1 | NYC DOE Special Education Standard Operating Procedures Manual
SPECIAL EDUCATION STANDARD OPERATING PROCEDURES MANUAL
The SOPM is a “living” resource that is updated on an ongoing basis. Please see New and Notable for a summary of the most recent changes.
To ensure you are viewing the most current version at all times, please access the SOPM online. Do not print or download and save
locally. Last Updated August 30, 2024
2 | NYC DOE Special Education Standard Operating Procedures Manual
Table of Contents
Top of this section General Information & Terms
Table of Contents
click on a title to navigate to that section
Welcome
New and Notable
Using the Special Education Standard Operating Procedures
Manual (SOPM)
Navigation and Links
Questions and Feedback
Limitations
General Information & Terms
CSE / IEP team
Days / School Days / Business Days
Translation and Interpretation
Procedural Safeguards Notice
Timelines for Evaluation and Placement
Chapter 408 Requirements
School Implementation Team (SIT)
Requirements for Prior Written Notice
Informed Consent
Definition of a Parent
Surrogate Parents
Determining the Need for a Surrogate Parent
For Students Who Are Unaccompanied Homeless Youth
Child Find
Considerations for Students in Temporary Housing
Initial Referral Process
The Initial Referral
Consideration of Alternative Strategies
Request for Initial Referral
Obtaining Consent for the Initial Evaluation
Scheduling the Social History Meeting with the Parent
Outreach Activities to Schedule a Meeting to Obtain Consent and
Conduct the Social History
If Parent Does Not Consent to Initial Evaluation
Withdrawal of Consent for Initial Evaluation
Special Education Evaluation
Initial Evaluation
Initial Social History
Physical Examination
Psychoeducational Assessment
Classroom Observations
Speech and Language Assessment
Occupational Therapy / Physical Therapy Assessment
Vocational Assessment
Functional Behavioral Assessment (FBA) and Behavioral Intervention
Plan (BIP)
Audiological Assessment
Assistive Technology Assessment
Specialized Assessments
Neuropsychological Assessment
Psychiatric Assessment
Neurological Assessment
IEP team Interpretation of Individualized Special Education Assessment
Scores
Completion of Assessment Reports
Arranging Transportation for Assessments
Assessment Resources
Assessment Authorization
Request for an Independent Assessment at DOE Expense
Requests for Reimbursement of Independent Assessment
Determining Language of Assessment
Translated Tests and the Use of Interpreters
The IEP team
IEP team Composition
When a School Psychologist is Required for an Annual or Requested
Review IEP Meeting
Members Required at All IEP Meetings
The Parent
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Table of Contents Top of this section General Information & Terms
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Case Manager and District Representative
Resolving Conflicts at the IEP Meeting
Special Education Teacher (or Related Service Provider)
Individual to Interpret Instructional Implications
Members Who May Be Required at an IEP Meeting
School Psychologist
General Education Teacher
Related Service Provider
School Social Worker
Bilingual Professional
The Student
Parent Member
School Physician
Transition Service Agency Representative
Teacher of the Deaf and Hearing Impaired / Teacher of the Blind or
Partially Sighted
Other Members
Excusal of a Required Member of the IEP team
Determining Eligibility
Eligibility Criteria
Disability Classifications
Ineligibility
Developing the Individualized Education Program (IEP)
IEP Overview
Present Levels of Performance and Individual Needs
Student Needs Relating to Special Factors
Measurable Postsecondary Goals and Transition Needs
Annual Goals, Short-Term Objectives and/or Benchmarks
Reporting Progress to Parents
Recommended Special Education Programs and Services
Continuum of Services: Considerations for Intensity of Services and
Least Restrictive Environment
Special Education Program
Adapted Physical Education
Related Services
Supplementary Aids and Services/Program Modifications/
Accommodations
Special Considerations: IEP-Assigned Paraprofessionals
Assistive Technology Devices and/or Services
Accessible Educational Materials
Supports for School Personnel on Behalf of the Student
Testing Accommodations
Coordinated Set of Transition Activities
Participation in State and District-Wide Assessments
Participation with Students without Disabilities
Exemption from the Language Other than English (LOTE) Requirement
Placement Recommendation
District 75 / NYSED-Approved NPS Consideration Process
Recommendations for a Student in a Charter School
Recommending Deferred Placement When in the Best Interest of the
Student
Instructional/Functional Levels
Summary of Recommendations
Promotion Criteria
Other Options Considered
Extended School Year (12-Month) Services and/or Program
Determining Language of Instruction and Services for Multilingual
Learners (MLLs)
Recommending Interim Monolingual Speech-Language Therapy for a
Student Recommended for Bilingual Speech-Language Therapy
Recommending In-School Skilled Nursing Services
Transportation
IEP Transportation Recommendations
Types of Specialized Transportation Accommodations
Specialized Transportation Accommodations Protocol
Non-IEP Transportation for Students with Disabilities
Parentally Placed / Unilaterally Placed Students
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Table of Contents Top of this section General Information & Terms
click on a title to navigate to that section
Annual Reviews and Requested Reviews
Reevaluation
Mandated Three-Year Reevaluation
Requested Reevaluation
DOE Requests for Reevaluation
Parent Request for Reevaluation
Additional Requests for Reevaluations
Requests for Reevaluation from Other Sources
Determining Whether New Assessments Are Needed In a Reevaluation
Obtaining Consent for Additional Assessments in a Reevaluation
The Reevaluation IEP Meeting
Amending the IEP Without a Meeting
School Location Letters and Informed Consent for the Provision of
Special Education Services
Withdrawal of Consent for the Provision of Special Education
Services
Placement
Provision of Special Education Programs (Special Class, ICT and
SETSS)
Special Class and ICT Composition and Variances
Monitoring Provision of Special Education Programs: The Program
Services Report
Arranging SETSS and ICT
Identifying and Assigning an ENL Teacher
Arranging Related Services
Students in Temporary Housing
Accessible Schools
Specialized Programs in District 1–32 Schools
Academics, Career, and Essential Skills (ACES)
Autism Spectrum Disorder Programs: ASD Nest and ASD Horizon
Alternate Placement for Students Recommended for Bilingual ICT or
Bilingual Special Class
Placement in State-Approved / -Supported / -Operated Programs
Home and Hospital Instruction
P-1 / P-2 Procedures
P-1 Eligibility and Issuance
P-2 Procedures
Students with Disabilities Entering or Returning to NYC
Creating the Comparable Service Plan
Developing the IEP for Students with Disabilities Entering or Returning
to NYC
Students Discharged from OCFS or ACS Placement Returning to a
NYC Public School
Students in Private or Religious Schools
Students with Disabilities Subject to Discipline
Disciplinary Removals
Students Requiring MDRs
Timeframes and Notification Requirements
Required Members of the MDR Team
Conducting an MDR Meeting
Required Steps Following the MDR Meeting
Order from Impartial Hearing Officer to Place a Student in an ALC
“Deemed to Know”
Suspension Plan
Due Process
Mediation
Impartial Hearings
Pre-Hearing Issues
Impartial Hearing Orders and Implementation
Appeals of Impartial Hearing Orders
Graduation and Exit
Graduation Options
Commencement Credential Options
Exit Summary
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Table of Contents Top of this section General Information & Terms
New and Notable
As of November 16, 2021
• Considerations regarding long COVID have been added.
• There is new content for Initial Social History and Social History Updates regarding Adverse Childhood Experiences.
• There is updated guidance regarding Amending the IEP.
As of August 24, 2020
• Clarification on translation and interpretation requirements.
As of January 30, 2020
• Additional guidance on making IEP recommendations for specialized transportation and specialized transportation accommodations.
• New guidance to review IEP recommendations for home instruction within six months.
• Updated information regarding students in temporary housing.
• Reminder to hold an IEP meeting by April 15 if extended school year (12-month) services are being considered.
As of March 23, 2018
• Updated guidance on holding Manifestation Determination Reviews (MDRs) for students whom the DOE is “deemed to know” have a disability.
• Expanded information on completing exit summaries for students who will be graduating with a local or Regents diploma or aging out.
• Updated Guidance on Initiation or Continuation of an IEP-Assigned Paraprofessional.
As of September 2017
• In general, IEP teams are not constrained from taking any action based on the type of IEP meeting (e.g., annual, reevaluation); however, certain
IEP team members may be required to consider and make certain changes to the IEP. Please pay special attention to the IEP team composition
requirements, particularly regarding when a school psychologist may be a required member of the IEP team for an annual or requested review.
• At the conclusion of the IEP meeting, if the IEP cannot be finalized in SESIS and handed to the parent, the IEP team is to provide the parent with a
printed copy of the Recommended Special Education Programs and Services page of the draft IEP from SESIS.
• The process for intake of parent referrals, including date-stamping and faxing into SESIS, has been updated.
• When new assessments are needed for an annual or requested review, a referral for reevaluation must be made. Treat the date the request for
review was received as the date of referral, and follow the procedure for seeking consent for and conducting assessments as part of a reevaluation.
• The selection of the district representative and the roles/responsibilities of the case manager and district representative have been elaborated. Note
additional guidance on the case manager’s preparation in advance of the IEP meeting, including engaging the parent in advance of the meeting.
• The procedures regarding receiving, considering, and responding to a request for an independent assessment at DOE expense have been updated.
The SOPM is a “living” resource that will be updated on an ongoing basis to best serve New York City students and families. Please
check this page frequently for the latest updates of note.
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Table of Contents Top of this section General Information & Terms
Using the Special Education Standard Operating Procedures Manual (SOPM)
The SOPM reflects current information on major school-age special education processes and procedures in the New York City Department of Education
(DOE). It is a “living” document, updated on an ongoing basis as policies change and processes and descriptions are refined. Because it is regularly
updated, the SOPM should not be used as a printed document. To ensure that you are using its most recent version, the SOPM must be viewed
online.
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Navigation and Links
As the SOPM is intended to be viewed online, it features hyperlinks, including a table of contents from which topics can be accessed directly. Click on
any underlined word in blue text to jump to a related portion of the SOPM, or to a resource on the DOE InfoHub
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or the internet. (Note that once a link
has been clicked, it may appear in purple, rather than blue.) At the top of the page are links to the Table of Contents, the top of the current section, and
the General Information and Terms section. Before clicking any link, please note your current location in the document, as there is no single-click
“back” function.
Questions and Feedback
Your input is welcome and important to our mission of maintaining clear and concise guidance on current policies and procedures. If you have questions
regarding special education processes, please contact your supervisor, your school’s Administrator of Special Education (ASE) / D75 Field Liaison, or
your CSE chairperson. If you have suggested changes/corrections to the SOPM, you may contact your ASE/D75 Liaison/supervisor/chairperson or write
to SpecialEducationSOP[email protected].
Limitations
This document is intended to provide guidance to the management and staff of the New York City Department of Education. Nothing in this document
is intended to, nor does it, create, diminish or alter any current enforceable contractual or other rights, remedies, entitlements, or obligations. The DOE
reserves its right to change or suspend any or all parts of this document.
1 This SOPM, and the documents it links to, supersedes all previous special education policy manuals, including the 2009 SOPM. If an issue is not specifically addressed in this SOPM or a linked document,
schools/CSEs should consult their ASE/D75 Liaison/chairperson for guidance. The ASE/D75 Liaison/chairperson should contact the Special Education Office as needed for additional support.
2 Some links, such as guidance for DOE staff on the use of the Special Education Student Information System (SESIS), may be accessible only to DOE staff. DOE staff in need of further guidance on SESIS
should consult the SESIS Wiki.
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Table of Contents Top of this section General Information & Terms
General Information & Terms
CSE / IEP team
For all purposes in the DOE and in this document, the term “Committee on
Special Education” (CSE) refers to one of the regional offices that manages
the special education process for students who are not attending DOE
K-12 school programs.
The IEP team is referred to in NYSED regulations and guidance materials
as the “Committee on Special Education” (CSE), and an IEP team that is
not considering an initial recommendation of a special class, specialized
school, State-approved non-public school or home instruction, may
be referred to in NYSED regulations as a “Subcommittee on Special
Education” (SCSE). For all purposes in the DOE and in this
document, “IEP team” is interchangeable with NYSED’s definition
of CSE or SCSE, unless specifically noted otherwise.
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Days / School Days / Business Days
Throughout this document, the word “days” without modification means
calendar days. The term “school day” without modification means a day
on which DOE schools are in session for students; when “school days” is
used to mean days on which the student’s school is in session (for students
attending non-DOE schools), that will be specifically noted. During the
months of July and August, “school days” means every day except Saturday,
Sunday and legal holidays. A “business day” is any weekday other than a
New York State or Federal holiday.
Translation and Interpretation
Translation (Written)
For parents whose preferred language is one of the DOE’s covered
languages (currently Arabic, Bengali, Chinese, French, Haitian Creole,
Korean, Russian, Spanish and Urdu), translations of notices of meetings,
notices seeking consent, prior written notices, Related Service
Authorizations, and Nickerson Letters, must be provided. Translations
of most notices are automatically generated in SESIS, and to the extent
possible, should be provided to parents at the same time that English-
speaking families receive such notices. If a notice is not available in the
parent’s language, the English version of the notice must be accompanied
by a notice in the parent’s language stating that the English notice is an
important educational document that should be translated, and providing a
Note that NYSED guidance on “CSEs” applies to all DOE IEP teams.
contact person for any questions.
Additionally, upon parental request, the DOE will translate IEPs and
evaluation reports paid for by the DOE. To the extent possible, the
translated document should be provided to parents within 30 calendar
days of the parent’s request. If the request is made prior to the document
being finalized (e.g., prior to the student’s IEP meeting), the 30-day clock
begins when the document is finalized in SESIS. For support facilitating
translations and to ensure translations are provided in a timely manner,
refer to the Language Access Handbook, contact your Language Access
Coordinator, email [email protected], or visit Translations
and Interpretations Unit.
Interpretation (Oral)
Upon request, interpretation will be made available for parents whose
preferred language is other than English at IEP meetings (including annual
review meetings), meetings to create Behavioral Intervention Plans (BIPs),
Manifestation Determination Review (MDR) meetings, meetings to discuss
initial referrals or requests for initial referrals, and meetings to develop
Suspension Plans. It is best practice that interpretation be provided by a
person who is:
• not otherwise participating in the meeting in a different role;
• familiar with special education terminology; and
• familiar with interpreter ethics.
Prior to all meetings that include an interpreter, it is best practice for the
DOE staff member facilitating the meeting (e.g., the district representative
at the IEP meeting) and the person filling the role of interpreter to review
the Best Practices section of the Language Access Handbook. Minors may
not serve as interpreters. Any non-DOE interpreters arranged by the DOE
must be security-cleared (i.e., PETS-eligible).
For additional guidance on arranging interpretation assistance at the
school/CSE, refer to the Language Access Handbook, contact your
Language Access Coordinator, email [email protected], or
visit Translations and Interpretations Unit.
Note that bilingual assessments – including a social history meeting and
assessment – must follow the Bilingual Cascade.
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Procedural Safeguards Notice
A copy of the NYSED Procedural Safeguards Notice must be given to
parents at least one time a year, and must also be given to parents upon
initial referral or parent request for evaluation, upon receipt of a State
complaint or due process complaint, and upon parental request. The
Procedural Safeguards Notice is available on the DOE Website, under
“Your Rights.”
Timelines for Evaluation and Placement
For a school-age student, initial evaluation or requested reevaluation must
be completed
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within 60 days of provision of parental consent (initial) or
referral (reevaluation); and “placement” (i.e., provision of all recommended
special education programs and related services, including transportation)
must be arranged within 60 school days of parental consent (initial) or
referral (reevaluation). Timelines for other scenarios (such as students
turning 5 years old) and remedies for non-compliance are included in the
relevant sections of this document.
Chapter 408 Requirements
Schools must ensure that all of those responsible for implementing IEPs are
provided with copies of, or SESIS access to, the IEPs for their students,
and understand their responsibilities for the implementation of the IEP, prior
to the initiation of the recommended programs, services and supports. This
obligation includes those who are responsible for implementing the IEPs of
preschool students with disabilities in the school.
IEPs are confidential documents and must be kept in locations not
accessible by students or staff members who are not responsible for
implementing the IEP. IEPs must be kept in a secure, locked location,
including those copies in the possession of teachers and providers.
See the Chapter 408 Requirements for more specific information on these
obligations and other Chapter 408 materials.
School Implementation Team (SIT)
Each school is required to have a School Implementation Team (SIT), which
develops a School Implementation Team Action Plan that addresses issues
of access as well as the development of quality IEPs. Updated guidance on
SITs, including information on required staff members and SIT goals for the
2017–18 school year, can be found here.
Requirements for Prior Written Notice
The term Prior Written Notice (PWN) refers to a notification to a
parent that the DOE is proposing (or refusing) to initiate or change the
identification, evaluation, IEP, or placement of a student.
5
A form specific
to most situations in which a PWN is required is available in SESIS. See
Translation for requirements and best practices regarding translations of
notices.
At a minimum, each PWN must include the following:
• Description of the action(s) the DOE is proposing or refusing to take;
• Explanation of why the DOE is proposing or refusing to take the action;
• Description of each evaluation procedure, assessment, record, or report
that was used as a basis for proposing or refusing to take the action;
• Description of other options considered and the reasons why those
options were rejected (if applicable);
• Description of any other factors relevant to the proposed or declined
action;
• Statement that the parent of a student with a disability has protection
under the procedural safeguards of federal and State law and that a
copy of the New York State Education Department (NYSED) Procedural
Safeguards Notice is attached or the means by which the Procedural
Safeguards Notice can be obtained; and
• Sources the parent(s) may contact to obtain assistance in
understanding special education.
4 Regulations require that the evaluation be completed within 60 days; however, all efforts should be made to ensure that the IEP meeting is also completed within the 60-day timeline.
5 The Final Notice of Recommendation (FNR) is no longer used.
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When sending the PWN, the school/CSE must determine whether the
Procedural Safeguards Notice must be enclosed. A copy of the NYSED
Procedural Safeguards Notice must be given to parents at least one time
a year, and must also be given to parents upon initial referral or parent
request for evaluation, upon receipt of a State complaint or due process
complaint, and upon parental request.
If the DOE’s proposed action requires informed parental consent, the DOE
must give prior written notice at the same time it requests the parent’s
consent.
For more information on issuing a PWN in particular situations, please refer
to the SESIS guides available on the DOE InfoHub.
Informed Consent
“Informed Consent” requires more than simply obtaining a parent’s
signature. The following steps must be taken when seeking informed
consent from a parent:
• The parent must be fully informed of all information relevant to the
activity for which consent is sought, including, as applicable:
• which of the student’s records will be shared and with whom (e.g.,
evaluators, service providers); and
• what testing will be conducted.
• The parent must be notified that consent:
• can be declined; and
• may be revoked at any time, but that revocation is not retroactive,
meaning it does not negate an action that occurred after consent
was given.
The parent must understand the activity for which consent is sought and
agree to it in writing.
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If a parent consents to some but not all of the DOE’s proposed activities, staff should assist the parent in noting on the consent form the activities to which the parent consents and those to which the parent
does not consent. The school social worker must process the consent form as if full consent was granted and consult the supervisor of school psychologists for guidance on proceeding with the case.
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Definition of a Parent
A “Parent” may be:
• A birth or adoptive parent;
• A guardian who is generally authorized to act as the child’s parent or
authorized to make educational decisions for the child (but not the State
if the child is a Ward of the State);
• A person acting in the place of a birth or adoptive parent (including a
grandparent, step-parent, or other relative) with whom the child resides
or a person who is legally responsible for the child’s welfare;
• A person in parental relationship to the child, as defined in New York
Education Law, including a father or mother (by birth or adoption), a
step-father, a step-mother, a legally appointed guardian or a custodian
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;
• An individual designated as a person in parental relation pursuant to
Title 15-A of the General Obligations Law. The General Obligations
Law allows parents to voluntarily designate someone else to make
educational decisions for their child. The designation must be in writing
and can be for no longer than six months at a time. If the designation
is for longer than 30 days, it must be notarized and signed by the
designee as well as the parent;
• A foster parent; or
• A surrogate parent appointed by the school district or by a judge.
A student’s birth or adoptive parent is presumed to be the parent for special
education decision-making purposes unless he or she does not have legal
authority to make educational decisions for the child. If the birth or adoptive
parent does not have legal authority to make educational decisions for the
child, any of the other parties who meet the definition of “parent” may sign
consent for evaluations or services. For example, a foster parent, guardian
or other party listed above may assume the role of parent if:
• The birth or adoptive parent’s rights have been terminated or
surrendered in court (i.e. the child has been freed for adoption);
• The birth or adoptive parent’s rights to make educational decisions have
been limited, or a judge has appointed someone other than the birth or
adoptive parent to make educational decisions for the child; or
• The birth or adoptive parent is deceased.
If a judicial order or decree identifies a specific person or persons to act
as the parent or make educational decisions on behalf of the student, then
such person(s) must be determined to be the parent.
The term “parent” does not include the State if the student is a Ward of
the State. Therefore, caseworkers employed by the Administration for
Children’s Services (ACS) and foster care agencies do not fit the definition
of parent and cannot sign consent for special education evaluations or
services, even if parental rights have been terminated or surrendered. The
person with whom the student resides may not necessarily be the person
legally authorized to sign consent. Care must be taken to ensure that
consent is obtained from a person entitled to sign consent for evaluation
and placement. For example, do not assume that a student is eligible for
appointment of a surrogate parent simply because a child does not live with
the parent. Also do not assume that the person with whom the child resides
has authority to sign for the child, even if the person is a relative.
For students in foster care, the adult with whom the child lives will know
whether the child is in foster care and should know the name and telephone
number of the caseworker and the foster care agency. The caseworker will
be able to provide information about the status of parental rights and may
have updated information regarding the parent’s whereabouts.
When parents are divorced, the parent who is the “custodial parent”
generally has decision-making authority for educational decisions. There
are instances, however, when there are two “custodial parents”, with both
parents having education decision-making authority, as well as where non-
custodial parents are granted some level of decision-making with regard to
the student’s education. If there are questions regarding which parent may
make decisions, please consult with the Office of Legal Services at 718-
935-4400.
Surrogate Parents
To ensure the rights of the student are protected, in the following
circumstances, a person must be appointed as a “surrogate parent” to act
in the place of parents or guardians:
• No parent(s) can be identified;
• After reasonable efforts, the DOE cannot discover the whereabouts of
the parent(s);
A custodian is someone who has assumed the charge and care of a child because the parents or guardian have died, are imprisoned, are mentally ill, have been committed to an institution, or because they
have abandoned or deserted the child, are living outside the state or their whereabouts are unknown.
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• The student is an unaccompanied homeless youth, as defined by the
McKinney-Vento Homeless Act; or
• The student is a Ward of the State and does not have a parent who
meets the definition of parent. A Ward of the State is a child or youth
who has been placed or remanded through a juvenile delinquency,
PINS or child protective proceeding; is in the custody of the
Commissioner of Social Services or the Office of Children and Family
Services; or is a destitute child not being cared for in their home.
Note: A surrogate parent is not needed if the child has a parent, foster
parent, guardian or other individual who meets the definition of parent and
can serve in that role.
Qualifications of Surrogate Parents
The DOE maintains a list of persons who are eligible and willing to serve
as surrogate parents in order to ensure that the rights of the student
are protected. Persons selected as surrogate parents are not officers,
employees, or agents of the Department of Education or the State
Education Department, or other agency involved in the education or care of
the student.
A person who is an employee of a nonpublic agency that only provides
non-educational care for the student and meets the qualifications may be
selected as a surrogate parent.
Note: Staff of emergency shelters, transitional shelters, independent living
programs and street outreach programs may be appointed as temporary
surrogate parents for an unaccompanied homeless youth until a qualified
surrogate parent can be found if they:
• Have no other interest which could conflict with their primary allegiance
to the student they would represent; and
• Have knowledge and skills that ensure adequate representation of the
student Foster care caseworkers may not serve as surrogate parents
because they are employees of an agency involved in the care of the
student.
Determining the Need for a Surrogate
Parent
Students who are in foster care:
For students in the care and custody or custody and guardianship of the
Commissioner of the Department of Social Services (including but not limited
to children in foster homes, group homes, and residential treatment centers),
the foster care caseworker can assist the school/CSE in determining the
status of the child. If it is determined that parental rights are still intact, the
social worker should contact the foster care caseworker who may have
updated information regarding the parents’ whereabouts and whether the
parent is permitted to know where the student is living. If the foster parent’s
address is to remain confidential, it is very important that the name and the
address of the foster care agency be used as the student’s address on all
documents sent to the parent. This is crucial, as often the foster parent’s
address must remain confidential. If the parent’s rights are intact but the
social worker cannot discover the whereabouts of the parent, then a
surrogate parent must be appointed.
If it is determined that:
• The birth or adoptive parent’s rights have been terminated or surrendered
in court (i.e. the child has been freed for adoption); or
• The birth or adoptive parent’s rights to make educational decisions have
been limited, or a judge has appointed someone other than the birth or
adoptive parent to make educational decisions for the child; or
• The birth or adoptive parent is deceased;
then it must be determined whether there is any other individual who meets
the definition of parent as described above, such as a foster parent or
guardian. If so, that person can sign consent for special education evaluations
and services and there is no need to appoint a surrogate parent.
If there is no one who meets the definition of “parent”, the school/CSE must
assign a surrogate parent within 10 business days. The school/CSE may:
• identify the surrogate parent from a list maintained by the school/CSE;
• identify a foster parent who otherwise meets the qualifications
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;
• identify the individual appointed by a judge overseeing the child’s case; or
• work with the foster care case worker to identify an appropriate person to
serve as the surrogate parent, when appropriate.
