project overview
DESCRIPTION
Project Overview. *CADRE is the National Center for Appropriate Dispute Resolution in Special Education. - PowerPoint PPT PresentationTRANSCRIPT
Project Overview
Project Overview
The following Module was developed in response to requests from
CADRE's Part C dispute resolution work group. This is a training
template intended to help Lead Agencies (LA) prepare their dispute
resolution practitioners (i.e., hearing officers, administrative
law judges). It is expected that states will customize the content
to bring it in alignment with their state regulations, policies,
and procedures. Placeholder slides are included throughout this
Module, to suggest where LAs might insert and address key
state-specific information relating to procedural safeguards, such
as confidentiality, parental consent, and dispute resolution.
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*CADRE is the National Center for Appropriate Dispute Resolution in
Special Education
The following individuals and organizations contributed to the
development of this resource:
Acknowledgements
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Amy Whitehorne & Marshall Peter, CADRE Sharon Walsh, Walsh
Taylor Consulting Megan Vinh, Western Regional Resource Center
Joicey Hurth, Early Childhood Technical Assistance Center Hillary
Tabor & Tina Diamond, US Department of Education Office of
Special Education Programs CADREs Part C Dispute Resolution
Workgroup: Aileen McKenna & Linda Goodman, Connecticut Birth to
Three System Kay Lambert, Kathy Bentz, & April Griffin, Texas
Early Childhood Intervention Services Lenita Hartman, Early
Intervention Colorado Mary Dennehy-Colorusso, Massachusetts Early
Intervention Program Susan Boone, Mississippi First Steps Early
Intervention Susan Ord, Utah Baby Watch Early Intervention Maureen
Greer, Infant Toddlers Coordinators Association
Visiting Part C of IDEA:Early Intervention (EI) Procedural
Safeguards For Part B Hearing Officers[Module C]
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Purpose and Disclaimer
The purpose of this Module is to orient hearing officers who are
familiar with Part B of the Individuals with Disabilities Education
Act (IDEA) with the Part C procedural safeguards. A more
comprehensive collection of resources on Part C requirements may be
found on the IDEA 2004: Building the Legacy website.
This Module is a technical assistance product intended for
discussion purposes only and does not constitute legal advice nor
is it intended to interpret law or regulation.
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Federal Statutes & Regulations
IDEA: 20 USC Chapter 33
Part B:IDEA Subchapter II (sections14111419)Federal Regulations: 34 CFR Part 300
Part C: IDEA Subchapter III (sections14311444)Federal
Regulations: 34 CFR Part 303
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General Responsibility of Each Lead Agency
Confidentiality & Records Parental Consent
Prior Written Notice
Surrogate Parents
Dispute Resolution Options
Module C: Procedural Safeguards
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303.400
Subject to paragraph (c) of this section, each LA must:Establish and adopt procedural safeguards that meet the requirements of this subpart, including the provisions on confidentiality in 303.401-417, parental consent and notice in 303.420-421, surrogate parents in 303.422, and dispute resolution procedures in 303.430Ensure their effective implementation by each participating agency (including the LA and EI service providers) in the statewide system that is involved in the provision of EI services under Part CMake available to parents an initial copy of the child's EI record, at no cost to the parents
[Compare to Part B: 300.500-537 and 300.610-627]
General Responsibility of Each Lead Agency
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303.401(a)
General. Each state must ensure that the parents of a child
referred under this part are afforded the right to confidentiality
of personally identifiable information (PII), including the right
to written notice of, and written consent to, the exchange of that
information among agencies, consistent with Federal and state
laws
Confidentiality& Opportunity to Examine Records
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303.401(b)
Confidentiality procedures. As required under sections 617(c)
and 642 of the Act, the regulations in 303.401-417 ensure the
protection of the confidentiality of any personally identifiable
data, information, and records collected or maintained pursuant to
this part by the US Secretary of Education and by participating
agencies, including the State LA and EIS providers, in accordance
with the protections under the Family Educational Rights and
Privacy Act (FERPA) in 20 U.S.C. 1232g and 34 CFR Part 99
Confidentiality& Opportunity to Examine Records (contd)
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303.401(b) contd
Each state must have procedures in effect to ensure that:
Participating agencies (including the LA and EIS providers) comply with the Part C confidentiality procedures
The parents of infants or toddlers who are referred to, or
