherwise; and

(B)

the State or local educational agency shall arrange for an expedited hearing, which shall occur within 20 school days of the date the hearing is requested and shall result in a determination within 10 school days after the hearing.

(5)

Protections for children not yet eligible for special education and related services

(A)

In general

(B)

Basis of knowledge

A local educational agency shall be deemed to have knowledge that a child is a child with a disability if, before the behavior that precipitated the disciplinary action occurred—

(i)

the parent of the child has expressed concern in writing to supervisory or administrative personnel of the appropriate educational agency, or a teacher of the child, that the child is in need of special education and related services;

(ii)

the parent of the child has requested an evaluation of the child pursuant to section 1414(a)(1)(B) of this title; or

(iii)

the teacher of the child, or other personnel of the local educational agency, has expressed specific concerns about a pattern of behavior demonstrated by the child, directly to the director of special education of such agency or to other supervisory personnel of the agency.

(C)

Exception

(D)

Conditions that apply if no basis of knowledge

(i)

In general

(ii)

Limitations

(6)

Referral to and action by law enforcement and judicial authorities

(A)

Rule of construction

(B)

Transmittal of records

(7)

Definitions

In this subsection:

(A)

Controlled substance

(B)

Illegal drug

(C)

Weapon

(D)

Serious bodily injury

(l)

Rule of construction

(m)

Transfer of parental rights at age of majority

(1)

In general

A State that receives amounts from a grant under this subchapter may provide that, when a child with a disability reaches the age of majority under State law (except for a child with a disability who has been determined to be incompetent under State law)—

(A)

the agency shall provide any notice required by this section to both the individual and the parents;

(B)

all other rights accorded to parents under this subchapter transfer to the child;

(C)

the agency shall notify the individual and the parents of the transfer of rights; and

(D)

all rights accorded to parents under this subchapter transfer to children who are incarcerated in an adult or juvenile Federal, State, or local correctional institution.

(2)

Special rule

(n)

Electronic mail

(o)

Separate complaint

(Pub. L. 91–230, title VI, § 615, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2715.)

cite as: 20 USC 1415

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