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55126
Federal Register
 /Vol. 62, No. 204/Wednesday, October 22, 1997/Proposed Rules
prior written notice of the agency’s proposalsor refusals, or both, regarding the child’seducational program and placement, and theparents have the right to seek resolution of any disagreements through mediation orother informal means, or by initiating animpartial due process hearing. Every effortshould be made to resolve differencesbetween parents and school staff throughvoluntary mediation or some other informalstep, without resort to a due process hearing.However, mediation or other informalprocedures may not be used to deny or delaya parent’s right to a due process hearing.10. Does Part B require that public agenciesinform parents regarding the educationalprogress of their children with disabilities?Yes, the Part B statute and regulationsinclude a number of provisions to helpensure that parents are involved in decisionsregarding, and informed about, their child’seducational progress, including the child’sprogress in the general curriculum. First, theparents will be informed regarding theirchild’s present levels of educationalperformance through the development of theIEP. Section 300.347(a)(1) requires that eachIEP include:***a statement of the child’s presentlevels of educational performance,including—(i) How the child’s disabilityaffects the child’s involvement and progressin the general curriculum; or (ii) forpreschool children, as appropriate, how thedisability affects the child’s participation inappropriate activities***Further, §300.347(a)(7) sets forthrequirements for regularly informing parentsabout their child’s educational progress. Thatsection requires that the IEP include:***a statement of(i) How the child’sprogress toward the annual goals ***willbe measured; and (ii) how the child’s parentswill be regularly informed (by such means asperiodic report cards), at least as often asparents of nondisabled children areinformed, of—(A) Their childs progresstoward the annual goals***; and (B) theextent to which that progress is sufficient toenable the child to achieve the goals by theend of the year.Finally, the parents will, as part of the IEPteam, participate, at least once every 12months, in a review of their child’seducational progress. Part B requires that apublic agency initiate and conduct a meeting,at which the IEP team:***(1) Reviews the child’s IEPperiodically, but not less than annually todetermine whether the annual goals for thechild are being achieved; and (2) revises theIEP as appropriate to address—(i) Any lack of expected progress toward the annual goals*** and in the general curriculum, iappropriate; (ii) The results of anyreevaluation ***; (iii) Information aboutthe child provided to, or by, the parents***; (iv) The child’s anticipated needs; or(v) Other matters.
III. Preparing Students With Disabilities forEmployment and Other Post-SchoolExperiences
One of the primary purposes of the IDEAis to ‘*** ensure that all children withdisabilities have available to them a freeappropriate public education thatemphasizes special education and relatedservices designed to meet their unique needsand prepare them for employment andindependent living ***’(§300.1(a)).Similarly, one of the key purposes of theIDEA Amendments of 1997 was to ‘promoteimproved educational results for childrenwith disabilities through early intervention,preschool, and educational experiences thatprepare them for later educational challengesand employment.’(House Report No. 105–95, p. 82 (1997).) Thus, throughout theirpreschool, elementary, and secondaryeducation, the IEP for each child with adisability must, to the extent appropriate forthe individual child, focus on providinginstruction and experiences that enable thechild to prepare himself or herself for latereducational experiences and for post-schoolactivities, including formal education, if appropriate, employment, and independentliving.Although preparation for adult life is, asexplained, a key component of a freeappropriate public education throughout achild’s educational experiences, Part B setsforth specific requirements for transitionfrom secondary education to post-schoolactivities, which must be implemented nolater than age 14 and 16, respectively, whichrequire an intensified focus on thatpreparation as students with disabilitiesbegin and prepare to complete theirsecondary education.11. What must the IEP team do to meet therequirements that the IEP include ‘‘astatement of *** transition service needs’beginning at age 14 (§300.347(b)(1)(i)),’anda statement of needed transition services’’ nolater than age 16 (§300.347(b)(1)(ii))?Section 300.347(b)(1) requires that,beginning no later than age 14, each student’sIEP include specific transition-relatedcontent, and, beginning no later than age 16,a statement of needed transition services:
 Beginning at age 14,
each student’s IEPmust include ‘*** a statement of thetransition service needs of the child underthe applicable components of the child’s IEPthat focuses on the child’s courses of study(such as participation in advanced-placementcourses or a vocational education program)’’300.347(b)(1)(i)).
