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Dispute Resolution Under the IDEA

Understanding, Avoiding, and Managing Special Education Disputes

David F. Bateman; Mitchell L. Yell and Jonas S. Dorego

This one-of-a-kind, comprehensive resource provides information about the dispute resolution system, including: how to resolve conflicts through collaboration to avoid the dispute resolution process; how to prepare for state complaint investigations, mediations, and due process hearings; what is involved and what is expected in each; and what happens at the conclusion of the complaint investigation, mediation, or due process hearing, including how school staff can continue to work productively with parents. Using this book, readers will understand how to effectively use dispute resolution practices and procedures to facilitate collaborative and positive partnerships between parents and school personnel in order to better serve students with disabilities.

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Rowman & Littlefield Publishers
Pages: 250 • Trim: 6¼ x 9½
978-1-5381-5615-5 • Hardback • March 2023 • $89.00 • (£68.00)
978-1-5381-5616-2 • Paperback • February 2023 • $30.00 • (£25.00)
978-1-5381-5617-9 • eBook • February 2023 • $28.00 • (£19.99)
Series: Special Education Law, Policy, and Practice
Subjects: Education / Special Education / General, Education / Classroom Management, Education / Early Childhood (incl. Preschool & Kindergarten), Education / Behavioral Management

David F. Bateman, PhD, is a professor at Shippensburg University in the Department of Educational Leadership and Special Education where he teaches courses on special education law, assessment, and facilitating inclusion. He is also a senior consultant at the American Institutes for Research. He is a former due process hearing officer for Pennsylvania where is was involved with 580 hearings. He uses his knowledge of litigation relating to special education to assist school districts in providing appropriate supports for students with disabilities. His latest area of research has been on the role of principals in special education. He has been a classroom teacher of students with learning disabilities, behavior disorders, intellectual disability, and hearing impairments, and a building administrator for summer programs. He has recently co-authored the following books: A Principal’s Guide to Special Education, A Teacher’s Guide to Special Education, Charting the Course: Special Education in Charter Schools, Current Trends and Legal Issues in Special Education, and Developing Educationally Meaningful and Legally Sound IEPs. Drs. Yell and Bateman are the editors of the Special Education Law, Policy, and Practice series published by Rowman & Littlefield.

Mitchell L. Yell, PhD, is the Fred and Francis Lester Palmetto Chair in Teacher Education and a professor in special education at the University of South Carolina. His professional interests include special education law, IEP development, progress monitoring, and parent involvement in special education. Dr. Yell has published 136 journal articles, 6 textbooks, 36 book chapters, and has conducted numerous workshops on various aspects of special education law, classroom management, and progress monitoring. His textbook, Special Education and the Law, is in its 5th edition. He co-authored the text Developing Educationally Meaningful and Legally Sound IEPs. Dr. Bateman and Dr. Yell are the editors of the Special Education Law, Policy, and Practice series published by Rowman & Littlefield. In 2020, he was awarded the Researcher of the Year from the Council for Exceptional Children. Dr. Yell also serves as a State-level due process review officer (SRO) in South Carolina and is on the Board of Directors of the Council for Exceptional Children. Prior to working in higher education, Dr. Yell was a special education teacher in Minnesota for 12 years.

Jonas S. Dorego, MEd, is a retired compliance officer for the Guam Department of Education. Ms. Dorego has worked as a compliance officer for the last 20 years managing the Guam Department of Education’s General Supervision System, including managing special education disputes. Her experience includes providing direct technical assistance to school teams on how to develop legally defensible IEPs, preparing school administrators on how to avoid special education disputes with parents, assisting the DOE on how to resolve disputes without going to hearing, preparing school teams to prepare for the actual hearing, and how to implement hearing outcomes.

Acknowledgments

Introduction

1 An Overview of the Individuals with Disabilities Education Act and Dispute Resolution

Advance Organizers

The Legal Development of Special Education

The Courts and Special Education

  • Pennsylvania Association for Retarded Citizens v. Pennsylvania (1972)
  • Mills v. Board of Education (1972)

Congress and Special Education

  • Education for All Handicapped Children Act of 1975 (EAHCA)

Primary Components of the IDEA

  • Free Appropriate Public Education
  • Evaluation
  • Least Restrictive Environment
  • Procedural Safeguards

Textbox 1.1. Procedural Safeguards

Textbox 1.2. Procedural Rights of Special Educations Students When Disciplined (IDEA Regulations, 34 C.F.R.§ 530 to 534)

What Is the Dispute Resolution System of the IDEA?

Conclusion

References

2 Avoiding Dispute Resolution

Advance Organizers

The Critical Importance of a Good Parent–School Partnership

Factors that Contribute to Establishing Meaningful Parent–School Partnerships in Special Education

Communication

  • Be Friendly
  • Listen
  • Be Clear
  • Be Honest
  • Provide and Coordinate Information

Commitment

Textbox 2.1. Important Elements of Prior Written Notice

Equality

Skills

Table 2.1. Resources on Evidence-Based Practices

Trust

Respect

Summary: Factors that Contribute to Establishing Meaningful Parent-School Partnerships in Special Education

Factors that Contribute to Parent-School Conflicts in Special Education

Strategy #1: Provide Training to Administrators and Teachers on Conflict Resolution Procedures