receive services under this part, are afforded the opportunity to
inspect and review all Part C EI records about the child and the
child's family that are collected, maintained, or used under Part
C, including records related to evaluations and assessments,
screening, eligibility determinations, development and
implementation of IFSPs, provision of EI services, individual
complaints involving the child, or any part of the child's EI
record under Part C
Confidentiality& Opportunity to Examine Records (contd)
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303.401(c)
Applicability and timeframe of procedures. The confidentiality
procedures described in paragraph (b) of this section apply to the
PII of a child and the child's family thatIs contained in EI
records collected, used, or maintained under this part by the LA or
an EIS providerApplies from the point in time when the child is
referred for EI services under this part until the later of when
the participating agency is no longer required to maintain or no
longer maintains that information under applicable Federal and
state laws
Confidentiality& Opportunity to Examine Records (contd)
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303.401(d)Disclosure of information.Subject to paragraph (e) of
this section, the LA must disclose to the SEA and the LEA where the
child resides, in accordance with 303.209(b)(1)(i) and (ii), the
following PII under the Act:A child's nameA child's date of
birthParent contact information (including parents names,
addresses, and telephone numbers)The information described in
paragraph (d)(1) of this section is needed to enable the LA, as
well as LEAs and SEAs under Part B, to identify all children
potentially eligible for services under 303.211 and Part B
Confidentiality& Opportunity to Examine Records (contd)
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303.401(e)
Option to inform a parent about intended disclosure.An LA,
through its policies and procedures, may require EIS providers,
prior to making the limited disclosure described in paragraph
(d)(1) of this section, to inform parents of a toddler with a
disability of the intended disclosure and allow the parents a
specified time period to object to the disclosure in writingIf a
parent (in a state that has adopted the policy described in
paragraph (e)(1) of this section) objects during the time period
provided by the State, the LA and EIS provider are not permitted to
make such a disclosure under paragraph (d) of this section and
303.209(b)(1)(i) and (ii)
Confidentiality& Opportunity to Examine Records (contd)
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303.402-409
303.402: Confidentiality
303.403: Definitions
303.404: Notice to Parents
303.405: Access Rights
303.406: Record of Access
303.407: Records on More than One Child
303.408: List of Types and Locations of Information
303.409: Fees for Records
ConfidentialityPII & EI Records
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303.410-417
303.410: Amendment of Records at a Parents Request
303.411: Opportunity for a Hearing
303.412: Result of Hearing
303.413: Hearing Procedures
303.414: Consent Prior to Disclosure or Use
303.415: Safeguards
303.416: Destruction of Information
303.417: Enforcement
[Compare to Part B: 300.123, 300.501, and 300.610-627]
ConfidentialityPII & EI Records (contd)
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ConfidentialityPII & EI Records State Specifics
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May include:Description of the States confidentiality statutes,
regulations, policies, procedures, etc., including any role that
the Part B system playsInfo on how the LA maintains records on
parties that access EI records (child-specific)If applicable, any
policies and procedures relating to the sharing of electronic
information, signature and the transmission of dataOther
information a hearing officer should know relating to the use of
PII by the LA and other public agencies (including EI
providers)
[Insert a link here to compare to the States Part B
system]
303.404
The LA must give notice when a child is referred under Part C of the Act that is adequate to fully inform parents about the requirements in 303.402, including:
(a) A description of the children on whom PII is maintained, the types of information sought, the methods the State intends to use in gathering the information (including the sources from whom information is gathered), and the uses to be made of the information
(b) A summary of the policies and procedures that participating agencies must follow regarding storage, disclosure to third parties, retention, and destruction of PII
(c) A description of all the rights of parents and children regarding this information, including their rights under the Part C confidentiality provisions in 303.401-417
(d) A description of the extent that the notice is provided in
the native languages of the various population groups in the
State
ConfidentialityNotice to Parents
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ConfidentialityNotice to Parents State Specifics
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Describe how Notice of Rights ( 303.404) is provided to the family
