1. U.S. Code
  2. title 20
  3. chapter 33
  4. subchapter II
  5. § 1412

Collapse to view only § 1412. State eligibility

§ 1411. Authorization; allotment; use of funds; authorization of appropriations
(a) Grants to States
(1) Purpose of grants
(2) Maximum amountThe maximum amount of the grant a State may receive under this section—
(A) for fiscal years 2005 and 2006 is—
(i) the number of children with disabilities in the State who are receiving special education and related services—(I) aged 3 through 5 if the State is eligible for a grant under section 1419 of this title; and(II) aged 6 through 21; multiplied by
(ii) 40 percent of the average per-pupil expenditure in public elementary schools and secondary schools in the United States; and
(B) for fiscal year 2007 and subsequent fiscal years is—
(i) the number of children with disabilities in the 2004–2005 school year in the State who received special education and related services—(I) aged 3 through 5 if the State is eligible for a grant under section 1419 of this title; and(II) aged 6 through 21; multiplied by
(ii) 40 percent of the average per-pupil expenditure in public elementary schools and secondary schools in the United States; adjusted by
(iii) the rate of annual change in the sum of—(I) 85 percent of such State’s population described in subsection (d)(3)(A)(i)(II); and(II) 15 percent of such State’s population described in subsection (d)(3)(A)(i)(III).
(b) Outlying areas and freely associated States; Secretary of the Interior
(1) Outlying areas and freely associated States
(A) Funds reservedFrom the amount appropriated for any fiscal year under subsection (i), the Secretary shall reserve not more than 1 percent, which shall be used as follows:
(i) To provide assistance to the outlying areas in accordance with their respective populations of individuals aged 3 through 21.
(ii)(I) To provide each freely associated State a grant so that no freely associated State receives a lesser share of the total funds reserved for the freely associated State than the freely associated State received of those funds for fiscal year 2023.(II) Each freely associated State shall establish its eligibility under this subparagraph consistent with the requirements for a State under section 1412 of this title.(III) The funds provided to each freely associated State under this subchapter may be used to provide, to each infant or toddler with a disability (as defined in section 1432 of this title), either a free appropriate public education, consistent with section 1412 of this title, or early intervention services consistent with subchapter III, notwithstanding the application and eligibility requirements of sections 1431(2), 1435, and 1437 of this title.
(B) Special rule
(C) Definition
(2) Secretary of the Interior
(c) Technical assistance
(1) In general
(2) Maximum amount
(d) Allocations to States
(1) In general
(2) Special rule for use of fiscal year 1999 amount
(3) Increase in fundsIf the amount available for allocations to States under paragraph (1) for a fiscal year is equal to or greater than the amount allocated to the States under this paragraph for the preceding fiscal year, those allocations shall be calculated as follows:
(A) Allocation of increase
(i) In generalExcept as provided in subparagraph (B), the Secretary shall allocate for the fiscal year—(I) to each State the amount the State received under this section for fiscal year 1999;(II) 85 percent of any remaining funds to States on the basis of the States’ relative populations of children aged 3 through 21 who are of the same age as children with disabilities for whom the State ensures the availability of a free appropriate public education under this subchapter; and(III) 15 percent of those remaining funds to States on the basis of the States’ relative populations of children described in subclause (II) who are living in poverty.
(ii) Data
(B) LimitationsNotwithstanding subparagraph (A), allocations under this paragraph shall be subject to the following:
(i) Preceding year allocation
(ii) MinimumNo State’s allocation shall be less than the greatest of—(I) the sum of—(aa) the amount the State received under this section for fiscal year 1999; and(bb) ⅓ of 1 percent of the amount by which the amount appropriated under subsection (i) for the fiscal year exceeds the amount appropriated for this section for fiscal year 1999;(II) the sum of—(aa) the amount the State received under this section for the preceding fiscal year; and(bb) that amount multiplied by the percentage by which the increase in the funds appropriated for this section from the preceding fiscal year exceeds 1.5 percent; or(III) the sum of—(aa) the amount the State received under this section for the preceding fiscal year; and(bb) that amount multiplied by 90 percent of the percentage increase in the amount appropriated for this section from the preceding fiscal year.
(iii) MaximumNotwithstanding clause (ii), no State’s allocation under this paragraph shall exceed the sum of—(I) the amount the State received under this section for the preceding fiscal year; and(II) that amount multiplied by the sum of 1.5 percent and the percentage increase in the amount appropriated under this section from the preceding fiscal year.
(C) Ratable reduction
(4) Decrease in fundsIf the amount available for allocations to States under paragraph (1) for a fiscal year is less than the amount allocated to the States under this section for the preceding fiscal year, those allocations shall be calculated as follows:
(A) Amounts greater than fiscal year 1999 allocationsIf the amount available for allocations is greater than the amount allocated to the States for fiscal year 1999, each State shall be allocated the sum of—
(i) the amount the State received under this section for fiscal year 1999; and
(ii) an amount that bears the same relation to any remaining funds as the increase the State received under this section for the preceding fiscal year over fiscal year 1999 bears to the total of all such increases for all States.
(B) Amounts equal to or less than fiscal year 1999 allocations
(i) In general
(ii) Ratable reduction
(e) State-level activities
(1) State administration
(A) In generalFor the purpose of administering this subchapter, including paragraph (3), section 1419 of this title, and the coordination of activities under this subchapter with, and providing technical assistance to, other programs that provide services to children with disabilities—
(i) each State may reserve for each fiscal year not more than the maximum amount the State was eligible to reserve for State administration under this section for fiscal year 2004 or $800,000 (adjusted in accordance with subparagraph (B)), whichever is greater; and
(ii) each outlying area may reserve for each fiscal year not more than 5 percent of the amount the outlying area receives under subsection (b)(1) for the fiscal year or $35,000, whichever is greater.
(B) Cumulative annual adjustmentsFor each fiscal year beginning with fiscal year 2005, the Secretary shall cumulatively adjust—
(i) the maximum amount the State was eligible to reserve for State administration under this subchapter for fiscal year 2004; and
(ii) $800,000,
by the rate of inflation as measured by the percentage increase, if any, from the preceding fiscal year in the Consumer Price Index For All Urban Consumers, published by the Bureau of Labor Statistics of the Department of Labor.
(C) Certification
(D) Subchapter III
(2) Other State-level activities
(A) State-level activities
(i) In general
(ii) Small State adjustment
(iii) ExceptionIf a State does not reserve funds under paragraph (3) for a fiscal year, then—(I) in the case of a State that is not described in clause (ii), for fiscal year 2005 or 2006, clause (i) shall be applied by substituting “9.0 percent” for “10 percent”; and(II) in the case of a State that is described in clause (ii), for fiscal year 2005 or 2006, clause (ii) shall be applied by substituting “9.5 percent” for “10.5 percent”.
(B) Required activitiesFunds reserved under subparagraph (A) shall be used to carry out the following activities:
(i) For monitoring, enforcement, and complaint investigation.
(ii) To establish and implement the mediation process required by section 1415(e) of this title, including providing for the cost of mediators and support personnel.
(C) Authorized activitiesFunds reserved under subparagraph (A) may be used to carry out the following activities:
(i) For support and direct services, including technical assistance, personnel preparation, and professional development and training.
(ii) To support paperwork reduction activities, including expanding the use of technology in the IEP process.
(iii) To assist local educational agencies in providing positive behavioral interventions and supports and appropriate mental health services for children with disabilities.
(iv) To improve the use of technology in the classroom by children with disabilities to enhance learning.
(v) To support the use of technology, including technology with universal design principles and assistive technology devices, to maximize accessibility to the general education curriculum for children with disabilities.
(vi) Development and implementation of transition programs, including coordination of services with agencies involved in supporting the transition of children with disabilities to postsecondary activities.
(vii) To assist local educational agencies in meeting personnel shortages.
(viii) To support capacity building activities and improve the delivery of services by local educational agencies to improve results for children with disabilities.
(ix) Alternative programming for children with disabilities who have been expelled from school, and services for children with disabilities in correctional facilities, children enrolled in State-operated or State-supported schools, and children with disabilities in charter schools.
(x) To support the development and provision of appropriate accommodations for children with disabilities, or the development and provision of alternate assessments that are valid and reliable for assessing the performance of children with disabilities, in accordance with sections 6311(b) and 6361 of this title.
(xi) To provide technical assistance to schools and local educational agencies, and direct services, including direct student services described in section 6303b(c)(3) of this title to children with disabilities, to schools or local educational agencies implementing comprehensive support and improvement activities or targeted support and improvement activities under section 6311(d) of this title on the basis of consistent underperformance of the disaggregated subgroup of children with disabilities, including providing professional development to special and regular education teachers, who teach children with disabilities, based on scientifically based research to improve educational instruction, in order to improve academic achievement based on the challenging academic standards described in section 6311(b)(1) of this title.
(3) Local educational agency risk pool
(A) In general