 No later than age 16 
(and younger, if determined appropriate by the IEP Team),each student’s IEP must include ‘‘a statementof needed transition services for the child,including, if appropriate, a statement of theinteragency responsibilities or any neededlinkages ***’(§300.347(b)(1)(ii)).The House Report on the IDEAAmendments of 1997 makes clear that therequirement added to the statute in 1997 thatbeginning at age 14, or younger if appropriate, the IEP include ‘‘a statement of the transition service needs’is ‘***designed to augment, and not replace,’’ theseparate, preexisting requirement that the IEPinclude, *** beginning at age 16 (oryounger, if determined appropriate by theIEP Team), a statement of needed transitionservices ***’(House Report No. 105–95,p. 102 (1997).) As clarified by the Report,The purpose of [the requirement in§300.347(b)(1)(i)] is to focus attention onhow the child’s educational program can beplanned to help the child make a successfultransition to his or her goals for life aftersecondary school.’’ (House Report No. 105–95, pp. 101–102 (1997).) The report furtherexplains that ‘‘[F]or example, for a childwhose transition goal is a job, a transitionservice could be teaching the child how toget to the job site on public transportation.’’(House Report No. 105–95, p–102 (1997).)Thus, beginning at age 14, the IEP team, indetermining appropriate measurable annualgoals (including benchmarks or short-termobjectives) and services for a student, mustdetermine what instruction and educationalexperiences will assist the student to preparefor transition from secondary education topost-secondary life. The statement of transition service needs should relate directlyto the student’s goals beyond secondaryeducation, and show how planned studiesare linked to these goals. For example, astudent interested in exploring a career incomputer science may have a statement of transition service needs connected totechnology course work, while anotherstudent’s statement of transition needs coulddescribe why public bus transportationtraining is important for future independencein the community. Though the focus of thetransition planning process may shift as thestudent approaches graduation, the IEP teammust discuss specific areas beginning at theage of 14 years and review these areasannually.This requirement is distinct from therequirement, at §300.347(b)(1)(ii), that theIEP include:*** beginning at age 16 (or younger, idetermined appropriate by the IEP Team), astatement of needed transition services forthe child, including, if appropriate, astatement of the interagency responsibilitiesor any needed linkages.The term transition services’’ is defined at§300.27 to mean:*** a coordinated set of activities for astudent with a disability that—(a) Is designedwithin an outcome-oriented process, thatpromotes movement from school to post-school activities, including postsecondaryeducation, vocational training, integratedemployment (including supportedemployment), continuing and adulteducation, adult services, independentliving, or community participation; (b) Isbased on the individual student’s needs,taking into account the student’s preferencesand interests; and (c) Includes—(1)Instruction; (2) Related services; (3)Community experiences; (4) Thedevelopment of employment and other post-school adult living objectives; and (5) Iappropriate, acquisition of daily living skillsand functional vocational evaluation.(Section §300.347(b)(2) provides, however,that, ‘‘If the IEP team determines that servicesare not needed in one or more of the areasspecified in §300.27((c)(1) through (4), theIEP must include a statement to that effectand the basis upon which the determinationwas made.)Thus, while §300.347(b)(1)(i) requires thatthe IEP team begin by age 14 to address the
 
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Federal Register
 /Vol. 62, No. 204/Wednesday, October 22, 1997/Proposed Rules
student’s need for instruction that will assistthe student to
 prepare
for transition,§300.347(b)(2)(ii) requires that by age 16 theIEP include a coordinated set of activities***, designed within an outcome-orientedprocess, that promotes movement fromschool to post-school activities. ***’Section 300.344(b)(3) further requires that, inimplementing §300.347(b)(2)(ii), publicagencies invite (in addition to requiredparticipants for all IEP meetings), must alsoinvite a representative of any other agencythat is likely to be responsible for providingor paying for transition services. Thus,§300.346(a)(7)(ii) requires a broader focus oncoordination of services across, and linkagesbetween, agencies beyond the SEA and LEA.12. Must the IEP for each student with adisability, beginning no later than age 16,include all needed transition services,’’ asidentified by the IEP team and consistentwith the definition at §300.27, even if anagency other than the public agency willprovide those services? What is the publicagency’s responsibility if another agency failsto provide agreed-upon transition services?Section 300.347(b)(1)(ii) requires that theIEP for each child with a disability,beginning no later than age 16, or younger if determined appropriate by the IEP team,include all needed transition services,’’ asidentified by the IEP team and consistentwith the definition at §300.27, regardless of whether the public agency or some otheragency will provide those services. Section300.346(b)(1)(ii) specifically requires that thestatement of needed transition servicesinclude, *** if appropriate, a statement othe interagency responsibilities or anyneeded