at point of referralInclude any links to information available to
the public generally (e.g., online, brochures available in public
places)
303.7
Consent means that:
The parent has been fully informed of all information relevant to the activity for which consent is sought, in the parents native language, as defined in 303.25The parent understands and agrees in writing to the carrying out of the activity for which consent is sought, the consent form describes the activity, and lists any EI records to be released in relation to the activity, and to whom the records will be releasedThe parent understands that the consent is voluntary, may be revoked at any time, and revocation is not retroactive
[Compare to Part B: 300.9 Consent]
Parental Consent
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303.420(a)
The LA must ensure parental consent is obtained before:Administering screening procedures under 303.320 that are used to determine whether a child is suspected of having a disabilityAll evaluations and assessments of a child are conducted under 303.321EI services are provided to the child under this partPublic benefits or insurance or private insurance is used if such consent is required under 303.520Disclosure of PII consistent with 303.414
[Compare to Part B: 300.300 Parental Consent]
Parental Consent
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303.420(b)
If a parent does not give consent under paragraph (a)(1), (a)(2), or (a)(3) of this section, the LA must make reasonable efforts to ensure that the parent:
Is fully aware of the nature of the evaluation and assessment of the child or EI services that would be availableUnderstands that the child will not be able to receive the evaluation, assessment, or EI service unless consent is given
[Compare to Part B: 300.300 Parental Consent]
Parental ConsentAbility to Decline Services
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303.420(c) & (d)
(c) The LA may not use the due process hearing procedures under this part or Part B of the Act to challenge a parent's refusal to provide any consent that is required under paragraph (a) of this section
(d) The parents of an infant or toddler with a disability:
Determine whether they, their infant or toddler with a disability, or other family members will accept or decline any EI service under this part at any time, in accordance with state lawMay decline a service after first accepting it, without jeopardizing other early intervention services under this part
[Compare to Part B: 300.300(b)(4) Parental Consent for
Svcs]
Parental ConsentAbility to Decline Services (contd)
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Parental ConsentState Specifics
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Describe how Parental Consent is obtained and maintained, including
details on when it is required, any sample signature forms, and how
often it must be renewedInclude links to any information available
to the public generally (e.g., online, brochures available in
public places)
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Prior Written NoticeGeneral
303.421(a)
Prior written notice must be provided to parents areasonable time before the LA or an EIS providerproposes, or refuses, to initiate or change the identification, evaluation, or placement of their infant or toddler, or the provision of EI services to the infant or toddler with a disability and that infant's or toddler's family
[Compare to Part B: 300.503 Prior Notice by Public
Agency]
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Prior Written NoticeContent
303.421(b)
The notice must be in sufficient detail to inform parents
about:The action that is being proposed or refusedThe reasons for
taking the actionAll procedural safeguards that are available under
this subpart, including a description of mediation in 303.431, how
to file a State complaint in 303.432-434 and a due process
complaint in the provisions adopted under 303.430(d), and any
timelines under those procedures
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Prior Written NoticeState Specifics
Insert an example of the States standard form for providing Prior
Written Notice, if applicable
Include any additional information a hearing officer would need
regarding state regulations, policies, or procedures on Prior
Written Notice
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Prior Written NoticeNative Language
303.421(c)
(1) The notice must beWritten in language understandable to the general publicProvided in the native language, as defined in 303.25, of the parent or other mode of communication used by the parent, unless it is clearly not feasible to do so
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Prior Written NoticeNative Language (contd)
303.421(c)(2) If the native language or other mode of communication
of the parent is not a written language, the public agency or
designated EIS provider must take steps to ensure that:The notice
is translated orally or by other means to the parent in the
parent's native language or other mode of communicationThe parent