Strategy #2: Recognize Situations that Lead to Parent-School Conflicts

  • Discrepant View of a Child or a Child’s Needs
  • Lack of Problem-Solving Knowledge
  • Service Delivery
  • Constraints on Resources
  • Devaluation of the Parent–School Partnership
  • Reciprocal Power
  • Trust and Communication

Summary: Factors that Contribute to Parent–School Conflicts in Special Education

Alternative Dispute Resolution Mechanisms

Strategy #1: Be Prepared for Possible Contentions IEP Meetings

Strategy #2: Listen Carefully and Be Willing to Resolve the Dispute

Strategy #3: Use an Ombudsperson

Strategy #4: Use IEP Facilitation

Summary: Alternative Dispute Resolution Mechanisms

Conclusion

References

3 State Complaints

Advance Organizers

Why Are States Required to Develop and Implement Complaint Procedures?

What Is a State Complaint?

Who May File a State Complaint?

Textbox 3.1. What Should Be Included in a Complaint?

The Advantages of Filing a State Complaint

Tips on Completing a State Complaint

Textbox 3.2. Tips for filing and Reacting to State Complaints

Textbox 3.3. Possible Allegation in a State Complaint

The SEA Complaint Resolution Process

Textbox 3.4. Special Education Compliant Investigation Report—Complaint Decision

Differences Between a State Complaint and a Due Process Hearing

Conclusion

References

4 Mediation

Advance Organizers

What Is Mediation?

Textbox 4.1. Benefits of Mediation

Mediation as a Process

Textbox 4.2. Rules of Mediation

Why Choose Mediation?

Step One: The Beginning of a Mediation Session

Step Two: The Specifics of the Issue Being Mediated

Step Three: Conduct the Mediation Session

Preparation for Mediation

  • First: Focus on Purpose
  • Second: Clarify the Issues
  • Third: Develop an Index of Documents
  • Fourth: Develop a Summary
  • Fifth: State Your Issues
  • Sixth: Plan Sufficient Time for the Process
  • Seventh: Attendees at the Mediation
  • Eighth: Review the Procedural Safeguards
  • Ninth: Focus on Your Goals

What Makes for an Effective Mediation?

Mediation Agreements

Conclusion

Textbox 4.3. Sample Mediation Agreement

References

5 The Resolution Meeting

Advance Organizers

Resolution Meetings

Textbox 5.1. Timelines for the Resolution Meeting

The Courts and Resolution Meeting

Participants in the Resolution Meeting

Reaching a Resolution Agreement

Benefits of Resolution Meetings

Preparing for a Resolution Meeting

Textbox 5.2. Documents That Parents Should Bring to the Resolution Meeting

Conclusion

References

6 Settlement Agreements

Advance Organizers

The Purpose of a Settlement Agreement

Settlement Agreements and Mediation

Settlement Agreements and Resolution Meetings

The Contents of a Settlement Agreement

Enforcement of Settlement Agreements

Conclusion

References

7 Due Process Hearings

Advance Organizers

Due Process Hearings

One-Tier and Two-Tier Due Process Hearing Systems

What Is Meant by Special Education Due Process?

The Qualifications and Independence of the Hearing Officer

Textbox 7.1. Minimum Qualifications of Hearing Officers

Procedural and Substantive Issues

  • Who May Request a Due Process Hearing?
  • Timeline of a Due Process Hearing

Textbox 7.2. Due Process Timelines (IDEA Regulations, 34 C.F.R § 300.508 et seq.)

  • Notice of a Due Process Hearing
  • Sufficiency Challenge

Amended Due Process Hearing Complaint

Preliminary Meetings/Prehearing Due Process Hearing Conference

Prehearing Subject Matter

Disclosure of Exhibits, Witness List, and Introduction of Evidence

Stay-Put Rule

Due Process Hearing Basics

Textbox 7.3. Due Process Rights (IDEA Regulations, 34 C.F.R § 300.512 et seq.)

The Conduct of the Due Process Hearing

The Burden of Proof in a Due Process Hearing

Textbox 7.4. Example of the Flow of a Due Process Hearing

Hearing Officers’ Ruling

Civil Action

Conclusion

References

8 What to Expect in a Due Process Hearing

Advance Organizers

Before the Hearing

Location

The Actual Hearing

Stipulations

Opening Statements

Presentation of Witnesses

Sequestration

Witness Offer

Expert Testimony

Exhibits

Expedited Hearings

Closing Statement

Written Closing Statements

Hearing Officer Ruling

Appeal

Implementing the Decision

Conclusion

9 Expert Testimony

Advance Organizers

Ethical Considerations

Expert Testimony and the Law

What Is an Expert Witness?

Conflicting Experts

Special Education Expert Witness and the Supreme Court

Position on Expert Witness Feed of the Council of Parent Attorneys and Advocates

Textbox 9.1. COPPA Statement on Expert Witnesses

Expert Witness v. Lay Witness

Testifying as an Expert Witness

Scheduling Issues

Mutually Agreed Upon Experts

Conclusion

References

10 Witness Preparation for a Due Process Hearing

Advance Organizers

The Basics of Testimony

Textbox 10.1. Testifying

Direct Examination

Cross-Examination

Textbox 10.2. Testifying in Cross-Examination

Preparing Witnesses for Testifying

The Importance of Thorough Preparation

The Process of Testifying

What to Take to the Witness Seat?