linkages.’’Further, the need to include in the IEPtransition services to be provided by agenciesother than the public agency is contemplatedby §300.348(a), which specifies what thepublic agency must do if another agencyparticipating in the development of thestatement of needed transition services failsto provide a needed transition service that itagreed to provide:If a participating agency fails to provideagreed-upon transition services contained inthe IEP of a student with a disability, thepublic agency responsible for the student’seducation shall, as soon as possible, initiatea meeting for the purpose of identifyingalternative strategies to meet the transitionobjectives and, if necessary, revising thestudent’s IEP.This requirement is consistent with thepublic agency’s ultimate responsibility toensure that FAPE is available to each eligiblechild with a disability (see §300.300). Thatresponsibility includes the planning andcoordination of transition services throughthe IEP. This inter-agency planning andcoordination may be supported through avariety of mechanisms, includingmemoranda of understanding, interagencyagreements, assignment of a transitioncoordinator to work with other participatingagencies, or the establishment of guidelinesto work with other agencies identified aspotential service providers. If an agreed-uponservice by another agency is not provided,the public agency responsible for the studentmust exercise alternative strategies to meetthe student’s needs. This requires that thepublic agency provide the services, orconvene an IEP meeting as soon as possibleto identify alternative strategies to meet theneeds of the transition services needs of thestudent, and to revise the IEP accordingly.Alternative strategies might include theidentification of another funding source,referral to another agency, the publicagency’s identification of other district-wideor community resources that it can use tomeet the student’s identified needappropriately, or a combination of thesestrategies. As emphasized by §300.348(b),however:Nothing in [Part B] relieves any participatingagency, including a State vocationalrehabilitation agency, of the responsibility toprovide or pay for any transition service thatthe agency would otherwise provide tostudents with disabilities who meet theeligibility criteria of that agency.However, the fact that an agency other thanthe LEA does not fulfill its responsibilitydoes not relieve the LEA of its responsibilityto ensure that FAPE is available to eachstudent with a disability.
Note:
See also §300.142(b)(2), whichrequires that if an agency other than the LEAfails to provide or pay for a special educationor related service (which could include atransition service), the LEA must provide orpay for the service, and may then claimreimbursement from the agency that failed toprovide or pay for the service.13. Under what circumstances must apublic agency invite representatives fromother agencies to an IEP meeting at which achild’s need for transition services will beconsidered?Section 300.344(c)(ii) requires that, ‘‘Inimplementing the requirements of 300.347(b)(1)(ii) requiring a statement of needed transition services], the public agencyshall also invite a representative of any otheragency that is likely to be responsible forproviding or paying for transition services.’’To meet this requirement, the public agencymust establish and implement appropriateprocedures to ensure that it identifies allagencies that are ‘‘likely to be responsible forproviding or paying for transition services’’for each student addressed by§300.347(b)(1)(ii), and invites each of thoseagencies to the IEP meeting. If, during thecourse of an IEP meeting, the team identifiesadditional agencies that are ‘‘likely to beresponsible for providing or paying fortransition services’for the student, thepublic agency must determine whether it isnecessary to invite those agencies to anadditional IEP meeting in order to develop anappropriate statement of needed transitionservices for the student.
IV. Other Questions Regarding theDevelopment and Content of IEPS
14. For a child with a disability receivingspecial education for the first time, whenmust an IEP be developed—before placementor after placement?Section 300.342(b)(1) requires that an IEPbe ‘‘
in effect 
before special education andrelated services are provided to a child.’’(Italics added.) The appropriate placementfor a particular child with a disability cannotbe determined until after decisions have beenmade about the child’s needs and theservices that the public agency will provideto meet those needs. These decisions must bemade at the IEP meeting, and it would notbe permissible first to place the child andthen develop the IEP. Therefore, the IEP mustbe developed before placement. Thisrequirement does not preclude temporarilyplacing an eligible child with a disability ina program as part of the evaluation process—before the IEP is finalized—to assist a publicagency in determining the appropriateplacement for the child. It is essential thatthe temporary placement not become thefinal placement before the IEP is finalized. Inorder to ensure that this does not happen, theState might consider requiring LEAs to takethe following actions:a. Develop an
interim