(i) Reservation of fundsFor the purpose of assisting local educational agencies (including a charter school that is a local educational agency or a consortium of local educational agencies) in addressing the needs of high need children with disabilities, each State shall have the option to reserve for each fiscal year 10 percent of the amount of funds the State reserves for State-level activities under paragraph (2)(A)—(I) to establish and make disbursements from the high cost fund to local educational agencies in accordance with this paragraph during the first and succeeding fiscal years of the high cost fund; and(II) to support innovative and effective ways of cost sharing by the State, by a local educational agency, or among a consortium of local educational agencies, as determined by the State in coordination with representatives from local educational agencies, subject to subparagraph (B)(ii).
(ii) Definition of local educational agency
(B) Limitation on uses of funds
(i) Establishment of high cost fund
(ii) Innovative and effective cost sharing
(C) State plan for high cost fund
(i) Definition
(ii) State planThe State educational agency shall develop, not later than 90 days after the State reserves funds under this paragraph, annually review, and amend as necessary, a State plan for the high cost fund. Such State plan shall—(I) establish, in coordination with representatives from local educational agencies, a definition of a high need child with a disability that, at a minimum—(aa) addresses the financial impact a high need child with a disability has on the budget of the child’s local educational agency; and(bb) ensures that the cost of the high need child with a disability is greater than 3 times the average per pupil expenditure (as defined in section 7801 of this title) in that State;(II) establish eligibility criteria for the participation of a local educational agency that, at a minimum, takes into account the number and percentage of high need children with disabilities served by a local educational agency;(III) develop a funding mechanism that provides distributions each fiscal year to local educational agencies that meet the criteria developed by the State under subclause (II); and(IV) establish an annual schedule by which the State educational agency shall make its distributions from the high cost fund each fiscal year.
(iii) Public availability
(D) Disbursements from the high cost fund
(i) In general
(ii) Use of disbursements
(iii) Appropriate costs
(E) Legal fees
(F) Assurance of a free appropriate public educationNothing in this paragraph shall be construed—
(i) to limit or condition the right of a child with a disability who is assisted under this subchapter to receive a free appropriate public education pursuant to section 1412(a)(1) of this title in the least restrictive environment pursuant to section 1412(a)(5) of this title; or
(ii) to authorize a State educational agency or local educational agency to establish a limit on what may be spent on the education of a child with a disability.
(G) Special rule for risk pool and high need assistance programs in effect as of January 1, 2004
(H) Medicaid services not affected
(I) Remaining funds
(4) Inapplicability of certain prohibitions
(A) the prohibition on commingling of funds in section 1412(a)(17)(B) of this title; and
(B) the prohibition on supplanting other funds in section 1412(a)(17)(C) of this title.
(5) Report on use of fundsAs part of the information required to be submitted to the Secretary under section 1412 of this title, each State shall annually describe how amounts under this section—
(A) will be used to meet the requirements of this chapter; and
(B) will be allocated among the activities described in this section to meet State priorities based on input from local educational agencies.
(6) Special rule for increased funds
(7) Flexibility in using funds for subchapter III
(f) Subgrants to local educational agencies
(1) Subgrants required
(2) Procedure for allocations to local educational agenciesFor each fiscal year for which funds are allocated to States under subsection (d), each State shall allocate funds under paragraph (1) as follows:
(A) Base payments
(B) Allocation of remaining fundsAfter making allocations under subparagraph (A), the State shall—
(i) allocate 85 percent of any remaining funds to those local educational agencies on the basis of the relative numbers of children enrolled in public and private elementary schools and secondary schools within the local educational agency’s jurisdiction; and
(ii) allocate 15 percent of those remaining funds to those local educational agencies in accordance with their relative numbers of children living in poverty, as determined by the State educational agency.
(3) Reallocation of funds
(g) DefinitionsIn this section:
(1) Average per-pupil expenditure in public elementary schools and secondary schools in the United StatesThe term “average per-pupil expenditure in public elementary schools and secondary schools in the United States” means—
(A) without regard to the source of funds—
(i) the aggregate current expenditures, during the second fiscal year preceding the fiscal year for which the determination is made (or, if satisfactory data for that year are not available, during the most recent preceding fiscal year for which satisfactory data are available) of all local educational agencies in the 50 States and the District of Columbia; plus
(ii) any direct expenditures by the State for the operation of those agencies; divided by
(B) the aggregate number of children in average daily attendance to whom those agencies provided free public education during that preceding year.
(2) State
(h) Use of amounts by Secretary of the Interior
(1) Provision of amounts for assistance
(A) In generalThe Secretary of Education shall provide amounts to the Secretary of the Interior to meet the need for assistance for the education of children with disabilities on reservations aged 5 to 21, inclusive, enrolled in elementary schools and secondary schools for Indian children operated or funded by the Secretary of the Interior. The amount of such payment for any fiscal year shall be equal to 80 percent of the amount allotted under subsection (b)(2) for that fiscal year. Of the amount described in the preceding sentence—
(i) 80 percent shall be allocated to such schools by July 1 of that fiscal year; and
(ii) 20 percent shall be allocated to such schools by September 30 of that fiscal year.
(B) Calculation of number of children
(C) Additional requirement
(2) Submission of informationThe Secretary of Education may provide the Secretary of the Interior amounts under paragraph (1) for a fiscal year only if the Secretary of the Interior submits to the Secretary of Education information that—
(A) demonstrates that the Department of the Interior meets the appropriate requirements, as determined by the Secretary of Education, of sections 1412 of this title (including monitoring and evaluation activities) and 1413 of this title;
(B) includes a description of how the Secretary of the Interior will coordinate the provision of services under this subchapter with local educational agencies, tribes and tribal organizations, and other private and Federal service providers;
(C) includes an assurance that there are public hearings, adequate notice of such hearings, and an opportunity for comment afforded to members of tribes, tribal governing bodies, and affected local school boards before the adoption of the policies, programs, and procedures related to the requirements described in subparagraph (A);
(D) includes an assurance that the Secretary of the Interior will provide such information as the Secretary of Education may require to comply with section 1418 of this title;
(E) includes an assurance that the Secretary of the Interior and the Secretary of Health and Human Services have entered into a memorandum of agreement, to be provided to the Secretary of Education, for the coordination of services, resources, and personnel between their respective Federal, State, and local offices and with State and local educational agencies and other entities to facilitate the provision of services to Indian children with disabilities residing on or near reservations (such agreement shall provide for the apportionment of responsibilities and costs, including child find, evaluation, diagnosis, remediation or therapeutic measures, and (where appropriate) equipment and medical or personal supplies as needed for a child to remain in school or a program); and
(F) includes an assurance that the Department of the Interior will cooperate with the Department of Education in its exercise of monitoring and oversight of this application, and any agreements entered into between the Secretary of the Interior and other entities under this subchapter, and will fulfill its duties under this subchapter.
(3) Applicability
(4) Payments for education and services for Indian children with disabilities aged 3 through 5
(A) In general
(B) Distribution of funds
(C) Submission of information
(D) Use of funds
(E) Biennial report
(F) Prohibitions
(5) Plan for coordination of services
(6) Establishment of advisory boardTo meet the requirements of section 1412(a)(21) of this title, the Secretary of the Interior shall establish, under the BIA, an advisory board composed of individuals involved in or concerned with the education and provision of services to Indian infants, toddlers, children, and youth with disabilities, including Indians with disabilities, Indian parents or guardians of such children, teachers, service providers, State and local educational officials, representatives of tribes or tribal organizations, representatives from State Interagency Coordinating Councils under section 1441 of this title in States having reservations, and other members representing the various divisions and entities of the BIA. The chairperson shall be selected by the Secretary of the Interior. The advisory board shall—
(A) assist in the coordination of services within the BIA and with other local, State, and Federal agencies in the provision of education for infants, toddlers, and children with disabilities;
(B) advise and assist the Secretary of the Interior in the performance of the Secretary of the Interior’s responsibilities described in this subsection;
(C) develop and recommend policies concerning effective inter- and intra-agency collaboration, including modifications to regulations, and the elimination of barriers to inter- and intra-agency programs and activities;
(D) provide assistance and disseminate information on best practices, effective program coordination strategies, and recommendations for improved early intervention services or educational programming for Indian infants, toddlers, and children with disabilities; and
(E) provide assistance in the preparation of information required under paragraph (2)(D).
(7) Annual reports
(A) In general
(B) Availability
(i) Authorization of appropriationsFor the purpose of carrying out this subchapter, other than section 1419 of this title, there are authorized to be appropriated—
(1) $12,358,376,571 for fiscal year 2005;
(2) $14,648,647,143 for fiscal year 2006;
(3) $16,938,917,714 for fiscal year 2007;
(4) $19,229,188,286 for fiscal year 2008;
(5) $21,519,458,857 for fiscal year 2009;
(6) $23,809,729,429 for fiscal year 2010;
(7) $26,100,000,000 for fiscal year 2011; and
(8) such sums as may be necessary for fiscal year 2012 and each succeeding fiscal year.
(Pub. L. 91–230, title VI, § 611, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2662; amended Pub. L. 114–95, title IX, § 9215(ss)(2), Dec. 10, 2015, 129 Stat. 2181; Pub. L. 118–42, div. G, title II, § 209(b)(3), Mar. 9, 2024, 138 Stat. 442.)