understands the noticeThere is written evidence that the
requirements of this paragraph have been met
[Compare to Part B: 300.503 Prior Notice by Public
Agency]
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Surrogate ParentsGeneral
303.422
Each LA or other public agency must ensure that the rights of a
child are protected whenNo parent (as defined in 303.27) can be
identifiedThe LA or other public agency, after reasonable efforts,
cannot locate a parent, orThe child is a ward of the State under
the laws of that State
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Surrogate ParentsAdditional Provisions
303.422
(b) Duty of LA and Other Public Agencies(c) Wards of the State(d) Criteria for Selection of Surrogate Parents(e) Non-employee Requirement; Compensation(f) Surrogate Parent Responsibilities(g) LA Responsibilities
[Compare to Part B: 300.519 Surrogate Parents]
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Surrogate ParentsState Specifics
Insert here any state-specific information on Surrogate Parents,
including info relating to transition to Part B
303.430
Each statewide system must include written procedures for the timely resolution of disputes through:
Mediation
State Complaint Procedures
Due Process Hearing Procedures
Dispute Resolution Options
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303.430(b): Each LA must make available to parties to disputes involving any matter under this part the opportunity for mediation that meets the requirements in 303.431
303.431(a): Each LA must ensure that procedures are established and implemented to allow parties to disputes involving any matter under this part, including matters arising prior to the filing of a due process complaint, to resolve disputes through a mediation process at any time
See also: 303.431(b) Requirements303.431(c) Impartiality of Mediator303.431(d) Meeting to Encourage Mediation
[Compare to Part B: 300.506 Mediation]
Dispute Resolution OptionsMediation
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303.430(c)
Each LA must adopt written State complaint procedures to resolve any State complaints filed by any party regarding any violation of this part that meet the requirements in 303.432-434
[Compare to Part B: 300.151-153 State Complaints]
Dispute Resolution OptionsState Complaints
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303.430(d)Each LA must adopt written due process hearing procedures to resolve complaints with respect to a particular child regarding any matter identified in 303.421(a) by either adopting: The Part C hearing procedures under 20 U.S.C. 1439 that meet the requirements of 303.435-438 and provide a means of filing a due process complaint regarding any matter listed in 303.421(a), orThe Part B hearing procedures under 20 U.S.C. 1415 that meet the requirements of 303.440-449, with either a 30-day or 45-day timeline for resolving due process complaints, as provided in 303.440(c)
[Compare to Part B: 300.507-518 Due Process Complaints]
Dispute Resolution OptionsDue Process
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Dispute Resolution OptionsDue Process Matters for
Complaints
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303.421(a): The LA or an EI service provider proposes or refuses to
initiate or change:Identification EvaluationPlacementProvision of
services to infant or toddlerProvision of services to childs family
303.411: EI records 303.521(e): System of payments and fees
[Compare to Part B: 300.507 Filing a Due Process
Complaint]
303.430(e)During the pendency of any proceeding involving a due process complaint under paragraph (d) of this section, unless the LA and parents of an infant or toddler with a disability otherwise agree, the child must continue to receive the appropriate EI services in the setting identified in the IFSP that is consented to by the parentsIf the due process complaint under paragraph (d) of this section involves an application for initial services under Part C of the Act, the child must receive those services that are not in dispute
[Compare to Part B: 300.518 Childs Status During
Proceedings]
Dispute Resolution OptionsChilds Status During Pendency of Due
Process Complaint
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Insert the States due process statutes, regulations, policies,
and proceduresInclude timelines & administrative
resourcesInsert links to any state resources available online
Appeal rights in the State
Dispute Resolution OptionsDue Process Procedures State
Specifics
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And were hereto help
when you need us
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OSEP Policy Letters of Clarification Related to Part C
Analysis of Comments & Changes to Part C Federal
Regulations(September 28, 2011)
OSEP Resources*
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*OSEP is the US Department of Education Office of Special Education
Programs.
CADREwww.directionservice.org/cadre/
ECTAwww.ectacenter.org/
NICHCYnichcy.org/laws/idea/legacy/partc
ITCAwww.ideainfanttoddler.org/
DEC/CECwww.dec-sped.org
Technical Assistance & Other EI Resources
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