IEP for the child thatsets out the specific conditions and timelinesfor the trial placement. (See paragraph c.)b. Ensure that the parents agree to theinterim placement before it is carried out,and that they are involved throughout theprocess of developing, reviewing, andrevising the childs IEP.c. Set a specific timeline (e.g., 30 days) forcompleting the evaluation, finalizing the IEP,and making judgments about the mostappropriate placement for the child.d. Conduct an IEP meeting at the end of thetrial period in order to finalize the child’sIEP.15. Who is responsible for ensuring thedevelopment of IEPs for children withdisabilities served by a public agency otherthan an LEA?The answer as to which public agency hasdirect responsibility for ensuring thedevelopment of IEPs for children withdisabilities served by a public agency otherthan an LEA will vary from State to State,depending upon State law, policy, orpractice. The SEA is ultimately responsiblefor ensuring that all Part B requirements,including the IEP requirements, are met foreligible children within the State, includingthose children served by a public agencyother than an LEA. (See §300.600 regardingthe SEA’s general supervisory responsibilityfor all education programs for children withdisabilities, with one exception. TheGovernor (or another individual pursuant toState law) may, consistent with State law,assign to any public agency in the State theresponsibility of ensuring that Part Brequirements are met with respect to childrenwith disabilities who are convicted as adultsunder State law and incarcerated in adultprisons.)The SEA must ensure that every child witha disability in the State has FAPE available,regardless of which State or local agency isresponsible for educating the child. (The onlyexception to this responsibility is that, asnoted, the SEA is not responsible forensuring that FAPE is made available tochildren with disabilities who are convictedas adults under State law and incarcerated inadult prisons, if the State has assigned thatresponsibility to a public agency other thanthe SEA.) Although the SEA has flexibility indeciding the best means to meet thisobligation (e.g., through interagency
 
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Federal Register
 /Vol. 62, No. 204/Wednesday, October 22, 1997/Proposed Rules
agreements), the SEA must ensure that noeligible child with a disability is deniedFAPE due to jurisdictional disputes amongagencies.When an LEA is responsible for theeducation of a child with a disability, theLEA remains responsible for developing thechilds IEP, regardless of the public or privateschool setting into which it places the child.16. For a child placed out of State by aneducational or non-educational State or localagency, is the placing or receiving Stateresponsible for the child’s IEP?Regardless of the reason for the placement,the ‘‘placing’’ State is responsible fordeveloping the child’s IEP and ensuring thatit is implemented. The determination of thespecific agency in the placing State that isresponsible for the child’s IEP would bebased on State law, policy, or practice.However, the SEA in the placing State isresponsible for ensuring that the child hasFAPE available.17. If a disabled child has been receivingspecial education from one public agencyand transfers to another public agency in thesame State, must the new public agencydevelop an IEP before the child can be placedin a special education program?If a child with a disability changes schooldistricts in the same State, the State and itspublic agencies have an ongoingresponsibility to ensure that the childreceives FAPE, and the new public agency isresponsible for ensuring that the childreceives special education and relatedservices in conformity with an IEP. The newpublic agency must ensure that the child hasan IEP in effect before the agency can providespecial education and related services. Thenew public agency may meet thisresponsibility by either adopting the IEP theformer public agency developed for the childor by developing a new IEP for the child.Before the child’s IEP is finalized, the newpublic agency may provide interim servicesagreed upon by both the parents and the newpublic agency. If the parents and the newpublic agency are unable to agree on aninterim IEP and placement, the new publicagency must implement the old IEP to theextent possible until a new IEP is developedand implemented.In general, while the new public agencymust conduct an IEP meeting, it would notbe necessary if: (1) A copy of the child’scurrent IEP is available; (2) the parentsindicate that they are satisfied with thecurrent IEP; and (3) the new public agencydetermines that the current IEP is appropriateand can be implemented as written.If the child’s current IEP is not available,or if either the new public agency or theparent believes that it is not appropriate, thenew public agency must conduct an IEPmeeting within a short time after the childenrolls in the new public agency (normally,within one week).18. What timelines apply to thedevelopment and implementation of aninitial IEP for a child with a disability?Section 300.343(b) requires a public agencyto: (1) Ensure that an offer of services inaccordance with an IEP is made to parentswithin a reasonable period of time from theagency’s receipt of parent consent to aninitial evaluation; and (2) in meeting thattimeline, conduct a meeting to develop theIEP within 30-calendar days of adetermination that the child needs specialeducation and related services. Section300.342(b)(2) requires that an IEP beimplemented as soon as possible followingthe meeting in which the IEP is developed.19. Must a public agency hold separatemeetings to determine a childs eligibility forspecial education and related services,develop the child’s IEP, and determine thechild’s placement, or may the agency meet allof these requirements in a single meeting?A public agency may, after