CITE AS: 20 USC 1411

§ 1412. State eligibility
(a) In generalA State is eligible for assistance under this subchapter for a fiscal year if the State submits a plan that provides assurances to the Secretary that the State has in effect policies and procedures to ensure that the State meets each of the following conditions:
(1) Free appropriate public education
(A) In general
(B) LimitationThe obligation to make a free appropriate public education available to all children with disabilities does not apply with respect to children—
(i) aged 3 through 5 and 18 through 21 in a State to the extent that its application to those children would be inconsistent with State law or practice, or the order of any court, respecting the provision of public education to children in those age ranges; and
(ii) aged 18 through 21 to the extent that State law does not require that special education and related services under this subchapter be provided to children with disabilities who, in the educational placement prior to their incarceration in an adult correctional facility—(I) were not actually identified as being a child with a disability under section 1401 of this title; or(II) did not have an individualized education program under this subchapter.
(C) State flexibility
(2) Full educational opportunity goal
(3) Child find
(A) In general
(B) Construction
(4) Individualized education program
(5) Least restrictive environment
(A) In general
(B) Additional requirement
(i) In general
(ii) Assurance
(6) Procedural safeguards
(A) In general
(B) Additional procedural safeguards
(7) Evaluation
(8) Confidentiality
(9) Transition from subchapter III to preschool programs
(10) Children in private schools
(A) Children enrolled in private schools by their parents
(i) In generalTo the extent consistent with the number and location of children with disabilities in the State who are enrolled by their parents in private elementary schools and secondary schools in the school district served by a local educational agency, provision is made for the participation of those children in the program assisted or carried out under this subchapter by providing for such children special education and related services in accordance with the following requirements, unless the Secretary has arranged for services to those children under subsection (f):(I) Amounts to be expended for the provision of those services (including direct services to parentally placed private school children) by the local educational agency shall be equal to a proportionate amount of Federal funds made available under this subchapter.(II) In calculating the proportionate amount of Federal funds, the local educational agency, after timely and meaningful consultation with representatives of private schools as described in clause (iii), shall conduct a thorough and complete child find process to determine the number of parentally placed children with disabilities attending private schools located in the local educational agency.(III) Such services to parentally placed private school children with disabilities may be provided to the children on the premises of private, including religious, schools, to the extent consistent with law.(IV) State and local funds may supplement and in no case shall supplant the proportionate amount of Federal funds required to be expended under this subparagraph.(V) Each local educational agency shall maintain in its records and provide to the State educational agency the number of children evaluated under this subparagraph, the number of children determined to be children with disabilities under this paragraph, and the number of children served under this paragraph.
(ii) Child find requirement(I) In general(II) Equitable participation(III) Activities(IV) Cost(V) Completion period
(iii) ConsultationTo ensure timely and meaningful consultation, a local educational agency, or where appropriate, a State educational agency, shall consult with private school representatives and representatives of parents of parentally placed private school children with disabilities during the design and development of special education and related services for the children, including regarding—(I) the child find process and how parentally placed private school children suspected of having a disability can participate equitably, including how parents, teachers, and private school officials will be informed of the process;(II) the determination of the proportionate amount of Federal funds available to serve parentally placed private school children with disabilities under this subparagraph, including the determination of how the amount was calculated;(III) the consultation process among the local educational agency, private school officials, and representatives of parents of parentally placed private school children with disabilities, including how such process will operate throughout the school year to ensure that parentally placed private school children with disabilities identified through the child find process can meaningfully participate in special education and related services;(IV) how, where, and by whom special education and related services will be provided for parentally placed private school children with disabilities, including a discussion of types of services, including direct services and alternate service delivery mechanisms, how such services will be apportioned if funds are insufficient to serve all children, and how and when these decisions will be made; and(V) how, if the local educational agency disagrees with the views of the private school officials on the provision of services or the types of services, whether provided directly or through a contract, the local educational agency shall provide to the private school officials a written explanation of the reasons why the local educational agency chose not to provide services directly or through a contract.
(iv) Written affirmation
(v) Compliance(I) In general(II) Procedure
(vi) Provision of equitable services(I) Directly or through contractsThe provision of services pursuant to this subparagraph shall be provided—(aa) by employees of a public agency; or(bb) through contract by the public agency with an individual, association, agency, organization, or other entity.(II) Secular, neutral, nonideological
(vii) Public control of funds
(B) Children placed in, or referred to, private schools by public agencies
(i) In general
(ii) Standards
(C) Payment for education of children enrolled in private schools without consent of or referral by the public agency
(i) In general
(ii) Reimbursement for private school placement
(iii) Limitation on reimbursementThe cost of reimbursement described in clause (ii) may be reduced or denied—(I) if—(aa) at the most recent IEP meeting that the parents attended prior to removal of the child from the public school, the parents did not inform the IEP Team that they were rejecting the placement proposed by the public agency to provide a free appropriate public education to their child, including stating their concerns and their intent to enroll their child in a private school at public expense; or(bb) 10 business days (including any holidays that occur on a business day) prior to the removal of the child from the public school, the parents did not give written notice to the public agency of the information described in item (aa);(II) if, prior to the parents’ removal of the child from the public school, the public agency informed the parents, through the notice requirements described in section 1415(b)(3) of this title, of its intent to evaluate the child (including a statement of the purpose of the evaluation that was appropriate and reasonable), but the parents did not make the child available for such evaluation; or(III) upon a judicial finding of unreasonableness with respect to actions taken by the parents.
(iv) ExceptionNotwithstanding the notice requirement in clause (iii)(I), the cost of reimbursement—(I) shall not be reduced or denied for failure to provide such notice if—(aa) the school prevented the parent from providing such notice;(bb) the parents had not received notice, pursuant to section 1415 of this title, of the notice requirement in clause (iii)(I); or(cc) compliance with clause (iii)(I) would likely result in physical harm to the child; and(II) may, in the discretion of a court or a hearing officer, not be reduced or denied for failure to provide such notice if—(aa) the parent is illiterate or cannot write in English; or(bb) compliance with clause (iii)(I) would likely result in serious emotional harm to the child.
(11) State educational agency responsible for general supervision
(A) In generalThe State educational agency is responsible for ensuring that—
(i) the requirements of this subchapter are met;
(ii) all educational programs for children with disabilities in the State, including all such programs administered by any other State agency or local agency—(I) are under the general supervision of individuals in the State who are responsible for educational programs for children with disabilities; and(II) meet the educational standards of the State educational agency; and
(iii) in carrying out this subchapter with respect to homeless children, the requirements of subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.) are met.
(B) Limitation
(C) Exception
(12) Obligations related to and methods of ensuring services
(A) Establishing responsibility for servicesThe Chief Executive Officer of a State or designee of the officer shall ensure that an interagency agreement or other mechanism for interagency coordination is in effect between each public agency described in subparagraph (B) and the State educational agency, in order to ensure that all services described in subparagraph (B)(i) that are needed to ensure a free appropriate public education are provided, including the provision of such services during the pendency of any dispute under clause (iii). Such agreement or mechanism shall include the following:
(i) Agency financial responsibility
(ii) Conditions and terms of reimbursement
(iii) Interagency disputes
(iv) Coordination of services procedures
(B) Obligation of public agency
(i) In general
(ii) Reimbursement for services by public agency
(C) Special ruleThe requirements of subparagraph (A) may be met through—
(i) State statute or regulation;
(ii) signed agreements between respective agency officials that clearly identify the responsibilities of each agency relating to the provision of services; or
(iii) other appropriate written methods as determined by the Chief Executive Officer of the State or designee of the officer and approved by the Secretary.
(13) Procedural requirements relating to local educational agency eligibility
(14) Personnel qualifications
(A) In general
(B) Related services personnel and paraprofessionalsThe qualifications under subparagraph (A) include qualifications for related services personnel and paraprofessionals that—
(i) are consistent with any State-approved or State-recognized certification, licensing, registration, or other comparable requirements that apply to the professional discipline in which those personnel are providing special education or related services;
(ii) ensure that related services personnel who deliver services in their discipline or profession meet the requirements of clause (i) and have not had certification or licensure requirements waived on an emergency, temporary, or provisional basis; and
(iii) allow paraprofessionals and assistants who are appropriately trained and supervised, in accordance with State law, regulation, or written policy, in meeting the requirements of this subchapter to be used to assist in the provision of special education and related services under this subchapter to children with disabilities.
(C) Qualifications for special education teachersThe qualifications described in subparagraph (A) shall ensure that each person employed as a special education teacher in the State who teaches elementary school, middle school, or secondary school—
(i) has obtained full State certification as a special education teacher (including participating in an alternate route to certification as a special educator, if such alternate route meets minimum requirements described in section 2005.56(a)(2)(ii) 1
1 So in original. Probably should be “200.56(a)(2)(ii)”.
of title 34, Code of Federal Regulations, as such section was in effect on November 28, 2008), or passed the State special education teacher licensing examination, and holds a license to teach in the State as a special education teacher, except with respect to any teacher teaching in a public charter school who shall meet the requirements set forth in the State’s public charter school law;
(ii) has not had special education certification or licensure requirements waived on an emergency, temporary, or provisional basis; and
(iii) holds at least a bachelor’s degree..2
2 So in original.
(D) Policy
(E) Rule of construction
(15) Performance goals and indicatorsThe State—
(A) has established goals for the performance of children with disabilities in the State that—
(i) promote the purposes of this chapter, as stated in section 1400(d) of this title;
(ii) are the same as the State’s long-term goals and measurements of interim progress for children with disabilities under section 6311(c)(4)(A)(i) of this title;
(iii) address graduation rates and dropout rates, as well as such other factors as the State may determine; and
(iv) are consistent, to the extent appropriate, with any other goals and standards for children established by the State;
(B) has established performance indicators the State will use to assess progress toward achieving the goals described in subparagraph (A), including measurements of interim progress for children with disabilities under section 6311(c)(4)(A)(i) of this title; and
(C) will annually report to the Secretary and the public on the progress of the State, and of children with disabilities in the State, toward meeting the goals established under subparagraph (A), which may include elements of the reports required under section 6311(h) of this title.
(16) Participation in assessments
(A) In general
(B) Accommodation guidelines
(C) Alternate assessments
(i) In general
(ii) Requirements for alternate assessmentsThe guidelines under clause (i) shall provide for alternate assessments that—(I) are aligned with the challenging State academic span standards under section 6311(b)(1) of this title and alternate academic achievement standards under section 6311(b)(1)(E) of this title; and(II) if the State has adopted alternate academic achievement standards permitted under section 6311(b)(1)(E) of this title, measure the achievement of children with disabilities against those standards.
(iii) Conduct of alternate assessments
(D) ReportsThe State educational agency (or, in the case of a districtwide assessment, the local educational agency) makes available to the public, and reports to the public with the same frequency and in the same detail as it reports on the assessment of nondisabled children, the following:
(i) The number of children with disabilities participating in regular assessments, and the number of those children who were provided accommodations in order to participate in those assessments.
(ii) The number of children with disabilities participating in alternate assessments described in subparagraph (C)(ii)(I).
(iii) The number of children with disabilities participating in alternate assessments described in subparagraph (C)(ii)(II).
(iv) The performance of children with disabilities on regular assessments and on alternate assessments (if the number of children with disabilities participating in those assessments is sufficient to yield statistically reliable information and reporting that information will not reveal personally identifiable information about an individual student), compared with the achievement of all children, including children with disabilities, on those assessments.
(E) Universal design
(17) Supplementation of State, local, and other Federal funds
(A) Expenditures
(B) Prohibition against commingling
(C) Prohibition against supplantation and conditions for waiver by Secretary
(18) Maintenance of State financial support
(A) In general
(B) Reduction of funds for failure to maintain support
(C) Waivers for exceptional or uncontrollable circumstancesThe Secretary may waive the requirement of subparagraph (A) for a State, for 1 fiscal year at a time, if the Secretary determines that—
(i) granting a waiver would be equitable due to exceptional or uncontrollable circumstances such as a natural disaster or a precipitous and unforeseen decline in the financial resources of the State; or
(ii) the State meets the standard in paragraph (17)(C) for a waiver of the requirement to supplement, and not to supplant, funds received under this subchapter.
(D) Subsequent years
(19) Public participation
(20) Rule of construction
(21) State advisory panel
(A) In general
(B) MembershipSuch advisory panel shall consist of members appointed by the Governor, or any other official authorized under State law to make such appointments, be representative of the State population, and be composed of individuals involved in, or concerned with, the education of children with disabilities, including—
(i) parents of children with disabilities (ages birth through 26);
(ii) individuals with disabilities;
(iii) teachers;
(iv) representatives of institutions of higher education that prepare special education and related services personnel;
(v) State and local education officials, including officials who carry out activities under subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.);
(vi) administrators of programs for children with disabilities;
(vii) representatives of other State agencies involved in the financing or delivery of related services to children with disabilities;
(viii) representatives of private schools and public charter schools;
(ix) not less than 1 representative of a vocational, community, or business organization concerned with the provision of transition services to children with disabilities;
(x) a representative from the State child welfare agency responsible for foster care; and
(xi) representatives from the State juvenile and adult corrections agencies.
(C) Special rule
(D) DutiesThe advisory panel shall—
(i) advise the State educational agency of unmet needs within the State in the education of children with disabilities;
(ii) comment publicly on any rules or regulations proposed by the State regarding the education of children with disabilities;
(iii) advise the State educational agency in developing evaluations and reporting on data to the Secretary under section 1418 of this title;
(iv) advise the State educational agency in developing corrective action plans to address findings identified in Federal monitoring reports under this subchapter; and
(v) advise the State educational agency in developing and implementing policies relating to the coordination of services for children with disabilities.
(22) Suspension and expulsion rates
(A) In generalThe State educational agency examines data, including data disaggregated by race and ethnicity, to determine if significant discrepancies are occurring in the rate of long-term suspensions and expulsions of children with disabilities—
(i) among local educational agencies in the State; or
(ii) compared to such rates for nondisabled children within such agencies.
(B) Review and revision of policies
(23) Access to instructional materials
(A) In general
(B) Rights of State educational agency
(C) Preparation and delivery of filesIf a State educational agency chooses to coordinate with the National Instructional Materials Access Center, not later than 2 years after December 3, 2004, the agency, as part of any print instructional materials adoption process, procurement contract, or other practice or instrument used for purchase of print instructional materials, shall enter into a written contract with the publisher of the print instructional materials to—
(i) require the publisher to prepare and, on or before delivery of the print instructional materials, provide to the National Instructional Materials Access Center electronic files containing the contents of the print instructional materials using the National Instructional Materials Accessibility Standard; or
(ii) purchase instructional materials from the publisher that are produced in, or may be rendered in, specialized formats.
(D) Assistive technology
(E) DefinitionsIn this paragraph:
(i) National Instructional Materials Access Center
(ii) National Instructional Materials Accessibility Standard
(iii) Specialized formats
(24) Overidentification and disproportionality
(25) Prohibition on mandatory medication
(A) In general
(B) Rule of construction
(b) State educational agency as provider of free appropriate public education or direct servicesIf the State educational agency provides free appropriate public education to children with disabilities, or provides direct services to such children, such agency—
(1) shall comply with any additional requirements of section 1413(a) of this title, as if such agency were a local educational agency; and
(2) may use amounts that are otherwise available to such agency under this subchapter to serve those children without regard to section 1413(a)(2)(A)(i) of this title (relating to excess costs).
(c) Exception for prior State plans
(1) In general
(2) Modifications made by State
(3) Modifications required by the Secretary
(d) Approval by the Secretary
(1) In general
(2) Notice and hearingThe Secretary shall not make a final determination that a State is not eligible to receive a grant under this subchapter until after providing the State—
(A) with reasonable notice; and
(B) with an opportunity for a hearing.
(e) Assistance under other Federal programs
(f) By-pass for children in private schools
(1) In general
(2) Payments
(A) Determination of amountsIf the Secretary arranges for services pursuant to this subsection, the Secretary, after consultation with the appropriate public and private school officials, shall pay to the provider of such services for a fiscal year an amount per child that does not exceed the amount determined by dividing—
(i) the total amount received by the State under this subchapter for such fiscal year; by
(ii) the number of children with disabilities served in the prior year, as reported to the Secretary by the State under section 1418 of this title.
(B) Withholding of certain amounts
(C) Period of payments
(3) Notice and hearing
(A) In general
(B) Review of action
(C) Review of findings of fact
(D) Jurisdiction of court of appeals; review by United States Supreme Court
(Pub. L. 91–230, title VI, § 612, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2676; amended Pub. L. 114–95, title IX, §§ 9214(d)(2), 9215(ss)(3), Dec. 10, 2015, 129 Stat. 2164, 2182.)