Making an Impression

Conclusion

Reference

11 School District Preparation for Due Process Hearings

Advance Organizers

Prevention

The Due Process Hearing Complaint

Preparing for a Due Process Hearing

Notifying and Interviewing Personnel Who May Be Involved in the Hearing

  • Superintendent of the School District
  • Attorney for the School District
  • Insurance Carrier for the School District
  • Principals, Teachers, and Others Who May Be Involved

Gathering Relevant Documents

  • Anecdotal Notes
  • Emails and Correspondence

After a Hearing

Reviewing the Hearing Officer’s Order

Addressing Staff Morale

Addressing Inappropriate Actions by School Personnel

Providing Staff Development

Rebuilding Relationships with Parents

Adjusting Policies and Procedures

Conclusion

References

12 Parent Preparation for a Due Process Hearing

Advance Organizers

Why Parents File Due Process Complaints

Strategies for Improving Collaboration

Strategy #2: Treat Others Respectfully

Strategy #3: Meet Face-to-Face

Strategy #4: Contact the Correct School District Personnel

Strategy #5: Identify the Primary Issue

Strategy #6: Do Your Research

Strategy #7: Have Follow-Up Meetings

Deciding to Request a Due Process Hearing

Pre-Hearing Request Steps

Step One: Identify the Issue

Step Two: Consider the Outcome

Step Three: Gather and Organize All of the Files

Step Four: Review the Files

Step Five: Organize

Step Six: Table of Contents

Step Seven: Review Your Documents

Deciding on Hiring an Attorney

Choosing an Attorney

Pro Se Representation

Positive Aspects of Proceeding Pro Se

Negative Aspects of Proceeding Pro Se

Additional Advice for Parents

Textbox 12.1. Resources for Parents

Filing a Due Process Complaint

Textbox 12.2. Contents of the Complaint (IDEA Regulation, 34 C.F.R. § 300.508[b])

Consider Settling the Dispute

Participating in a Due Process Hearing

Conclusion

References

13 How to Read a Due Process Hearing Decision

Advance Organizers

What Is a Decision?

How to Read a Decision

Part One: Cover Page

Textbox 13.1. A list of items that may be included on the cover page

Part Two: Executive Summary

Part Three: The Issues in the Case

Part Four: The Facts of the Case

Part Five: Discussion and Conclusion of Law

Part Six: The Hearing Officer’s Order

What Happens After the Decision?

Conclusion

14 After a Due Process Hearing

Advance Organizers

The Relief that a Hearing Officer May Order

Table 14.1. Relief that Courts May Order

Appealing a Due Process Hearing Decision

Should There Be an Appeal?

Appealing a Hearing Officer’s Decision

The Appeals Process

  • Information in an Appeal of a Hearing
  • Appellate Briefs
  • The Transcript of the Due Process Hearing

After Appealing a Court Decision

Learning from a Due Process Hearing or State Complaint

Plane v. Car Crash Analogy

Opportunities to Learn from Due Process Hearings and State Complaints

Textbox 14.1. Additional Questions Regarding

  • Changes to Consider

Expenses to Be Weighed

Conclusions

References

Appendix A

Appendix B

Appendix C

Appendix D

Appendix E

References

Index

About the Authors

With this book, Bateman, Yell, and Dorego offer a much-needed resource for a variety of stakeholders in which they address dispute resolution in a plain-language manner without watering down the essential knowledge and information of this topic. The authors treat the entire range of dispute resolution options, sharing their combined wealth of knowledge regarding multiple processes including the State Complaint Process, which is less often considered and discussed to the extent it is in this text. Readers will note that the information offered may help improve problem solving before litigation is required. They share their advice and strategies with a focus on better services and cooperation among professionals and parents—rather than adversarial processes which are so often the focus of texts. I believe the impact of this book will be a redirection of the collective efforts of stakeholders from time-consuming and costly dispute resolution processes to improved services and instruction for students with disabilities—where it should be.


— James G. Shriner, University of Illinois Urbana-Champaign


Bateman, Yell, and Dorego’s new book provides readers with a focused and detailed clarification of a noticeable gap in the special education law and policy research--namely how parents and school officials can use dispute resolution processes under the IDEA to more successfully manage special education disputes. Additionally, the authors provide readers with a clear road map of recommendations based on decades of professional experiences to navigate the myriad and complexity of dispute resolution processes available under the IDEA, including mediation, resolution meetings, and due process hearings. The current evidence is compelling that effective dispute resolution is a cost and time saving alternative to handling special education disputes compared to litigation. One of the central themes of this book is how to effectively use dispute resolution practices and procedures to facilitate collaborative and positive partnerships between parents and school personnel. The result is a successful and appreciated addition to the special education law literature on how to effectively and efficiently use the procedural safeguards of alternative dispute resolution under the IDEA to better serve students with disabilities.


— Kevin P. Brady, University of Arkansas; program director, UCEA Center for the Study of Leadership and the Law


The authors provide an outstanding definition of the comprehensive nature of special education law, and offer an array of insights on how to proactively resolve conflict, thus preventing the costly and time-consuming ordeal that litigation involves. This resource is a preventive law jewel indeed.


— Joseph 'Rocky' Wallace, PhD, coordinator, Principal Licensure Program; associate professor of Graduate Education, Asbury University


This text is desperately needed: a book dedicated to the appeal process and legal rights of both sides of special education law (specific to IDEA). First and foremost, parents are always looking for resources to improve their understanding of their and their child's rights in the special education process. Readers can find all the information about this topic in one reputable place, follow the law at each step of the process, and understand the process as a whole.