A foster parent may serve as the parent for a child in their custody without going through the surrogate parent training process or being put on the list of surrogate parents maintained by the school/CSE. 8
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The surrogate parent will represent the student in all identification,
evaluation, and placement activities for the student. Accordingly, all notices
and correspondence must be directed to the surrogate parent.
For students who are NOT in foster care:
If a student is living with a parent or an individual above the age of 18 who
is acting in a parental or custodial relationship (i.e., a person who provides
food, clothing and shelter for the child), surrogate parents are not to be
assigned, as the individual acting in a parental or custodial relationship may
act as the parent.
If a student is living alone, with an individual under the age of 18 or in
a homeless/shelter situation, and parents’ identity or whereabouts are
unknown, a surrogate parent is required. This is true even if the student
is 18 years or older. In New York, students age 18 and above may make
a request for referral for special education evaluations and may obtain
records; however, the student may not sign consent for services; therefore,
a surrogate parent would be required.
For students who are unaccompanied homeless youth:
An unaccompanied homeless youth is any homeless youth not in the
physical custody of a parent or guardian. A student is homeless if they lack
a fixed, adequate or regular nighttime residence. When determining if an
unaccompanied homeless youth needs a surrogate parent, the Students in
Temporary Housing (STH) Content Expert must be contacted for assistance
in making this determination. If the unaccompanied homeless youth does
not know the whereabouts of their parents or refuses to disclose this
information, a surrogate parent should be appointed.
For any questions regarding who meets the definition of a parent, please
consult your Special Education Attorney or call the Office of Legal Services
at (718) 935-4400. For additional information regarding surrogate parents,
please refer to Guidelines and Procedures for the Assignment of Surrogate
Parents.
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Child Find
New York City has an obligation to identify, locate, and evaluate each child
attending a New York City school who has a disability or is suspected of being
a child with a disability, regardless of the severity of the disability. This is called
the “Child Find” obligation. Child Find is created by the federal Individuals
with Disabilities Education Improvement Act and State law. Child Find extends
to all children with disabilities – including children who are homeless, wards
of the state, not attending a New York City public school, etc. – whether or
not the DOE is providing services to the child. This obligation extends to all
professional DOE staff members who have the right to initially refer or request
an initial referral of a student.
When it is suspected that a child may have a disability, the principal should
ensure that sufficient consideration has been given to alternatives to special
education, including academic intervention services, response to intervention
(RtI), and remedial instruction.
9
Discussions of these considerations should
happen in addition to and at the same time as the special education
process, including adherence to its timelines. Considering these alternatives may
not delay making or recording the initial referral, obtaining parental consent for
initial evaluation, or the initial evaluation process.
Considerations for Students in
Temporary Housing (STH)
Relative to other students, students who experience homelessness
10
(also
referred to as students in temporary housing) are more likely to have attended
multiple schools or to have had gaps in schooling, resulting in a relative lack of
depth of information in the student’s record and less familiarity from current and
prior teachers and other professionals. In part as a result of these factors, the
need for a referral for initial evaluation may not be as readily apparent. Schools
must make a particular effort to ensure that a referral is not delayed
(or further delayed) by a lack of documentation or familiarity with the
student.
Schools should take whatever steps are needed to fill in gaps in information as
quickly as possible, including informal conversations with the student and the
parent to obtain details about the student’s academic history (including whether
the student has ever had an IEP or IESP and whether a special education
evaluation has been requested, suggested, or initiated) and current home life,
and about the parent’s observations of the student outside school. The STH
Regional Manager, Community Coordinator and/or Family Assistant should also
be consulted. If the student has attended other schools, the enrolling school
must contact the prior schools to request all of the student’s records, and
discuss the student’s performance, any concerns or academic/behavior issues
that were noted, and any interventions that were provided and their outcome. It
is the enrolling school’s responsibility to get the records, not the parent’s.
Families in temporary housing often struggle to receive mail because of their
housing instability, which poses challenges for schools in obtaining consent for
evaluation and services. If the student had been referred for a special education
evaluation but the parent did not sign consent for the evaluation or services,
the school should continue to seek consent if the case remains open. If the
school has any difficulty connecting with a parent, the school should contact
the STH Regional Manager. STH Regional Managers supervise shelter-based
Family Assistants who can deliver and review consent forms with parents who
are living in shelters. If the case was closed, the school should consider making
another referral and do so if warranted.
If a student in temporary housing transfers during the special education
evaluation process, the receiving school should expedite completion of the
evaluation, and reach out to the former school(s), as necessary, for additional
information. The student’s transfer does not restart or extend the timelines for
the evaluation or placement process.
Schools must take care to distinguish between school-based issues arising
from home life circumstances and those resulting from an educational disability.
That analysis requires that school staff consider all information holistically and
in context. Schools must not simply assume that a student’s home life
circumstances are the cause of concerns that would otherwise result
in a referral.
While schools must ensure that a referral is not delayed, students in temporary
housing may require appropriate general education interventions (i.e., RtI),
the need for which must also be identified as quickly as possible. Students
exhibiting social/behavioral difficulties should be seen by the guidance
counselor, school social worker, school psychologist or other designated staff
who can work with the student and family in addressing these difficulties.
See here for additional information on enrollment and admissions for students
in temporary housing. For complete information on policies, procedures and
resources for students in temporary housing, see the Students in Temporary
Housing website.
A student in a Gifted and Talented (G&T) program must have access to pre-referral services and evidence-based literacy interventions. A student in G&T who is suspected of having a disability must be referred for an
evaluation. The student’s school is responsible for conducting the evaluation and holding the IEP meeting. If the student is determined to be eligible for special education in a D1-32 school, the recommended services
must be provided in the G&T program. Schools in need of assistance in providing the recommended programs and/or services should contact their ASE.
10 A student who lives in any of the following situations is considered homeless under the federal McKinney Vento Act: A shelter or transitional shelter; a hotel or motel; a car, bus or train; a park or public place; an
abandoned building,; with friends or relatives due to inability to find/afford housing (“doubled up”). An unaccompanied youth is a person, under the age of 18, who lives in one of the situations listed above and is not in
the physical custody of a parent or guardian.
9
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Initial Referral Process
The special education process begins with a referral for an initial evaluation
(“initial referral”) to the IEP team. The initial referral can only be made by
certain authorized individuals, including the student’s parent, the principal of
the student’s DOE school, or the chairperson of the student’s CSE.
11
Certain other individuals, including professional members of DOE staff,
are authorized to make a “request for referral” for an initial evaluation to the
principal or chairperson.
The Initial Referral
DOE Referrals
When the principal/chairperson suspects that a student has a disability
by reason of which they may require special education programs and/or
related services, the school social worker (or the school psychologist in
their capacity as case manager) sends the parent the PWN: Notice of
Referral: Initial and a copy of the Procedural Safeguards Notice. See
Translation for requirements and best practices regarding translations of
notices.
Once the Notice of Referral has been sent to the parent, the school/CSE
must start the initial consent process.
Parent Referrals
A parent may make an initial referral by submitting a written request for
evaluation (a “referral document”) to the student’s DOE school or CSE. The
referral document may be hand delivered or sent by mail, email or fax.
A referral document need not contain “magic words”; a written request for
evaluation or consideration for special education is sufficient to constitute
an initial referral.
If a parent makes an oral request (by phone or in person) for initial
evaluation to a DOE professional, the DOE professional must promptly
assist the parent to create an initial referral document that states the
request for evaluation and, if communicated by the parent, the reason(s)
for the request and any specific assessment(s) being requested. Schools/
CSEs must make clear to non-professional staff members who regularly
interact with parents that, if a parent makes an oral request (by phone
or in person) for evaluation, the staff member must connect the parent
with a DOE professional who can promptly assist the parent to create
an initial referral document that states the request for evaluation and, if
communicated by the parent, the reason(s) for the request and any specific
assessment(s) being requested.
12
Immediately upon receipt of a referral document by hand
13
, mail, or fax, the
school or CSE must stamp the referral document with the current date (or
the earlier date on which it was in fact received, if, for example, it arrived by
fax and was mislaid).
If the initial referral is in the text of an email, the school/CSE must print the
email, including the time and date it was received, and treat the printed
email as the referral document. If the initial referral is attached to an email,
the school/CSE must print the email, including time and date of receipt,
along with the attachment, and treat the printed email and attachment as
the referral document.
A DOE staff member who receives a referral document must immediately
either open the case in SESIS or convey the referral document to a
professional colleague (e.g., the school psychologist or school social
worker) who is able to do so. The referral document must be faxed into
SESIS by the conclusion of the following business day. When creating
the fax coversheet for the referral document, the date of referral must be
recorded as the date the referral document was received by the school/
CSE; this date should match the date stamped on the referral document (or
the date of the email, if the referral document was received by email).
14
The school psychologist, in their capacity as case manager, ensures that
the school social worker has been notified of the referral. The student
will automatically appear on the school’s Status of Initial Referrals in
Process report in SESIS.
The school social worker or CSE chairperson designee (or the school
psychologist in their capacity as case manager) sends the parent the PWN:
Notice of Referral: Initial and a copy of the Procedural Safeguards
11 Throughout this section, the terms “principal” and “chairperson” refer to those individuals and their designees.
12 In either scenario, language support must be provided as needed, and the interaction with the parent must be documented in the SESIS Events Log. . If the interaction with the parent is not in English,
the DOE staff member should document in the SESIS Events Log which language was used to communicate during the conversation, or should specify what type of language support was utilized for the
communication.]
13 Including when staff has assisted the parent to create the referral document.
14 If an initial referral document is received by a DOE school for a student who does not attend that school, or by a CSE that does not serve the student, and the school/CSE is unable to open the case due to
lack of access to the student in SESIS, the referral document must be stamped with the date of receipt and immediately forwarded to the DOE school where the student is registered, or to the appropriate
CSE, which completes the steps in this paragraph, recording the date of referral as the date stamped on the referral document (or the date of the email, if the referral document was received by email).
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Notice within five school days of the date of the referral. See Translation for and determine whether strategies exist that may be used to engage the
requirements and best practices regarding translations of notices. parent’s involvement or respond to the parent’s concerns.
Once the Notice of Referral has been sent to the parent, the school/CSE
must start the initial consent process.
Referrals from Other Sources
If a non-DOE person other than the parent attempts to make a referral and
claims authority to do so, the referral document must be date stamped
and the case opened in SESIS as for a parent initial referral.
15
Contact the
NYCDOE Borough/Citywide Offices (BCOs) Director of Special Education
or CSE chairperson to confirm that the referral is from an authorized
person
16
before proceeding to send the PWN: Notice of Referral: Initial.
Certain other non-DOE persons and/or entities are authorized to request
that the DOE refer a student for initial evaluation; if such a person or entity
submits such a written request (including one that mistakenly purports to
refer a student for initial evaluation), treat the document as a request for
referral.
Consideration of Alternative Strategies
When considering whether to refer a student for initial evaluation — or
upon receipt of a parent’s initial referral — the principal should ensure that
sufficient consideration has been given to alternatives to special education,
including academic intervention services, response to intervention (RtI), and
remedial instruction. Considering these alternatives may not delay making or
recording the initial referral, obtaining parental consent for initial evaluation,
or the initial evaluation process. Discussions of these considerations should
happen in addition to and at the same time as the special education
process, including adherence to its timelines. The principal should:
• Consult with the student’s general education teacher(s) and other
school professionals familiar with the student to ensure that all
alternatives have been considered. These discussions should include
a review of the general education supports and services, instructional
methodologies and curriculum and classroom accommodations that
have been used, as well as those methodologies, accommodations,
and interventions that are available in the school but have not yet been
implemented.
• Consider previous parental involvement and concerns that may have
been brought to the school’s attention for the student and/or siblings,
• Review any medical information about the student, including vision and
hearing tests.
• Assess the availability of community-based services that could benefit
the student and/or their family (with the shared understanding that their
availability does not diminish the DOE’s obligation to recommend and
provide FAPE if the student is eligible).
• Consider additional professional development and/or supports that
could be provided to the student’s general education classroom
teacher(s).
Meeting to Discuss General Education Interventions
If a school receives an initial referral for a student who is not yet receiving
appropriate and available general education interventions, the principal
should seek to promptly convene a meeting with the parent (including the
student, at least one of the student’s general education teachers,
and other school professionals familiar with the student) to determine
whether a plan of alternative strategies might be appropriate, and to
provide an opportunity for the school to consult with the parent regarding
the student’s needs. As appropriate, the principal should seek to convene
such a meeting upon receipt of an initial referral for a student who is already
receiving general education interventions.
If the parent accepts the offer of a meeting, the meeting must be scheduled
for a mutually agreeable time that is within 10 school days of the school’s
receipt of the referral document. The IEP team must continue to carry
out its special education obligations with respect to the referral,
including obtaining parental consent for initial evaluation; the
timetable for meeting these obligations is not altered by the
scheduling of this meeting. The meeting should be scheduled at a time
when the school social worker is available so that the social history may be
conducted and consent to evaluate obtained from the parent if the outcome
of the meeting is to proceed with the referral.
If the parent rejects or fails to respond to the offer of the meeting, the initial
referral must still be processed according to the timelines for obtaining
parental consent for initial evaluation. As appropriate, the school should
implement general education interventions during the process.
Prior to a meeting with the parent to discuss general education
15 Certain other individuals are authorized to make an initial referral, such as a representative of a public education agency other than the DOE.
16 The deputy or chairperson should seek guidance from the Special Education Office as needed.
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interventions, the principal should:
• Using the Parent/Principal Written Agreement to Withdraw
an Initial Referral form in SESIS, prepare a draft agreement of
potential alternatives to the referral that describes, at minimum:
• Additional appropriate and available general education support
services proposed to be provided;
• Instructional strategies to be used;
• Student-centered data to be collected to track progress; and
• Proposed duration of the services.
• Determine whether an interpreter will be required at the meeting.
See Interpretation for requirements and best practices regarding
interpretation.
The following is a model agenda for the meeting:
1. Introduction of all participants;
2. Overview of the purpose of the meeting, including a
description of the process if the referral goes forward;
3. Request for input from the parent on their perspective
on the student’s functioning in school and at home and
their reason for the referral;
4. Discussion of the student’s current performance from
the school’s perspective, including discussion of any
general education interventions that have been initiated
and their perceived impact;
5. Sharing and discussion of potential interventions to
address the student’s area of need that are available in
the school and could be initiated to support the student;
6. The data that will be collected regarding potential
interventions;
7. The proposed duration of potential interventions; and
8. A determination of whether an agreement between the
parent and principal can be reached on implementing
general education interventions, and if so, whether the
referral will be withdrawn.
conference;
• Collect the signature of the parent and principal on the Parent/
Principal Written Agreement to Withdraw an Initial Referral form
under Case Closing in SESIS; and
• Provide a copy of the agreement to the parent, and to the student, if
appropriate.
The parent should not be discouraged from proceeding with the referral.
If the parent wishes to proceed, the school social worker obtains parental
consent to evaluate and, if possible, conducts the social history at this
time. As appropriate, the school should implement general education
interventions alongside the evaluation process.
The meeting must be documented in the SESIS Events Log, whether or
not an agreement was reached.
Request for Initial Referral
A written request that the DOE refer the student for an initial evaluation
may be made by:
• A professional staff member of the school the student attends or is
eligible to attend;
• A physician;
• A judicial officer;
• A professional staff member of a public agency with responsibility for
welfare, health or education of children; or
• A student who is 18 years of age or older, or who is an emancipated
minor.
Request for Initial Referral by Professional Staff Members
To the extent appropriate, interventions, curriculum accommodations, and
remedial services should be considered before a professional staff member
requests initial referral of a student experiencing difficulties in school, unless
the staff member suspects that the student’s difficulties are the result of
a disability by reason of which the student may require special education
programs and/or related services. Professional staff members are to use
their judgment in determining when to request initial referral, and are not
If an alternative agreement is reached:
to encourage parents to make an initial referral in lieu of requesting referral
themselves. Administrators must not discourage professional staff members
• Make any needed revisions or amendments to finalize the agreement;
from requesting initial referrals.
• Determine and memorialize how and when follow-up information will
be shared with the parent, and offer the opportunity for a follow-up
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Requests for initial referral initiated by professional staff members must:
• State the reason for the request and include any test results, records, or
reports upon which the request is based;
• Describe intervention services, programs, or instructional methodologies
used to remediate the student’s performance prior to the request,
including any supplementary aids or support services provided or the
reason why none were implemented; and
• Describe the extent of parental contact or involvement prior to the
request.
The Request for Initial Referral Form is used for this purpose and must
be completed in SESIS. This form provides the opportunity to document
interventions that were implemented prior to the request and to consider
other intervention strategies and options. If the request for referral form is
incomplete, the case manager notifies the individual making the request
of the need to resubmit the form with all information to avoid delay in
processing. Additional documents can be faxed into SESIS as Documents
Related to Referral.
If the student is in grades K-5 and is being referred due to a possible
learning disability in reading, a description of the strategies and/or
interventions used (in accordance with the school’s RtI model) must be
included in the intervention strategies section of the request form. Any RtI
documents with additional information should also be faxed into SESIS, if
available.
Processing the Request for Initial Referral
If not generated in SESIS, the request for initial referral document must be
stamped and/or printed as an initial referral document would. Upon receipt
of a request for initial referral, the principal or chairperson should:
• Consult with the individual who submitted the request for initial referral,
as well as other school professionals familiar with the student, to
confirm that appropriate alternatives have been considered. These
discussions should include a review of the general education supports
and services, instructional methodologies and curriculum and classroom
accommodations that have been used, as well as those that are
available in the school but have not yet been implemented.
• Review any medical information about the student, including vision and
hearing tests, if available. If vision tests are not available, the principal
or chairperson should confirm whether the student received a vision
screening and, if not, the principal or chairperson will comply with the
vision screening requirements of Chancellor’s Regulation A-701.
• Consider previous parental involvement and concerns that may have
been brought to the school’s attention for the student and/or siblings,
and determine whether strategies exist that may be used to engage the
parent’s involvement or respond to the parent’s concerns.
• Assess the availability of community-based services that could benefit
the student and/or their family.
• Consider additional professional development and/or supports that
could be provided to the student’s general education teacher(s).
As soon as a determination is made, and no later than 10 school days
after receipt of a request for initial referral, the principal/chairperson must
either:
Make an initial referral; or
Take ALL of the following steps:
• Provide the parent with the PWN: Refusal of Request to Conduct Initial
Evaluation;
• Inform the parent of their right to make an initial referral;
• Provide the parent with a copy of the request for initial referral; and
• Offer the parent an opportunity to have a meeting to discuss the
request for initial referral, for the purpose of discussing the concerns
raised in the request and, to the extent appropriate, the availability
of general education support and intervention services. The meeting
should include the principal and the person who made the request for
referral; if the request was from a non-DOE person, the parent may
invite them, and they must be allowed to attend the meeting.
If the parent declines the offer of a meeting to discuss the request
for initial referral or does not respond after outreach, the principal
must, if appropriate, develop a plan for general education interventions, and,
either:
• Make an initial referral; or
• Close the case.
Meeting to Discuss Request for Initial Referral
If an initial referral has not been made and the parent accepts the offer of a
meeting to discuss the request for referral, the meeting must be scheduled
for a mutually agreeable time. The meeting should be scheduled at a time
when the school social worker is available so that the social history may be
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conducted and consent to evaluate obtained from the parent if the outcome
of the meeting is a referral.
Prior to the meeting to discuss the request for initial referral, the
principal/chairperson should:
• Prepare a draft agreement that describes, at minimum:
• Additional appropriate and available general education support
services proposed to be provided;
• Instructional strategies to be used;
• Student-centered data to be collected to track progress; and
• Proposed duration of the services.
• Determine whether an interpreter will be required. See Interpretation for
requirements and best practices regarding interpretation.
• Invite the DOE professional who requested the initial referral, or, if the
referral was from a non-DOE person, ask that the parent invite him/her.
The following is a model agenda for the meeting:
1. Introduction of all participants;
2. Overview of the purpose of the meeting, including a
description of the process that would follow an initial
referral;
3. Review of the concerns raised in the request for initial
referral and interventions that have been implemented
and their impact;
4. Request for input from the parent on their perspective on
the student’s functioning in school and at home;
5. Sharing and discussion of potential interventions to
address the student’s area of need that are available in
the school and could be initiated to support the student;
6. The data that will be collected regarding potential
interventions;
7. The proposed duration of potential interventions; and
8. A determination of whether an agreement between the
parent and principal can be reached on implementing
new interventions.
If an agreement is reached:
• Make any needed revisions or amendments to finalize the agreement;
• Determine and memorialize how and when follow-up information will
be shared with the parent, and offer the opportunity for a follow-up
conference;
• Collect the signature of parent and principal on the agreement and fax it
into SESIS as a Document Related to Referral, titled “Agreement
on General Education Interventions”; and
• Provide a copy of the agreement to the parent, to the student (if
appropriate), and to the professional staff member who made the
request for initial referral (if applicable).
The meeting must be documented in the SESIS Events Log, whether or
not an agreement was reached.
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Obtaining Consent for the Initial Evaluation
Informed consent must be obtained by the DOE from the parent before the
DOE may conduct any assessments, including observations, as part of the
special education initial evaluation process.
17
Informed consent is explained
by the school social worker and sought from the parent at the social history
meeting, but may be received at any time.
Scheduling the Social History Meeting
with the Parent
After the PWN: Notice of Referral: Initial and a copy of the Procedural
Safeguards Notice have been sent to the parent, the Notice of Social
History Meeting is sent to the parent. (The notices may be sent together.)
The Notice of Social History Meeting establishes an appointment date for
the meeting that is:
• as soon as possible;
• no later than 15 business days from the date of the initial referral;
18
and
• no earlier than seven business days from the date the Notice of Social
History Meeting is mailed (unless the parent has agreed to an earlier
date).
Before the school/CSE sends the Notice of Social History Meeting, the
parent should be contacted by phone or email to identify the soonest
mutually agreeable date and time.
If the parent contacts the school social worker/designee and indicates that
the appointment date is inconvenient, the appointment is rescheduled for the
soonest mutually agreeable date and time. The rescheduling of the meeting
must be documented in the SESIS Events Log.
Note: If English is not the parent’s preferred language, arrangements must be
made for a bilingual social history and steps noted in the Bilingual Cascade
must be followed.
Outreach Activities to Schedule a Meeting
to Obtain Consent and Conduct the
Social History
If the parent has not confirmed the appointment, outreach must begin at least
five days before the appointment date, and must include, at a minimum:
• Two attempts at telephone contact at different times of the day; and
• A follow-up letter sent to the parent by mail; and
• If the parent could not be reached by phone and no message was left,
a follow-up letter sent home with the student (“backpacked”), if they
attend a DOE public school.
All contacts and attempts to contact the parent must be documented in
the SESIS Events Log, including the appropriate “Response Type” and
“Log Type”.
For parents whose preferred language is other than English, interpretation
must be made available when contacting the parent. See Interpretation for
requirements and best practices regarding interpretation.
Obtaining Consent for the Initial
Evaluation at the Social History Meeting
At the meeting to obtain consent and conduct the social history, the school
social worker takes the actions outlined in the Initial Social History
section.
When all of the steps outlined in the Initial Social History section have
been completed, the school social worker requests that the parent sign
the Consent for Initial Evaluation form (located in the Social History
Package in SESIS).
If consent is provided, the school social worker proceeds to conduct the
social history.
19
Immediately upon receipt of a signed Consent for Initial Evaluation, the
17 Note that the screening of a student by a teacher or specialist to determine appropriate instructional strategies for curriculum implementation is not considered an evaluation for eligibility for special education
and does not require informed parental consent.
18 For parent referrals (or initials referrals from other authorized non-DOE sources), the date of the initial referral is the date the initial referral document was received by the school/CSE. For DOE
referrals, the date of the initial referral is the date the PWN: Notice of Referral: Initial and a copy of the Procedural Safeguards Notice were sent to the parent.
19 Informed consent to evaluate cannot be construed as consent to provide special education services.
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school/CSE must stamp the consent document with the current date (or
the earlier date on which it was in fact received, if, for example, it arrived by
fax and was mislaid), and fax it into SESIS.
If the Consent for Initial Evaluation is attached to an email, the school/
CSE must print the email, including time and date of receipt, along with the
attachment, and fax the email and attachment into SESIS.
When creating the fax coversheet for the Consent for Initial Evaluation,
the date of consent must be recorded as the date the Consent for Initial
Evaluation was received by the school/CSE; this date should match
the date stamped on the Consent for Initial Evaluation (or the date of
the email, if the Consent for Initial Evaluation was attached to an email).
If Parent Does Not Consent to Initial
Evaluation
In the event that a parent declines to provide consent or does
not respond despite outreach, 25 days after the Notice of Social
History Meeting was sent, the school/CSE either (a) closes the case, or
(b) initiates due process proceedings.
If the school/CSE suspects that the student has a disability that is
adversely impacting their ability to benefit from education and which cannot
be addressed through available general education supports and determines
that the evaluation is essential to determining the student’s needs and
recommending appropriate services, the DOE may seek to conduct an
initial evaluation of the student by utilizing mediation or impartial hearing
procedures.
20
Consult with the supervisor of school psychologists and/
or BCO Administrator of Special Education to consider a request for
mediation or impartial hearing to obtain parental consent to proceed with
new assessments.
If the school/CSE does not initiate due process proceedings following
a parent declining to provide consent or not responding to outreach, the
school/CSE must send the parent the Final Notice of Withdrawal from
the Evaluation Process- Initial Referrals. If the parent still does not
respond or declines to consent, after five days, the case should be closed
in SESIS.
If consent is received after the case has been closed, the case must be
re-opened (as though it were a new referral) in SESIS, using the original
referral date. A note should be entered in the SESIS Events Log that a
new referral has not been made, and the evaluation must commence, with
the timeline for completion based on the date of consent.