CITE AS: 20 USC 1412

§ 1413. Local educational agency eligibility
(a) In generalA local educational agency is eligible for assistance under this subchapter for a fiscal year if such agency submits a plan that provides assurances to the State educational agency that the local educational agency meets each of the following conditions:
(1) Consistency with State policies
(2) Use of amounts
(A) In generalAmounts provided to the local educational agency under this subchapter shall be expended in accordance with the applicable provisions of this subchapter and—
(i) shall be used only to pay the excess costs of providing special education and related services to children with disabilities;
(ii) shall be used to supplement State, local, and other Federal funds and not to supplant such funds; and
(iii) shall not be used, except as provided in subparagraphs (B) and (C), to reduce the level of expenditures for the education of children with disabilities made by the local educational agency from local funds below the level of those expenditures for the preceding fiscal year.
(B) ExceptionNotwithstanding the restriction in subparagraph (A)(iii), a local educational agency may reduce the level of expenditures where such reduction is attributable to—
(i) the voluntary departure, by retirement or otherwise, or departure for just cause, of special education personnel;
(ii) a decrease in the enrollment of children with disabilities;
(iii) the termination of the obligation of the agency, consistent with this subchapter, to provide a program of special education to a particular child with a disability that is an exceptionally costly program, as determined by the State educational agency, because the child—(I) has left the jurisdiction of the agency;(II) has reached the age at which the obligation of the agency to provide a free appropriate public education to the child has terminated; or(III) no longer needs such program of special education; or
(iv) the termination of costly expenditures for long-term purchases, such as the acquisition of equipment or the construction of school facilities.
(C) Adjustment to local fiscal effort in certain fiscal years
(i) Amounts in excess
(ii) Use of amounts to carry out activities under ESEA
(iii) State prohibition
(iv) Special rule
(D) Schoolwide programs under title I of the ESEANotwithstanding subparagraph (A) or any other provision of this subchapter, a local educational agency may use funds received under this subchapter for any fiscal year to carry out a schoolwide program under section 1114 of the Elementary and Secondary Education Act of 1965 [20 U.S.C. 6314], except that the amount so used in any such program shall not exceed—
(i) the number of children with disabilities participating in the schoolwide program; multiplied by
(ii)(I) the amount received by the local educational agency under this subchapter for that fiscal year; divided by(II) the number of children with disabilities in the jurisdiction of that agency.
(3) Personnel development
(4) Permissive use of funds
(A) UsesNotwithstanding paragraph (2)(A) or section 1412(a)(17)(B) of this title (relating to commingled funds), funds provided to the local educational agency under this subchapter may be used for the following activities:
(i) Services and aids that also benefit nondisabled children
(ii) Early intervening services
(iii) High cost education and related services
(B) Administrative case management
(5) Treatment of charter schools and their studentsIn carrying out this subchapter with respect to charter schools that are public schools of the local educational agency, the local educational agency—
(A) serves children with disabilities attending those charter schools in the same manner as the local educational agency serves children with disabilities in its other schools, including providing supplementary and related services on site at the charter school to the same extent to which the local educational agency has a policy or practice of providing such services on the site to its other public schools; and
(B) provides funds under this subchapter to those charter schools—
(i) on the same basis as the local educational agency provides funds to the local educational agency’s other public schools, including proportional distribution based on relative enrollment of children with disabilities; and
(ii) at the same time as the agency distributes other Federal funds to the agency’s other public schools, consistent with the State’s charter school law.
(6) Purchase of instructional materials
(A) In general
(B) Rights of local educational agency
(7) Information for State educational agency
(8) Public information
(9) Records regarding migratory children with disabilities
(b) Exception for prior local plans
(1) In general
(2) Modification made by local educational agency
(3) Modifications required by State educational agency
(c) Notification of local educational agency or State agency in case of ineligibility
(d) Local educational agency compliance
(1) In general
(2) Additional requirement
(3) Consideration
(e) Joint establishment of eligibility
(1) Joint establishment
(A) In general
(B) Charter school exception
(2) Amount of payments
(3) RequirementsLocal educational agencies that establish joint eligibility under this subsection shall—
(A) adopt policies and procedures that are consistent with the State’s policies and procedures under section 1412(a) of this title; and
(B) be jointly responsible for implementing programs that receive assistance under this subchapter.
(4) Requirements for educational service agencies
(A) In generalIf an educational service agency is required by State law to carry out programs under this subchapter, the joint responsibilities given to local educational agencies under this subsection shall—
(i) not apply to the administration and disbursement of any payments received by that educational service agency; and
(ii) be carried out only by that educational service agency.
(B) Additional requirement
(f) Early intervening services
(1) In general
(2) ActivitiesIn implementing coordinated, early intervening services under this subsection, a local educational agency may carry out activities that include—
(A) professional development (which may be provided by entities other than local educational agencies) for teachers and other school staff to enable such personnel to deliver scientifically based academic instruction and behavioral interventions, including scientifically based literacy instruction, and, where appropriate, instruction on the use of adaptive and instructional software; and
(B) providing educational and behavioral evaluations, services, and supports, including scientifically based literacy instruction.
(3) Construction
(4) ReportingEach local educational agency that develops and maintains coordinated, early intervening services under this subsection shall annually report to the State educational agency on—
(A) the number of students served under this subsection; and
(B) the number of students served under this subsection who subsequently receive special education and related services under this chapter during the preceding 2-year period.
(5) Coordination with Elementary and Secondary Education Act of 1965
(g) Direct services by the State educational agency
(1) In generalA State educational agency shall use the payments that would otherwise have been available to a local educational agency or to a State agency to provide special education and related services directly to children with disabilities residing in the area served by that local educational agency, or for whom that State agency is responsible, if the State educational agency determines that the local educational agency or State agency, as the case may be—
(A) has not provided the information needed to establish the eligibility of such local educational agency or State agency under this section;
(B) is unable to establish and maintain programs of free appropriate public education that meet the requirements of subsection (a);
(C) is unable or unwilling to be consolidated with 1 or more local educational agencies in order to establish and maintain such programs; or
(D) has 1 or more children with disabilities who can best be served by a regional or State program or service delivery system designed to meet the needs of such children.
(2) Manner and location of education and services
(h) State agency eligibilityAny State agency that desires to receive a subgrant for any fiscal year under section 1411(f) of this title shall demonstrate to the satisfaction of the State educational agency that—
(1) all children with disabilities who are participating in programs and projects funded under this subchapter receive a free appropriate public education, and that those children and their parents are provided all the rights and procedural safeguards described in this subchapter; and
(2) the agency meets such other conditions of this section as the Secretary determines to be appropriate.
(i) Disciplinary information
(j) State agency flexibility
(1) Adjustment to State fiscal effort in certain fiscal years
(2) Prohibition
(3) Education activities
(4) Report
(5) Limitation
(Pub. L. 91–230, title VI, § 613, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2694; amended Pub. L. 114–95, title IX, § 9215(ss)(4), Dec. 10, 2015, 129 Stat. 2182.)