a child isdetermined by ‘a team of qualifiedprofessionals and the parent’’ (see§300.534(a)(1)) to be a child with a disabilitywho needs special education services,continue in the same meeting to develop anIEP for the child and to determine the child’splacement. However, the public agency mustensure that it: (1) Meets all of the Part Brequirements regarding meetings to developIEPs, including providing appropriatenotification to the parents, consistent withthe requirements of §300.345, and includingthe required team participants, consistentwith the requirements of §300.344; and (2)the requirements of §300.533 regardingeligibility decisions.20. How frequently must a public agencyconduct meetings to review, and if appropriate revise, the IEP for each childwith a disability?A public agency must initiate and conductmeetings periodically, but at least once everytwelve months, to determine whether theannual goals for the child are being achieved,and to revise the IEP as appropriate toaddress: (a) Any lack of expected progresstoward the annual goals and in the generalcurriculum, if appropriate; (b) the results of any reevaluation; (c) information about thechild provided to, or by, the parents; (d) thechild’s anticipated needs; or (e) other matters300.343(c)).A public agency must also ensure that anIEP is in effect for each child at the beginningof each school year (§300.342(a)). It mayconduct IEP meetings at any time during theyear. However, if the agency conducts the IEPmeeting prior to the beginning of the nextschool year, it must ensure that the IEPcontains the necessary special education andrelated services and supplementary aids andservices to ensure that the student’s IEP canbe appropriately implemented during thenext school year. Otherwise, it would benecessary for the public agency to conductanother IEP meeting.Although the public agency is responsiblefor determining when it is necessary toconduct an IEP meeting, the parents of achild with a disability have the right torequest an IEP meeting at any time. Forexample, if the parents believe that the childis not progressing satisfactorily or that thereis a problem with the child’s current IEP, itwould be appropriate for the parents torequest an IEP meeting. If a child’s teachersfeels that the childs placement or IEPservices are not appropriate to the child, theteachers should follow agency procedureswith respect to (1) calling or meeting with theparents or (2) requesting the agency to holdanother IEP meeting to review the child’sIEP. The legislative history of Public Law 94–142 makes it clear that there should be asmany meetings a year as any one child mayneed (121 Cong. Rec. S20428–29 (Nov. 19,1975) (remarks of Senator Stafford)).In general, if either a parent or a publicagency believes that a required component of the student’s IEP should be changed, thepublic agency must conduct an IEP meetingif it believes that the question of whether thestudent’s IEP needs to be revised to ensurethe provision of FAPE to the student is amatter that must be considered by the IEPteam. If a parent requests an IEP meetingbecause the parent believes that a change inthe provision of FAPE to the child or theeducational placement of the child, and theagency refuses to convene an IEP meeting todetermine whether such a change is needed,the agency must provide written notice to theparents of the refusal, including anexplanation of why the agency hasdetermined that conducting the meeting isnot necessary to ensure the provision of FAPE to the student. Under §300.506(a), theparents or agency may initiate a due processhearing at any time regarding any proposal orrefusal regarding the identification,evaluation, or educational placement of thechild, or the provision of FAPE to the child.21. May IEP meetings be audio or video-tape-recorded?Part B does not address the use of audioor video recording devices at IEP meetings,and no other Federal statute either authorizesor prohibits the recording of an IEP meetingby either a parent or a school official.Therefore, an SEA or public agency has theoption to require, prohibit, limit, orotherwise regulate the use of recordingdevices at IEP meetings. If a public agencyhas a policy prohibiting the use of thesedevices at IEP meetings, that policy mustprovide for exceptions if they are necessaryto ensure that the parent understands the IEPor the IEP process or to implement otherparental rights guaranteed under Part B. Anyrecording of an IEP meeting that ismaintained by the public agency is aneducation record,’within the meaning of the Family Educational Rights and PrivacyAct (‘‘FERPA’’; 20 U.S.C. 1232g), and would,therefore, be subject to the confidentialityrequirements of the regulations under bothFERPA (34 CFR Part 99) and Part B(§§300.560–300.575).Parents wishing to use audio or videorecording devices at IEP meetings shouldconsult State or local policies for furtherguidance.22. Who can serve as the representative of the public agency at an IEP meeting?The IEP team must include a representativeof the local educational agency who: (a) Isqualified to provide, or supervise theprovision of, specially designed instructionto meet the unique needs of children withdisabilities; (b) is knowledgeable about thegeneral curriculum; and (c) is knowledgeableabout the availability of resources of the localeducational agency (§300.344(a)(4)). EachState or local agency may determine whichspecific staff member will serve as the agencyrepresentative in a particular IEP meeting, solong as the individual meets these
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