— Michelle McKnight, Utah State University


This book explains complex legal processes in terms that can be comprehended by multiple stakeholders including administrators, educators, and parents. Additionally, incorporating the most recent supreme court decisions in the discussion provides relevant, up-to-date context on how the interpretation of IDEA has been impacted by this ruling. This book is written in a fair and equitable tone that respects the rights and responsibilities of both parties and explains the complexities of the legalities in terms that can be comprehended by individuals of varying educational backgrounds.


— Gloria Niles, University of Hawai'i


Any educator who finds themselves in the special education arena without the background education or experience to truly understand dispute resolution under the IDEA would benefit from this resource. The authors have provided a clear explanation for the reasons for the dispute resolution process, as well as how the process works.


— Elizabeth Timmerman Lugg, JD, PhD, Illinois State University


An updated guide on special education disputes and overview of related issues, Dispute Resolution Under the IDEA balances providing technical and legal information with application-based information. This resource is vitally important and useful for administrators, special education teachers, general education teachers, related service providers, and parents.


— Kaitlin Bundock, Utah State University


The legal pitfalls in special education law can trap the uninformed practitioner, and its complicated processes can overwhelm parents and student advocates. The authors provide a well-organized text to assist both groups, providing guidance in this complicated but important part of school law. This book could also serve as a textbook in a special education law course for a variety of future educational professionals.


— Timothy Letzring, JD, EdD, University of Central Florida


Dispute Resolutions Under the IDEA is an excellent resource for all special education stakeholders. It gives clear guidance on how to amicably resolve disagreements, as well as how to avoid them in the first place.


— Richard Mehrenberg, Millersville University


Not only will this text be a valuable addition to teacher prepatory programs, but it can benefit administrators, special education specialists and clinicians, parents of students with disabilities, and disabled individuals. Readers will gain clarity regarding the legal procedures of dispute resolution under IDEA, and how to resolve disputes equitably and legally, to fully protect disabled students and their parents. This is a much-needed resource in the field!


— Elizabeth A. Harkins Monaco, William Paterson University


Bateman, Yell, and Dorego provide an excellent introduction to special education dispute processes. This is a must-read for parents of children with disabilities, school administrators, and those who teach administration and supervision courses.


— Brittany L. Hott, PhD, BCBA-D, University of Oklahoma


Bateman, Yell, and Dorego provide a necessary resource for special education administrators, teachers, and parents of students with disabilities. Disagreements between schools and caregivers can occur when one entity believes FAPE is being denied to a student with a disability. The special education process can be daunting, and when a dispute arises, it can be overwhelming. This book provides important information and strategies for handling disputes once they get to a hearing, but more importantly, offers pro-active steps to avoid disputes altogether. This book demystifies the dispute process by explaining complex processes in understandable terms. It is an excellent resource for professionally and expertly resolving conflicts for the best interest of the student.


— Ruby L. Owiny, Minnesota State University, Mankato; past president of the Teacher Education Division of CEC


Dispute Resolution Under the IDEA is a thoughtfully written and well-organized book. This book really addresses the intent of IDEA: it offers all stakeholders the same valuable information! The law encourages schools and parents to work together to establish a cooperative process, because no party should have information that provides them a 'unique advantage', and this book gets to the heart of that goal. When everyone involved in the special education process truly understands the provisions of the law and what schools are to provide, there should be less need for mediation and dispute resolution. This book should be mandatory reading in administrator licensing and teacher preparation programs. It would also be valuable for schools to provide parents with this easy to understand book at the beginning of student’s journey into special education.


— Kyena E. Cornelius, Minnesota State University, Mankato


This book is much needed. Special education disputes between parents and school officials can be costly financially and emotionally. There is no doubt this book will help stakeholders negotiate conflict when it occurs. The authors skillfully combine legal guidance with practical advice as they explain the steps to take and why to take them to ensure an appropriate education for students with disabilities.


— Jean B. Crockett, Professor Emeritus, special education, University of Florida


Dispute Resolution Under the IDEA is essential reading for anyone interested in knowing what families and schools can—and cannot—expect with the dispute process. The chapters are engaging, clear, and detailed. This book is grounded in current cases and provides the 'nuts and bolts' that other texts miss. I highly recommend!


— Katrina Arndt, St. John Fisher University


This book fills an important gap in special education law materials. It supports educators, school leaders, and families in gaining a comprehensive understanding of the dispute resolution process through a user-friendly, step-by-step explanation presented by experts well-versed in both policy and practice. It will serve as an excellent desk reference for specific aspects of the process as needed!


— Kristin M. Murphy, University of Massachusetts, Boston


Chapter summaries

Models, samples, artifacts, checklists

Process maps for planning and doing

Glossary



Dispute Resolution Under the IDEA

Understanding, Avoiding, and Managing Special Education Disputes

Cover Image
Hardback
Paperback
eBook
Summary
Summary
  • This one-of-a-kind, comprehensive resource provides information about the dispute resolution system, including: how to resolve conflicts through collaboration to avoid the dispute resolution process; how to prepare for state complaint investigations, mediations, and due process hearings; what is involved and what is expected in each; and what happens at the conclusion of the complaint investigation, mediation, or due process hearing, including how school staff can continue to work productively with parents. Using this book, readers will understand how to effectively use dispute resolution practices and procedures to facilitate collaborative and positive partnerships between parents and school personnel in order to better serve students with disabilities.