Withdrawal of Consent for Initial
Evaluation
If a parent submits a written withdrawal of consent for an initial evaluation
during the evaluation process, no further assessments may be conducted.
If parental consent is withdrawn during an initial evaluation, the school/
CSE must terminate the referral process. In that case, the parent should be
informed of their right to re-initiate the referral at any time by submitting an
initial referral and consenting to the evaluation. The school/CSE should then
send the parent the Final Notice of Withdrawal from the Evaluation
Process – Initial Referrals and, after five days, close the case in SESIS.
Depending on the reason for the initial referral, the school should determine
whether there are other general education or community supports that
could be considered to address the issues that resulted in the referral.
If a parent withdraws consent during an initial evaluation, the school/CSE
may initiate due process proceedings. The considerations are the same as
if a parent does not consent.
20 If a student is enrolled in a private/religious school at private expense, or if a parent is home schooling the student, the DOE may not use due process procedures to conduct an initial evaluation or reevaluation.
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Special Education Evaluation
Special Education Evaluation is the process of gathering information about a
student for consideration of eligibility and development of the IEP. Evaluation
is an individualized,
21
multidisciplinary process that uses a variety of
assessment tools and strategies, including efforts to determine whether there
are modifications or services
22
that may enable the student to participate and
make appropriately ambitious progress in the general education curriculum
and environment. The process includes seeking information from the parent
about the student’s functioning and development, and involves consideration
of both the student’s characteristics in the educational environment and, to
the extent bearing on their school performance, cultural, linguistic, social,
emotional, economic, environmental, and health factors outside the school
setting.
Initial Evaluation
As part of the evaluation process, members of the IEP team must review
existing student information, including: any assessment reports or other
documents
23
or input provided by the parent; current, classroom-based State
and local assessments and, whenever available, detailed teacher reports
including information such as baseline data on specific skills the student may
be lacking and records of how they were taught and progress-monitored; and
prior observations by teachers and other school staff.
Required Assessments
An initial evaluation must include:
• A social history;
• A physical examination;
• An individual psychoeducational assessment;*
• At least one observation of the student in the current educational setting;
• For a student age 12 or older, an assessment that includes a review
of school records and teacher assessments and parent and student
interviews
24
to determine vocational skills, aptitudes, and interests. The
Level I Vocational forms in SESIS are used for this purpose.
Other assessments
25
must be conducted as needed to explore all areas
related to the suspected disability, along with behaviors that impede the
student’s or others’ learning or place the student or others at risk of harm.
On the basis of the review of existing student information, the IEP team
will determine which additional assessments, if any, will be conducted.
The IEP team must also consider the need for additional assessments
based on assessment reports as they are received (e.g., the results of an
occupational therapy assessment may indicate the need for a physical
therapy assessment).
* While in the vast majority of initial evaluations a psychoeducational
assessment must be conducted, a school psychologist may determine that
the assessment is unnecessary for a student — for example, because the
only suspected disability is orthopedic. If a school psychologist determines
that a psychoeducational assessment is unnecessary, they must first
consult with their supervisor and then prepare a written report to that
effect, including a statement of the reasons, and enter the report in the
psychoeducational template in SESIS, providing a copy to the parent.
26
Initial Social History
Professional: School Social Worker
The social history provides a long-term perspective of the student’s
development, changes in skill level, family circumstances, and prior
intervention strategies. Conditions in the student’s home or community can
often have a substantial impact on the student’s performance in school.
Through the social history, valuable information can be obtained about the
student’s home and community environment and what kinds of strategies
have been successful in the past, and other factors that may be affecting
the student’s learning, such as Adverse Childhood Experiences that may
result in trauma-related symptoms. When necessary, the school social
worker should refer the family to appropriate community resources.
For students from diverse linguistic or cultural backgrounds, the social
21 The special education evaluation process does not include tests or assessments administered to all students in a certain class, grade or school, although tests and other classwork may be reviewed by
clinicians as part of the special education evaluation.
22 Both general education and special education services.
23 These must be faxed in to SESIS as documents related to assessment.
24 If English is not the parent’s preferred language, steps noted in the Bilingual Cascade must be followed.
25 Such as: Speech and Language Assessment; Occupational Therapy Assessment; Physical Therapy Assessment; Functional Behavioral Assessment; Audiological Assessment; or Specialized Assessments
such as a Neuropsychological Assessment, Psychiatric Assessment, or Neurological Assessment.
26 If the parent provides a recent psychoeducational or neuropsychological assessment, and upon review of the report the school psychologist believes that conducting an additional psychoeducational
assessment would be unnecessary, s/he must follow the same process.
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history should also provide information regarding: the family’s pattern of
contact with the native country or home community; the family’s and the
student’s adjustment and assimilation in the United States, New York City,
and the school environment; and patterns of language usage at home and
in the community.
In addition, at the social history meeting, the school social worker must do the
following:
• Review the Home Language Identification Survey (HLIS) to verify
the language spoken at home. For a student who does not attend a
public school and does not have an HLIS, one must be completed with
the parent.
• Confirm the parent’s preferred language and mode of communication.
• Confirm that the parent has received a copy of the Procedural
Safeguards Notice and inform the parent of his/her due process rights.
The Procedural Safeguards Notice should be provided to the parent in
their preferred language, if it is one of the DOE’s 9 covered languages.
• Ensure that the parent has access in the parent’s preferred language to
the Family Guide to Special Education Services for School-Age
Children (available in English, Arabic, Bengali, Chinese, French, Haitian
Creole, Korean, Russian, Spanish and Urdu).
• Inform the parent in the parent’s preferred language of the parent’s right
to have a trained interpreter at meetings, if necessary, and of the right
to request evaluation reports for evaluations paid for by the DOE and
the student’s IEP translated into the parent’s preferred language. The
translated document should be made available within 30 calendar days of
the parent’s request or finalization of the document, whichever is later.
• Explain the reason for the referral, the purpose of the evaluation, and
the subsequent steps in the special education process, including that
the evaluation is to be completed within 60 days of the date that the
DOE receives the parent’s informed consent, as per State and federal
regulations.
• Inform the parent that an IEP meeting will be held after all necessary
information is gathered.
• Inform the parent that s/he is a member of the IEP team and serves as
a full participant in all decisions regarding eligibility and program and
service recommendations.
• Inform the parent of his/her right to examine his/her child’s educational
record.
• Inform the parent that s/he will receive a copy of all current assessments
and reports prior to the IEP meeting. The parent must be asked how s/
he wants to receive copies of the assessment reports (via mail or pick-up
at the school/CSE). This must be noted in the Events Log in SESIS. If
the parent chooses to pick up the assessments, the school social worker
must provide the parent with contact information to arrange a time to pick
up the assessments.
• Inform the parent that s/he may bring other individuals who have
knowledge or special expertise regarding his/her child to IEP meetings.
• Elicit parent inquiries and concerns around elementary/middle/high
school, graduation and post-secondary options, responding and
engaging in an informal discussion as appropriate; and, if the student
is 12 years old or older, interview the parent regarding the student’s
vocational skills, aptitudes and interests using the Level 1 Vocational
Interview – Parent / Guardian form.
• Request that the parent forward the results of the student’s most recent
physical examination by providing a copy of the Request for Physical
Examination form. If the parent indicates that the student does not have
a physician, the school social worker will provide assistance in contacting
a clinic to conduct a physical examination.
• If the parent or school staff suspect that a student has hearing loss,
inform the parent that audiological testing may be appropriate; and, if
audiological testing has already been conducted, request the results
from the parent.
• Inform the parent that s/he may send any information or statement,
in writing, or may call the school social worker/designee and provide
information orally.
• Describe the non-specialized transportation options that are available
to all students with disabilities (i.e., full fare MetroCards; stop-to-school
busing, if available), and explain that the IEP team will recommend
specialized transportation only if the available non-specialized
transportation means are insufficient in light of the student’s functioning.
• In the event that the student may require specialized transportation,
inform the parent that medical documentation is required for any special
transportation accommodations and provide the parent with a copy of
the OSH Physician Review: Medical Requests for Transportation
Accommodations Form for completion by the student’s physician and
the Authorization for Release of Health Information Pursuant to
HIPAA Form (located in the Social History Package in SESIS) to be
completed by the parent and then provided to the IEP team in advance
of the IEP meeting. Documentation must describe the medical condition
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and its impact on the student during transportation.
• Request that the parent sign the Request for Release of Records
form (located in the Social History Package in SESIS) to obtain
any evaluations that were conducted by local hospitals, agencies, etc.
(The parent is not obligated to sign the release or to share any outside
evaluations. The evaluation must proceed even if the parent elects not
to sign the release.)
• Inform the parent that his/her written consent will again be required
before special education services can be initiated, and that, at any time
after providing consent for the provision of special education services,
s/he may withdraw consent for the continued provision of special
education services.
• When there is a possibility that the student’s recommended program
will only be available at a school a long distance from the student’s
home, the availability of hardship transportation should be discussed at
the social history and IEP meeting.
• When all of these steps have been completed, request that the parent
sign the Consent for Initial Evaluation form (located in the Social
History Package in SESIS).
Information gathered from the social history is documented in the Social
History Evaluation form in SESIS.
Physical Examination
Professional: Family Physician, School Physician, Nurse Practitioner,
Physician’s Assistant
A physical examination is a required component of the initial evaluation. The
Physical Examination form must include:
• A signed statement containing a summary of the results of the
examination and, if a disease or medical condition is found,
recommendations for treatment of the student and/or for separation
during instruction or other activities (e.g., lunch, transitions,
transportation);
• Results of hearing and vision screenings;
• Any necessary modification to the student’s activities; and
• Any need for health supervision of the student.
At the social history meeting, the school social worker gives the parent the
Request for Physical Examination Form and asks that it be completed
by the student’s physician and returned to the school social worker.
If the parent is unable to obtain a physical examination, the school social
worker must request a copy of the student’s medical record from the school
nurse to determine whether there is a recent (conducted in the past year)
physical examination (a copy of Form CH-205 may be used) on file. If there
is no nurse available in the school, the school social worker should contact
the appropriate Supervising Nurse. If no recent physical examination is on
file, the school social worker must take the following steps to the extent
necessary, logging all steps taken in the SESIS Events Log:
• Request records from the student’s medical provider using the
Authorization for Release of Health Information Pursuant to
HIPAA form (located in the Social History Package in SESIS).
• Provide guidance and assistance (including assistance in scheduling
appointments) to the parent regarding local free or low cost clinics or
health care agencies.
• Provide information to the parent regarding Child Health Plus, a State-
funded insurance plan for children under the age of 15.
27
The Physical Examination form must be completed in its entirety,
including all information in the hearing and vision screening sections. If
a section of the form is omitted or illegible, the school social worker must
follow up with the physician to obtain the information.
Psychoeducational Assessment
Professional: School Psychologist, Licensed Psychologist
The purpose of a psychoeducational assessment is to explore and
systematically study the student’s academic skill development, intellectual
functioning, strengths and weaknesses in cognitive/learning processes
and social, emotional, behavioral, and adaptive functioning. Included in
this assessment are the student’s aptitudes for learning (“IQ”), academic
functioning, social skills, self-help skills, physical and motor development,
behavior, personality, and emotional functioning.
The school psychologist works with the student and his/her family,
with a particular focus on performance in school. The aim of the
psychoeducational assessment is to discover and describe how best to
help the student progress in school.
This aim is accomplished by systematically gathering data through a variety
of sources and methods, including: a review of student records; current
classroom-based assessments; observations of behavior across classroom
and testing settings; interviews with the student and school staff, including
27 If none of these steps are effective, contact the supervisor of school psychologists for support in ensuring that a physical examination is arranged.
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the student’s general education teacher(s), regarding the student’s
functioning and progress in mastering the curriculum; consultation with the
parent; and the use of individual tests and assessment instruments, which
provide important information through scores and the content and quality
of responses. The results of this data-gathering process must be analyzed
and integrated into a report that presents a comprehensive and meaningful
description of the student’s way of thinking, feeling, acting, and learning.
The psychoeducational assessment contributes information about
processes that affect learning, thinking, and behavior, and thereby provides
a basis for designing an educational program that builds on the student’s
individual strengths and helps to support, overcome or compensate for the
student’s individual weaknesses. The psychoeducational assessment is also
important in the prevention of educational, behavioral, and social/emotional
difficulties for the student through the timely recognition of the student’s
needs. The information is documented using the Psychoeducational
Evaluation Report form in SESIS.
The school psychologist may determine based on this data-gathering
that additional, specialized assessments may be needed to identify and
understand the student’s cognitive/academic functioning or emotional/
behavioral issues, or because the psychologists suspects that the student
may have a neurological disorder.
Classroom Observations
Professional: School Social Worker, School Psychologist, Special
Education Teacher
28
As part of an initial evaluation, at least one observation of the student in his/
her current primary education setting must be conducted and documented in
the Classroom Observation form in SESIS. For initial evaluations, at least
one classroom observation is conducted by the school social worker. The
classroom observation must be sufficient to report on the student throughout
the instructional day.
The classroom observation should include: a comparison of the learning
preferences and behavior of the student with other students in the same
instructional group or in other relevant settings; teacher-student interactions;
patterns of language usage, especially in bilingual/ENL classes; and other
issues that impact the student and his/her functioning. Special attention
should be given to the academic performance and/or behavioral issues
that precipitated the referral for the initial evaluation. The observation of a
linguistically and/or culturally diverse student should include an effort to
28 For initial referrals this may be the school’s IEP Teacher (if applicable).
determine and document the effect, if any, of social and cultural or linguistic
factors on the student’s performance in the educational setting. For
observations of students attending bilingual classes, the observation must
be conducted by an observer who understands the language of instruction.
If necessary for observation of a student in a classroom with a language of
instruction other than Spanish, an interpreter must assist the observer.
Speech and Language Assessment
Professional: Teacher of Speech Improvement (DOE), Licensed Speech
Pathologist
The goal of the speech and language assessment is to provide a description
of the student’s communicative competence — the student’s ability to
comprehend, express and exchange information, and the impact of
those abilities on learning. A speech and language assessment may be
recommended on the basis of concerns about the student’s pattern of
communication, noted through formal and/or informal observation.
A linguistically and culturally diverse student may use a mixed linguistic
system that reflects use of elements from his/her diverse language
background. The speech and language assessment must explore a student’s
performance in the relevant languages using all the communication
strategies with which the student is familiar. Social and cultural factors must
be considered in conducting the assessment.
The speech and language assessment should include a review of the
student’s developmental history in regard to language acquisition and his/
her current language and communication skills, including verbal and non-
verbal communication. The student’s articulation and swallowing functions
must also be assessed.
This information is documented using the Speech/Language Evaluation
form in SESIS.
Note: A speech and language assessment does not require a physician’s
prescription.
Occupational Therapy / Physical Therapy
Assessment
Professional: Occupational Therapist, Physical Therapist
An OT or PT assessment may be recommended on the basis of information
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obtained through observations, results of general education interventions,
and from the parent/guardian, teacher or other school personnel.
An occupational therapy assessment should be considered when
participation restriction may be related to activities of daily living, functional
sensorimotor skills, pre vocational skills, movement/accessibility, visual
motor, and/or management of classroom materials/tools (including writing
implements).
A physical therapy assessment should be considered when there are
concerns about the student’s gross motor skills impacting access and
participation in various areas of the school, such as hallways, stairs,
classroom, lunchroom, playground, gym, bathroom, transportation, and
others.
OT and PT assessments should employ a participation-based approach that
places overall importance on the student’s role, participation, and social
engagement within the educational environment. This is referred to as a
“top-down” approach (as compared with a “bottom-up” approach, which
considers the student’s disability and specific deficits and strengths first).
The primary focus of the assessment is to identify problems and concerns
related to these functional areas. If concerns are identified, the assessment
proceeds to determine factors that interfere with the accomplishment of the
student’s role in the educational environment.
The OT/PT Evaluation forms in SESIS are completed by the assigned
evaluator.
A physician’s prescription is not required to conduct an OT or PT
assessment. If the IEP team determines that a student requires school-
based OT or PT, a physician’s prescription is required to recommend
the service on the student’s IEP. A physician’s prescription alone is not
sufficient to recommend OT or PT service on the IEP; an assessment must
be completed to determine the student’s need for each service.
Vocational Assessment
Professionals: The administration of a vocational assessment requires a
team approach. Team members are identified by the principal/chairperson,
and may include a rehabilitation counselor, guidance counselor, special
education teacher, Career and Technical Education (CTE) teacher, school
psychologist, and/or school social worker.
A vocational assessment must first be completed for all students with
disabilities at age 12 or older (or who will turn 12 by the end of the calendar
year in which the evaluation is completed) to help the student, family and
school to begin to discuss the needs, interests and aspirations of the student
as she/he prepares for high school, graduation and adult life.
The vocational assessment involves the systematic collection and analysis of
information gathered from the student, parent(s), and teacher(s) and a review
of school records to explore a student’s vocational aptitudes, skills, expressed
interests, and occupational exploration history (e.g., volunteer experiences,
part-time or summer employment, club activities). The collection of this
information should also take into account the student’s language, culture, and
family. Based on the student’s age, abilities, expressed interests and needs,
an appropriate vocational assessment may include the review of existing
school information and conducting informal interviews (a Level I assessment),
the administration of one or more formal vocational assessments (Level II),
or job and student performance analyses made in real or simulated work
settings as reported by the student, employer, job coach or vocational
evaluator (Level III).
Vocational assessments should be updated as the student’s interests and
needs change. The Level I assessment incorporates information gathered
from the student, parent, and teacher relating to a student’s goals for
graduation, employment, postsecondary education, training, and independent
living skills. The Level I assessment must be updated annually, and the IEP
team should consider conducting further (Level II and III) assessments when
appropriate as transition planning progresses.
Based upon the information gathered from a Level I assessment, the
student’s age, transition planning needs, and expected exiting credential at
the time of the initial evaluation, a Level II assessment may be conducted to
determine the level of a student’s vocational skills, aptitudes, and interests.
The Level II Career Assessment is a formal assessment using a normed/
standardized vocational instrument that tests specific skills and abilities.
Though it is frequently a trained vocational evaluator or rehabilitation
counselor who administers or supervises this level of assessment, a
guidance counselor, special education teacher, school psychologist, school
social worker, or other trained professional may administer the assessment.
Collected data can include: interest inventory, perception (visual/auditory/
tactile), motor (dexterity, speed, tool use, strength, coordination), spatial
discrimination, verbal (reading, writing, speaking), numerical (measurement,
money skills), comprehension (task learning, problem solving), attention
(staying on task), and learning preferences.
Similarly, a Level III assessment may be appropriate to facilitate an expansive
exploration of a student’s vocational abilities, aptitudes, and interests. A Level
III assessment (a Functional Vocational Assessment, as referenced in the IEP)
is a comprehensive career assessment that utilizes real or simulated work,
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as the basis for assessment. It provides additional opportunities to assess
a student’s work and social skills/habits and considerations and planning
regarding the training and support strategies required to develop a student’s
vocational competence. Level III Assessments are required for all students
who are participating in a work-based or volunteer learning experience.
Assessment data should serve as the common thread in the transition
process. This data informs the development of academic, social-emotional,
physical and functional life skill goals and identification of appropriate
transition planning activities and services in the IEP. All assessment data
should be faxed into SESIS as a Document Related to IEP.
For additional information please refer to Level 1 Career Assessment for
Students with Disabilities: A Manual.
Functional Behavioral Assessment (FBA)
and Behavioral Intervention Plan (BIP)
Professionals: Team members may include a School Psychologist,
School Social Worker, Special Education Teacher, General Education
Teacher, Guidance Counselor, and/or other professionals with knowledge
and expertise relevant to the student’s behavior. Generally, the school
psychologist or the school social worker will coordinate the process of
conducting an FBA and developing a BIP.
Overview: A functional behavioral assessment (FBA) is a process for
determining why a student engages in certain behaviors, what function the
behavior serves, and how the student’s behavior relates to the environment.
An FBA addresses behaviors that impede the student’s learning or that of
others or that place the student or others at risk of harm or injury. An FBA
includes, but is not limited to, the identification of problem behavior, the
description of the behavior in concrete terms, the identification of contextual
factors that contribute to the behavior (including cognitive and affective
factors) and the formulation of a hypothesis regarding the general condition
under which a behavior usually occurs, the setting events, antecedents
(triggers) for the behavior, and probable consequences that serve to maintain
it.
The FBA must be based on multiple sources of data including, but not
limited to, information obtained from direct observation of the student across
various setting and times in the classroom and school during instructional and
non-instructional time, and when the behavior occurs and does not occur;
29 Including behaviors such as elopement.
information from the student, the student’s teacher(s), parent, related service
provider(s) and others with whom the student interacts; and a review of
available data and information from the student’s record and other sources
including any relevant information provided by the student’s parent. The FBA
must be conducted by a team of professionals including those specified
above; the principal/CSE chairperson will designate the members of the
team and its facilitator, and should seek support from the supervisor of school
psychologists as needed. For particularly complicated situations, participants
from outside the school should be considered (e.g., behavior specialist,
supervisor of school psychologists, outside agencies involved with the
student), to ensure that an impartial perspective is available.
The results of an FBA may indicate that a behavioral intervention plan
(BIP) is warranted. A BIP is based on the results of an FBA and, at a
minimum, includes:
• a description of the problem behavior,
• global and specific hypotheses as to why the problem behavior occurs,
and
• intervention strategies that include positive behavioral supports and
services to address
• the behavior,
• antecedents (triggers), and
• responses to the behavior.
• The goal of these intervention strategies is to decrease the incidence of
the problem behavior and increase alternative acceptable behavior(s).
Determining the Need for a Functional Behavioral
Assessment and Behavioral Intervention Plan
An FBA must be considered whenever:
• A student who has been referred for an initial evaluation or a student
with a disability exhibits behaviors that impede his/her learning or that of
others;
• A student who has been referred for an initial evaluation or a student
with a disability exhibits behaviors that place the student or others at
risk of harm or injury
29
;
• A student who has been referred for an initial evaluation or a student
with a disability exhibits non-aggressive or non-violent behaviors which,
while not harmful to others, may interfere with the student’s education;
and/or
• The IEP team is considering more restrictive programs or placements
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as a result of a student’s behavior
30
.
Whenever an FBA is being considered, the IEP team must complete the
“Considerations of a Student’s Need for Positive Behavior Supports, FBA
or a BIP” form and fax into SESIS as a Document Related to IEP to
ensure that the team considered ALL factors in determining the need for
an FBA, including whether school-wide and/or classroom supports were
consistently implemented and failed to adequately address the student’s
behavior.
An FBA should be considered (and the “Considerations” form completed)
any time a student’s behavior is a substantial reason for the referral or for
the student’s IEP. This refers not only to acting out in the classroom, but to
any behavior with an impact on learning, including but not limited to:
• Elopement
• Behaviors injurious to self or others
• School avoidance
If an FBA has been considered and determined unnecessary through use of
the form, this must be documented in the student’s Events Log in SESIS
as “FBA Considered, Not Conducted.”
When an FBA will be conducted, as with any special education
assessment, parental consent is required. When it has been determined
that an FBA is warranted and a reevaluation is not currently open, a
reevaluation must be requested.
31
An FBA must be conducted and a BIP must be developed and
implemented immediately whenever a student is subject to disciplinary
action and, at an MDR, a determination has been made that the behavior
subject to disciplinary action was a manifestation of the student’s disability,
if an FBA was not conducted before the behavior occurred.
If an FBA was conducted before the behavior that is subject to disciplinary
action occurred and a BIP was not developed, the FBA must be reviewed
and, if appropriate, a new FBA must be conducted and then a BIP must
be developed.
If a BIP was developed before the behavior that is subject to disciplinary
action occurred, the FBA and BIP must be reviewed and modified as
necessary to address the behavior.
Additionally, if the MDR team has determined that the behavior subject
to disciplinary action was not a manifestation of the student’s disability,
the school may still determine that an FBA is Necessary. At a minimum, at
the student’s next IEP meeting, the IEP team must determine whether the
student’s behavior necessitates conducting an FBA and/or developing or
reviewing a BIP. See Students with Disabilities Subject to Discipline: An
Overview for more information.
Content of FBA
The FBA must:
• Provide a baseline of the student’s problem behaviors, across activities,
settings, people and times of the day, with regard to:
• Frequency (how often a behavior occurs);
• Duration (the length of time the behavior lasts);
• Intensity (how severe the behavior is); and
• Latency (how long it takes for a behavior to begin after a specific
verbal demand or event has occurred)
• Include a hypothesis on why the student engages in behaviors
that impede learning and how the student’s behavior relates to the
environment in sufficient detail to form the basis for a behavioral
intervention plan for the student that addresses:
• Antecedents / triggers;
• Reinforcing consequences of the behavior;
• Recommendations for teaching alternative skills or behaviors; and
• Assessment of student preferences for reinforcement.
An FBA must be completed using the form found here. Once complete, the
FBA must be faxed into SESIS.
Behavioral Intervention Plan (BIP)
Based on the FBA, the IEP team must determine whether a BIP is necessary.
Although the BIP is not part of the IEP, it should be developed at an IEP
meeting, unless the urgency of the need for the BIP requires that it be
developed sooner than a formal IEP meeting can be scheduled. A draft
BIP may be developed in advance of the IEP meeting. The final BIP must
be developed with input from the parent considered. The parent has a right
to have an interpreter, upon request, at a meeting to develop a BIP. See
Interpretation for requirements and best practices regarding interpretation.
Schools should provide tiered positive behavior supports to all students as
part of a school-wide model of behavior support. A BIP does not replace
the positive behavior supports provided to all students. Rather, the BIP
will identify the skills that a student requires in order to learn replacement
behaviors.