CITE AS: 20 USC 1413

§ 1414. Evaluations, eligibility determinations, individualized education programs, and educational placements
(a) Evaluations, parental consent, and reevaluations
(1) Initial evaluations
(A) In general
(B) Request for initial evaluation
(C) Procedures
(i) In generalSuch initial evaluation shall consist of procedures—(I) to determine whether a child is a child with a disability (as defined in 1401 of this title) within 60 days of receiving parental consent for the evaluation, or, if the State establishes a timeframe within which the evaluation must be conducted, within such timeframe; and(II) to determine the educational needs of such child.
(ii) ExceptionThe relevant timeframe in clause (i)(I) shall not apply to a local educational agency if—(I) a child enrolls in a school served by the local educational agency after the relevant timeframe in clause (i)(I) has begun and prior to a determination by the child’s previous local educational agency as to whether the child is a child with a disability (as defined in section 1401 of this title), but only if the subsequent local educational agency is making sufficient progress to ensure a prompt completion of the evaluation, and the parent and subsequent local educational agency agree to a specific time when the evaluation will be completed; or(II) the parent of a child repeatedly fails or refuses to produce the child for the evaluation.
(D) Parental consent
(i) In general(I) Consent for initial evaluation(II) Consent for services
(ii) Absence of consent(I) For initial evaluation(II) For services(III) Effect on agency obligationsIf the parent of such child refuses to consent to the receipt of special education and related services, or the parent fails to respond to a request to provide such consent—(aa) the local educational agency shall not be considered to be in violation of the requirement to make available a free appropriate public education to the child for the failure to provide such child with the special education and related services for which the local educational agency requests such consent; and(bb) the local educational agency shall not be required to convene an IEP meeting or develop an IEP under this section for the child for the special education and related services for which the local educational agency requests such consent.
(iii) Consent for wards of the State(I) In general(II) ExceptionThe agency shall not be required to obtain informed consent from the parent of a child for an initial evaluation to determine whether the child is a child with a disability if—(aa) despite reasonable efforts to do so, the agency cannot discover the whereabouts of the parent of the child;(bb) the rights of the parents of the child have been terminated in accordance with State law; or(cc) the rights of the parent to make educational decisions have been subrogated by a judge in accordance with State law and consent for an initial evaluation has been given by an individual appointed by the judge to represent the child.
(E) Rule of construction
(2) Reevaluations
(A) In generalA local educational agency shall ensure that a reevaluation of each child with a disability is conducted in accordance with subsections (b) and (c)—
(i) if the local educational agency determines that the educational or related services needs, including improved academic achievement and functional performance, of the child warrant a reevaluation; or
(ii) if the child’s parents or teacher requests a reevaluation.
(B) LimitationA reevaluation conducted under subparagraph (A) shall occur—
(i) not more frequently than once a year, unless the parent and the local educational agency agree otherwise; and
(ii) at least once every 3 years, unless the parent and the local educational agency agree that a reevaluation is unnecessary.
(b) Evaluation procedures
(1) Notice
(2) Conduct of evaluationIn conducting the evaluation, the local educational agency shall—
(A) use a variety of assessment tools and strategies to gather relevant functional, developmental, and academic information, including information provided by the parent, that may assist in determining—
(i) whether the child is a child with a disability; and
(ii) the span of the child’s individualized education program, including information related to enabling the child to be involved in and progress in the general education curriculum, or, for preschool children, to participate in appropriate activities;
(B) not use any single measure or assessment as the sole criterion for determining whether a child is a child with a disability or determining an appropriate educational program for the child; and
(C) use technically sound instruments that may assess the relative contribution of cognitive and behavioral factors, in addition to physical or developmental factors.
(3) Additional requirementsEach local educational agency shall ensure that—
(A) assessments and other evaluation materials used to assess a child under this section—
(i) are selected and administered so as not to be discriminatory on a racial or cultural basis;
(ii) are provided and administered in the language and form most likely to yield accurate information on what the child knows and can do academically, developmentally, and functionally, unless it is not feasible to so provide or administer;
(iii) are used for purposes for which the assessments or measures are valid and reliable;
(iv) are administered by trained and knowledgeable personnel; and
(v) are administered in accordance with any instructions provided by the producer of such assessments;
(B) the child is assessed in all areas of suspected disability;
(C) assessment tools and strategies that provide relevant information that directly assists persons in determining the educational needs of the child are provided; and
(D) assessments of children with disabilities who transfer from 1 school district to another school district in the same academic year are coordinated with such children’s prior and subsequent schools, as necessary and as expeditiously as possible, to ensure prompt completion of full evaluations.
(4) Determination of eligibility and educational needUpon completion of the administration of assessments and other evaluation measures—
(A) the determination of whether the child is a child with a disability as defined in section 1401(3) of this title and the educational needs of the child shall be made by a team of qualified professionals and the parent of the child in accordance with paragraph (5); and
(B) a copy of the evaluation report and the documentation of determination of eligibility shall be given to the parent.
(5) Special rule for eligibility determinationIn making a determination of eligibility under paragraph (4)(A), a child shall not be determined to be a child with a disability if the determinant factor for such determination is—
(A) lack of appropriate instruction in reading, including in the essential components of reading instruction (as defined in section 6368(3) of this title, as such section was in effect on the day before December 10, 2015);
(B) lack of instruction in math; or
(C) limited English proficiency.
(6) Specific learning disabilities
(A) In general
(B) Additional authority
(c) Additional requirements for evaluation and reevaluations
(1) Review of existing evaluation dataAs part of an initial evaluation (if appropriate) and as part of any reevaluation under this section, the IEP Team and other qualified professionals, as appropriate, shall—
(A) review existing evaluation data on the child, including—
(i) evaluations and information provided by the parents of the child;
(ii) current classroom-based, local, or State assessments, and classroom-based observations; and
(iii) observations by teachers and related services providers; and
(B) on the basis of that review, and input from the child’s parents, identify what additional data, if any, are needed to determine—
(i) whether the child is a child with a disability as defined in section 1401(3) of this title, and the educational needs of the child, or, in case of a reevaluation of a child, whether the child continues to have such a disability and such educational needs;
(ii) the present levels of academic achievement and related developmental needs of the child;
(iii) whether the child needs special education and related services, or in the case of a reevaluation of a child, whether the child continues to need special education and related services; and
(iv) whether any additions or modifications to the special education and related services are needed to enable the child to meet the measurable annual goals set out in the individualized education program of the child and to participate, as appropriate, in the general education curriculum.
(2) Source of data
(3) Parental consent
(4) Requirements if additional data are not neededIf the IEP Team and other qualified professionals, as appropriate, determine that no additional data are needed to determine whether the child continues to be a child with a disability and to determine the child’s educational needs, the local educational agency—
(A) shall notify the child’s parents of—
(i) that determination and the reasons for the determination; and
(ii) the right of such parents to request an assessment to determine whether the child continues to be a child with a disability and to determine the child’s educational needs; and
(B) shall not be required to conduct such an assessment unless requested to by the child’s parents.
(5) Evaluations before change in eligibility
(A) In general
(B) Exception
(i) In general
(ii) Summary of performance
(d) Individualized education programs
(1) DefinitionsIn this chapter:
(A) Individualized education program