Details
Details
  • Rowman & Littlefield Publishers
    Pages: 250 • Trim: 6¼ x 9½
    978-1-5381-5615-5 • Hardback • March 2023 • $89.00 • (£68.00)
    978-1-5381-5616-2 • Paperback • February 2023 • $30.00 • (£25.00)
    978-1-5381-5617-9 • eBook • February 2023 • $28.00 • (£19.99)
    Series: Special Education Law, Policy, and Practice
    Subjects: Education / Special Education / General, Education / Classroom Management, Education / Early Childhood (incl. Preschool & Kindergarten), Education / Behavioral Management
Author
Author
  • David F. Bateman, PhD, is a professor at Shippensburg University in the Department of Educational Leadership and Special Education where he teaches courses on special education law, assessment, and facilitating inclusion. He is also a senior consultant at the American Institutes for Research. He is a former due process hearing officer for Pennsylvania where is was involved with 580 hearings. He uses his knowledge of litigation relating to special education to assist school districts in providing appropriate supports for students with disabilities. His latest area of research has been on the role of principals in special education. He has been a classroom teacher of students with learning disabilities, behavior disorders, intellectual disability, and hearing impairments, and a building administrator for summer programs. He has recently co-authored the following books: A Principal’s Guide to Special Education, A Teacher’s Guide to Special Education, Charting the Course: Special Education in Charter Schools, Current Trends and Legal Issues in Special Education, and Developing Educationally Meaningful and Legally Sound IEPs. Drs. Yell and Bateman are the editors of the Special Education Law, Policy, and Practice series published by Rowman & Littlefield.

    Mitchell L. Yell, PhD, is the Fred and Francis Lester Palmetto Chair in Teacher Education and a professor in special education at the University of South Carolina. His professional interests include special education law, IEP development, progress monitoring, and parent involvement in special education. Dr. Yell has published 136 journal articles, 6 textbooks, 36 book chapters, and has conducted numerous workshops on various aspects of special education law, classroom management, and progress monitoring. His textbook, Special Education and the Law, is in its 5th edition. He co-authored the text Developing Educationally Meaningful and Legally Sound IEPs. Dr. Bateman and Dr. Yell are the editors of the Special Education Law, Policy, and Practice series published by Rowman & Littlefield. In 2020, he was awarded the Researcher of the Year from the Council for Exceptional Children. Dr. Yell also serves as a State-level due process review officer (SRO) in South Carolina and is on the Board of Directors of the Council for Exceptional Children. Prior to working in higher education, Dr. Yell was a special education teacher in Minnesota for 12 years.

    Jonas S. Dorego, MEd, is a retired compliance officer for the Guam Department of Education. Ms. Dorego has worked as a compliance officer for the last 20 years managing the Guam Department of Education’s General Supervision System, including managing special education disputes. Her experience includes providing direct technical assistance to school teams on how to develop legally defensible IEPs, preparing school administrators on how to avoid special education disputes with parents, assisting the DOE on how to resolve disputes without going to hearing, preparing school teams to prepare for the actual hearing, and how to implement hearing outcomes.

Table of Contents
Table of Contents
  • Acknowledgments

    Introduction

    1 An Overview of the Individuals with Disabilities Education Act and Dispute Resolution

    Advance Organizers

    The Legal Development of Special Education

    The Courts and Special Education

    • Pennsylvania Association for Retarded Citizens v. Pennsylvania (1972)
    • Mills v. Board of Education (1972)

    Congress and Special Education

    • Education for All Handicapped Children Act of 1975 (EAHCA)

    Primary Components of the IDEA

    • Free Appropriate Public Education
    • Evaluation
    • Least Restrictive Environment
    • Procedural Safeguards

    Textbox 1.1. Procedural Safeguards

    Textbox 1.2. Procedural Rights of Special Educations Students When Disciplined (IDEA Regulations, 34 C.F.R.§ 530 to 534)

    What Is the Dispute Resolution System of the IDEA?

    Conclusion

    References

    2 Avoiding Dispute Resolution

    Advance Organizers

    The Critical Importance of a Good Parent–School Partnership

    Factors that Contribute to Establishing Meaningful Parent–School Partnerships in Special Education

    Communication

    • Be Friendly
    • Listen
    • Be Clear
    • Be Honest
    • Provide and Coordinate Information

    Commitment

    Textbox 2.1. Important Elements of Prior Written Notice

    Equality

    Skills

    Table 2.1. Resources on Evidence-Based Practices

    Trust

    Respect

    Summary: Factors that Contribute to Establishing Meaningful Parent-School Partnerships in Special Education

    Factors that Contribute to Parent-School Conflicts in Special Education

    Strategy #1: Provide Training to Administrators and Teachers on Conflict Resolution Procedures

    Strategy #2: Recognize Situations that Lead to Parent-School Conflicts

    • Discrepant View of a Child or a Child’s Needs
    • Lack of Problem-Solving Knowledge
    • Service Delivery
    • Constraints on Resources
    • Devaluation of the Parent–School Partnership
    • Reciprocal Power
    • Trust and Communication

    Summary: Factors that Contribute to Parent–School Conflicts in Special Education

    Alternative Dispute Resolution Mechanisms

    Strategy #1: Be Prepared for Possible Contentions IEP Meetings

    Strategy #2: Listen Carefully and Be Willing to Resolve the Dispute

    Strategy #3: Use an Ombudsperson

    Strategy #4: Use IEP Facilitation

    Summary: Alternative Dispute Resolution Mechanisms

    Conclusion

    References

    3 State Complaints

    Advance Organizers

    Why Are States Required to Develop and Implement Complaint Procedures?

