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California Department of Education Special Education Division Michael P. Warych, Ed.D., Manager Procedural Safeguards Referral Service Alice D. Parker, Ed.D. Assistant Superintendent Director, Special Education.

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18 Most Common Areas of Noncompliance Cited by the California Department of Education Special Education Division


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  1. California Department of EducationSpecial Education DivisionMichael P. Warych, Ed.D., ManagerProcedural Safeguards Referral ServiceAlice D. Parker, Ed.D.Assistant SuperintendentDirector, Special Education

  2. 18 Most Common Areas of Noncompliance Cited by theCalifornia Department of EducationSpecial Education Division In Order of Frequency 2000 - 2003

  3. This training module is intended for parents, advocates, attorneys, and school personnel who want an overview of the most common areas of noncompliance.

  4. Before You Continue… If you haven’t already done so, click on “Slide Show” at the top of this screen. Then click on “View Show.” Click anywhere on this screen or press “Enter” after each slide.

  5. This training module includes four “spot quizzes.” You are not required to record your answers to the spot quizzes.

  6. References • California Education Code • California Special Education Programs: A Composite of Laws (including selected citations from Title 5, California Code of Regulations) • Title 20, United States Code, Chapter 23, Section 1400 (Individuals with Disabilities Education Act (IDEA)) • Title 34, Code of Federal Regulations, Parts 300 and 303 (IDEA implementing codes)

  7. #1 Area of Noncompliance

  8. Implementation of the IEP34 CFR § 300.350(a)(1) • Provide services “in accordance with the child’s IEP” • Exactly as delineated in the IEP • Includes due process mediation agreements, hearing orders, and settlement agreements • Note: See also 34 CFR §§ 300.342(a) & (b), 5 CCR § 3040(a), EC § 56345(c), EC § 56346(a)

  9. #2 Area of Noncompliance

  10. Pupil records provided within 5 calendar daysEC § 56504 • Parent’s right to “examine all school records…and…receive copies…within five [calendar] days…” of request • Request may be written or oral • In some cases, district may charge “the actual cost” of reproducing records • Note: Differs from 34 CFR § 300.562(a) (special ed records only; 45 days to comply)

  11. #3 Area of Noncompliance

  12. 15-day referral timelineEC § 56321(a) • Parent/guardian “…shall be given, in writing, a proposed assessment plan within 15 days of the [written] referral for assessment…” • Some exceptions for vacations • Some exceptions for holidays • Parents may agree to “an extension” • Note: See 5 CCR § 3021(a) (assist parent with referral, if needed)

  13. #4 Area of Noncompliance

  14. Required IEP team members34 CFR § 300.344 • Must include at least a parent, the child’s teacher “if the child is, or may be, participating in the regular education environment,” a special education service provider, and an administrator (or administrative designee) • Some discretionary team members • Note : General ed teachers most frequently absent • Note: See 34 CFR § 300.345(d) regarding IEP team meetings without parents • Note: See also EC § 56341 for state requirements

  15. Spot Quiz #1

  16. IEP implementation True or False? A school district must only attempt to implement an IEP as closely as possible to what is written in the IEP.

  17. FALSE! • The IEP must be implemented exactly as delineated.

  18. Pupil records True or False? A school district may take up to 5 business days to comply with a parent’s request for pupil records.

  19. FALSE! • Pupil records must be provided within 5 calendar days.

  20. 15-day referral timeline True or False? A proposed assessment plan must be provided in writing within 15 days of a referral for assessment.

  21. TRUE! • While there are exceptions, an assessment plan is generally required within 15 days of a referral.

  22. IEP team members True or False? Except in very rare cases, an IEP team must include at least one general education teacher and one special education service provider.

  23. TRUE! • Nearly every IEP team must include a general education teacher and a special education service provider. • In extremely rare cases, there may be no general education teacher because the child is not, and is not expected to participate in general education at any time.