(i) In generalThe term “individualized education program” or “IEP” means a written statement for each child with a disability that is developed, reviewed, and revised in accordance with this section and that includes—(I) a statement of the child’s present levels of academic achievement and functional performance, including—(aa) how the child’s disability affects the child’s involvement and progress in the general education curriculum;(bb) for preschool children, as appropriate, how the disability affects the child’s participation in appropriate activities; and(cc) for children with disabilities who take alternate assessments aligned to alternate achievement standards, a description of benchmarks or short-term objectives;(II) a statement of measurable annual goals, including academic and functional goals, designed to—(aa) meet the child’s needs that result from the child’s disability to enable the child to be involved in and make progress in the general education curriculum; and(bb) meet each of the child’s other educational needs that result from the child’s disability;(III) a description of how the child’s progress toward meeting the annual goals described in subclause (II) will be measured and when periodic reports on the progress the child is making toward meeting the annual goals (such as through the use of quarterly or other periodic reports, concurrent with the issuance of report cards) will be provided;(IV) a statement of the special education and related services and supplementary aids and services, based on peer-reviewed research to the extent practicable, to be provided to the child, or on behalf of the child, and a statement of the program modifications or supports for school personnel that will be provided for the child—(aa) to advance appropriately toward attaining the annual goals;(bb) to be involved in and make progress in the general education curriculum in accordance with subclause (I) and to participate in extracurricular and other nonacademic activities; and(cc) to be educated and participate with other children with disabilities and nondisabled children in the activities described in this subparagraph;(V) an explanation of the extent, if any, to which the child will not participate with nondisabled children in the regular class and in the activities described in subclause (IV)(cc);(VI)(aa) a statement of any individual appropriate accommodations that are necessary to measure the academic achievement and functional performance of the child on State and districtwide assessments consistent with section 1412(a)(16)(A) of this title; and(bb) if the IEP Team determines that the child shall take an alternate assessment on a particular State or districtwide assessment of student achievement, a statement of why—(AA) the child cannot participate in the regular assessment; and(BB) the particular alternate assessment selected is appropriate for the child;(VII) the projected date for the beginning of the services and modifications described in subclause (IV), and the anticipated frequency, location, and duration of those services and modifications; and(VIII) beginning not later than the first IEP to be in effect when the child is 16, and updated annually thereafter—(aa) appropriate measurable postsecondary goals based upon age appropriate transition assessments related to training, education, employment, and, where appropriate, independent living skills;(bb) the transition services (including courses of study) needed to assist the child in reaching those goals; and(cc) beginning not later than 1 year before the child reaches the age of majority under State law, a statement that the child has been informed of the child’s rights under this chapter, if any, that will transfer to the child on reaching the age of majority under section 1415(m) of this title.
(ii) Rule of constructionNothing in this section shall be construed to require—(I) that additional information be included in a child’s IEP beyond what is explicitly required in this section; and(II) the IEP Team to include information under 1 component of a child’s IEP that is already contained under another component of such IEP.
(B) Individualized education program teamThe term “individualized education program team” or “IEP Team” means a group of individuals composed of—
(i) the parents of a child with a disability;
(ii) not less than 1 regular education teacher of such child (if the child is, or may be, participating in the regular education environment);
(iii) not less than 1 special education teacher, or where appropriate, not less than 1 special education provider of such child;
(iv) a representative of the local educational agency who—(I) is qualified to provide, or supervise the provision of, specially designed instruction to meet the unique needs of children with disabilities;(II) is knowledgeable about the general education curriculum; and(III) is knowledgeable about the availability of resources of the local educational agency;
(v) an individual who can interpret the instructional implications of evaluation results, who may be a member of the team described in clauses (ii) through (vi);
(vi) at the discretion of the parent or the agency, other individuals who have knowledge or special expertise regarding the child, including related services personnel as appropriate; and
(vii) whenever appropriate, the child with a disability.
(C) IEP Team attendance
(i) Attendance not necessary
(ii) ExcusalA 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—(I) the parent and the local educational agency consent to the excusal; and(II) the member submits, in writing to the parent and the IEP Team, input into the development of the IEP prior to the meeting.
(iii) Written agreement and consent required
(D) IEP Team transition
(2) Requirement that program be in effect
(A) In general
(B) Program for child aged 3 through 5In the case of a child with a disability aged 3 through 5 (or, at the discretion of the State educational agency, a 2-year-old child with a disability who will turn age 3 during the school year), the IEP Team shall consider the individualized family service plan that contains the material described in
(i) consistent with State policy; and
(ii) agreed to by the agency and the child’s parents.
(C) Program for children who transfer school districts
(i) In general(I) Transfer within the same State(II) Transfer outside State
(ii) Transmittal of recordsTo facilitate the transition for a child described in clause (i)—(I) the new school in which the child enrolls shall take reasonable steps to promptly obtain the child’s records, including the IEP and supporting documents and any other records relating to the provision of special education or related services to the child, from the previous school in which the child was enrolled, pursuant to section 99.31(a)(2) of title 34, Code of Federal Regulations; and(II) the previous school in which the child was enrolled shall take reasonable steps to promptly respond to such request from the new school.
(3) Development of IEP
(A) In generalIn developing each child’s IEP, the IEP Team, subject to subparagraph (C), shall consider—
(i) the strengths of the child;
(ii) the concerns of the parents for enhancing the education of their child;
(iii) the results of the initial evaluation or most recent evaluation of the child; and
(iv) the academic, developmental, and functional needs of the child.
(B) Consideration of special factorsThe IEP Team shall—
(i) in the case of a child whose behavior impedes the child’s learning or that of others, consider the use of positive behavioral interventions and supports, and other strategies, to address that behavior;
(ii) in the case of a child with limited English proficiency, consider the language needs of the child as such needs relate to the child’s IEP;
(iii) in the case of a child who is blind or visually impaired, provide for instruction in Braille and the use of Braille unless the IEP Team determines, after an evaluation of the child’s reading and writing skills, needs, and appropriate reading and writing media (including an evaluation of the child’s future needs for instruction in Braille or the use of Braille), that instruction in Braille or the use of Braille is not appropriate for the child;
(iv) consider the communication needs of the child, and in the case of a child who is deaf or hard of hearing, consider the 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; and
(v) consider whether the child needs assistive technology devices and services.
(C) Requirement with respect to regular education teacher
(D) Agreement
(E) Consolidation of IEP Team meetings
(F) Amendments
(4) Review and revision of IEP
(A) In generalThe local educational agency shall ensure that, subject to subparagraph (B), the IEP Team—
(i) reviews the child’s IEP periodically, but not less frequently than annually, to determine whether the annual goals for the child are being achieved; and
(ii) revises the IEP as appropriate to address—(I) any lack of expected progress toward the annual goals and in the general education curriculum, where appropriate;(II) the results of any reevaluation conducted under this section;(III) information about the child provided to, or by, the parents, as described in subsection (c)(1)(B);(IV) the child’s anticipated needs; or(V) other matters.
(B) Requirement with respect to regular education teacher
(5) Multi-year IEP demonstration
(A) Pilot program
(i) Purpose
(ii) Authorization
(iii) Proposal(I) In general(II) ContentThe proposal shall include—(aa) assurances that the development of a multi-year IEP under this paragraph is optional for parents;(bb) assurances that the parent is required to provide informed consent before a comprehensive multi-year IEP is developed;(cc) a list of required elements for each multi-year IEP, including—(AA) measurable goals pursuant to paragraph (1)(A)(i)(II), coinciding with natural transition points for the child, that will enable the child to be involved in and make progress in the general education curriculum and that will meet the child’s other needs that result from the child’s disability; and(BB) measurable annual goals for determining progress toward meeting the goals described in subitem (AA); and(dd) a description of the process for the review and revision of each multi-year IEP, including—(AA) a review by the IEP Team of the child’s multi-year IEP at each of the child’s natural transition points;(BB) in years other than a child’s natural transition points, an annual review of the child’s IEP to determine the child’s current levels of progress and whether the annual goals for the child are being achieved, and a requirement to amend the IEP, as appropriate, to enable the child to continue to meet the measurable goals set out in the IEP;(CC) if the IEP Team determines on the basis of a review that the child is not making sufficient progress toward the goals described in the multi-year IEP, a requirement that the local educational agency shall ensure that the IEP Team carries out a more thorough review of the IEP in accordance with paragraph (4) within 30 calendar days; and(DD) at the request of the parent, a requirement that the IEP Team shall conduct a review of the child’s multi-year IEP rather than or subsequent to an annual review.
(B) ReportBeginning 2 years after December 3, 2004, the Secretary shall submit an annual report to the Committee on Education and the Workforce of the House of Representatives and the Committee on Health, Education, Labor, and Pensions of the Senate regarding the effectiveness of the program under this paragraph and any specific recommendations for broader implementation of such program, including—
(i) reducing—(I) the paperwork burden on teachers, principals, administrators, and related service providers; and(II) noninstructional time spent by teachers in complying with this subchapter;
(ii) enhancing longer-term educational planning;
(iii) improving positive outcomes for children with disabilities;
(iv) promoting collaboration between IEP Team members; and
(v) ensuring satisfaction of family members.
(C) Definition
(6) Failure to meet transition objectives
(7) Children with disabilities in adult prisons
(A) In generalThe following requirements shall not apply to children with disabilities who are convicted as adults under State law and incarcerated in adult prisons:
(i) The requirements contained in section 1412(a)(16) of this title and paragraph (1)(A)(i)(VI) (relating to participation of children with disabilities in general assessments).
(ii) The requirements of items (aa) and (bb) of paragraph (1)(A)(i)(VIII) (relating to transition planning and transition services), do not apply with respect to such children whose eligibility under this subchapter will end, because of such children’s age, before such children will be released from prison.
(B) Additional requirement
(e) Educational placements
(f) Alternative means of meeting participation
(Pub. L. 91–230, title VI, § 614, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2702; amended Pub. L. 114–95, title IX, § 9215(ss)(5), Dec. 10, 2015, 129 Stat. 2182.)