    What Is a State Complaint?

    Who May File a State Complaint?

    Textbox 3.1. What Should Be Included in a Complaint?

    The Advantages of Filing a State Complaint

    Tips on Completing a State Complaint

    Textbox 3.2. Tips for filing and Reacting to State Complaints

    Textbox 3.3. Possible Allegation in a State Complaint

    The SEA Complaint Resolution Process

    Textbox 3.4. Special Education Compliant Investigation Report—Complaint Decision

    Differences Between a State Complaint and a Due Process Hearing

    Conclusion

    References

    4 Mediation

    Advance Organizers

    What Is Mediation?

    Textbox 4.1. Benefits of Mediation

    Mediation as a Process

    Textbox 4.2. Rules of Mediation

    Why Choose Mediation?

    Step One: The Beginning of a Mediation Session

    Step Two: The Specifics of the Issue Being Mediated

    Step Three: Conduct the Mediation Session

    Preparation for Mediation

    • First: Focus on Purpose
    • Second: Clarify the Issues
    • Third: Develop an Index of Documents
    • Fourth: Develop a Summary
    • Fifth: State Your Issues
    • Sixth: Plan Sufficient Time for the Process
    • Seventh: Attendees at the Mediation
    • Eighth: Review the Procedural Safeguards
    • Ninth: Focus on Your Goals

    What Makes for an Effective Mediation?

    Mediation Agreements

    Conclusion

    Textbox 4.3. Sample Mediation Agreement

    References

    5 The Resolution Meeting

    Advance Organizers

    Resolution Meetings

    Textbox 5.1. Timelines for the Resolution Meeting

    The Courts and Resolution Meeting

    Participants in the Resolution Meeting

    Reaching a Resolution Agreement

    Benefits of Resolution Meetings

    Preparing for a Resolution Meeting

    Textbox 5.2. Documents That Parents Should Bring to the Resolution Meeting

    Conclusion

    References

    6 Settlement Agreements

    Advance Organizers

    The Purpose of a Settlement Agreement

    Settlement Agreements and Mediation

    Settlement Agreements and Resolution Meetings

    The Contents of a Settlement Agreement

    Enforcement of Settlement Agreements

    Conclusion

    References

    7 Due Process Hearings

    Advance Organizers

    Due Process Hearings

    One-Tier and Two-Tier Due Process Hearing Systems

    What Is Meant by Special Education Due Process?

    The Qualifications and Independence of the Hearing Officer

    Textbox 7.1. Minimum Qualifications of Hearing Officers

    Procedural and Substantive Issues

    • Who May Request a Due Process Hearing?
    • Timeline of a Due Process Hearing

    Textbox 7.2. Due Process Timelines (IDEA Regulations, 34 C.F.R § 300.508 et seq.)

    • Notice of a Due Process Hearing
    • Sufficiency Challenge

    Amended Due Process Hearing Complaint

    Preliminary Meetings/Prehearing Due Process Hearing Conference

    Prehearing Subject Matter

    Disclosure of Exhibits, Witness List, and Introduction of Evidence

    Stay-Put Rule

    Due Process Hearing Basics

    Textbox 7.3. Due Process Rights (IDEA Regulations, 34 C.F.R § 300.512 et seq.)

    The Conduct of the Due Process Hearing

    The Burden of Proof in a Due Process Hearing

    Textbox 7.4. Example of the Flow of a Due Process Hearing

    Hearing Officers’ Ruling

    Civil Action

    Conclusion

    References

    8 What to Expect in a Due Process Hearing

    Advance Organizers

    Before the Hearing

    Location

    The Actual Hearing

    Stipulations

    Opening Statements

    Presentation of Witnesses

    Sequestration

    Witness Offer

    Expert Testimony

    Exhibits

    Expedited Hearings

    Closing Statement

    Written Closing Statements

    Hearing Officer Ruling

    Appeal

    Implementing the Decision

    Conclusion

    9 Expert Testimony

    Advance Organizers

    Ethical Considerations

    Expert Testimony and the Law

    What Is an Expert Witness?

    Conflicting Experts

    Special Education Expert Witness and the Supreme Court

    Position on Expert Witness Feed of the Council of Parent Attorneys and Advocates

    Textbox 9.1. COPPA Statement on Expert Witnesses

    Expert Witness v. Lay Witness

    Testifying as an Expert Witness

    Scheduling Issues

    Mutually Agreed Upon Experts

    Conclusion

    References

    10 Witness Preparation for a Due Process Hearing

    Advance Organizers

    The Basics of Testimony

    Textbox 10.1. Testifying

    Direct Examination

    Cross-Examination

    Textbox 10.2. Testifying in Cross-Examination

    Preparing Witnesses for Testifying

    The Importance of Thorough Preparation

    The Process of Testifying

    What to Take to the Witness Seat?