30 If the IEP team will be considering a Behavior Support Paraprofessional, an FBA must be conducted.
31 The FBA is a special education assessment, and evaluations that include an FBA are subject to the applicable timelines.
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The BIP is based on the results of the FBA and includes five elements:
• Prevention: What can be changed in the student’s environment or
experience to reduce the likelihood of the problem behavior and facilitate
learning? (e.g., seating arrangements, peer and teacher behaviors,
adaptations or accommodations to curriculum or instructional materials,
early morning check-in with a trusted adult when student has problems
brought in from outside the school, removals of antecedents/triggers)
• Instruction:
• What new, alternative, more appropriate behaviors that serve the
same function as the problem behavior can the student be taught to
use when antecedents/triggers occur? E.g.,
• Asking for help or a break instead of running out of the classroom
to avoid a non-preferred task;
• Raising a hand instead of shouting out to gain teacher attention;
or
• Protesting negative comments/interactions appropriately instead
of hitting peers.
• How will these new, alternative, more appropriate behaviors
be taught? (e.g., communicating clear expectations, modeling,
rehearsing, providing positive feedback)
• What supports will the school give to the student? (e.g., additional
adult support during transitions or challenging instructional periods,
breaks, instructional services and supports, sensory supports)
• Positive Consequences for Alternative, Appropriate Behavior:
How can the positive, alternative behaviors be reinforced so that they
increase? (e.g., providing a specific description to student of what s/
he did right; implementing a schedule that provides a preferred activity
right after completion of a less preferred activity; providing instructive and
constructive feedback; providing a highly preferred reinforcer immediately
after alternative behavior)
• Responses to Inappropriate Behavior: When problem behavior does
occur, how will staff respond in order to prevent the problem behavior
from being reinforced? What strategies will staff use to de-escalate
behavior while keeping the student engaged and responsive? How will
staff prevent behavior from escalating?
• Progress Monitoring: How will staff collect data about the frequency,
duration, and intensity of the problem behavior at scheduled intervals,
in order to monitor the effectiveness of interventions? How will they
document progress and report on it to the parents and the IEP team?
How often will the school report the progress to the parent?
A BIP must be completed using the form found here. Once complete, the
BIP must be faxed into SESIS. Schools must ensure that all staff responsible
for implementing a student’s BIP understand their responsibilities, including
substitute teachers and providers.
Audiological Assessment
Professional: Audiologist
An audiological assessment should be considered when a student is
suspected to have hearing loss/impairment. Hearing loss may be caused by
a number of factors such as ear infections, medication, heredity, illness, or
exposure to high levels of noise. This can occur at any point during a child’s
development and may interfere with a child’s speech development, the ability
to learn, and socialization with peers.
Some key indicators of possible hearing loss include:
• Frequently asking for things to be repeated
• Difficulty with paying attention
• Focusing on the speaker’s face, lips, gestures, and other visual cues
• Turning one ear toward speaker
• Speaking in excessively soft or loud voice
• Easily distracted or bothered by background noise
• Responds better in a one-on-one or small group setting than in a large
group setting
• Lack of participation in classroom activities
While the student is being referred for further testing, teachers and
other school staff can take steps to create a classroom environment that
promotes and enhances student engagement. Some suggested strategies
might include:
• Assigning a front row seat;
• Repeating information;
• Avoid speaking while writing on the board with your back turned to the
student;
• Provide written instructions as well as oral instructions; and
• Always ensure that directions, assignments, and instructions are
understood before the student begins working.
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Assistive Technology Assessment
The purpose of an assistive technology (AT) assessment is to identify
technology tools that may improve the student’s performance, participation,
independence and access to the curriculum. A student should be considered
for AT if he/she has challenges in handwriting, spelling, reading, math,
written expression, organization, and communication that prevent or limit the
student’s access to or progress in the general education curriculum.
In some situations, professionals in the student’s school will be able to
conduct the AT assessment and determine a student’s need for AT without
the assistance of AT specialists. In more complex cases, schools will need
to request an AT assessment from DSISS AT specialists. The request
is completed in SESIS using the AT Referral Form. The AT specialists
will schedule and conduct the assessment and, if AT may be appropriate,
will also submit purchase order information to the requesting school. For
information on how to complete the necessary steps in SESIS, see the
SESIS Quick Reference Guide on Assessment Planning for Initial Referral
and other resources on the SESIS training page.
Specialized Assessments
The following specialized assessments are requested through SESIS by
the supervisor of school psychologists, using the Request for Assistance
(RFA). The school psychologist should consult with the supervisor
of school psychologists for guidance if s/he believes any of these
assessments may be needed.
Neuropsychological Assessment
A neuropsychological assessment is not typically part of the standard
battery used to evaluate a student’s level of cognitive and academic
functioning. It is an assessment performed by a neuropsychologist, who
is a New York State licensed psychologist with specialized training in
neuroanatomy and neuropsychological assessments. Neuropsychological
assessments are most often needed to examine more closely students
who are not making expected progress even after many different special
education supports have been attempted; have certain learning disabilities
(e.g., dyslexia)
32
; and/or have a traumatic brain injury.
Psychiatric Assessment
A psychiatric assessment may be appropriate for a child or adolescent
experiencing severe emotional and/or behavioral problems when these
difficulties may be impacting success in school. This type of assessment is
conducted by a child and adolescent psychiatrist (a physician).
According to The American Academy of Child and Adolescent Psychiatry, a
comprehensive psychiatric evaluation frequently includes the following:
• Description of present problems and symptoms
• Information about health, illness and treatment (both physical and
psychiatric), including current medications
• Parent and family health and psychiatric histories
• Information about the child’s development
• Information about school and friends
• Information about family relationships
• Interview of the child or adolescent
• Interview of parents/guardians
• If needed, laboratory studies such as blood tests, x-rays, or special
assessments (for example, psychological, educational, speech and
language evaluation)
The psychiatrist will develop a formulation based upon the results,
combining biological, psychological and social parts of the problem. The
synthesis of information will also consider the child’s history, family history,
developmental needs, and strengths of the child. The results will assist
a school in understanding the underlying problem that will enable the
appropriate support to be offered to the student.
Neurological Assessment
A neurological assessment may be warranted when there is a suspected
neurological disorder that may present through problems in daily
functioning. A neurological disorder can manifest in a range of symptoms.
These symptoms include muscle weakness, poor coordination, blurry vision,
loss of sensation, seizures, confusion, and paralysis.
An evaluation will review a child’s medical history so that all important
and potentially relevant background factors are known and considered. A
neurological evaluation is conducted by a neurologist (a physician). When
a neurological assessment may be appropriate, the school/CSE must
contact the supervisor of school psychologists. A neurological assessment
is not conducted by DOE personnel and must be contracted to an outside
provider. For further information on arranging a neurological assessment,
refer to the Assessment Resources.
32 A neuropsychological assessment is not required for every student who has certain learning disabilities such as dyslexia, but one may be warranted if the available assessments do not sufficiently describe the
student’s disability and its impact on the student’s ability to learn, and/or if the IEP team does not have the specific assessment tools or expertise needed to adequately survey all suspected areas of disability.
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A neurological assessment is divided into several components. These
components include:
• Mental Status: This is a series of simple, but detailed questions
designed to assess a child’s state of consciousness, general behavior,
mood, content of thought, orientation to time and place, memory,
judgment, abstract reasoning, as well as speech and language
functioning.
• Cranial Nerves: The cranial nerves are a set of twelve nerves that
relay messages between the brain and the head and neck. These
nerves control motor and sensory functions, including vision, smell and
movement of the tongue and vocal cords.
• Motor System: The motor system includes the brain and spinal cord
motor pathways, as well as the motor nerves and muscles throughout
the body. The physician will assess muscle strength and tone, and look
for abnormal signs of motor functioning.
• Sensory System: This area evaluates sense and sensation that occur as
a result of stimulation of receptors that are located in the skin, muscles,
and tendons throughout the body. The stimulation of receptors sends
impulses along nerve fibers to the central nervous system (brain and
spinal cord). A sensory exam involves evaluating different types of
sensation, including pain, temperature, pressure and position.
• Deep Tendon Reflexes: Reflexes are involuntary responses to impulses
sent to the central nervous system, and if impaired, may be the first sign
of neurological dysfunction. The neurological evaluation will include an
assessment of deep tendon reflexes, or reflexes elicited in response to
stimuli to tendons.
• Cerebellum: This is a part of the brain that controls voluntary movement
and motor coordination, including posture. Testing coordination
provides insight into conditions that affect the cerebellum.
IEP team Interpretation of Individualized
Special Education Assessment Scores
Test scores do not, in and of themselves, define a student’s intellectual
potential or academic achievement. Instead, the score describes the
student’s performance relative to the normative sample on a particular
test. The clinician is responsible for recording the student’s performance
and must describe the meaning of any scores obtained in the assessment
process.
Clinicians should be careful to treat each score from a standardized
assessment tool as falling within a confidence interval whose size is
determined by the reliability of the assessment tool. Thus, a student may
score at the 38th percentile on a given test, but the score may be more
accurately interpreted, due to the standard error of measure on that test,
as likely to fall within a range between the 30th and 48th percentiles with
a 68% degree of confidence. This presents a more accurate description of
the student’s ability. It also makes a clear statement that we recognize the
limitations in the reliability of standardized assessment tools.
Grade and age equivalent scores from a standardized assessment tool,
should not be reported. Although they are intuitively appealing, they
foster a host of misconceptions and should be avoided. A reading test
score derived from the sample of reading behaviors on a standardized
assessment tool may be used to compare a student to other students
in that test’s normative sample. The use of the score to predict a
student’s ability to succeed in a given curriculum, however, constitutes
an inappropriate generalization of test results, as does the use of the
score as a comparison for students who were not represented in the
normative sample. The correct scores to report from standardized tests
are the percentile ranges and confidence levels or standard scores that
more accurately describe the student’s standing relative to the normative
group. In addition, labels such as “high average,” “average,” “low average,”
and “borderline,” for example, can be helpful in explaining the assessment
results, but should generally not be relied on alone to convey those results,
absent the percentile ranges and confidence levels or standard scores
(except in the circumstances explained below).
For a student who differs linguistically or culturally from the normative
population used to construct an assessment instrument, only descriptive
statements should be made. The process of interpreting assessment
results for such a student is more difficult and clinicians must guard
against possible bias in decision making by adequately considering the
distinct situational, cultural or linguistic features that could be affecting the
student’s current performance. A qualitative, descriptive analysis of the
student’s performance should be used for decision making. This should
include looking at the student’s performance over time; any potentially
significant changes between recent and past assessments may warrant
further investigation.
Test scores may not be reported from a bilingual evaluation, whether
completed using an interpreter or by a certified bilingual evaluator. The
bilingual evaluation’s interpretation of the student’s performance must be
qualitative and descriptive.
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Completion of Assessment Reports
Reports should be written in descriptive language that can be readily
understood by all involved parties. Assessment reports should include, at a
minimum:
• The reason for referral;
• A description of the assessment methods selected, including both
formal and informal approaches used;
• The assessment findings, including a description of the student’s
strengths and weaknesses in the areas assessed (scores and
descriptive statements should be used when applicable and as
discussed above);
• A summary of the student’s educational needs;
• A description of the student’s ability to meet State performance
standards; and
• Information for school staff to modify/adapt the general education
curriculum in order for the student to meet academic standards (as
applicable).
In addition to the requirements listed above, bilingual assessments must
include:
• A description of the extent to which both English and the native
language were used during the assessment;
• The impact of cultural issues on the student’s performance;
• A description of the utilization of the interpreter/translator (as
applicable), including the briefing/assessment/debriefing process; and
• A recommendation for language(s) of instruction.
Arranging Transportation for
Assessments
For a student attending a DOE school, an assessment is typically
conducted at the student’s school. When an assessment for any student
will be conducted at a site other than the student’s school, the IEP team
must arrange for transportation for the student and the parent, by:
• Providing a MetroCard to the parent (for both the parent and student, if
necessary);
• Reimbursing the parent for a taxi/car service;
• Arranging and paying for a car service; or
• Reimbursing the parent for round-trip gas and tolls.
Assessment Resources
In order to ensure that assessments are conducted in a timely manner,
the relevant clinical supervisor is responsible for considering and utilizing
all appropriate assessment resources. It is preferred that assessments be
conducted during the regular workday by the professionals assigned to the
school/CSE. However, situations may arise that require the use of DOE
staff on a per session basis, or the use of non-DOE staff. Such situations
may include:
• The unavailability of DOE staff during the workday; or
• The need for an assessment for which appropriate DOE staff are not
available or qualified (e.g. bilingual, neuropsychological evaluation).
It is the responsibility of the case manager to notify the relevant clinical
supervisor if there is an assessment that cannot be completed by staff
assigned to the school/CSE. Planning must begin as soon as
possible, as determining who will perform all assessments is not a
permissible delay of the 60 day timeline.
Assessment professionals are selected in the following priority:
1. DOE Staff Daytime or per session
2. Contract Agency Assessments by professionals working for
agencies under contract to the DOE are used
if DOE staff (school day and per session) are
unavailable to conduct the assessment within
the timeline.
3. Assessment If no contract agency provider is available to
Authorization
conduct the assessment within the timeline,
the parent is authorized and assisted to
identify an appropriately licensed and security
cleared (i.e., PETS-eligible) non-DOE
independent provider, at DOE expense.
Requesting an Assessment from an Agency under Contract
with the DOE (Applies to Monolingual and Bilingual
Assessments)
For students whose cases are managed by a CSE, the supervisor of school
psychologists contracts out for assessments.
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For students whose cases are managed by a public school, depending on
type of assessment, the following parties contract out:
• For Speech assessments, the Office of Related Services, Assessments
Operations Team (AOT) in collaboration with supervisors of speech.
• For OT/PT assessments, supervisors of OT or PT.
• Supervisors of school psychologists contract out for all other
assessments.
The aforementioned parties serve as the contacts for contract agencies.
(The clinical supervisor initiating the request varies by the type of
assessment.)
All contracting out is done in SESIS by:
• Initiating the Request for Assistance (RFA).
• Sending a message via SESIS with the appropriate Assessment
Planning Document (APD) to the appropriate AOT coordinator or
discipline supervisor.
• Documenting in the Events Log any assessment-related issues.
The contract agency is notified of the details of the requested assessment
via SESIS.
When an assessment that has been sent to a contract agency is no longer
needed, the agency must be immediately notified.
Contract Agency Responsibilities
The contract agency must:
33
• Notify the DOE of the name of the professional through SESIS, within
five business days of receipt of assignment;
• Conduct the assessment and complete the report in SESIS, within
fifteen (15) days from its acceptance of the assignment, or notify the
DOE of a need for an extension;
34
• Contact both the school administrator and parent to schedule the
assessment at an appropriate time;
• Conduct the assessment at the student’s school, unless another
location is approved in advance by the DOE responsible party in
consultation with the parent.
Contracted agencies complete and submit reports in SESIS to be reviewed
by the clinical supervisor.
Supervisor Responsibilities Upon Receipt of Contracted
Assessment Report
Upon receipt of the report and required forms, the relevant clinical
supervisor reviews the report in SESIS and determines acceptability:
If the report is deemed acceptable, s/he:
• Checks the Approval button in SESIS in the Assessment Planning
documents;
• Notifies the case manager;
• Provides a copy of the report to the case manager prior to the IEP
meeting.
If the report is deemed unacceptable
*
, s/he:
• Checks the Disapproval button in SESIS in the Assessment
Planning documents;
• Completes the Reason for Disapproval form in SESIS; and
• Alerts the case manager of the disapproval.
The Assessments Operations Team (AOT) will then work with the agency
and the supervisor to ensure that the report is completed appropriately
and within the 60-calendar day timeline. Delays in the completion of a
contracted assessment report are attributable to the DOE.
*A report may be unacceptable if, for example, it was completed by an
unlicensed individual, includes information regarding a different student,
contains factual errors, fails to identify the assessment tools used, or
cites age-inappropriate or outdated assessment tools. (This is not a
comprehensive list.)
Assessment Authorization
Assessment Authorization letters will be issued to parents to allow
non-DOE independent evaluators to conduct assessments under two
circumstances:
• When it is determined that neither DOE (full-time or per session) nor
contract agency staff are available to conduct specific assessments; or
33 Contract agency professionals must be entered and activated in the Personnel Eligibility Tracking System (PETS) prior to receiving authorization to provide services. The agency must maintain a file for each
provider including names, license numbers/registration and certification, if applicable, as well as evidence that the provider is employed by the vendor or has agreed to be employed if the vendor is awarded
a contract. Contractors are required to promptly update and maintain registration certificates as renewed, changed, suspended or revoked for any reason, and/or where revised expiration dates are issued by
New York State. Note: The DOE reserves the right to verify providers’ credentials throughout the evaluation process and thereafter.
34 When an awarded provider is unable to evaluate students within the fifteen (15) school day allotted timeframe, the DOE, through the Office of Related Services, reserves the right to assign students to another
contractor awarded a contract for that discipline. Assignments will be made in order of lowest to highest contracted rate and indicated capacity.
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• If an assessment cannot be completed within the mandated timeline written request for an independent assessment is sufficient.
(other than due to delay not attributable to the DOE).
Intake of a Request for Independent Assessment
The Assessments Operations Team (AOT) sends the SESIS generated
Assessment Authorization form to the parent along with the AA-2
Form (student information completed), AA-4 (information regarding registry
of providers) and the AA-5 Form (with maximum rate information). The
AOT should assist, as necessary, in identifying a professional to conduct
the assessment at the standard rate, and in facilitating approval of a higher
rate, if needed due to inability to identify a professional at the standard rate.
The AOT should indicate why the Assessment Authorization letter is being
issued in the SESIS Events Log.
Once a professional is identified, the parent returns the AA-2 (signed by
the professional and parent) to the AOT.
The provider then performs the evaluation and sends the AA-2 Form, the
assessment report, and the invoice to the AOT. The relevant DOE clinical
supervisor must review the report to determine that the assessment report
is acceptable, and must follow up with the independent professional as
needed to ensure that all needed information is included clearly in the
report. When the DOE clinical supervisor has determined that the report is
acceptable, AOT sends the assessment report, the AA-2 Form, and the
invoice to the Bureau of Non-Public School Payables for payment to be
processed within 6 weeks of the DOE’s receipt of the report and invoice.
Review of the assessment report must be conducted as soon as possible
to ensure time for revision and approval within the 60 day timeline.
Request for an Independent Assessment at DOE Expense
A parent may request an independent assessment at DOE expense if s/
he disagrees with an assessment conducted by the DOE (including an
assessment conducted by a contract agency or through an Assessment
Authorization issued due to the unavailability of DOE and contract agency
professionals).
35
The request must be made in writing to the student’s DOE
school or CSE. The request document may be hand delivered or sent by
mail, email, or fax.
A request for independent assessment need not contain “magic words”; a
Immediately upon receipt of a request document by hand, mail, or fax, the
school/CSE must stamp the document with the date it was received.
If the request for independent assessment is in the text of an email, the
school/CSE must print the email, including the time and date it was
received, and treat the printed email as the request document. If the request
is attached to an email, the school/CSE must print the email, including time
and date of receipt, along with the attachment.
A request for an independent assessment must be immediately directed to
the appropriate clinical supervisor. If it is not apparent from the request, the
supervisor should contact the parent to ask why s/he disagrees with the
DOE assessment, documenting the conversation in the SESIS Events
Log. The following procedures apply whether or not the parent states a
reason for disagreement.
Within 10 school days of the school/CSE’s receipt of the request,
the relevant clinical supervisor must either authorize an independent
assessment at DOE expense or determine that the DOE’s assessment
was satisfactorily completed and that no information (including the
parent’s concerns, if expressed) exists that would call it into question. If
the supervisor so determines, s/he must contact the Impartial Hearing
Representation Office if the student attends a DOE school. The Impartial
Hearing Representation Office will, upon review, determine either that
the parent’s request will be granted (in which case the relevant clinical
supervisor should authorize the independent assessment) or initiate an
impartial hearing. If the Impartial Hearing Representation Office determines
that an impartial hearing should be initiated, the school should create a Prior
Written Notice informing the parent that the request for an independent
assessment is denied. This should be provided within 15 school days of
receipt of the parent’s request.
If this is a request made of the CSE and the relevant clinical supervisor
believes the DOE’s assessment was satisfactorily completed and that
no information (including the parent’s concerns, if expressed) exists that
would call it into question, s/he should consult with the CSE chairperson to
In the event the contractor requests an extension of time to complete an assessment beyond 15 business days, a request for extension must be made in SESIS. Note: a contractor’s request for an extension
does not serve to extend the mandated timeline for evaluations to be completed.
35 This section describes the process for parental requests for independent assessments at DOE expense due to disagreement with the DOE’s assessment. If the parent makes a request for an independent
assessment but is in fact entitled to an Assessment Authorization due to expiration of the 60 day timeline, the Assessment Authorization must be provided and the associated procedure followed. If no DOE
assessment of the requested type has been conducted and: (a) no referral is open, the school/CSE must consider the request a referral for initial evaluation or reevaluation, as applicable, and proceed
accordingly; (b) a referral is open and within the 60 day timeline, the school/CSE should seek to arrange a timely DOE assessment, informing the parent that an independent assessment may be requested if
s/he disagrees with the DOE assessment’s results. If a school/CSE believes an independent assessment should be authorized for any other reason, the supervisor for the relevant discipline must be consulted.
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determine whether the CSE will grant the parent’s request (in which case
the CSE authorizes the independent assessment) or initiate an impartial
hearing (in which case a Prior Written Notice informing the parent that
the request for an independent assessment is denied must be provided
according to the process above).
Granting a Request for Independent Assessment
When a parent’s request for an independent assessment is granted, the
Assessment Authorization forms may be used to facilitate payment to the
independent professional. The issuer of the Assessment Authorization
letter should indicate why the Assessment Authorization is being issued
in the SESIS Events Log. Unlike for an assessment conducted via
Assessment Authorization due to unavailability of DOE and contract agency
professionals, the parent’s chosen professional is not required to have
cleared any DOE security checks or be registered in PETS. The parent’s
chosen independent professional must provide his/her license information
to the relevant DOE supervisor for authorization to proceed with the
assessment at DOE expense. If the professional is not registered in PETS,
but the professional indicates that s/he is interested in being registered
in PETS, s/he should be assisted in registering. If the professional does
not wish to be registered in PETS, the supervisor must notify the relevant
clinical manager, who will notify the parent of this fact in writing, and instruct
the parent and professional on how the professional may register. If the
parent confirms in writing his/her desire for the assessment to proceed
despite the professional’s lack of PETS registration, the assessment must
be authorized. Before processing payment, the supervisor or manager
must review the assessment report to determine that it was completed
professionally and by an appropriately licensed professional, to prevent
wasteful exhaustion of the parent’s right to an independent assessment and
expenditure of DOE funds. The supervisor or manager may not reject a
professionally completed report for disagreement with its conclusions.
If the parent’s chosen independent professional has a problem code in
PETS, consult with the central Special Education Office before contacting
the parent.
Requests for Independent Assessment an Extended Time After the
DOE Assessment
If the parent’s request for an independent assessment comes an extended
period of time after the IEP meeting at which the DOE’s assessment was
considered (e.g., a year or more), it may be unclear whether the parent is
36 The DOE does not initiate an impartial hearing in this circumstance.
37 The DOE does not initiate an impartial hearing in this circumstance.
seeking a new evaluation process or disagrees with that prior assessment.
In such a case, the relevant clinical supervisor must make outreach to the
parent to clarify whether the parent is requesting a reevaluation (or initial
evaluation, if the student was found ineligible or declassified).
• If the parent is not requesting an initial evaluation or reevaluation, the
request for independent assessment must be considered as described
above.
• If the parent is requesting an initial evaluation or reevaluation, the DOE
must process the referral, including conducting its own assessments.
After the parent has had the opportunity to review the assessment
report(s), the supervisor must ask the parent whether s/he disagrees
and wishes to request an independent assessment.
Requests for Reimbursement of Independent Assessment
If the parent has already obtained an independent assessment and requests
DOE reimbursement for it, the clinical supervisor should consider whether
or not s/he would have granted an independent assessment upon parent
request (whether because there is information that calls into question
that the DOE’s assessment was satisfactorily completed or because the
evaluation timelines have been exceeded). If the supervisor would not
have granted such a request, the request for reimbursement should be
denied. The parent must be informed in writing of the reason for the denial,
provided a PWN rejecting the parent’s request, and provided a copy of
the procedural safeguards, and the written explanation must be faxed into
SESIS as a Document Related to Assessment.
36
If the supervisor
would have authorized the independent assessment, s/he must consider
whether the parent’s evaluation was completed professionally and at a
reasonable cost; if so, payment is processed. If not, the parent must be
informed in writing of the amount that will be paid (if any) and the reason
for non-payment of some or all of the amount, and provided a copy of the
procedural safeguards. The written explanation must be faxed into SESIS
as a Document Related to Assessment.
37
Questions regarding the rate
or licensing of the independent professional should be addressed to the
director of the relevant clinical field.
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Determining Language of Assessment
A student who has been identified as an Multilingual Learner (MLL) must be
initially assessed:
• In both their native language and English (to the extent possible), to
determine their social communication and academic development in all
areas including listening, speaking, reading and writing, etc.; and
• Using input from parents, bilingual/ENL teachers, bilingual clinicians,
and others that includes sociocultural information, level and rate of
acculturation, skills and rate of language development and acquisition in
both languages, and academic/educational test data.
For a student initially referred for evaluation who does not have a Home
Language Identification Survey (HLIS) (i.e., a student who has not
attended a NYC public school), the school social worker must administer an
HLIS at the social history meeting. Based on the results of the HLIS, and
following the procedures and considerations outlined on pages 20-22 of
the English Language Learner Policy and Reference Guide, a determination
will be made whether the student is eligible to take the New York State
Identification Test for English Language Learners (NYSITELL).