CITE AS: 20 USC 1414

§ 1415. Procedural safeguards
(a) Establishment of procedures
(b) Types of proceduresThe 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 section 11434a(6) of title 42, the local educational agency shall appoint a surrogate in accordance with this paragraph.
(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 noticeThe 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 generalIf 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 generalA 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 parentsA 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) ContentsThe 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) RequirementsSuch 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 meetingPrior 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 agreementIn 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 hearingA 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 timelineThe 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 issuesIn 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) SafeguardsAny 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 requirementsIn 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 generalIn 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 generalAttorneys’ 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 complaintsA 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’ feesExcept 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) ServicesA 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 generalExcept 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 manifestationIf 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 circumstancesSchool 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 orderIn 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 appealsWhen 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 knowledgeA 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) DefinitionsIn 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 generalA 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

§ 1416. Monitoring, technical assistance, and enforcement
(a) Federal and State monitoring
(1) In generalThe Secretary shall—
(A) monitor implementation of this subchapter through—
(i) oversight of the exercise of general supervision by the States, as required in section 1412(a)(11) of this title; and
(ii) the State performance plans, described in subsection (b);
(B) enforce this subchapter in accordance with subsection (e); and
(C) require States to—
(i) monitor implementation of this subchapter by local educational agencies; and
(ii) enforce this subchapter in accordance with paragraph (3) and subsection (e).
(2) Focused monitoringThe primary focus of Federal and State monitoring activities described in paragraph (1) shall be on—
(A) improving educational results and functional outcomes for all children with disabilities; and
(B) ensuring that States meet the program requirements under this subchapter, with a particular emphasis on those requirements that are most closely related to improving educational results for children with disabilities.
(3) Monitoring prioritiesThe Secretary shall monitor the States, and shall require each State to monitor the local educational agencies located in the State (except the State exercise of general supervisory responsibility), using quantifiable indicators in each of the following priority areas, and using such qualitative indicators as are needed to adequately measure performance in the following priority areas:
(A) Provision of a free appropriate public education in the least restrictive environment.
(B) State exercise of general supervisory authority, including child find, effective monitoring, the use of resolution sessions, mediation, voluntary binding arbitration, and a system of transition services as defined in sections 1401(34) and 1437(a)(9) of this title.
(C) Disproportionate representation of racial and ethnic groups in special education and related services, to the extent the representation is the result of inappropriate identification.
(4) Permissive areas of review
(b) State performance plans
(1) Plan
(A) In general
(B) Submission for approval
(C) Review
(2) Targets
(A) In general
(B) Data collection
(i) In general
(ii) Rule of construction
(C) Public reporting and privacy
(i) In general
(ii) Report(I) Public report(II) State performance report
(iii) Privacy
(c) Approval process
(1) Deemed approval
(2) Disapproval
(3) NotificationIf the Secretary finds that the plan does not meet the requirements, in whole or in part, of this section, the Secretary shall—
(A) give the State notice and an opportunity for a hearing; and
(B) notify the State of the finding, and in such notification shall—
(i) cite the specific provisions in the plan that do not meet the requirements; and
(ii) request additional information, only as to the provisions not meeting the requirements, needed for the plan to meet the requirements of this section.
(4) ResponseIf the State responds to the Secretary’s notification described in paragraph (3)(B) during the 30-day period beginning on the date on which the State received the notification, and resubmits the plan with the requested information described in paragraph (3)(B)(ii), the Secretary shall approve or disapprove such plan prior to the later of—
(A) the expiration of the 30-day period beginning on the date on which the plan is resubmitted; or
(B) the expiration of the 120-day period described in paragraph (1).
(5) Failure to respond
(d) Secretary’s review and determination
(1) Review
(2) Determination
(A) In generalBased on the information provided by the State in the State performance report, information obtained through monitoring visits, and any other public information made available, the Secretary shall determine if the State—
(i) meets the requirements and purposes of this subchapter;
(ii) needs assistance in implementing the requirements of this subchapter;
(iii) needs intervention in implementing the requirements of this subchapter; or
(iv) needs substantial intervention in implementing the requirements of this subchapter.
(B) Notice and opportunity for a hearing
(e) Enforcement
(1) Needs assistanceIf the Secretary determines, for 2 consecutive years, that a State needs assistance under subsection (d)(2)(A)(ii) in implementing the requirements of this subchapter, the Secretary shall take 1 or more of the following actions:
(A) Advise the State of available sources of technical assistance that may help the State address the areas in which the State needs assistance, which may include assistance from the Office of Special Education Programs, other offices of the Department of Education, other Federal agencies, technical assistance providers approved by the Secretary, and other federally funded nonprofit agencies, and require the State to work with appropriate entities. Such technical assistance may include—
(i) the provision of advice by experts to address the areas in which the State needs assistance, including explicit plans for addressing the area for concern within a specified period of time;
(ii) assistance in identifying and implementing professional development, instructional strategies, and methods of instruction that are based on scientifically based research;
(iii) designating and using distinguished superintendents, principals, special education administrators, special education teachers, and other teachers to provide advice, technical assistance, and support; and
(iv) devising additional approaches to providing technical assistance, such as collaborating with institutions of higher education, educational service agencies, national centers of technical assistance supported under subchapter IV, and private providers of scientifically based technical assistance.
(B) Direct the use of State-level funds under section 1411(e) of this title on the area or areas in which the State needs assistance.
(C) Identify the State as a high-risk grantee and impose special conditions on the State’s grant under this subchapter.
(2) Needs interventionIf the Secretary determines, for 3 or more consecutive years, that a State needs intervention under subsection (d)(2)(A)(iii) in implementing the requirements of this subchapter, the following shall apply:
(A) The Secretary may take any of the actions described in paragraph (1).
(B) The Secretary shall take 1 or more of the following actions:
(i) Require the State to prepare a corrective action plan or improvement plan if the Secretary determines that the State should be able to correct the problem within 1 year.
(ii) Require the State to enter into a compliance agreement under section 457 of the General Education Provisions Act [20 U.S.C. 1234f], if the Secretary has reason to believe that the State cannot correct the problem within 1 year.
(iii) For each year of the determination, withhold not less than 20 percent and not more than 50 percent of the State’s funds under section 1411(e) of this title, until the Secretary determines the State has sufficiently addressed the areas in which the State needs intervention.
(iv) Seek to recover funds under section 452 of the General Education Provisions Act [20 U.S.C. 1234a].
(v) Withhold, in whole or in part, any further payments to the State under this subchapter pursuant to paragraph (5).
(vi) Refer the matter for appropriate enforcement action, which may include referral to the Department of Justice.
(3) Needs substantial interventionNotwithstanding paragraph (1) or (2), at any time that the Secretary determines that a State needs substantial intervention in implementing the requirements of this subchapter or that there is a substantial failure to comply with any condition of a State educational agency’s or local educational agency’s eligibility under this subchapter, the Secretary shall take 1 or more of the following actions:
(A) Recover funds under section 452 of the General Education Provisions Act [20 U.S.C. 1234a].
(B) Withhold, in whole or in part, any further payments to the State under this subchapter.
(C) Refer the case to the Office of the Inspector General at the Department of Education.
(D) Refer the matter for appropriate enforcement action, which may include referral to the Department of Justice.
(4) Opportunity for hearing
(A) Withholding funds
(B) Suspension
(5) Report to Congress
(6) Nature of withholding
(A) LimitationIf the Secretary withholds further payments pursuant to paragraph (2) or (3), the Secretary may determine—
(i) that such withholding will be limited to programs or projects, or portions of programs or projects, that affected the Secretary’s determination under subsection (d)(2); or
(ii) that the State educational agency shall not make further payments under this subchapter to specified State agencies or local educational agencies that caused or were involved in the Secretary’s determination under subsection (d)(2).
(B) Withholding until rectifiedUntil the Secretary is satisfied that the condition that caused the initial withholding has been substantially rectified—
(i) payments to the State under this subchapter shall be withheld in whole or in part; and
(ii) payments by the State educational agency under this subchapter shall be limited to State agencies and local educational agencies whose actions did not cause or were not involved in the Secretary’s determination under subsection (d)(2), as the case may be.
(7) Public attention
(8) Judicial review
(A) In general
(B) Jurisdiction; review by United States Supreme Court
(C) Standard of review
(f) State enforcement
(g) Rule of construction
(h) Divided State agency responsibilityFor purposes of this section, where responsibility for ensuring that the requirements of this subchapter are met with respect to children with disabilities who are convicted as adults under State law and incarcerated in adult prisons is assigned to a public agency other than the State educational agency pursuant to section 1412(a)(11)(C) of this title, the Secretary, in instances where the Secretary finds that the failure to comply substantially with the provisions of this subchapter are related to a failure by the public agency, shall take appropriate corrective action to ensure compliance with this subchapter, except that—
(1) any reduction or withholding of payments to the State shall be proportionate to the total funds allotted under section 1411 of this title to the State as the number of eligible children with disabilities in adult prisons under the supervision of the other public agency is proportionate to the number of eligible individuals with disabilities in the State under the supervision of the State educational agency; and
(2) any withholding of funds under paragraph (1) shall be limited to the specific agency responsible for the failure to comply with this subchapter.
(i) Data capacity and technical assistance reviewThe Secretary shall—
(1) review the data collection and analysis capacity of States to ensure that data and information determined necessary for implementation of this section is collected, analyzed, and accurately reported to the Secretary; and
(2) provide technical assistance (from funds reserved under section 1411(c) of this title), where needed, to improve the capacity of States to meet the data collection requirements.
(Pub. L. 91–230, title VI, § 616, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2731.)