    Making an Impression

    Conclusion

    Reference

    11 School District Preparation for Due Process Hearings

    Advance Organizers

    Prevention

    The Due Process Hearing Complaint

    Preparing for a Due Process Hearing

    Notifying and Interviewing Personnel Who May Be Involved in the Hearing

    • Superintendent of the School District
    • Attorney for the School District
    • Insurance Carrier for the School District
    • Principals, Teachers, and Others Who May Be Involved

    Gathering Relevant Documents

    • Anecdotal Notes
    • Emails and Correspondence

    After a Hearing

    Reviewing the Hearing Officer’s Order

    Addressing Staff Morale

    Addressing Inappropriate Actions by School Personnel

    Providing Staff Development

    Rebuilding Relationships with Parents

    Adjusting Policies and Procedures

    Conclusion

    References

    12 Parent Preparation for a Due Process Hearing

    Advance Organizers

    Why Parents File Due Process Complaints

    Strategies for Improving Collaboration

    Strategy #2: Treat Others Respectfully

    Strategy #3: Meet Face-to-Face

    Strategy #4: Contact the Correct School District Personnel

    Strategy #5: Identify the Primary Issue

    Strategy #6: Do Your Research

    Strategy #7: Have Follow-Up Meetings

    Deciding to Request a Due Process Hearing

    Pre-Hearing Request Steps

    Step One: Identify the Issue

    Step Two: Consider the Outcome

    Step Three: Gather and Organize All of the Files

    Step Four: Review the Files

    Step Five: Organize

    Step Six: Table of Contents

    Step Seven: Review Your Documents

    Deciding on Hiring an Attorney

    Choosing an Attorney

    Pro Se Representation

    Positive Aspects of Proceeding Pro Se

    Negative Aspects of Proceeding Pro Se

    Additional Advice for Parents

    Textbox 12.1. Resources for Parents

    Filing a Due Process Complaint

    Textbox 12.2. Contents of the Complaint (IDEA Regulation, 34 C.F.R. § 300.508[b])

    Consider Settling the Dispute

    Participating in a Due Process Hearing

    Conclusion

    References

    13 How to Read a Due Process Hearing Decision

    Advance Organizers

    What Is a Decision?

    How to Read a Decision

    Part One: Cover Page

    Textbox 13.1. A list of items that may be included on the cover page

    Part Two: Executive Summary

    Part Three: The Issues in the Case

    Part Four: The Facts of the Case

    Part Five: Discussion and Conclusion of Law

    Part Six: The Hearing Officer’s Order

    What Happens After the Decision?

    Conclusion

    14 After a Due Process Hearing

    Advance Organizers

    The Relief that a Hearing Officer May Order

    Table 14.1. Relief that Courts May Order

    Appealing a Due Process Hearing Decision

    Should There Be an Appeal?

    Appealing a Hearing Officer’s Decision

    The Appeals Process

    • Information in an Appeal of a Hearing
    • Appellate Briefs
    • The Transcript of the Due Process Hearing

    After Appealing a Court Decision

    Learning from a Due Process Hearing or State Complaint

    Plane v. Car Crash Analogy

    Opportunities to Learn from Due Process Hearings and State Complaints

    Textbox 14.1. Additional Questions Regarding

    • Changes to Consider

    Expenses to Be Weighed

    Conclusions

    References

    Appendix A

    Appendix B

    Appendix C

    Appendix D

    Appendix E

    References

    Index

    About the Authors

Reviews
Reviews
  • With this book, Bateman, Yell, and Dorego offer a much-needed resource for a variety of stakeholders in which they address dispute resolution in a plain-language manner without watering down the essential knowledge and information of this topic. The authors treat the entire range of dispute resolution options, sharing their combined wealth of knowledge regarding multiple processes including the State Complaint Process, which is less often considered and discussed to the extent it is in this text. Readers will note that the information offered may help improve problem solving before litigation is required. They share their advice and strategies with a focus on better services and cooperation among professionals and parents—rather than adversarial processes which are so often the focus of texts. I believe the impact of this book will be a redirection of the collective efforts of stakeholders from time-consuming and costly dispute resolution processes to improved services and instruction for students with disabilities—where it should be.


    — James G. Shriner, University of Illinois Urbana-Champaign


    Bateman, Yell, and Dorego’s new book provides readers with a focused and detailed clarification of a noticeable gap in the special education law and policy research--namely how parents and school officials can use dispute resolution processes under the IDEA to more successfully manage special education disputes. Additionally, the authors provide readers with a clear road map of recommendations based on decades of professional experiences to navigate the myriad and complexity of dispute resolution processes available under the IDEA, including mediation, resolution meetings, and due process hearings. The current evidence is compelling that effective dispute resolution is a cost and time saving alternative to handling special education disputes compared to litigation. One of the central themes of this book is how to effectively use dispute resolution practices and procedures to facilitate collaborative and positive partnerships between parents and school personnel. The result is a successful and appreciated addition to the special education law literature on how to effectively and efficiently use the procedural safeguards of alternative dispute resolution under the IDEA to better serve students with disabilities.


    — Kevin P. Brady, University of Arkansas; program director, UCEA Center for the Study of Leadership and the Law


    The authors provide an outstanding definition of the comprehensive nature of special education law, and offer an array of insights on how to proactively resolve conflict, thus preventing the costly and time-consuming ordeal that litigation involves. This resource is a preventive law jewel indeed.