38
If the student is determined to be an MLL and his/her home language is
Spanish, a Spanish LAB will be administered in addition. For additional
information regarding this process, please refer to the English Language
Learner Policy and Reference Guide.
For a student initially referred for evaluation, whose results on the Home
Language Identification Survey suggest that a Spanish LAB and/or
NYSITELL should have been administered but was not, arrangements must
be made for the relevant exam to be administered and scored by the school.
For a student who does not attend a public school, the Spanish LAB and/
or NYSITELL is administered and scored by a special education teacher
assigned to the CSE. The response documents must be sent directly into
ATS through the ATS scanner to ensure official scanning, scoring, and entry
into the computerized tracking system.
For students who are identified as non-MLLs, assessments are generally
conducted in English. To the extent a non-MLL student demonstrates
exposure to a language other than English, the impact of which may
suggest the need for a bilingual assessment, the language of the
assessment(s) must be determined by the IEP team. The IEP team makes
this determination on the basis of an individual inquiry.
The IEP team may determine that one or several assessments are more
appropriately conducted bilingually in order to more accurately determine
the nature and extent of the student’s needs and whether they are related
to English language acquisition. The following are examples of factors and
circumstances that could lead the IEP team to determine that a non-MLL
student requires one or more bilingual assessments:
• Teacher or other school-based reports indicate that the student appears
to lack the English language proficiency needed to succeed in the
classroom.
• Normal processes of second language acquisition seem to be
significantly affecting academic performance including language loss,
language transfer, and limited vocabulary.
• The student has spent significant time living in a region where a
language other than English is widely used.
Whenever an IEP team is considering a bilingual evaluation for a non-MLL
student, the supervisor of school psychologists must be consulted.
Conducting Bilingual Assessments: The Bilingual Cascade
A bilingual assessment may be conducted by:
• a clinician certified as bilingual in the student’s native language (always
preferred);
or, for native languages other than Spanish:
• a clinician certified as bilingual in a language other than the student’s
native language, with the assistance of an interpreter; or
• a monolingual clinician, with the assistance of an interpreter.
An interpreter may not be used for Spanish assessments.
The Bilingual Cascade details the priority for selecting personnel to conduct
bilingual assessments for students whose native language is not English or
Spanish. The clinical supervisor must maintain records substantiating the
efforts to obtain a clinician in the appropriate language prior to using an
38 If the student or their teacher, parent or school disagrees with the results of the NYSITELL (and subsequent MLL determination), the school must utilize the MLL Re-identification Process, following the
procedures outlined on pp. 30-31 of the MLL Policy and Reference Guide.
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3
Table of Contents Top of this section General Information & Terms
interpreter. These efforts must be documented in the SESIS Events Log.
**Minimum Requirements for Interpreters Used for Evaluations
The interpreter must have one or more of the following qualifications to
ensure the interpreter’s proficiency in English as well as in the second
language:
• NY State Bilingual Education Assessment (BEA)
• NY State Education Department Bilingual Extension Certificate (BEC)
• NY State Court Certified Interpreter
Bilingual Cascade:
• A diploma (minimum high school) from country of origin
• Proof of language proficiency through the following tests:
• The Speaking and Listening Assessment
• The Interpretation Assessment
When a student is in need of a bilingual assessment and there is no
qualified clinician at the school/CSE, the school social worker, school
psychologist, or clerical/family worker requests assistance in obtaining a
qualified clinician from the supervisor of school psychologists. The school/
CSE maintains responsibility for the case.
Option Assessment Personnel
1 Clinician Certified Bilingual in the Student’s Native Language
• DOE bilingual clinician (daytime or per session)
• Contract agency bilingual clinician
• Independent bilingual clinician identified through the Assessment Authorization process
2 Clinician Certified Bilingual in Another Language with Interpreter
Monolingual Clinician with Interpreter
Option Individual Serving as Interpreter** (see next page)
1
2
DOE teacher or clinician certified bilingual in the student’s language (per session only)
Trained interpreter – College Graduate
DOE paraprofessional trained interpreter
3
Contract agency trained interpreter
Trained interpreter – Non-College Graduate
DOE paraprofessional trained interpreter
4*
Contract agency trained interpreter
Bilingual community volunteer
*This option must not be used unless all others have been exhausted. Every effort should be made to identify appropriate resources for rare languages.
These may include the United Nations, consulates, community service agencies, and community volunteers.
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Translated Tests and the Use of Interpreters
It is often necessary for a clinician to develop and to use material in
a language other than English. In general, it is not good practice to
translate standardized assessments into other languages. The translation
of a standardized test can change the nature of the task in unintended
ways. While adaptations of a test into another language may permit the
examiner to observe the student’s abilities in the behavior being sampled, a
standardized test that has been translated cannot be interpreted in terms of
the standardized scoring.
When using an interpreter, the clinician must choose or create tasks that
will collect information on all areas typically covered by the assessment
(not only the student’s proficiency in English). Any material to be used with
the student should be created and discussed with the interpreter before
meeting with the student. Spontaneous translation and interpretation of
material is poor practice.
Before meeting the student, the clinician should meet with the interpreter to
discuss the referral questions, the nature of the assessment tasks, and the
examiner’s expectations. The interpreter may interact more with the student
than the clinician during the course of the evaluation session in order to
encourage communication and put the student at ease. The clinician must
discuss all responses with the interpreter after the session and use the
interpreter’s opinion to help form a professional judgment regarding the
abilities of the student in the areas assessed. The final report must describe
the student’s abilities in both languages and indicate the extent to which the
interpreter participated in the assessment.
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The IEP Team
IEP Team Composition
The IEP team members required to attend an IEP meeting differ depending on the type of meeting (e.g., initial, annual/requested review, reevaluation)
and the change(s) to IEP recommendations being considered. If there is uncertainty about the change(s) that will be considered at an IEP meeting,
all members who reasonably could be required, should attend. The changes that an IEP team may make are not limited by the type of IEP
meeting.
39
The IEP team members required for each IEP meeting type are:
Initial Annual / Requested Review Reevaluation (Requested or
Three-Year)
Parent
7
Must be invited Must be invited Must be invited
District Representative Must attend Must attend Must attend
School Psychologist Must attend See below Must attend
Special Education Must attend
8
Must attend unless student is receiving Must attend unless student is receiving
Teacher related services only related services only
Related Service Provider
See When a Related Service Provider Must or Should be an IEP team Participant
General Education
Teacher
Must participate, if student is or may be Must participate, if student is or may be Must participate, if student is or may be
participating in the general education participating in the general education participating in the general education
environment environment environment
School Social Worker Should attend whenever possible See below
Parent Member
Must attend if requested by parent with Must attend if requested by parent with at Must attend if requested by parent
at least 72 hours’ notice least 72 hours’ notice
9
with at least 72 hours’ notice
Physician
Must attend if requested by parent with Must attend if requested by parent with at Must attend if requested by parent
at least 72 hours’ notice least 72 hours’ notice
10
with at least 72 hours’ notice
6 Exception: A reevaluation must be initiated before an IEP team may declassify a student.
7 Any individual may be invited to the IEP meeting on the basis of the parent’s determination that the individual has special expertise or knowledge of the student.
8 For an initial IEP meeting at which recommendation of a special education program will not be considered (e.g., for a student whose evaluation indicates only physical impairment), a related service provider
serves in this role.
9 The meeting must proceed even if the parent member or physician’s participation is not secured, EXCEPT if the IEP team will consider a new recommendation of special class or home instruction or a change
to a student’s current special class recommendation (other than 12:1/12:1+1 to 15:1 for a student articulating to high school).
10 See footnote 9, above.
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When a School Psychologist is Required for an Annual or Requested Review IEP Meeting
For annual or requested review IEP meetings, a school psychologist is required to attend
• if the parent requests;
• if a new psychological assessment is being considered;
• or if certain changes to the program recommendation are being considered, as follows:
Annual / Requested Review IEP Meeting – School Psychologist
Current Program
Recommendation
Change to Program Recommendation Being Considered School Psychologist
Required?
Yes
General Education Integrated Co-Teaching (ICT)
with Related Special Education Teacher Support Services (SETSS)
Service(s) Only Special Class (Districts 1-32)
Special Class in a specialized school (District 75)
NYSED-Approved Non-Public School (NPS)
Home Instruction
Special Education Related Service(s) Only
No
Teacher Support Integrated Co-Teaching (ICT)
Services (SETSS)
Special Class (Districts 1-32)
Special Class in a Specialized School (District 75)
NPS
Home Instruction
Yes
Integrated Co- General Education with Related Service(s) Only
No
Teaching (ICT) Special Education Teacher Support Services (SETSS)
Special Class (Districts 1-32)
Special Class in a specialized school (District 75)
NPS
Home Instruction
Yes
Special Class
(Districts 1-32)
General Education with Related Service(s) Only
No
Special Education Teacher Support Services (SETSS)
Integrated Co-Teaching (ICT)
Special Class with less intensive staffing ratio, if it will be available in the current school
Change in staffing ratio from 12:1/12:1+1 to 15:1 for a student articulating to a special class in high
school
Special Class that would require a new school (i.e., District 75 or staffing ratio that will not be available in
Yes
the current school)
Special Class with a different staffing ratio (District 1-32) if it does not exist in the current school
Special Class in a specialized school (District 75)
Non-Public School
Home Instruction
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Current Program
Recommendation
Change to Program Recommendation Being Considered School Psychologist
Required?
Special Class in a
Specialized School
(District 75)
Special Class in a specialized school with less intensive staffing ratio if it exists in the current District 75
No
site
Related Service(s) Only
Special Education Teacher Support Services (SETSS)
Integrated Co-Teaching (ICT)
Special Class (Districts 1-32)
Special Class in a specialized school with a more intensive staffing ratio
Special Class in a specialized school with a less intensive staffing ratio if it does not exist in the current
District 75 site
Home Instruction
NPS
Yes
A school psychologist also must attend when any of the following will be considered:
• Initiation of paraprofessional support;
• Changing student’s test category regarding participation in the NY State Alternate Assessment (NYSAA);
• Initiation of specialized transportation or specialized transportation accommodations;
• Initiation of or change to recommendation of counseling by a school s
;
ocial worker or school psychologist (changes to other related service
recommendations do not require the school psychologist)
• Changing recommended language of instruction, speech therapy, or counseling; or
• Initial recommendation of Extended School Year for a student attending a non-specialized school.
If the parent unexpectedly seeks consideration of a change that would require the school psychologist, and the school psychologist is unable to join
the meeting or is not sufficiently prepared to consider the proposed change, the members present may consider the proposed change and draft an IEP
reflecting their discussion, but must consult with the school psychologist before they may finalize the IEP. If the parent and/or the school psychologist is
not in agreement with the draft IEP, the IEP meeting must be reconvened with all required members in attendance.
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Members Required at All IEP Meetings
The Parent
The parent’s role on the IEP team is to provide information on the student’s
development and characteristics, and to participate in the decision-making
process for eligibility and IEP recommendations.
Ensuring Parent’s Presence
The parent must be invited to participate in every IEP meeting, and efforts
must be made to select a mutually agreeable date for the IEP meeting,
when the parent and the mandatory IEP team members can participate.
The school must send the Notice of IEP Meeting to the parent at least
7 calendar days in advance of the meeting. The school should also provide
the parent with all assessment and reports before the IEP meeting by
mailing them at least 7 calendar days before the IEP meeting is scheduled
to be held.
If the parent requests that the meeting be rescheduled, a mutually agreeable
date and time must be set. This request should be documented in the
Events Log in SESIS. If the parent indicates inability to attend and cannot
reschedule, the parent must be invited to participate in the meeting via
telephone.
The IEP team must make appropriate outreach to confirm the attendance of
the parent at the IEP meeting:
• At least two attempts at telephone contact at different times of the
school day/evening, if the parent has a telephone; and
• A follow-up letter sent to the parent by mail, and sent home with the
student if the parent does not have a telephone or if voicemail could not
be left.
Attempts must be documented in the SESIS Events Log, by including
the phone number called and addresses used and describing any
conversations. If, and only if, efforts were made to arrange a mutually
agreed upon date and time for the meeting, and appropriate outreach was
conducted and documented in the SESIS Events Log, the meeting may
proceed without the parent.
Parent Preparation for IEP Meeting
In preparation for any IEP meeting, the parent should be invited and
encouraged to:
• Communicate with DOE staff about the date and time for the IEP
Meeting;
• Review the current IEP and any assessment data (sent to the parent at
least 7 calendar days in advance of the meeting);
• Provide DOE staff with any independent evaluations the parent would
like to be reviewed and considered by the IEP team;
• Review the most recent progress reports from teachers and related
service providers;
• Notify the DOE staff if additional information (e.g., reports and
evaluations) or specific accommodations (e.g., interpreter, accessible
site) are needed;
• Determine whether other family members or persons with knowledge or
special expertise regarding the student should be invited to attend the
conference, and if so notify the rest of the IEP team in advance
44
; and
• Tell the school/CSE about any changes to the IEP the parent would
like the IEP team to consider, as additional members may need to
participate to consider certain changes (e.g., if a parent of a student
recommended for ICT wants a special class setting to be considered,
the psychologist must participate; or if a parent of a student in a general
education program with related services wants to have SETSS added, a
special education teacher must participate).
45
Recording the IEP Meeting
A parent may request permission to make an audio recording of an IEP
meeting, by writing to the principal or chairperson at least 1 business day
before the IEP meeting. If the parent will make an audio recording of the
IEP meeting, the school/CSE will also make an audio recording of the
meeting.
Parent Participation in IEP Meeting
During the IEP meeting, the parent should be invited and encouraged to:
• Share comments on the student’s strengths, abilities and needs;
• Consider desired educational goals for the student to reach by the end
of the year; and
• Discuss the student’s development and characteristics and participate
in the decision-making process for eligibility and IEP recommendations
(including but not limited to program, related services, and placement).
44 The parent is only obligated to notify the school/CSE if the additional person attending will be an attorney.
45 Though the parent is encouraged to inform the school/CSE of desired changes in advance of the meeting, the IEP team must consider requests made at the meeting as much as possible.
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Case Manager and District Representative
Case manager and district representative are roles performed by DOE
professionals, rather than permanent titles. In many cases, the same DOE
professional will perform both roles.
The Case Manager
The school psychologist typically serves as the case manager when s/he
is a required member of the IEP team.
46
The special education teacher (or, for a student whose only special
education service is a related service, the related service provider) typically
serves as the case manager when the school psychologist will not be a
required member of the IEP team.
The case manager is responsible for ensuring that the evaluation and
placement processes are completed within the required timelines. Issues
that may put the timely completion of an evaluation or placement process in
jeopardy must be reported to the supervisor of school psychologists. If the
supervisor is unable to facilitate timely completion of the process, the issue
must be escalated to a manager for further assistance in completing the
evaluation process within the timelines.
In addition, when the case manager will serve as the district
representative, or when a district representative has not been
selected in advance of the IEP meeting, the case manager prepares
for the IEP meeting as noted.
District Representative Qualifications
The individual selected to serve as the district representative in any IEP
meeting must be knowledgeable about the SOPM and meet the following
qualifications:
• Qualified to provide or supervise the provision of special education;
• Knowledgeable about the general education curriculum; and
• Knowledgeable about the availability of DOE resources.
Considerations when Selecting the District Representative
The district representative is typically chosen by the principal or CSE
chairperson.
47
• For an IEP meeting in a non-specialized school, the district
representative should be an individual who has a high degree of
familiarity with the school’s services and curricula. This may be a
school psychologist, school social worker, or other experienced special
educator. If the IEP team is likely to consider a specialized school (e.g.,
a District 75 or NYSED-approved non-public school) or a specialized
program (e.g., ASD Nest, ASD Horizon, ACES, or bilingual special
education), the district representative should be the school psychologist
or a knowledgeable person from outside the school, such as the
supervisor of school psychologists.
• For an IEP meeting in a District 75 or District 79 school, the district
representative should be an administrator or educator with a high
degree of knowledge regarding the school’s services and curricula (and
those available outside the school, for students in programs that are
typically of limited duration).
As much as possible, the district representative should be a person
with whom the family has a positive relationship. When the relationship
between the parent and the school is strained, a person outside the school
should be considered to serve as the district representative. This should
also be considered when the student’s IEP-recommended services are
not having their desired impact and the student is making less progress
than anticipated, or when the IEP team members do not have extensive
experience with complex disabilities, behaviors or assessments that will be
considered. If an IEP team reconvenes due to parent concerns arising from
the first IEP meeting, choosing a different district representative should be
considered.
The principal/chairperson may not select a district representative
or identify him/herself as district representative for the purpose of
ensuring a particular recommendation or discouraging IEP team
members from expressing their opinions on the student’s needs.
46 The school psychologist also serves as the case manager for IEP meetings for a student who is attending a DOE school and recommended for related services only, if none of the student’s related service
providers is a DOE employee.
47 The supervisor of school psychologists (for an IEP meeting at a DOE school) or other central DOE administrator may select the district representative at his/her discretion (typically, in circumstances when
additional expertise is required or when personal relationships among the IEP team members may be strained).
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Case Manager / District Representative Preparation for the IEP
Meeting
In advance of the IEP meeting, the case manager or district representative
should prepare by:
• Selecting an appropriate location for the meeting. Schools/CSEs
should make space available so that IEP meetings may be held
in areas that allow for private, quiet discussion. If members are
participating by phone, the speakerphone should be audible for all team
members. At least one DOE team member should have the use of a
computer with Internet access, so that this document and SESIS can
be accessed and the IEP completed as much as possible during the
meeting.
48
• Ensuring that all special accommodations needed by the parent (e.g.,
interpreter, sign language interpreter, accessible site) are arranged.
• Ensuring that, if an interpreter is requested, one is arranged.
See Interpretation for requirements and best practices regarding
interpretation.
• Ensuring that all mandated participants are available at the suggested
time.
• If parent has requested a parent member, and a parent member is
required, ensuring that arrangements have been made for a parent
member to attend.
49
• Ensuring that the Notice of IEP Meeting Form and copies of
assessment and reports (and any other documents to be reviewed at
the meeting) have been sent to the parent at least 7 calendar days prior
to the meeting.
50
• Soliciting information from the parent to ensure that the IEP team is
properly composed and prepared to consider any proposed changes to
the IEP or other preferences or concerns.
It is best practice for the district representative to prepare in advance an
informal checklist of topics to be discussed at the IEP meeting. This will
ensure that critical issues have been covered and all participant input is
addressed. Especially for complex IEP meetings, minutes should be taken
and faxed into SESIS as a Document Related to IEP.
Case Manager / District Representative Responsibilities at IEP
Meeting
At the IEP Meeting, the district representative has the following
responsibilities:
• Facilitating open discussion among all participants regarding
issues related to eligibility for services and development of IEP
recommendations;
• Ensuring that the parent is a meaningful participant in the IEP process
and encouraging the parent to discuss observations, opinions, and/or
concerns about the student’s education;
• Providing information regarding the continuum of services including
supports and services, including those currently and potentially available
in the student’s current school and those available in other schools in the
district;
• Explaining that the law requires students with disabilities to be educated
with nondisabled students to the maximum extent appropriate and that
the team must consider whether the student can make satisfactory
progress in the general education setting with supplementary aids and
services before recommending other programs;
• Ensuring that all potentially appropriate program and service options are
considered, regardless of the programs and services currently provided in
a school;
• Ensuring that the student’s IEP includes the supports, services, and
accommodations s/he needs to meet his/her IEP goals and provides the
student the opportunity to progress in the grade level curriculum and on
New York State and district assessments to the extent appropriate;
• Working to build consensus among the IEP team members on all issues;
• In the event that consensus cannot be reached regarding the IEP
recommendations for a student who is already receiving special
education services, determining the IEP recommendations and ensuring
that the parent is fully informed of his/her due process rights and that the
IEP reflects the disagreement in the “Other Options Considered” section
(Summary Page) and in the relevant “Student Needs That Are of Concern
to the Parent” section(s) of the Present Levels of Performance; and
• When a parent’s preferred language is other than English, the district
representative must ensure that key content of relevant documents is
explained to the parent and interpretation is provided, upon request;
Serving as the chairperson of the meeting;
48 When using a laptop for internet access, a location with a strong WiFi signal should be chosen; in school buildings, WiFi signal is typically stronger in instructional areas than in administrative areas.
49 The school/CSE should request most recent list of certified and eligible parent members from the supervisor of school psychologists, as needed.
50 In order to ensure the timely completion of assessment and progress reports, the professionals responsible for completion of the reports must be notified as early in the process as feasible. Related service
providers must be given notice of the need for a progress report no later than 15 school days in advance of the meeting.
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• As required by Chapter 408, designating for each student one or, as
appropriate, more than one DOE professional with knowledge of the
student’s disability and IEP to inform the student’s general education
teacher(s), special education teacher(s), related service provider(s),
paraprofessional(s), and other relevant staff, prior to the implementation
of any new or changed IEP recommendations, of each individual’s
responsibility to implement the relevant IEP recommendations, including
the responsibility to provide, as applicable, specific accommodations,
program modifications, supports and/or services.
At the conclusion of the IEP meeting, the case manager is
responsible for ensuring that the completed attendance sheet is
faxed into SESIS (noting any IEP team members who participated
by phone)
51
and that:
• the IEP is finalized and a copy is handed to the parent; or, if that is not
possible,
• the Recommended Special Education Programs and Services page
of the draft IEP is completed, printed and handed to the parent, AND
within 10 business days the IEP is finalized and issued to the parent.
Upon request of the parent, the IEP must be translated into the parent’s
preferred language. The case manager is responsible for ensuring that
the translation is arranged and provided to the parent within 30 calendar
days of parent’s request or finalization of the IEP, whichever is later. See
Translation for requirements and best practices regarding translations.
When the IEP is finalized and issued to the parent, the case manager
creates and issues to the parent the PWN: Recommendation. The PWN:
Recommendation advises the parent of his/her right to visit a program
similar to that being recommended, and must include an up-to-date contact
name and phone number so that a site visit may be arranged. See School
Location Letters and Initial Consent for the Provision of Special Education
Services for additional steps for initial cases and recommendations that
require a new school placement.
Resolving Conflicts at the IEP Meeting
The IEP process can be a stressful event for a family. In order to foster a
positive relationship, all participants should keep in mind that the IEP team
is meeting for a common purpose: the student. DOE staff are reminded that
the parent is a member of the IEP team and has the right to contribute in a
meaningful way.
If tension or disagreements arise, the district representative should consider
calling for a break and considering approaches to redirect the meeting back
to respectful, open discussion that can result in consensus if possible.
If the IEP team does not reach consensus, the district representative must
decide whether to finalize the IEP or postpone its development until further
discussion has occurred. For example, the district representative may
suggest that the meeting continue on a different date with the supervisor
of school psychologists or other outside professional serving as the district
representative. If the district representative finalizes the IEP recommendation
despite the lack of consensus, the parent must be informed of his/her option
to request an additional IEP meeting, mediation, or an impartial hearing.
If any DOE professional member of the IEP team is concerned that a
recommendation has been made for reasons other than its appropriateness
for the student’s needs (as determined through consideration of the
information available to the IEP team), the professional should contact his/
her supervisor or the administrator of special education.
Special Education Teacher (or Related Service Provider)
At least one of the student’s special education teachers must participate in
the IEP meeting. A special education teacher’s participation is required for
the duration of the meeting. For initial referrals, this role is filled by a special
education teacher qualified to teach a program in which the student may be
placed.
52
For a student recommended for related services only, one of the
student’s related service providers serves in this role.
53
Special Education Teacher Preparation for IEP Meeting
The special education teacher prepares for the IEP meeting by:
• Reviewing any new assessment materials or provider reports;
• Identifying instructional and classroom management strategies that have
been successful with the student;
• Considering special factors that have impeded or may impede the
student’s learning;
• Identifying the student’s strengths and interests;
• Considering the student’s education needs in relation to the general
51 For the 2024-25 school year only (subject to revision thereafter): A student ages out of special education eligibility at the end of the school year (June 30th) in which
they turn 22. A student who turns 22 from July 1st to August 31st may receive any recommended ESY special education programs and/ or related services over the summer
but is ineligible for services starting September 1 of the calendar year.
52 This may be the school’s IEP Teacher (if applicable).
53 In addition, for an initial IEP meeting at which recommendation of a special education program will not be considered (e.g., for a student whose evaluation indicates only physical impairment), a related service
provider may serve in this role.
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education curriculum;
• Sharing information regarding the school’s grading and;
• For an annual or reevaluation IEP meeting, consider preparing draft
goals (however, a complete discussion of all issues, including annual
goals, must occur at the IEP meeting, including considering input from
parent);
• Compiling data on levels of English language proficiency for a student
from a non-English language background; and
• Consulting with general educators (including bilingual or ENL teacher,
if applicable, and cluster or specialty teachers), other special education
providers including paraprofessionals and related service providers, and
the parent as needed, to ascertain the student’s needs in all instructional
areas.
When the special education teacher is not a mandatory member of the IEP
team, the above preparation is best practice to ensure an effective IEP
meeting and quality IEP.
See Related Service Provider Preparation for the IEP Meeting for
information on preparing for the IEP Meeting when the related service
provider is a mandatory member.
Special Education Teacher Mandatory Participation in the IEP
Meeting
If the student has more than one special education teacher, it is good
practice to request that all of the student’s teachers provide relevant
information regarding the student’s functioning, performance, and behavior
for use at the IEP meeting, either through participation in the meeting or in
writing. If such information is provided in writing, it must be provided to the
parent prior to the IEP meeting.