  24. #5 Area of Noncompliance

  25. 50-day assessment timelineEC § 56344 • IEP team meeting within “50 days…of receipt of the parent’s written consent for assessment…” • Some exceptions for end of school year referrals • Some exceptions for 5-day holidays • Parents may agree to “an extension” • Note: See EC § 56023

  26. #6 Area of Noncompliance

  27. Ensure parent participation in the IEP team process34 CFR § 300.345 • “Each public agency must take steps to ensure that [parents] are present at each IEP meeting…” (with some exceptions) • “Early enough…notice…to attend…” • “mutually agreed on time and place” • Includes requirements when conducting IEP team meetings without parents present, or at least “participating” • Note: See EC § 56341.5 (state requirements)

  28. #7 Area of Noncompliance

  29. Required written notice before initiating, changing, or denying FAPE34 CFR § 300.503(a) • Notice “must be given to the parents…a reasonable time before…[proposing] to initiate orchange…identification, evaluation…placement…or the provision of FAPE..” • Notice must also be given before the public agency “refuses to initiate or change [FAPE]” • Note: Content of notices specified in 34 CFR § 300.503(b)

  30. #8 Area of Noncompliance

  31. Required IEP team meetings34 CFR § 300.343(c) • Periodically, but not less than annually • Any lack of expected progress toward annual goals • After each reevaluation (“triennial review”) • Upon parent request • Note: See EC §§ 56343, 56343.5, 56381; 34 CFR § 300.321(b) and 300.536(b) 343(c) (2)(ii)

  32. Spot Quiz #2

  33. 50-day assessment timeline True or False? A parent may agree to an extension of the 50-day assessment timeline.

  34. TRUE! • A parent may agree to an extension of the 50-day assessment timeline. • The timelines for annual and triennial IEP reviews may not be extended.

  35. Parent participation True or False? The local educational agency alone determines the time and location of an IEP team meeting.

  36. FALSE! • An IEP team meeting must be held at a mutually agreed on time and place.

  37. Written notice True or False? Written notice must be given before proposing to change a student’s placement.

  38. TRUE! • Written notice must be given before proposing to change identification, evaluation, placement, or FAPE.

  39. Required IEP team meetings True or False? An agency must convene an IEP team meeting after a student’s need for special education has been reevaluated.

  40. TRUE! • An agency must convene an IEP team meeting after a reevaluation has been completed. • A reevaluation must be conducted “at least once every three years,” and more often if conditions warrant.

  41. #9 Area of Noncompliance

  42. Required content of the IEP34 CFR § 300.347 • Must address present levels of performance, annual goalsand benchmarks, servicesand supplementary aids, participation with nondisabled peers, how the student will participate in statewide tests, details of services, program modifications, reports of progress • Note: See 34 CFR §§ 300.517 and EC § 56041.5 • Note: See EC § 56345 and 5 CCR § 3040(c) for additional State requirements

  43. Required content…continued… • Relationship between present levels of performance, goals/benchmarks, and special education services and programs • For English language learners (ELL), linguistically appropriate goals, objectives, programs, and services • Additional content, as appropriate, such as transitionservices at least by age 14, transfer of rights at 18, mental health services • Note: See 5 CCR §§ 3040(c) and 3001(s)

  44. #10 Area of Noncompliance

  45. Qualified and adequately prepared staffEC § 56001(n) and (o) • “Special education programs [must] provide…appropriate qualified staff [and] regular and special education personnel [who] are adequately prepared to provide” instructional services • Applies to general ed teachers,special ed teachers and service providers and instructional assistantsNote: See EC § 44265.5, EC § 56362; 5 CCR § 3051 – 3054;; 34 CFR § 300.23

  46. #11 Area of Noncompliance

  47. 30-day timeline for a requested IEP team meetingEC § 56343.5 • IEP team meeting must be “held within30 days…of the date of receipt of the parent’s written request…” • Exceptions for July and August (Note: changes January 1, 2004) • If oral request, notify parent of the need for and the “procedure for filing a written request”

  48. #12 Area of Noncompliance

  49. Access to and knowledge of the content of the IEPEC § 56437 • Each agency must ensure that general/special ed teachers and service providers “have accessto the [IEP and are] knowledgeable of the content of the [IEP]” • Agencies must ensure that each service provider “be informed of his or her responsibilities related to implementing a pupil’s [IEP]…” • Includes off-site service providers • Note: See also 34 CFR § 300.342(b)(2)

  50. Spot Quiz #3