    — Joseph 'Rocky' Wallace, PhD, coordinator, Principal Licensure Program; associate professor of Graduate Education, Asbury University


    This text is desperately needed: a book dedicated to the appeal process and legal rights of both sides of special education law (specific to IDEA). First and foremost, parents are always looking for resources to improve their understanding of their and their child's rights in the special education process. Readers can find all the information about this topic in one reputable place, follow the law at each step of the process, and understand the process as a whole.


    — Michelle McKnight, Utah State University


    This book explains complex legal processes in terms that can be comprehended by multiple stakeholders including administrators, educators, and parents. Additionally, incorporating the most recent supreme court decisions in the discussion provides relevant, up-to-date context on how the interpretation of IDEA has been impacted by this ruling. This book is written in a fair and equitable tone that respects the rights and responsibilities of both parties and explains the complexities of the legalities in terms that can be comprehended by individuals of varying educational backgrounds.


    — Gloria Niles, University of Hawai'i


    Any educator who finds themselves in the special education arena without the background education or experience to truly understand dispute resolution under the IDEA would benefit from this resource. The authors have provided a clear explanation for the reasons for the dispute resolution process, as well as how the process works.


    — Elizabeth Timmerman Lugg, JD, PhD, Illinois State University


    An updated guide on special education disputes and overview of related issues, Dispute Resolution Under the IDEA balances providing technical and legal information with application-based information. This resource is vitally important and useful for administrators, special education teachers, general education teachers, related service providers, and parents.


    — Kaitlin Bundock, Utah State University


    The legal pitfalls in special education law can trap the uninformed practitioner, and its complicated processes can overwhelm parents and student advocates. The authors provide a well-organized text to assist both groups, providing guidance in this complicated but important part of school law. This book could also serve as a textbook in a special education law course for a variety of future educational professionals.


    — Timothy Letzring, JD, EdD, University of Central Florida


    Dispute Resolutions Under the IDEA is an excellent resource for all special education stakeholders. It gives clear guidance on how to amicably resolve disagreements, as well as how to avoid them in the first place.


    — Richard Mehrenberg, Millersville University


    Not only will this text be a valuable addition to teacher prepatory programs, but it can benefit administrators, special education specialists and clinicians, parents of students with disabilities, and disabled individuals. Readers will gain clarity regarding the legal procedures of dispute resolution under IDEA, and how to resolve disputes equitably and legally, to fully protect disabled students and their parents. This is a much-needed resource in the field!


    — Elizabeth A. Harkins Monaco, William Paterson University


    Bateman, Yell, and Dorego provide an excellent introduction to special education dispute processes. This is a must-read for parents of children with disabilities, school administrators, and those who teach administration and supervision courses.


    — Brittany L. Hott, PhD, BCBA-D, University of Oklahoma


    Bateman, Yell, and Dorego provide a necessary resource for special education administrators, teachers, and parents of students with disabilities. Disagreements between schools and caregivers can occur when one entity believes FAPE is being denied to a student with a disability. The special education process can be daunting, and when a dispute arises, it can be overwhelming. This book provides important information and strategies for handling disputes once they get to a hearing, but more importantly, offers pro-active steps to avoid disputes altogether. This book demystifies the dispute process by explaining complex processes in understandable terms. It is an excellent resource for professionally and expertly resolving conflicts for the best interest of the student.


    — Ruby L. Owiny, Minnesota State University, Mankato; past president of the Teacher Education Division of CEC


    Dispute Resolution Under the IDEA is a thoughtfully written and well-organized book. This book really addresses the intent of IDEA: it offers all stakeholders the same valuable information! The law encourages schools and parents to work together to establish a cooperative process, because no party should have information that provides them a 'unique advantage', and this book gets to the heart of that goal. When everyone involved in the special education process truly understands the provisions of the law and what schools are to provide, there should be less need for mediation and dispute resolution. This book should be mandatory reading in administrator licensing and teacher preparation programs. It would also be valuable for schools to provide parents with this easy to understand book at the beginning of student’s journey into special education.


    — Kyena E. Cornelius, Minnesota State University, Mankato


    This book is much needed. Special education disputes between parents and school officials can be costly financially and emotionally. There is no doubt this book will help stakeholders negotiate conflict when it occurs. The authors skillfully combine legal guidance with practical advice as they explain the steps to take and why to take them to ensure an appropriate education for students with disabilities.


    — Jean B. Crockett, Professor Emeritus, special education, University of Florida


    Dispute Resolution Under the IDEA is essential reading for anyone interested in knowing what families and schools can—and cannot—expect with the dispute process. The chapters are engaging, clear, and detailed. This book is grounded in current cases and provides the 'nuts and bolts' that other texts miss. I highly recommend!


    — Katrina Arndt, St. John Fisher University


    This book fills an important gap in special education law materials. It supports educators, school leaders, and families in gaining a comprehensive understanding of the dispute resolution process through a user-friendly, step-by-step explanation presented by experts well-versed in both policy and practice. It will serve as an excellent desk reference for specific aspects of the process as needed!


    — Kristin M. Murphy, University of Massachusetts, Boston


Features
Features
  • Chapter summaries

    Models, samples, artifacts, checklists

    Process maps for planning and doing

    Glossary



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