At all times during the IEP meeting, at least one of the student’s current
special education teachers must be in attendance. Though it is not required
that any one of the student’s current special education teachers attend the
entire IEP meeting, the special education teacher with the most knowledge
of the student should do so whenever possible.
The special education teacher should assist the team in using the
assessment results to determine eligibility for special education services
and to develop specific IEP recommendations and goals.
The special education teacher may serve as the district representative for
IEP meetings that do not include the school psychologist, as long as the
special education teacher is qualified to do so. (See above on the role of
the district representative.) For students whose only special education
service is a related service, a related service provider may also serve as
the district representative, if s/he is a DOE employee (i.e., not a contracted
or independent provider) and is otherwise qualified to do so. (See above
on the role of the district representative.) See Related Service Provider on
mandatory participation of the related service provider.
Individual to Interpret Instructional Implications
There must be present at every IEP meeting an individual who is able to
interpret the instructional implications of assessments. This individual must
be able to describe how the assessment results relate to the instruction
that will be offered to the student and assist the team in determining the
instructional modifications, strategies, and/or interventions that may be
required. This role is typically fulfilled by an individual serving another role
on the IEP team (e.g., school psychologist, special education teacher,
general education teacher, district representative, related service provider
for a student whose only special education service is a related service).
Members Who May Be Required at an
IEP Meeting
School Psychologist
The school psychologist must participate in all IEP meetings resulting from
initial evaluations, requested reevaluations, and three-year reevaluations;
any IEP meeting at which a new psychological assessment is reviewed;
at annual and requested reviews as per above; and at any IEP meeting
upon request of the parent. Adequate notice should be given to the school
psychologist who is requested to attend an annual or requested review
meeting.
The student’s teacher(s) / related service provider(s) should also consider
including the school psychologist when the student’s IEP-recommended
services are not having their desired impact and the student is making less
progress than anticipated.
School Psychologist Preparation for the IEP Meeting
In advance of the IEP meeting, the school psychologist should prepare by:
• Reviewing any relevant progress or assessment reports, including any
provided by the parent;
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• Discussing the student’s progress with his/her teachers and related
service providers; and
• Preparing to serve in the role of the district representative, if applicable.
School Psychologist Participation in the IEP Meeting
In addition to performing the role of the district representative if applicable,
the school psychologist:
• reviews and interprets assessments; and
• provides information regarding the supports that may be available to the
parent in the community.
General Education Teacher
At least one of the student’s general education teachers must be a member
of the IEP team if the student is or may be participating in the general
education environment (including if the student is or may be recommended
for ICT).
54
If general education teacher participation is required, a general
education teacher must be present for the entire duration of the meeting.
The general education teacher is expected to present information about
the student’s performance in the general education class and to help the
IEP team make decisions about participation in the general education
curriculum and other school activities. The general education teacher must,
to the extent appropriate, participate in the development of the student’s
IEP, including assisting in the determination of appropriate positive
behavioral interventions and supports and other strategies for the student,
and supplementary aids and services, program modifications and supports
for school personnel.
Selection of the general education teacher(s) is guided by the following
factors and requirements, with the goal of providing the teacher(s) an
opportunity for meaningful participation while minimizing the impact on his/
her/their instructional responsibilities.
• For a student participating in general education, at least one of
the student’s general education teachers must attend the IEP meeting.
• For a student who has more than one general education teacher, at
all times during the meeting, at least one must be present. It is not
necessary for more than one to be present at any time during the
meeting, or for any one to attend the entire meeting.
• All of the student’s teachers should provide relevant information
regarding the student’s functioning, performance, and behavior for
54 For a student who is turning 5, the General Education Teacher may be the student’s preschool teacher.
use at the IEP meeting, either through participation in the meeting
or in writing. If such information is provided in writing, it must be
provided to the parent prior to the IEP meeting.
• For a student who is not participating in general education
but is being considered for participation in general education,
the general education teacher must be qualified to teach the student
and must have knowledge of curricular adaptations and the range
of available general and special education supports and services
appropriate to the age and grade level of the student; if possible, the
teacher should be the one who would teach the student if the IEP team
recommends participation in general education.
• For a student attending a private/religious school program and
participating in general education, at least one of the student’s
general education teachers must be invited to participate at the IEP
meeting, and the IEP team should identify a DOE general education
teacher to participate in the IEP meeting. The general education
teacher identified must be qualified to teach the student and must have
knowledge of curricular adaptations and the range of available general
and special education supports and services appropriate to the age and
grade level of the student.
General Education Teacher Preparation for the IEP Meeting
In advance of the IEP meeting, the general education teacher should
prepare by:
• Compiling samples of student work, anecdotal records, and other
information helpful in determining the student’s potential for learning,
rate of learning, and need for specialized instruction, including periodic
assessments or progress monitoring from RtI, if applicable;
• Identifying instructional and classroom management strategies that have
been successful with the student;
• Observing the student’s learning preferences in the general education
classroom;
• Listing or identifying special factors that may impede the student’s
learning;
• Compiling information related to the student’s attendance and class
participation; and
• Considering positive intervention strategies for improving the student’s
behavior, as necessary, as well as supplementary aids and services, and
program modifications and supports for school personnel that may be
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necessary for the student to benefit from instruction.
General Education Teacher Participation in the IEP Meeting
In the IEP meeting, the general education teacher should:
• Share information regarding the student’s present level of educational
performance in the general education classroom environment;
• Describe the student’s behavior and relationship with peers in the
general education classroom;
• Suggest positive intervention strategies for improving the student’s
behavior, as necessary, as well as supplementary aids and services, and
program modifications and supports for school personnel that may be
necessary for the student to benefit from instruction;
• Share information regarding the school’s grading and promotion
policies;
• Share information regarding the impact and effectiveness of any
accommodations and strategies provided for the student in the regular
education classroom, and make recommendations for the continuation
or modification of those accommodations and strategies; and
• Provide information regarding the course content and behavioral
standards at the student’s grade level and the student’s current
performance in relation to those standards in the student’s school.
Related Service Provider
When a Related Service Provider Must or Should Be an IEP team
Participant
Mandatory Participation:
• For a student recommended for related services only, at least one of
the student’s related service providers must be present throughout the
duration of the IEP meeting;
• At an initial IEP meeting for a student being considered for related
services only, at least one relevant related service provider must be
present throughout the duration of the IEP meeting.
A related service provider who is a mandatory participant in the IEP
meeting has the responsibilities noted above, in addition to those that
follow.
Suggested Participation: Whenever modification to a related service
recommendation is being considered, or if an assessment indicates the
need for an initiation of a related service, the relevant related service
provider should participate. The school/CSE must make all efforts to ensure
the provider’s participation. The provider should be present for discussions
that deal with provision of the service, the student’s need for the service
and associated goals. Every effort should be made to achieve consensus on
the related service recommendation while the provider is present.
55
Related Service Provider Preparation for the IEP team Meeting
Each of the student’s related service provider who is not participating in the
IEP meeting must submit a progress report indicating the student’s:
• current level of performance.
• progress toward meeting the service’s annual goals;
• proposed annual goals (and short-term objectives, if applicable); and
• recommendation for:
• continuation of the service,
• change(s) in frequency, duration, group size, location, and/or
language, or
• discontinuation of the service.
Related service providers must be given notice of the need for a progress
report at least 15 school days in advance of the meeting.
Related service providers who will be participating in the IEP meeting
should prepare in advance by:
• Reviewing any new progress or assessment reports;
• Identifying strategies that have been successful with the student;
• Reflecting on the student’s progress toward meeting IEP goals,
and considering preparing draft annual goals (however, a complete
discussion of all issues, including annual goals, must occur at the IEP
meeting, including considering input from parent);
• Considering special factors that have impeded or may impede the
student’s learning; and
• Identifying the student’s strengths and interests.
55 The related service provider is not required to be present throughout the duration of the IEP meeting (unless the provider is serving as the mandatory participant for a student recommended / being considered
for related services only).
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Related Service Provider Participation in the IEP Meeting
The related service provider should assist the IEP team in using assessment
results and progress reports to determine the appropriateness of related
services and in developing proposed statements of present levels of
performance, annual goals (and short-term objectives, if applicable) and
recommendations for continuation of the service; change(s) in frequency,
duration, group size, location, and/or language; or discontinuation of the
service.
School Social Worker
The school social worker should participate in the IEP meeting if s/he was
involved in the evaluation process, especially if s/he conducted a social
history.
Bilingual Professional
At least one licensed bilingual professional must participate in the initial IEP
meeting for an MLL (or a non-MLL who was assessed bilingually), and at
least one licensed bilingual professional must participate in a subsequent
IEP meeting if the student is recommended for a bilingual special education
program or related service or if the IEP team will consider initiation of a
bilingual special education program or related service.
The Student
The student is encouraged to participate in the IEP meeting, when
appropriate. In general, for a student age 14 or older, one purpose of an
IEP meeting is to consider postsecondary goals and transition services
needed to assist the student in reaching those goals. A student age 14 or
older must be invited to participate in IEP meetings. In these circumstances,
the student should be provided with a student-appropriate invitation, which
should be faxed into SESIS. This event should also be recorded in the
SESIS Events Log. Efforts must be made to schedule the meeting when
the student is able to attend. If the student does not attend, the IEP team
must take steps to ensure that information on the student’s preferences and
interests has been collected and is considered at the meeting and reflected
in the Present Levels of Performance section of the IEP. Prior to the IEP
meeting, discussions should be held with a parent regarding a student’s
invitation to the meeting and importance of his/her involvement in future
planning. For a student younger than 14, the parent should be consulted
regarding the appropriateness of the student’s participation.
At the IEP meeting, the student should be encouraged to:
• Discuss educational goals s/he would like to pursue;
• Assist in identifying postsecondary interests, goals, and transition
needs;
• Share concerns or questions; and
• Provide input regarding classroom strategies s/he found helpful and
those s/he did not.
Parent Member
The parent has a right to have an additional parent member participate in
the IEP meeting in the circumstances in the chart above.
The parent member must be the parent of a student residing in New York
City or a neighboring district who has had an IEP within the previous five
years. Participation of a parent member may be requested by the parent, the
student (if 18 years of age or older), or a member of the IEP team, in writing
at least 72 hours prior to the meeting. The request for the participation of a
parent member must be documented in the SESIS Events Log.
At the IEP meeting, the additional parent member should be encouraged to:
• Assist the parent in understanding the IEP process from a parent’s
perspective; and
• Support the parent’s participation in and contribution to the meeting.
School Physician
The Notice of IEP Meeting informs the parent(s) of his/her right to have
a physician participate at the IEP meeting to interpret the student’s
medical information and the relationship between the student’s medical
and educational needs in the circumstances in the chart above. The
participation of a physician may be requested by the parent, the student (if
18 years of age or older), or another member of the IEP team, in writing at
least 72 hours prior to the meeting. The request for the participation of a
physician must be documented in the SESIS Events Log. Contact your
supervisor of school psychologists immediately upon receiving a
parent’s request for physician participation to arrange attendance
of the physician.
Transition Service Agency Representative
To the extent appropriate and with parental consent (or consent of a student
18 years of age or older), a representative of any participating agency that
is likely to be responsible for providing or funding out of school and/or post-
secondary services must be invited to an IEP meeting at which transition
services will be considered and discussed. In advance of the IEP meeting,
a member of the IEP team should discuss with the parent whether there
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are any appropriate agencies that may provide or fund transition services.
If the parent/student is not affiliated with an appropriate agency and it is
determined that the student will benefit from such, the parent should be
provided with the contact information for the postsecondary provider(s)
most appropriate to serve the needs of the student. This may include the
Office for People with Developmental Disabilities (OPWDD), Office of
Mental Health (OMH), Adult Career and Continuing Education Services
(ACCES-VR) and Commission for the Blind. If an appropriate agency is
identified, the school should seek written parental consent to invite the
representative of the agency to the IEP meeting; the parent’s consent must
be uploaded to SESIS as a Document Related to IEP. If an agency invited
to participate at an IEP meeting does not do so, the IEP team should take
additional steps to involve the agency in the planning of any transition
services, such as seeking information in writing.
Teacher of the Deaf and Hearing Impaired / Teacher of the
Blind or Partially Sighted
For a student whose vision and/or hearing loss may require additional
consideration, a Teacher of the Deaf and Hearing Impaired and/or Teacher
of the Blind or Partially Sighted, as appropriate, must attend the IEP
meeting. An audiologist should also attend as needed. Contact the District
75 Offices of Hearing Education Services and/or Education Vision Services
at least two weeks prior to the IEP meeting (or as soon as the meeting is
scheduled) to discuss/request.
Other Members
56
The following individuals may also serve as members of the IEP team:
• Assessment professionals or service providers involved in conducting
the assessments or providing service to the student;
• Supervisory personnel (e.g., supervisor of school psychologists, related
service supervisor), should the IEP team want additional assistance in
developing IEP recommendations for a student whose current services
are not having their desired impact and who is making less progress
than anticipated;
• Other school personnel likely to contribute to the decision-making
process;
• School nurse, if specialized transportation is being considered for
medical reasons, school nursing or health paraprofessional services are
being considered, or the student has a health issue that may impact his/
her participation and progress in the instructional program; and
• Any individual invited on the basis of the school/CSE’s or parent’s
determination that the individual has special expertise or knowledge of
the student.
An interpreter must attend the IEP meeting if requested, but is not
a member of the IEP team. See Interpretation for requirements and best
practices regarding interpretation.
Excusal of a Required Member of the IEP
Team
Except for an initial IEP meeting, a required IEP team member may be
excused from the IEP meeting, in whole or part, only if the parent and
school/CSE agree, in writing. A required IEP team member may not be
excused from an initial IEP meeting, and the school/CSE may not request
excusal of the parent, the parent member (when requested by the parent),
or the student (if the student must be invited to attend).
A school/CSE may not routinely or unilaterally excuse required IEP team
members from attending IEP meetings. Schools should carefully consider,
based on the individual needs of the student and the issues that need to
be addressed at the IEP meeting, whether it would be appropriate to hold
the IEP meeting without a particular IEP team member in attendance or
whether it would be preferable to reschedule the meeting so that member
may attend. While IEP meetings are an appropriate use of teachers’
dedicated time for parent engagement, parent engagement time is not the
only time appropriate for holding IEP meetings. IEP meetings should be
scheduled to best meet the needs of all IEP team members, and as much
as possible, all individuals with information bearing on a student’s eligibility
and appropriate IEP recommendations should attend.
The request for excusal of a required member must be made by the district
representative or by the parent. Neither the IEP team member whose
excusal is sought, nor a Charter or non-public school, may request that
an IEP team member be excused, and no party other than the district
representative (or the parent) may seek the parent’s consent for excusal of
a required member. If an IEP team member or Charter or non-public school
believes an IEP team member should be excused, the member or school
56 When the IEP team will consider a residential recommendation, see Participation of Outside Agencies in IEP Meetings for required procedures on seeking participation from an outside agency.
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may contact the district representative, who can decide whether to request
excusal. A parent’s consent for excusal is not operative unless obtained
through the procedures described in this section.
Procedure for Excusal of a Required Member of the IEP team:
At least five days prior to the IEP meeting date, the school/CSE must
request the required IEP team member’s excusal in writing to the parent,
noting the name and title of the required IEP team member whose excusal
is requested, the member’s role and expected contribution at the IEP
meeting, and whether the required IEP team member’s area of curriculum
or related services will be discussed or modified at the meeting. If the
member’s area of curriculum or related services will be discussed or
modified, the member must submit a written summary of the information he/
she would have presented at the IEP meeting for the purpose of developing
the IEP recommendations, and this summary must be provided to the
parent at least 5 days prior to the IEP meeting. To agree to the excusal, the
parent must sign and return the request to the school/CSE.
57
If the parent
does not do so, or if the member’s written summary is not provided to the
parent at least five days prior to the IEP meeting, the required IEP team
member may not be excused from the meeting.
While the request must be made at least five calendar days prior to the
meeting date, in order to afford a reasonable time to review and consider
the request, it is advisable to request agreement for excusal earlier. This
helps to ensure efficiency in scheduling, as a member must participate if a
parent does not agree to the excusal.
58
The parent may request in writing that a required IEP team member be
excused from attending a meeting. If the district representative agrees
to the parent’s request, the member is excused. If the member’s area of
curriculum or related services will be discussed at the IEP meeting, the
member must submit to the IEP team a written summary of the information
s/he would have presented at the IEP meeting for the purpose of
developing the IEP recommendations.
Notwithstanding the 5-day minimum, the parent may request and/or agree
to excuse a required member at any time, including if the member is unable
to attend the meeting because of an emergency or unavoidable scheduling
conflict. The emergency or unavoidable scheduling conflict that led to the
excusal must be documented in the SESIS Events Log. When there are
fewer than five days before the meeting is scheduled and a required IEP
team member is unavailable, the parent must first be notified of his/her right
to have the meeting rescheduled until such a time as the required IEP team
member may attend, before excusal of the required IEP team member may
be sought. If the member’s area of curriculum or related services will be
discussed at the IEP meeting, and the member is unable to submit to the
IEP team a written summary of the information s/he would have presented
at the IEP meeting for the purpose of developing the IEP recommendations,
the meeting may proceed, but must be adjourned until such time as the
excused member may contribute to the meeting through participation or in
writing.
If it is requested that a required IEP team member be excused for only
part(s) of an IEP meeting, the part(s) of the meeting for which excusal is
sought must be noted on the request.
Documentation related to required member excusal must be faxed into
SESIS as a Document Related to IEP.
57 If the member’s area of curriculum or related services will not be discussed or modified, the parent may also agree to the excusal in the text of an email, which the school/CSE must print and fax into SESIS.
58 The unavailability of a required member does not extend the evaluation and placement compliance timelines, and a parent’s non-response or refusal to agree to a required IEP team member’s excusal does not
constitute a delay attributable to the parent for the purpose of evaluation and placement compliance timelines.
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Determining Eligibility
The IEP team determines whether a student is eligible for special education.
To make this determination, the IEP team draws upon information gathered
during the evaluation. This includes a careful consideration of the supports
and strategies employed prior to the IEP meeting, to ensure that the
student is not classified as student with a disability as a result of limited
English proficiency or deficiencies in the general education environment.
The IEP team must:
• Consider the results of assessments, including any independent
assessments that are presented by the parent;
• Consider the strengths and needs of the student and his/her present
levels of performance, including information provided by the parent; and
• Use more than a single indicator, measurement, or assessment as the
basis for determining eligibility.
Eligibility Criteria
A student is eligible for special education if s/he:
• Meets the criteria for one (or more) of the disability classifications; and
• Requires a special education program or related service by reason of at
least one of his/her disabilities.
59
A student is not eligible for special education if any of the following apply:
• The student does not meet the criteria for any of the disability
classifications;
• The student meets the criteria for one or more of the disability
classifications but does not require a special education program or
related service by reason of any disability because the student is
making the progress anticipated based on the student’s individual
strengths and abilities;
• The determinant factor(s) in the student not meeting general education
standards is one or more of the following:
60
• A lack of appropriate instruction in reading, including explicit and
systematic instruction in phonemic awareness, phonics, vocabulary
development, reading fluency (including oral reading skills) and
reading comprehension strategies;
• A lack of appropriate instruction in math;
• Limited English proficiency.
See Ineligibility for additional steps and considerations regarding students
found to be ineligible for special education.
A student who meets the criteria for one or more of the disability
classifications does not necessarily require a special education program
or related service by reason of that disability. For example, a student who
meets the criteria for Other Health Impairment may be receiving medication
that allows him/her to make expected progress in the general education
curriculum without a special education program or related service. A
student who is struggling in school or with homework should be considered
for special education if his/her disability is impacting his/her ability to
learn and progress, and s/he has been provided with appropriate learning
experiences and instruction. Any student, including a student in a Gifted &
Talented (G&T) or other enrichment or accelerated program, or a student
who is advancing from grade to grade, can be eligible to receive special
education programs or related services if s/he is not making the progress
anticipated based on the student’s individual strengths and abilities.
61
Disability Classifications
62
The IEP team identifies the category of disability (Classification) that most
59 A student may be eligible for special education only if they both (1) have not yet graduated with a New York State recognized diploma and (2) have not aged out. (Receipt of a CDOS Commencement
Credential or Skills and Achievement Commencement Credential does not terminate a student’s eligibility.) For the 2024-25 school year only (subject to revision thereafter): A student ages out of special
education eligibility at the end of the school year (June 30th) in which they turn 22. A student who turns 22 from July 1st to August 31st may receive any recommended ESY special education programs and/
or related services over the summer but is ineligible for services starting September 1 of the calendar year.
60 In this context, “lack of appropriate instruction” refers to the general education instruction the student should be (or should have been) receiving, not any special education service(s) s/he may require.
61 A student with a disability who attends or qualifies for a G&T program must receive the recommended services in the G&T program. A student’s disability is not a bar to access to G&T programming, and G&T
programming is not a bar to a student’s access to special education services.
62 “Long COVID” is a term that refers to post-COVID conditions (health problems that people experience more than four weeks after being infected with the virus that causes COVID-19). Symptoms of long
COVID may give rise to a student’s eligibility for special education and/or the need for new or different special education programs, services, and/or supports appropriate for the student. A student with long
COVID may be eligible under the “Other Health Impairment” classification if the student has limited strength, vitality, or alertness due to a chronic or acute health problem that adversely affects the child’s educa-
tional performance. A student with long COVID may instead be eligible for another classification based on the specific long COVID symptom and/or any other conditions that most affect the student’s educational
performance. For more information regarding long COVID, see Long COVID under Section 504 and IDEA: A Resource to Support Children, Students, Educators, Service Providers, and Families, by the U.S.
Department of Education’s Office for Civil Rights and Office of Special Education and Rehabilitative Services.
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affects the student’s educational performance.
63
There are 13 disability
classifications:
Autism
The disability classification of Autism is characterized by a developmental
disability significantly affecting verbal and nonverbal communication and
social interaction that adversely affects educational performance and is
generally evident before age three.
Other characteristics often associated with autism are:
• engagement in repetitive activities and stereotyped movements,
• resistance to environmental change or change in daily routines, and
• unusual responses to sensory experiences.
The term does not apply to a student whose educational performance is
adversely affected primarily by an emotional disturbance. A student who
manifests the characteristics of autism after age three may be classified as
a student with autism if the above criteria are otherwise satisfied.
64
Deaf-Blindness
The disability classification of Deaf-Blindness is characterized by the
combination of concomitant hearing and visual impairments, which results in
severe communication and other developmental and educational needs that
cannot be accommodated in special education programs solely for students
with Deafness or students with Visual Impairment or Blindness.
Medical documentation (e.g., audiogram, ophthalmological) is required to
make this classification.
Deafness
The disability classification of Deafness is characterized by a hearing
impairment so severe that it impairs the processing of linguistic information
through hearing, with or without amplification, and adversely affects
educational performance.
Medical documentation (e.g., audiogram) is required to make this
classification.
Emotional Disturbance
An Emotional Disturbance classification has one or more of the following
characteristics, exhibited over a long period of time and to a marked degree
that adversely affects educational performance:
• An inability to learn that cannot be explained by intellectual, sensory, or
health factors;
• An inability to build or maintain satisfactory interpersonal relationships
with peers and teachers;
• Inappropriate types of behavior or feelings under normal circumstances;
• A generally pervasive mood of unhappiness or depression; or
• A tendency to develop physical symptoms or fears associated with
personal or school problems.
Emotional Disturbance is the appropriate classification for a student with
Schizophrenia.
Social Maladjustment, by itself, is not a basis for an Emotional Disturbance
classification.
Social Maladjustment refers to behavioral manifestations that negatively
affect educational performance, such as where the student has:
• A dysfunctional family background; the tendency to respond more
quickly to negative sanctions than to positive rewards; and/or gang
involvement and truancy.
• Irritability or anger, which are used manipulatively to control people
and situations. Obscene and degrading language and gestures are
common. A student who is socially maladjusted will often exhibit
explosive verbal and physical aggression toward both peers and adults.
• Unusually high self-esteem but fragile. If distress occurs, it is situational
and usually related to being held accountable or experiencing a loss of
power or control.
• Refusal to take personal responsibility and tendency to project blame
onto others or events. The student sees him/herself as faultless or as
having reacted justifiably to perceived transgressions against him/her.
• Values and morality that are determined by the situation and by
whatever s/he wants at the moment (i.e. immediate gratification).
• Substance and alcohol abuse.
• Lack of empathy or remorse; may be described as having no
conscience.
• Closed thinking pattern; that is, the student is not interested in others’
63 While a student may exhibit characteristics that fall under more than one disability classification, the classification of Multiple Disabilities is used only for certain distinct circumstances.
64 Note that Parent Counseling and Training must be recommended for a student with a classification of Autism, regardless of the student’s recommended special education program.
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opinions and judgments in areas such as responsible living. S/he is
not able to view himself/herself in any critical way. The student is not
responsive to suggestions to change and tends not to learn from
experience, mistakes, or consequences.
It is important to examine whether other criteria of Emotional Disturbance
have been met. If a student is determined to exhibit the behaviors associated
with Social Maladjustment but does not meet the eligibility criteria as a
student with an Emotional Disturbance, professional staff should consider
general education supports to assist the student. These can include
using Multi-Tiered Systems of Support (MTSS), which include staff and
environmental supports (e.g., clear delineated expectations, rules and routines
in the school and classrooms), more targeted supports (e.g., check in/check
out), and individualized supports (e.g., behavior plan).
The IEP team must complete and sign the Emotional Disability
Justification Form in SESIS to make the initial classification of Emotional
Disturbance.
Hearing Impairment
An impairment in hearing, whether permanent or fluctuating, that adversely
affects educational performance but is not included under the definition of
deafness in this section.