CITE AS: 20 USC 1416

§ 1417. Administration
(a) Responsibilities of SecretaryThe Secretary shall—
(1) cooperate with, and (directly or by grant or contract) furnish technical assistance necessary to, a State in matters relating to—
(A) the education of children with disabilities; and
(B) carrying out this subchapter; and
(2) provide short-term training programs and institutes.
(b) Prohibition against Federal mandates, direction, or control
(c) Confidentiality
(d) Personnel
(e) Model formsNot later than the date that the Secretary publishes final regulations under this chapter, to implement amendments made by the Individuals with Disabilities Education Improvement Act of 2004, the Secretary shall publish and disseminate widely to States, local educational agencies, and parent and community training and information centers—
(1) a model IEP form;
(2) a model individualized family service plan (IFSP) form;
(3) a model form of the notice of procedural safeguards described in section 1415(d) of this title; and
(4) a model form of the prior written notice described in subsections (b)(3) and (c)(1) of section 1415 of this title that is consistent with the requirements of this subchapter and is sufficient to meet such requirements.
(Pub. L. 91–230, title VI, § 617, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2737.)

CITE AS: 20 USC 1417

§ 1418. Program information
(a) In generalEach State that receives assistance under this subchapter, and the Secretary of the Interior, shall provide data each year to the Secretary of Education and the public on the following:
(1)
(A) The number and percentage of children with disabilities, by race, ethnicity, limited English proficiency status, gender, and disability category, who are in each of the following separate categories:
(i) Receiving a free appropriate public education.
(ii) Participating in regular education.
(iii) In separate classes, separate schools or facilities, or public or private residential facilities.
(iv) For each year of age from age 14 through 21, stopped receiving special education and related services because of program completion (including graduation with a regular secondary school diploma), or other reasons, and the reasons why those children stopped receiving special education and related services.
(v)(I) Removed to an interim alternative educational setting under section 1415(k)(1) of this title.(II) The acts or items precipitating those removals.(III) The number of children with disabilities who are subject to long-term suspensions or expulsions.
(B) The number and percentage of children with disabilities, by race, gender, and ethnicity, who are receiving early intervention services.
(C) The number and percentage of children with disabilities, by race, gender, and ethnicity, who, from birth through age 2, stopped receiving early intervention services because of program completion or for other reasons.
(D) The incidence and duration of disciplinary actions by race, ethnicity, limited English proficiency status, gender, and disability category, of children with disabilities, including suspensions of 1 day or more.
(E) The number and percentage of children with disabilities who are removed to alternative educational settings or expelled as compared to children without disabilities who are removed to alternative educational settings or expelled.
(F) The number of due process complaints filed under section 1415 of this title and the number of hearings conducted.
(G) The number of hearings requested under section 1415(k) of this title and the number of changes in placements ordered as a result of those hearings.
(H) The number of mediations held and the number of settlement agreements reached through such mediations.
(2) The number and percentage of infants and toddlers, by race, and ethnicity, who are at risk of having substantial developmental delays (as defined in section 1432 of this title), and who are receiving early intervention services under subchapter III.
(3) Any other information that may be required by the Secretary.
(b) Data reporting
(1) Protection of identifiable data
(2) Sampling
(c) Technical assistance
(d) Disproportionality
(1) In generalEach State that receives assistance under this subchapter, and the Secretary of the Interior, shall provide for the collection and examination of data to determine if significant disproportionality based on race and ethnicity is occurring in the State and the local educational agencies of the State with respect to—
(A) the identification of children as children with disabilities, including the identification of children as children with disabilities in accordance with a particular impairment described in section 1401(3) of this title;
(B) the placement in particular educational settings of such children; and
(C) the incidence, duration, and type of disciplinary actions, including suspensions and expulsions.
(2) Review and revision of policies, practices, and proceduresIn the case of a determination of significant disproportionality with respect to the identification of children as children with disabilities, or the placement in particular educational settings of such children, in accordance with paragraph (1), the State or the Secretary of the Interior, as the case may be, shall—
(A) provide for the review and, if appropriate, revision of the policies, procedures, and practices used in such identification or placement to ensure that such policies, procedures, and practices comply with the requirements of this chapter;
(B) require any local educational agency identified under paragraph (1) to reserve the maximum amount of funds under section 1413(f) of this title to provide comprehensive coordinated early intervening services to serve children in the local educational agency, particularly children in those groups that were significantly overidentified under paragraph (1); and
(C) require the local educational agency to publicly report on the revision of policies, practices, and procedures described under subparagraph (A).
(Pub. L. 91–230, title VI, § 618, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2738.)

CITE AS: 20 USC 1418

§ 1419. Preschool grants
(a) In generalThe Secretary shall provide grants under this section to assist States to provide special education and related services, in accordance with this subchapter—
(1) to children with disabilities aged 3 through 5, inclusive; and
(2) at the State’s discretion, to 2-year-old children with disabilities who will turn 3 during the school year.
(b) EligibilityA State shall be eligible for a grant under this section if such State—
(1) is eligible under section 1412 of this title to receive a grant under this subchapter; and
(2) makes a free appropriate public education available to all children with disabilities, aged 3 through 5, residing in the State.
(c) Allocations to States
(1) In general
(2) Increase in fundsIf the amount available for allocations to States under paragraph (1) for a fiscal year is equal to or greater than the amount allocated to the States under this section for the preceding fiscal year, those allocations shall be calculated as follows:
(A) Allocation
(i) In generalExcept as provided in subparagraph (B), the Secretary shall—(I) allocate to each State the amount the State received under this section for fiscal year 1997;(II) allocate 85 percent of any remaining funds to States on the basis of the States’ relative populations of children aged 3 through 5; and(III) allocate 15 percent of those remaining funds to States on the basis of the States’ relative populations of all children aged 3 through 5 who are living in poverty.
(ii) Data
(B) LimitationsNotwithstanding subparagraph (A), allocations under this paragraph shall be subject to the following:
(i) Preceding years
(ii) MinimumNo State’s allocation shall be less than the greatest of—(I) the sum of—(aa) the amount the State received under this section for fiscal year 1997; and(bb) ⅓ of 1 percent of the amount by which the amount appropriated under subsection (j) for the fiscal year exceeds the amount appropriated for this section for fiscal year 1997;(II) the sum of—(aa) the amount the State received under this section for the preceding fiscal year; and(bb) that amount multiplied by the percentage by which the increase in the funds appropriated under this section from the preceding fiscal year exceeds 1.5 percent; or(III) the sum of—(aa) the amount the State received under this section for the preceding fiscal year; and(bb) that amount multiplied by 90 percent of the percentage increase in the amount appropriated under this section from the preceding fiscal year.
(iii) MaximumNotwithstanding clause (ii), no State’s allocation under this paragraph shall exceed the sum of—(I) the amount the State received under this section for the preceding fiscal year; and(II) that amount multiplied by the sum of 1.5 percent and the percentage increase in the amount appropriated under this section from the preceding fiscal year.
(C) Ratable reductions
(3) Decrease in fundsIf the amount available for allocations to States under paragraph (1) for a fiscal year is less than the amount allocated to the States under this section for the preceding fiscal year, those allocations shall be calculated as follows:
(A) AllocationsIf the amount available for allocations is greater than the amount allocated to the States for fiscal year 1997, each State shall be allocated the sum of—
(i) the amount the State received under this section for fiscal year 1997; and
(ii) an amount that bears the same relation to any remaining funds as the increase the State received under this section for the preceding fiscal year over fiscal year 1997 bears to the total of all such increases for all States.
(B) Ratable reductions
(d) Reservation for State activities
(1) In general
(2) Amount describedFor each fiscal year, the Secretary shall determine and report to the State educational agency an amount that is 25 percent of the amount the State received under this section for fiscal year 1997, cumulatively adjusted by the Secretary for each succeeding fiscal year by the lesser of—
(A) the percentage increase, if any, from the preceding fiscal year in the State’s allocation under this section; or
(B) the percentage increase, if any, from the preceding fiscal year in the Consumer Price Index For All Urban Consumers published by the Bureau of Labor Statistics of the Department of Labor.
(e) State administration
(1) In general
(2) Administration of subchapter III
(f) Other State-level activitiesEach State shall use any funds the State reserves under subsection (d) and does not use for administration under subsection (e)—
(1) for support services (including establishing and implementing the mediation process required by section 1415(e) of this title), which may benefit children with disabilities younger than 3 or older than 5 as long as those services also benefit children with disabilities aged 3 through 5;
(2) for direct services for children eligible for services under this section;
(3) for activities at the State and local levels to meet the performance goals established by the State under section 1412(a)(15) of this title;
(4) to supplement other funds used to develop and implement a statewide coordinated services system designed to improve results for children and families, including children with disabilities and their families, but not more than 1 percent of the amount received by the State under this section for a fiscal year;
(5) to provide early intervention services (which shall include an educational component that promotes school readiness and incorporates preliteracy, language, and numeracy skills) in accordance with subchapter III to children with disabilities who are eligible for services under this section and who previously received services under subchapter III until such children enter, or are eligible under State law to enter, kindergarten; or
(6) at the State’s discretion, to continue service coordination or case management for families who receive services under subchapter III.
(g) Subgrants to local educational agencies
(1) Subgrants requiredEach State that receives a grant under this section for any fiscal year shall distribute all of the grant funds that the State does not reserve under subsection (d) to local educational agencies in the State that have established their eligibility under section 1413 of this title, as follows:
(A) Base payments
(B) Allocation of remaining fundsAfter making allocations under subparagraph (A), the State shall—
(i) allocate 85 percent of any remaining funds to those local educational agencies on the basis of the relative numbers of children enrolled in public and private elementary schools and secondary schools within the local educational agency’s jurisdiction; and
(ii) allocate 15 percent of those remaining funds to those local educational agencies in accordance with their relative numbers of children living in poverty, as determined by the State educational agency.
(2) Reallocation of funds
(h) Subchapter III inapplicable
(i) State defined
(j) Authorization of appropriations
(Pub. L. 91–230, title VI, § 619, as added Pub. L. 108–446, title I, § 101, Dec. 3, 2004, 118 Stat. 2740.)

CITE AS: 20 USC 1419