Medical documentation (e.g., audiogram) is required to make this
classification.
Learning Disability
A disorder in one or more of the basic psychological processes involved
in understanding or in using language, spoken or written, that manifests
itself in an imperfect ability to listen, think, speak, read, write, spell, or do
mathematical calculations. The term includes such conditions as perceptual
disabilities, brain injury, minimal brain dysfunction, dyslexia, and developmental
aphasia.
The term does not include learning problems that are primarily the result of
limited English proficiency; a visual, hearing, or motor disability; intellectual
disability; emotional disturbance; cultural factors; or environmental or
economic disadvantage.
Procedure for Determining That a Student Has a Learning Disability
As for all students referred for evaluation, for a student suspected of having a
learning disability, the IEP team must conduct an individualized evaluation that
includes a variety of assessment tools and strategies. The IEP team may not
rely on any single procedure as the sole criterion for determining whether or
not a student has a learning disability.
The evaluation must include information from an observation of the student
in routine classroom instruction and monitoring of the student’s performance
(both of which may be done either before or after the student was referred).
The observation must be conducted by at least one person qualified to
conduct individual diagnostic examinations of a student (e.g., school
psychologist, teacher of speech improvement or reading teacher).
To ensure that underachievement in a student suspected of having a learning
disability is not due to a lack of appropriate instruction unrelated to disability
in reading or math, the IEP team must consider:
• data that demonstrates the student was provided appropriate instruction
delivered by qualified personnel in a general education setting; and
• data-based documentation of repeated assessments of achievement
at reasonable intervals which reflects a formal assessment of student
progress during instruction, which was provided to the parent.
The IEP team may determine that a student has a learning disability if:
• when provided with learning experiences and instruction appropriate for
the student’s age or State-approved grade-level standards, the student
does not achieve in one or more of the following areas:
• oral expression
• listening comprehension
• written expression
• basic reading skills
• reading fluency skills
• reading comprehension
• mathematics calculation
• mathematics problem solving
AND
• The student does not make sufficient progress to meet age or State-
approved grade-level standards in one or more of the above-listed areas
when considering the student’s response to scientific, research-based
intervention; OR
• The student exhibits a pattern of strengths and weaknesses in
performance, achievement, or both, relative to age, State-approved
grade-level standards, or intellectual development that is determined by
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the IEP team to be relevant to the identification of a learning disability,
using appropriate assessments;
AND
• The IEP team determines that its findings are not primarily the result of:
• limited English proficiency;
• a visual, hearing, or motor disability;
• intellectual disability;
• emotional disturbance;
• cultural factors; or
• environmental or economic disadvantage.
Documentation Needed to Make a Classification of Learning
Disability
When determining the initial eligibility for a student suspected of having a
learning disability, the IEP team must complete and sign a written report
in which each IEP team member certifies that they are in agreement with
the decision. The Specific Learning Disability Justification Form
serves as that written report. If the IEP team determines that the student
has a learning disability, the IEP team should fill out this form in SESIS and
all members of the IEP team must certify in writing either that the report
reflects the member’s viewpoints or not. If the IEP team member does not
agree with this decision, that person must submit a separate statement
presenting his/her reasons.
When completed, this form must be uploaded into SESIS; if there are any
separate statements, those statements must be faxed into SESIS.
Intellectual Disability
An Intellectual Disability is characterized by significantly subaverage general
intellectual functioning (reasoning, learning, problem solving), existing
concurrently with deficits in adaptive behavior and manifested during the
developmental period that adversely affects educational performance.
Determining a student’s intellectual functioning relies on the use of
assessment tools and the interpretation of scores. Where there are
significant discrepancies in the results of assessment tools, the results
should be viewed with caution and a classification determination should not
be solely based upon an outlier low assessment result.
To determine whether there are limitations in adaptive behavior (i.e. to
determine a student’s conceptual, social, and practical skills), an Adaptive
Behavior Scale must be used.
Multiple Disabilities
The disability classification of Multiple Disabilities is characterized by
concomitant impairments, the combination of which causes major educational
needs that cannot be accommodated in a special education program solely
designed to address one of the impairments. Multiple Disabilities does not
include Deaf-Blindness.
Typically, the classification denotes a severe Intellectual Disability in addition
to another significant area of disability (e.g., Orthopedic Impairment,
Emotional Disturbance).
A medical evaluation (e.g., Orthopedic Assessment) and/or an Adaptive
Behavior Scale may be required to make this classification, depending on the
student’s disabilities.
Orthopedic Impairment
The disability classification of Orthopedic Impairment is characterized by a
severe physical impairment that adversely affects a student’s educational
performance. Orthopedic Impairment includes:
• impairments caused by congenital anomaly (e.g., clubfoot, absence of
some member),
• impairments caused by disease (e.g., poliomyelitis, bone tuberculosis),
and
• impairments from other causes (e.g., cerebral palsy, neuromuscular
disorders, amputation, and fractures or burns which cause contractures).
A medical evaluation (e.g., orthopedic assessment) is required to make this
classification.
Other Health Impairment
The disability classification of Other Health Impairment is characterized by
impaired strength, vitality or alertness (including a heightened alertness to
environmental stimuli) that results in limited alertness with respect to the
educational environment. The impairment must be due to chronic or acute
health problems, including but not limited to:
• a heart condition,
• tuberculosis,
• rheumatic fever,
• nephritis,
• asthma,
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• sickle cell anemia,
• hemophilia,
• epilepsy,
• lead poisoning,
• leukemia,
• diabetes,
• attention deficit disorder,
• attention deficit hyperactivity disorder, or
• Tourette syndrome
The impairment must adversely affect educational performance.
Speech or Language Impairment
The disability classification of Speech or Language Impairment includes
communication disorder (such as stuttering, impaired articulation, language
impairment, or voice impairment) that adversely affects educational
performance.
A speech and language evaluation is required to make this classification.
Traumatic Brain Injury
The disability classification of Traumatic Brain Injury is characterized by
an acquired injury to the brain caused by an external physical force or by
certain medical conditions (e.g., stroke, encephalitis, aneurysm, anoxia or
brain tumors), with resulting impairments that adversely affect educational
performance. The Traumatic Brain Injury classification may include either
open or closed head injuries or brain injuries from certain medical conditions
resulting in mild, moderate or severe impairments in one or more areas,
including:
• cognition,
• language,
• memory,
• attention,
• reasoning,
• abstract thinking,
• judgment,
• problem solving,
• psychosocial behavior,
• physical functions,information processing,
• speech, and
• sensory, perceptual and motor abilities.
Traumatic Brain Injury does not include injuries that are congenital or caused
by birth trauma.
A medical evaluation (e.g., neurological) is required to make this classification.
Visual Impairment (Including Blindness)
The disability classification of Visual Impairment is characterized by an
impairment to vision that, even with correction, adversely affects educational
performance. The term includes both partial sight and blindness.
A medical evaluation (e.g., ophthalmological) is required to make this
classification.
Ineligibility
If the IEP team determines that the student is not eligible for special
education,
65
the following steps must be taken:
• The IEP team must:
• Complete the Student Found Ineligible for Special Education
Services Letter under IEP: Ineligible for Special Education
Services. This form includes the date of the initial IEP meeting
and the reason the student was found to be not eligible for special
education services.
• Complete the following sections of the Ineligible for Special
Education Services Letter:
• Attendance page
• Present Levels of Performance (PLOP)
• Individual Needs
• Send the PWN: Ineligible Notice and Present Levels of
Performance to the parent and the principal.
• Delete the draft IEP in SESIS.
• Set the status of the case to “Final.”
• Using the Present Levels of Performance provided by the IEP team, the
principal must determine whether alternative supports or strategies are
appropriate to assist the student in the general education environment.
65 A student who is ineligible for special education services may still be eligible for accommodations under Section 504.
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Developing the Individualized Education Program (IEP)
IEP Overview
An IEP memorializes the IEP team’s determinations (made at the
IEP meeting) regarding the student’s eligibility for special education,
present levels of performance and individual needs, annual goals, and
recommended special education programs and/or related services.
The recommendations must be calculated to provide meaningful educational
benefit to the student in light of his/her individual needs. To the maximum
extent appropriate for the student, the IEP must be tailored to promote
appropriately ambitious progress toward common core standards, proficient
performance on State and local assessments, and a Regents diploma.
An appropriate IEP reflects the IEP team’s conversation about the results
of the student’s individual evaluations and describes the student’s needs
arising from his/her disability that are to be addressed through the provision
of special education programs and/or related services, as well as other
factors affecting the student’s ability to access the school environment and
learn. The IEP should also indicate the student’s strengths, interests, and
the preferences and concerns of the parents. All parts of the IEP should
be discussed at the IEP team meeting(s) and the IEP should memorialize
the IEP team members’ views on the student’s needs expressed in those
conversations.
Present Levels of Performance and
Individual Needs
The Present Levels of Performance and Individual Needs (Present Levels
of Performance or PLOP) section of a student’s IEP identifies the areas
of specific needs related to the student’s disability, his/her current levels
of functioning, and his/her strengths. This is the foundation for developing
goals and services to address the student’s individual needs.
The Present Levels of Performance section has seven components, to be
completed as follows:
• Evaluation Results: Include the results of the most recent individual
evaluation(s) (including the date of the evaluations); results of the
student’s performance on any general State or district-wide assessments;
and instructional implications of those evaluations. This should include the
results of DOE and DOE-procured evaluations and any other evaluations
provided to the IEP team by the parent. In addition to other data, this
should always include a summary of IQ and academic levels from the last
standardized evaluations and include the date of the evaluations.
• Academic Achievement, Functional Performance and Learning
Characteristics: Clearly describe what makes the student unique,
including information about his/her strengths and needs, learning style,
daily living skills, adaptive behavior, rate of progress, preferences, and
interests.
• Social Development: Describe the extent and quality of the student’s
relationships with peers and adults, feelings about self, and adjustment
to school and community. Include relevant information from observations
and student self-reports, and details of progress in self-advocacy,
extracurricular activities, and transition plan.
• Physical Development: Describe the degree and quality of motor and
sensory development, health and vitality, and physical skills or limitations
related to learning.
• Management Needs: Include the nature and degree to which
environmental modifications, human resources, or material resources are
required to enable the student to benefit from instruction. These must
be developed in consideration of the factors identified in other Present
Levels of Performance areas.
• Effect of Student Needs on Involvement and Progress in the
General Education Curriculum: Document how the student’s disability
affects involvement and progress in the general education curriculum.
Describe the effect of the student’s specific disability as it relates to
instructional content, instructional method, method of assessment,
instructional materials, and physical environment.
• Student Needs Relating to Special Factors: Complete this section
if any of the special factors listed below apply for the student.
Please see the guidance documents Developing the Present Levels
of Performance and PLOP Quality Checklist for more information on
completing each section.
The Present Levels of Performance section must include (as applicable):
• The student’s strengths, abilities, weaknesses and needs, in each area
assessed. The identification of a student’s strengths can be one of the
most significant factors in developing an IEP that builds on a student’s
interests and abilities.
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• The parent’s concerns regarding his/her child’s education.
• The student’s need for a particular device or service (including an
intervention, accommodation, or other program modification) to address
special factors related to the student’s behavior, communication needs,
limited English proficiency, visual impairment, and/or the student’s need
for assistive technology devices/services or accessible educational
materials.
• For Multilingual Learners (and students who are not MLLs but were
evaluated bilingually), the impact of the student’s language development
in English and the other than English language, the student’s relative
strengths in each language and the student’s language related needs.
• For students who require an accessible school, a description of the
student’s level of need in the “Physical Development” section. (In
addition, the “Accessible Program” box must be checked “Yes”.)
There must be a direct relationship between the Present Levels of
Performance and the other components of the IEP. For example, if
a deficiency in reading skills is described, this must be addressed
by identifying the measurable annual goals (and for a student
participating in alternate assessment, short-term instructional objectives/
benchmarks) related to this area. If, at an annual/requested review or
reevaluation IEP meeting, it is determined that services (e.g. related or
supplemental services, specialized transportation, assistive technology, or
accommodations) will be changed, removed or reduced, or that there will
be a change to the student’s program recommendation, the basis for the
change(s) must be clearly stated in the Present Levels of Performance.
Student Needs Relating to Special Factors
This section must be completed if the IEP team determines that the student
requires a device or service (including an intervention, accommodation
or other program modification) to receive meaningful educational benefit
based on one or more of the following special factors (all of which must be
considered):
• Behavioral issues: If a Functional Behavioral Assessment has been
conducted and a Behavioral Intervention Plan developed, they must be
noted in this section. (Note the circumstances listed in those sections
in which a school must conduct or consider conducting an FBA and
develop a BIP.)
• Multilingual Learners: In the case of a student who is an Multilingual
Learner (or who is not an MLL but was evaluated bilingually), the IEP
team must consider the student’s language needs in relation to the IEP.
• Blindness or Visual Impairment: In the case of a student who is
blind or visually impaired, this section must provide for instruction in
braille and the use of braille, unless the IEP team determines that braille
instruction is not appropriate.
• Deaf or Hard of Hearing: In the case of a student who is deaf or
hard of hearing, the IEP team must determine the student’s language
or mode of communication and communication needs and language of
instruction.
• Assistive Technology: The IEP team must consider whether the
student requires assistive technology device(s) or service(s), including
whether any school-purchased assistive technology device is to be used
in the student’s home or other non-school settings, and whether specific
training is needed for the student, student’s parent(s), teacher(s), and
provider(s).
Measurable Postsecondary Goals and
Transition Needs
Measurable Postsecondary Goals
For a student age 14 or older (and at a younger age, if determined
appropriate)
66
, the IEP must include measurable postsecondary goals
based on age-appropriate transition assessments and the student’s
preferences and interests as they relate to transition from school to
post-school activities. These goals must be updated at least annually.
Postsecondary goals are in the areas of:
• Education/Training (e.g., 2 or 4 year college, career and technical
education and training, continuing and adult education);
• Employment (e.g., integrated competitive employment); and
• Independent living skills (when appropriate) (e.g., adult services,
independent living or community participation).
Postsecondary goals identify the student’s long-term goals for living,
working and learning as an adult. The projected postsecondary goals in the
student’s IEP establish a direction for the school, student, student’s family
66 It may be appropriate to consider measurable postsecondary goals before age 14 if the student identifies a very clear postsecondary goal. An example could be if a student has, from the age of 12,
consistently articulated an interest in becoming a doctor and her high school choice and academic programming reflect and support that goal. In addition, if the student will need more time to acquire
transition skills, the IEP team should consider including transition activities on the IEP sooner. A parent may also request that the IEP include transition activities earlier.
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and any participating agencies to work toward in recommending transition
activities for the student.
Student and parent involvement in creating these goals is paramount.
A student’s measurable postsecondary goals should be based on
information obtained using a variety of formal and/or informal methods that
may vary from student to student, including but not limited to: vocational
assessments completed by the student, parent and teacher
67
; assessment
of postsecondary education skills; interviews with the student and/or
parent; strength-based assessments; and teacher observations.
Transition Needs and Courses of Study
For a student age 14 or older (and at a younger age, if determined
appropriate), the IEP must include a statement of the student’s transition
needs that focuses on the student’s courses of study — taking into account
the student’s strengths, preferences and interests — as they relate to
transition from school to post-school activities.
The IEP should identify the high school curriculum that will prepare the
student to meet his/her postsecondary goals. Examples of courses of study
include: advanced placement courses; a vocational education program;
Regents coursework; and/or a sequence of courses in a career and
technical education field related to the student’s postsecondary goals. In
addition, the IEP team should consider other transition needs related to
universal foundation skills aligned to CDOS standards or academic and
personal behaviors.
Examples of additional transition needs include:
• Adult assistance to travel in the community
• Instruction in functional reading and mathematics
• Development of self-advocacy skills
• Independent use of public transportation
• Development of independent living skills
• Completing necessary coursework for graduation with a regular diploma
• Courses in career and technical education
Annual Goals, Short-Term Objectives
and/or Benchmarks
Annual Goals
The needs described in the Present Levels of Performance drive the
development of the student’s annual goals. The IEP team must develop the
goals before determining what special education programs and/or related
services will be recommended. Recommended special education programs
and/or related services are determined based on what will be required for
the student to attain his/her annual goals.
The annual goals must cover the areas (such as math, literacy, speech,
behavior) identified in the Present Levels of Performance for which the
student requires a special education program or related service to access,
participate in and progress through curricula aligned to age-appropriate,
grade-level standards. Annual goals must be reasonable in number — e.g.,
three or four goals targeted to address each area of need — and achievable
within one year. The goals must state specific measurable, projected
outcomes that, if achieved, would afford the student meaningful educational
benefit for that year.
While annual goals addressing academic achievement should be aligned
with the Common Core / Next Generation Learning Standards, goals
should be skill-based. The content of the curriculum that a school is using to
teach the Common Core / Next Generation Learning Standards should not
be included in the annual goals.
Annual goals must be based on the student’s age; cognitive, social/
emotional and physical abilities; rate of learning; and interests.
Beginning with the first IEP in effect when the student is age 14 and older,
annual goals also should focus on helping the student to achieve his/her
IEP postsecondary goals.
For each annual goal, the IEP must indicate the evaluation criteria,
evaluation procedures, and schedules to be used to measure progress
toward meeting the annual goal:
• Criteria: The evaluation criteria identify how well and over what period
of time the student must perform in order to consider the goal met (for
example: 85% accuracy over five consecutive trials). The criteria for
meeting the goal must be rigorous enough to ensure mastery, as many
goals represent foundation skills necessary for subsequent learning.
67 A vocational assessment must be completed for all students with disabilities who are age 12 or older (or who will turn 12 by the end of the calendar year in which the evaluation is completed).
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• Method: The evaluation procedures identify the method that will be
used to measure progress and to determine if the student has met the
goal.
• Schedule: The evaluation schedule states the date(s) or time intervals
by which evaluation procedures will be used to measure the student’s
progress toward mastery.
Short-Term Instructional Objectives/Benchmarks
Short-term instructional objectives or benchmarks must be written for
any school-age student who meets the eligibility criteria to take the New
York State Alternate Assessment. Short-term instructional objectives and
benchmarks are general indicators of student progress toward achieving
the annual goals and should be used as the basis for reporting progress
to a parent. (Generally, one annual goal would not include both short-term
instructional objectives and benchmarks; which to use for a particular annual
goal is up to the IEP team.)
Short-Term Instructional Objectives
Short-term instructional objectives are the intermediate knowledge and skills
that must be learned in order for the student to reach the annual goal. Short-
term instructional objectives break down the skills or steps necessary to
accomplish an annual goal into discrete components.
Benchmarks
Benchmarks are the major milestones that the student will demonstrate
that will lead to the annual goal. Benchmarks usually designate a target
time period for a behavior to occur (i.e., the amount of progress the student
is expected to make within specified segments of the year). Generally,
benchmarks establish expected performance levels that allow for regular
checks of progress that coincide with the reporting periods for informing
parents of their child’s progress toward the annual goals.
Reporting Progress to Parents
The IEP must indicate when periodic reports on the student’s progress
toward the annual goals will be provided to the student’s parents. At a
minimum, these reports must be provided at the same frequency and timing
of reports provided to parents of general education students. They should
be provided more frequently to the extent reasonable and beneficial given
the specific goals.
Recommended Special Education
Programs and Services
Continuum of Services: Considerations for Intensity of
Services and Least Restrictive Environment
The recommended special education programs and related services are
based upon an analysis of the student’s previously determined Present
Levels of Performance and Measurable Annual Goals. Each goal should
be evaluated to determine the least restrictive level of service sufficient to
support the student such that the goal can be achieved.
Example of a situation in which a less restrictive level of service should be
chosen:
Discussion at the IEP meeting (which included the parent, classroom
teacher and speech teacher) of goals related to vocabulary and
comprehension needs described in a speech-language assessment,
could result in a determination that the student does not require
the related service of speech-language therapy for those specific
goals because they could be addressed during ELA or other content
level instruction by the classroom teacher. In this situation, speech-
language therapy should not be recommended for these goals if
addressing them through instruction would enable the student to
achieve them and result in greater access to and alignment with
the general education curriculum content (although the student may
require speech-language therapy for other goals).
The IEP must indicate the special education program(s) and/or related
service(s) recommended for the student to advance appropriately toward
his/her annual goals and, to the greatest extent appropriate:
• be involved in and progress in the general education curriculum;
• participate in extracurricular and other nonacademic activities; and
• be educated and participate in activities with other students with and
without disabilities.
There may be more than one recommendation (or combination thereof) that
is appropriate for a given student and offers his/her LRE. If that is the case,
the recommendation may be determined by the school’s preferred service
model as long as either recommendation would serve the student’s needs
equally well. For example, if the IEP team determines that a student would
be able to achieve all her goals if she were provided ICT for math or push-in
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group SETSS for math, either may be recommended.
Adapted Physical Education
However, an IEP team may not make a recommendation based on
the availability or unavailability of a special education program
or related service (whether in general or in a particular district
or school). The IEP must contain appropriate recommendations for the
individual student irrespective of the availability of the program or service.
The school/CSE must immediately seek support from the BCO as needed
in ensuring that the recommendations are provided if any are not currently
available at the student’s school.
For all special education programs and services, the IEP must specify the
projected initiation date and the frequency, location and duration.
IEP Recommendation Components
Special Education Program
The continuum of special education programs includes:
• Special Education Teacher Support Services (SETSS) (individually or in
groups of maximum size up to 8);
• Integrated Co-Teaching (ICT); and
• Special Class (in a District 1-32 school (12:1/15:1, 12:1+1), in a
District 75 (12:1+1, 12:1+(3:1), 8:1+1, 6:1+1), or in a NYSED-
approved non-public school)
These programs may be provided in combination. For example, a student
can receive both ICT and SETSS if that is appropriate. A student can also
receive some subjects in ICT and others in a 12:1 or general education
setting. The program should be customized to meet the student’s needs.
68
In addition, travel training and adapted physical education are special
education program recommendations.
When making a program recommendation in SESIS for SETSS, ICT, or
special class, a drop-down menu will appear with a list of subjects (e.g.,
Math, ELA). If you are recommending a service for more than one subject,
create a separate row for each subject. Please refer to the SESIS/STARS
Program Services Guide.
All elementary and secondary students must receive physical education
(PE) as a part of their educational program. For information regarding the PE
requirements for all students, see the Physical Education Requirements at the
School Wellness website and New York State Commissioner’s Regulation
135.4. Students with disabilities must be allowed to participate in PE with
their non-disabled peers to the maximum extent appropriate.
Adapted physical education (APE) is PE that is developmentally appropriate
for an individual student. APE provides a student with specially designed
Physical Education instruction, which incorporates developmental activities,
games, sports and rhythms, suited to the interests, capacities and limitations
of a student with a disability who may not safely or successfully engage in
unrestricted participation in the activities of the regular PE program. APE
teachers adapt, modify, and/or change a physical activity so that it is as
appropriate for the individual student. Physical education class and physical
activities can be modified and/or changed in numerous ways.
APE may be supplemented by related services, intramural sports, athletics, or
other experiences that are not primarily instructional. However, these services
cannot be provided in lieu of a PE program.
APE instruction must be provided by a certified physical education teacher.
It is recommended that physical educators teaching APE for more than
50 percent of their workload have at least 12 semester hours of teacher
preparation in APE.
Recommending Adapted Physical Education
The IEP team must determine whether a student with a disability can
participate in regular physical education (including regular physical education
with special equipment
69
), or requires adapted physical education. The IEP
team must consider the student’s academic/educational achievement and
learning characteristics, social development, physical development, and
health and management needs. The IEP team must request the participation
of a physician to provide and interpret medical information if needed to assist
in determining whether an APE program is appropriate for a student and,
if so, to help determine what activities the student’s APE program should
include.
68 District 75 Special Education Inclusive Services offers an opportunity for students to receive services from a District 75 special education teacher (along with related services and support services, as needed)
while participating in the general education curriculum at a District 1–32 school.
69 A student with a disability may be able to maintain or improve his/her functional capabilities through the use of assistive technology devices during PE or APE; see Assistive Technology for guidance on
assistive technology recommendations.
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APE can be provided in an integrated program that includes students with
Related Services
and without disabilities.
70
Students who are recommended for services in a
specialized DOE school (i.e., District 75) must have an individualized decision
made as to their need for APE. A student attending a D75 program in an
integrated building must be afforded the opportunity to participate in the
school’s regular physical education program unless the IEP team determines
that the student needs adapted physical education in a separate environment.
The IEP team must document a description of the student’s physical
development and needs in the Present Levels of Performance section. This
section must also include a description of the student’s current physical
education program. The IEP must reflect the IEP team’s discussion and
determination regarding the student’s ability to participate in the physical
education program determined to be appropriate.
If regular physical education is determined to be appropriate for the student,
the Physical Development section of the IEP should reflect any needs for
accommodations and concerns that should be considered during regular
physical education, but which are not serious enough to warrant adaptations,
special equipment or APE.
If the student requires APE, the program must be designed to meet the
student’s unique needs, and the IEP team must:
• Describe in the Present Levels of Performance section the student’s
physical development, including motor and sensory development, health,
vitality, and physical skills or limitations;
• Include Annual Goals connected with the student’s APE program,
including, if required, short-term objectives or benchmarks. These should
include the evaluation criteria, evaluation method, and schedule to be
followed to determine if goals and objectives are met;
• Under Recommended Special Education Programs and Services:
• Specify the class size, frequency, duration and location of the APE
program; and
• Describe any needed special equipment and/or assistive technology
devices;
• Under Participation with Students without Disabilities,
describe the extent to which the student will participate in specially-
designed instruction in physical education, including APE.
Related services are developmental, corrective, and other supportive
services that may be required to assist a student with a disability to receive
meaningful educational benefit. These include assistive technology services,
audiological services, counseling, interpreting services for the deaf and hard
of hearing, occupational therapy, orientation and mobility services, parent
counseling and training, physical therapy, school nurse services, speech-
language therapy, vision and hearing educational services and may include
other developmental, corrective or supportive services if required. (Related
service options can be selected from the drop-down list in SESIS.)
When considering the need for a specific related service, the IEP team must
review the specific needs identified in the Present Levels of Performance
(including non-academic needs related to accessing and participating in
the classroom environment) and the annual goals created to address each
specific need. Based on this, the IEP team must determine whether and
how a related service will address a particular goal. It is important to seek
the input from the related service provider at the IEP meeting or through
progress notes and/or clinical review prior to the meeting.
Some goals addressing language, behavior, gross and fine motor skills,
can be addressed in a special education program such as SETSS, ICT or
special class, without the need for a related service. For example, a goal
addressing a student’s need to expand his/her vocabulary or to improve his/
her pencil grasp can often be addressed in a classroom environment with
consultation with a specialized provider and low-tech modifications such as
a pencil grip.
A related service must be recommended if it is necessary for the student to
have access to or to make progress in his/her educational program. A related
service recommendation must be made when specialized skills are required
that a general education or special education teacher would not have, even
with professional development and/or indirect SETSS, or when the content of
the goals to be met cannot be addressed during general or special education
classroom instruction. (This determination must be made in consultation with
related service providers and considering the conclusions of assessments.)
Related services must be delivered in the least restrictive environment, and
therefore, as much as appropriate for the student, should be integrated into
the classroom. If pull-out services are required, they should be scheduled
during non-academic times to the greatest extent possible. It may be
appropriate to recommend services both in the classroom and in a separate
location (i.e., push-in and pull-out services) for a student. For example, a
student who is having trouble participating in class because of a speech
70 To the extent possible, APE should be provided at the same time as regular physical education, and students should not be pulled out of other classes for APE.
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delay may need some pull-out time to work in a quiet place with the speech
therapist, but may also need push-in time for the speech therapist to help
the student participate in group discussions.
The location of service delivery must be specified on the IEP. The location
can be the general education classroom; the special education classroom;
or a separate location, which must be specified.
Recommending Occupational Therapy or Physical Therapy
When the IEP team is initially recommending that a student receive
occupational or physical therapy, an assessment by an appropriate
professional is required to make the recommendation, and a physician’s
prescription is required before the service may begin.
If the parent is unable to obtain a physician’s prescription for OT or PT, the
school social worker must take the following steps as needed to ensure that
a prescription is issued (noting them in the SESIS Events Log):
• Provide guidance and assistance (including assistance in scheduling
appointments) to the parent regarding local free or low cost clinics or
health care agencies.
• Provide information to the parent regarding Child Health Plus, a State-
funded insurance plan for children under the age of 15.
If the parent remains unable to obtain a physician’s prescription for OT
or PT, the school/CSE must contact the Office of School Health for
assistance.
Recommending Parent Counseling and Training
Parent counseling and training means “assisting parents in understanding
the special needs of their child; providing parents with information about
child development; and helping parents to acquire the necessary skills that
will allow them to support the implementation of their child’s individualized
education program.”
Parent counseling and training must be recommended and
provided to enable a parent to perform appropriate follow-up
intervention activities at home, for:
• a student with a classification of Autism, regardless of the student’s
recommended special education program; and
• a student recommended for a special class with a ratio of 8:1+1, 6:1+1
or 12:1+(3:1), regardless of the student’s classification.
Parent counseling and training must be indicated on the IEP in the Related
Services section and is selected from the drop-down menu in SESIS.
As with all related services, group size, frequency, duration, location, and
projected beginning/service dates must be indicated on the IEP.
At the IEP meeting, DOE professionals should explain to the parent
the purpose of parent counseling and training and should discuss the
anticipated schedule. If there is or will be a calendar of parent counseling
and training sessions, it must be shared with the parent at the IEP meeting
or as soon as it becomes available. Parent training and counseling must
be designed to enable the parent to understand and address the specific
needs of the student. The service must be made available to a parent when
recommended on the IEP and the parent should be encouraged to partake;
however, the parent is not obliged to do so.
Supplementary Aids and Services / Program Modifications /
Accommodations
Supplementary aids and services and/or program modifications or supports
refers to aids, services and other supports that are provided in general
education classes or other education settings to enable students with
disabilities to be educated with non-disabled students to the maximum
extent appropriate.
The following are examples of supplementary aids and services,
accommodations and program modifications:
• A note taker
• Instructional materials in alternative formats (e.g., braille, large print,
books on tape)
• Extra time to move between classes
• Special seating arrangements
• Highlighted or color coded work
• Study guide outlines of key concepts
• Use of a study carrel for independent work
• Assignment of supplementary school personnel (e.g., paraprofessional)
• Behavior management/support plan (e.g., BIP)
• Extra time to complete assignments
• Assignment adaptations
• Extended pacing of instruction
• Behavior supports
• Accommodations and/or adaptations to the manner in which content is
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presented (e.g., Universal Design for Learning or Assistive Technology
71
)
• Accommodations and/or adaptations to how students demonstrate
learning and/or how progress is measured
For assistance with services/accommodations/modifications not listed
above, contact your ASE / D75 Liaison / chairperson.
Special Considerations: IEP-Assigned Paraprofessionals
NYSED guidance has been issued summarizing new regulatory
requirements regarding recommending paraprofessionals (one-to-one
aides). In addition to the information included in this section, please
review the Guidance on Initiation or Continuation of an IEP-Assigned
Paraprofessional when considering a recommendation for an IEP-Assigned
Paraprofessional.
The IEP must clearly document the need and purpose of any IEP-assigned
paraprofessional as well as a process for progress monitoring. The
determination that a paraprofessional is appropriate for a student must
be based upon a documented need identified in the Present Levels of
Performance. When appropriate, the IEP should include goals that, when
achieved, will result in increased student independence and the reduction or
elimination of the need for the IEP-assigned paraprofessional. The IEP team
should discuss the process for progress-monitoring the purpose of IEP-
assigned paraprofessionals.
Whenever an IEP-assigned paraprofessional is being recommended,
the IEP team must determine the level of service required. This includes
consideration of the intensity of service, i.e., the specific times/activities for
which an IEP-assigned paraprofessional is required, as well as the ratio
of students to staff. The Management Needs section of the student’s IEP
must make clear the circumstances during the school day, including related
services and non-academic settings such as lunch and transitions, for which
the student requires the support of the paraprofessional.
The IEP must specify the type of and responsibilities for a paraprofessional.
The following are the functions that a paraprofessional may serve:
• Behavior Support
• Health
• Toileting
• Orientation and Mobility
The IEP team must consider and recommend on the IEP the training that the
71 Including training/programming, as needed.
paraprofessional will receive in order to serve the student appropriately. For
example, when a health paraprofessional is recommended, the IEP could
note that the school nurse will provide training to the paraprofessional on the
student’s health needs in the Supports for School Personnel section of the
IEP.
Behavior Support Paraprofessional
If the IEP team is considering a Behavior Support Paraprofessional (also
known as a Crisis Management Paraprofessional) because the student’s
behaviors impede the learning of that student or others, the IEP team must
first ensure that the student has received a Functional Behavior Assessment
(FBA) and has a Behavioral Intervention Plan (BIP) in place. If not, an FBA
should be conducted and, as appropriate, a BIP created. If the student
already has a BIP, the BIP should be reviewed to determine whether it can
be modified so as to provide sufficient behavioral support. Only if the student
presents with serious behavior problems that cannot be addressed through
a BIP implemented with fidelity (as well as the provision of alternative general
education and special education supports and services) should a behavior
support paraprofessional be recommended. The Behavior Support
Paraprofessional must be trained in behavior management generally
and specifically on how to implement and monitor the student’s BIP
with fidelity. The paraprofessional’s training needs should be specified in
the Supports for School Personnel section of the IEP.
Health Paraprofessional
A Health Paraprofessional may be recommended when a student’s medical
or functional status (e.g., severe orthopedic impairments; multiple sensory
deficits; inability to perform self-care activities such as toileting, dressing;
uncontrolled seizure disorders) prevent the student from participating in
and benefiting from school-based activities with less intensive supports,
including school-based nurses, related service providers and programmatic
paraprofessionals.
The IEP team may recommend health paraprofessional services without a
referral to the Central Nursing Office only if there is no indication that the
student has a medical condition that may require urgent care.
A 1:1 health paraprofessional may be recommended to provide a student with
assistance in activities of daily living (often including transfers from wheelchair
to adaptive equipment, ambulation assistance, oral feeding, observing food
intake, dressing, managing orthotics and use of assistive communication or
writing devices).
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A 1:1 health paraprofessional may also be recommended to monitor the
student for specific signs and symptoms related to the student’s health
or medical condition; to notify the school nurse when indicated; and/or to
bring the student to the school nurse at the appropriate times for treatment
or medications needed. A 1:1 health paraprofessional may be trained to
administer an EpiPen or use Vagus Nerve Stimulation (VNS). A referral for
non-1:1 skilled nursing — in addition to a 1:1 health paraprofessional — is
required if a student requires a health professional for the above reasons or if
the student has any other medical condition that may require urgent care.
A 1:1 health paraprofessional may require instruction or training in performing
these tasks safely. When appropriate, such training may be provided by the
school nurse or the Borough Nursing Director. Such training needs should be
specified in the Supports for School Personnel section of the IEP.
For support in safely serving students with mobility needs, including safely
transferring students into or out of wheelchairs or adaptive equipment, the
OT/PT Managers should be consulted and will support as needed.
Toileting Paraprofessional
Toileting Paraprofessional is a specific category of Health Paraprofessional.
The IEP team may recommend paraprofessional services to provide either
toilet training or toileting assistance:
Toilet training is a short-term instructional service that prepares a student for
independence in toileting and may be recommended when a student has
demonstrated all of the following:
• An inability to remain continent with regard to bodily functioning (e.g.,
wetting, soiling) during the school day and the physiological ability to do
so;
• The cognitive ability to respond to a specific behavioral change program
that schedules toileting and leads to independent toileting; and
• The physical ability to complete toileting tasks independently after
receiving training.
Toileting assistance is appropriate for students who:
• Require help in transferring to or using toilets, commodes, or potties;
• Cannot adjust their clothing or complete related personal hygiene
routines; and/or
• Cannot become continent due to physical or cognitive status and require
assistance for diaper changing, etc.
Toileting assistance is generally programmatic in special classes in
specialized schools (i.e., D75). Where toileting assistance is programmatic, it
need not be recommended as a Supplemental Aid/Service on the student’s
IEP. However, it should be included elsewhere in the IEP, including in the
Present Levels of Performance, Annual Goals and Short-Term Objectives and
Benchmarks (as appropriate), and Management Needs.
An IEP-assigned Toileting Paraprofessional may be recommended if that
is the only paraprofessional assistance that the student requires (i.e. if
the student does not require a health paraprofessional, behavior support
paraprofessional, or orientation and mobility paraprofessional) and if the
staffing ratio within the student’s primary program is insufficient to meet this
need. A student with multiple health related needs, including toileting issues
that warrant an IEP-assigned paraprofessional, should be recommended
for a Health Paraprofessional (i.e., no separate Toileting Paraprofessional
recommendation is required and the Health Paraprofessional should also
provide the toilet training or toilet assistance). IEP teams should review the
guidance document Consideration for Recommending Toilet Training or
Toileting Assistance.
Orientation and Mobility Paraprofessional
Orientation and Mobility instruction is designed for students with visual
impairments. Orientation and Mobility Paraprofessionals are mandated
for select visually impaired students who receive Orientation and Mobility
instruction. They are only recommended for students who are assessed to be
“unsafe independent travelers” in the school. These paraprofessionals have
had specialized training in order to work with those students who are blind or
severely visually impaired and are not to be recommended for students who
do not meet that criteria. Specialized training needs should be documented
and specified in the “Supports for School Personnel” section of the IEP.
Assistive Technology Devices and/or Services
The IEP must describe any assistive technology devices and/or services
necessary for the student to benefit from instruction, including whether the
assistive technology device is required to be used in the student’s classroom,
home or in other settings in order for the student to receive meaningful
educational benefit.
• Assistive technology device means any item, piece of equipment, or
product system — whether acquired commercially off the shelf, modified
or customized — that is used to increase, maintain or improve the
functional capabilities of a student with a disability. Assistive technology
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devices can range from “low technology” items like pencil grips or paper
stabilizers to “high technology” items such as voice synthesizers, Braille
readers or voice-activated computers.
• Assistive technology service means any service that directly assists a
student with a disability in the selection, acquisition or use of an assistive
technology device.
If an Assistive Technology Assessment has been conducted, the IEP team
must review and discuss that assessment at the IEP meeting. The need for
Assistive Technology devices and services must be determined in relation to
the student’s environment, language and the tasks s/he needs to perform.
Prior to recommending assistive technology, the IEP team must consider
the information in the Assistive Technology Reference Guide for Students
with Disabilities and document those considerations in the Present Levels
of Performance section (or other relevant section(s)) of the IEP. The use of
a device for a trial period without the student/provider(s) receiving training
on the use of the device cannot be used as a basis for denying that assistive
technology.
For examples of the types of devices that may be appropriate for individual
students, see Appendix B to the New York State Education Department
Guidance Document: Accessing the Common Core for Students with
Disabilities.
“Low Tech” Devices
Low Tech devices are simpler in design and use and are more commonly
available than High Tech devices. Low Tech devices include such devices as
a pencil grip, calculator, adapted grip, tape recorder, spell checker, electronic
organizer, slant boards, paper communication boards/cards, and text
highlighting, for example.
Low Tech devices may be recommended at an IEP meeting without a formal
Assistive Technology assessment having been conducted.
“High Tech” Devices
High Tech devices include devices such as computers, word processors,
tablets, software applications, dynamic display augmentative communication
devices, voice synthesizers, speech-to-text programs, Braille readers, voice-
activated computers.
If the IEP team believes that a High Tech device may be warranted for a
student, it should consult with trained Assistive Technology personnel and/or
related service providers as far in advance of the IEP meeting as is feasible.
Typically, during an Assistive Technology assessment and before any trial
period, Assistive Technology personnel will provide training to the student,
teachers/service providers, and parent (if present) to ensure sufficient support
and appropriate use of the device. The IEP should also specify the training in
the recommended device that will be provided to the teacher, parent, student,
and/or provider prior to and during the student’s use of the device. Training
needs regarding school personnel or providers should be documented and
specified in the Supports for School Personnel section of the IEP. Training
needs for the student and/or parent should be documented and specified
in the Management Needs section of the IEP. If at any point it becomes
apparent that the student, teacher/provider, or parent requires additional
training or services in the use of the device, the school or CSE should contact
the Center for Assistive Technology at CATteam@schools.nyc.gov.
Accessible Educational Materials
Accessible Educational Materials (AEM) are educational or instructional
materials (e.g., textbooks and related core materials such as workbooks)
that have been converted into a format that is accessible to students with
a disability such as blindness, visual impairment, learning disability, or other
physical impairments. These alternative formats can include braille, large print,
audio, and digital text. (Note that these may also be referred to as Accessible
Instructional Materials (AIM).) IEP teams are responsible for identifying
students who require AEM, identifying the appropriate accessible format, and
for obtaining materials in a timely manner.
Who qualifies for AEM?
Any student who is blind, visually impaired, or otherwise unable to use
standard printed materials may qualify for AEM. In addition, when a student is
suspected of having a disability or a temporary medical condition that affects
his/her ability to access content in printed material, s/he may qualify for AEM.
When determining a student’s AEM needs, a school should consider the
following questions:
• Can the student access grade-level standard text without the use of a
specialized format?
• Yes » No need for AEM.
• No » AEM may be required.
• If provided with a specialized format, will the student be able to access
the same grade-level text as his/her peers?
• Yes » AEM is appropriate.
• No » Consider other modifications or adaptations, including modified
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content or alternative materials. Some students may need alternative
materials in specialized formats in order to access them.
• What Assistive Technology (AT) (if any) is required for the student to
access specialized formats (braille, large print, audio, and/or digital text)?
• In which environments will AEM be used?
• For which tasks will the student require specialized materials?
• How does the student’s disability impact his/her AEM needs? Consider
the student’s cognition and/or any other impairments.
• What resources do the teachers need to use AEM in the classroom?
A variety of sources of evidence can be considered when determining the
appropriateness of AEM, including:
• Educational assessments (e.g., psychoeducational, related services
If school is considering…
assessments)
• Informal observations by teachers and parents
• Interviews with students, parents, teachers, and related service providers
• Classroom-based assessments
• Curriculum-based assessments
• Academic progress over a period of time
• Medical reports (e.g., pediatric, ophthalmologic, neurologic)
Making an AEM determination
As soon as the school is aware that a student may qualify for AEM and
determines what type of AEM may be appropriate, it may wish to consult with
the following offices/individuals prior to the IEP meeting:
Assistive technology (e.g., audio or digital text) Consult the DOE’s guidance for AT recommendations
Any AEM for a student who is blind or visually Contact the DOE’s office of Education Vision Services for provision of AEM to students who
impaired (e.g., braille, large print, audio, text-to- are blind and visually impaired
speech)
AEM for a student who has a disability other than Contact the appropriate Supervisor of School Psychologists for guidance around IEP
blindness or visual impairment recommendations
Documenting AEM on the IEP • Document the student’s use of AEM on the IEP with respect to
the student’s access to the curriculum, grade-level standards, the
When the IEP team, after consultation with the offices/individuals above,
student’s achievement of their individual goals, and/or and as a testing
has made a determination at an IEP meeting that AEM is appropriate and
accommodation, as appropriate.
that a specific format of AEM will be provided, the team should:
• If assistive technology is required for the student to utilize AEM, it
• Select “Instructional materials in alternative formats” from the
must be documented under “Assistive Technology Devices and/
“Supplementary Aids and Services/Program Modifications/
or Services” in the “Recommended Special Education Programs
Accommodations” heading of the “Recommended Special
and Services” section of the IEP in SESIS.
Education Programs/Services” section in SESIS.
• If the AEM will require the teacher(s) to utilize any additional resources
• Indicate details regarding the specific accessible format and how it will
or to change the curriculum in any way, that should be noted in the
be used in the Present Levels of Performance, Management Needs, and
IEP’s “Management Needs” section.
wherever else deemed appropriate.
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Supports for School Personnel on Behalf of the Student
Supports for school personnel on behalf of the student are recommended
when specific training or information could assist professional service
providers, paraprofessionals, or other school staff to work more effectively
with the student. Examples of supports that may be recommended for
school personnel include:
• information on a specific disability and implications for instruction;
• training in use of specific positive behavioral interventions;
• training in American Sign Language;
• assistance with curriculum modifications;
• training in assistive technology devices recommended for the student;
• behavioral consultation with school psychologist, school social worker
or other behavioral consultant; and/or
• transitional support services.
School personnel may require in-service training — in particular, in
behavioral strategies or instructional techniques, sensory integration
activities, progress-monitoring mechanisms, or in the use of assistive
technology that has been assigned to the student. Training from a speech
therapist, OT, or PT may be needed if a paraprofessional is to engage in
activities such as feeding assistance, positioning, sensory diet and support,
or assistance with ambulation. If a health paraprofessional is recommended,
the IEP should indicate what training, if any, will be provided to the
paraprofessional by the school nurse and/or the student’s physician. If the
paraprofessional is expected to be responsible for the implementation of
testing accommodations, training in this process should be indicated.
Testing Accommodations
Testing accommodations
72
are changes to the test format and/or test
administration and are intended to remove barriers and increase access.
They are not intended to make tests less rigorous and they do not change
the skills or content that the test is designed to measure. Students with
testing accommodations should be given a testing environment that allows
them to receive their accommodations and is the same or as similar as
possible to the environment in which their peers take the test (i.e., the test
should not be provided in the gym or auditorium to those students who
have testing accommodations when the rest of the class is taking the test in
the classroom).
The IEP team must consider what testing accommodation(s), if any, are
appropriate to support the student by considering the student’s individual
needs. An extensive list of accommodations is available in the NYCDOE
Testing Accommodations Guide.
The IEP team should ask the following questions when determining the
testing accommodations that are most appropriate for the student and
these considerations should be documented in the Present Levels of
Performance section of the IEP:
• How does the student’s disability create the need for testing
accommodations?
• What types of testing accommodations did the student receive in the
past? Were these accommodations effective?
• What data or evidence (documentation) is available to support the
provision of these testing accommodations?
• What types of accommodations and/or supports does the student
receive in the classroom?
• How will testing accommodations support the student’s participation in
general education and assessments?
The IEP must clearly specify the recommended testing accommodation(s), if
any, to be used consistently by the student in:
• all eligible assessments provided in his or her recommended education
program, unless otherwise specified;
• the administration of district-wide assessments of student achievement;
and
• where allowable, in State assessments of student achievement that
are necessary to measure the academic achievement and functional
performance of the student.
73
The IEP must clearly state the testing accommodations mandated for the
student. The IEP should not include broad or flexible testing accommodation
categories (e.g., answers recorded in any manner). Rather, the IEP must
indicate specific testing accommodations (e.g., student records answers in
test booklet).
The IEP team should consider conditions or types of tests that could require
particular testing accommodations, for example:
• length (in time) of the test,
• the purpose of the test,
72 Testing accommodations may be appropriate for a student regardless of the student’s placement (e.g., specialized school) or testing category (e.g., NYSAA).
73 Students who require testing accommodations, including those who have IEPs, IESPs, or 504 Plans, may be eligible to receive accommodations on the Gifted & Talented (G&T) test, as long as the
accommodation(s) do(es) not affect what the test is designed to measure.
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• presentation of test items, and
• the method of response required by the student.
For example, a student with a motor impairment may need a voice-activated
word processor for tests requiring extensive essay writing, but not for
multiple-choice tests if the student is able to select the answers by hand. In
this case a student may need to circle answers in the test booklet and the
proctor would transcribe the answers onto the Scantron. In this instance,
this student would not require a scribe and is able to complete the test
independently.
Similarly, a student may need breaks at certain intervals for tests longer than
an hour in length but not for 40 minute classroom tests.
The IEP team should also consider whether particular testing
accommodations are needed due to and in conjunction with the provision
of another accommodation. For example, a separate setting may be needed
when the student has the use of a voice-activated word processor. In such
instances, both accommodations must be indicated in the IEP and qualifying
conditions must be indicated as appropriate.
If it is determined that the student needs a particular testing accommodation
for all tests, then qualifying conditions are not indicated or would indicate “all
tests.”
When documenting the following accommodations, the following
specifications must be included on the IEP:
• Extended time: Specify the amount of extended time (e.g., time and a
half, double time). Although the NYS grades 3-8 ELA and Math tests are
now untimed, students in grades 3-8 may still have extended time listed
as an accommodation on their IEP as they take many other assessments.
Accommodations are to be provided with all assessments unless
otherwise specified and are not only for high stakes tests.
• Multiple Day Administration: Some students may require multiple day
testing if they have multiple exams scheduled at the same time or day and
require testing accommodations, such as extended time and/or frequent
breaks. Additionally, some students with severe medical needs may be
unable to test for multiple hours at a time. This accommodation requires
the Assurance of Multiple Day Administration of State Assessments
to be completed and submitted to the State. The Borough Assessment
Implementation Director can support with the assurance to the State
for this accommodation. For more information, reference the NYSED
protocol.
• Breaks: Specify the duration of break and frequency/intervals of breaks
(e.g., ten-minute break every 40 minutes).
• Directions read or signed more than the standard number of
times: Specify the number of times (e.g., directions read two more times
than the standard number of times provided for all students).
74
• Tests Read including or excluding tests of reading
comprehension: Use the decision-making tool provided by NYSED to
determine the appropriateness of the “tests read” accommodation.
• Specify if the student requires tests read including or excluding
tests of reading comprehension and how this accommodation will be
implemented.
• The implementation of this accommodation for testing needs to be
the same as the implementation during classroom instruction and
assessments (e.g., text-to-speech software, human reader, mp3).
• Note: “questions read” is not an available testing accommodation
and instead is part of the clarifying text when listing “tests read”.
When listing “tests read” as an accommodation, the following
clarification is provided: “test passages, questions, items and multiple
choice responses.”
• Separate setting: When a student requires a different setting
from their daily instructional setting for assessments, or when other
accommodations the student receives require a different setting,
recommend “separate setting” and specify individual or small group
(and specify the group size).
• Adaptive or special equipment/furniture: Specify type (e.g., study
carrel).
Note that this is not a complete list of testing accommodations.
The IEP testing accommodations may not use non-specific terms, such as
“as appropriate” or “when necessary.”
Testing accommodations must not be indicated in a test-specific manner
(e.g., calculator with fraction capability, not calculator with fraction
capability on Regents examination in mathematics”).
Testing accommodations should not be provided for the first time during
a State assessment. Students should have experience in using the
recommended testing accommodations during instruction and classroom
74 It is not acceptable to administer a test to all students with this accommodation in the same room with the directions repeated to all students the same number of times regardless of their individualized
accommodation.
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tests prior to taking State assessments. However, students can be Education Program/Services.)
approved for emergency testing accommodations by the principal if
they demonstrate disabilities or temporary impairments within 30 days
of a State or NYC assessment. If students are approved for emergency
testing accommodations and are expected to continue to need testing
accommodations going forward, the school should initiate an initial referral
or a 504 referral, as appropriate.
For further guidance on Testing Accommodations, see:
• NYCDOE Testing Accommodations Guide;
• Test Access & Accommodations for Students with Disabilities – Policy
and Tools to Guide Decision Making and Implementation.
Coordinated Set of Transition Activities
Beginning when the student is age 14
75
(and at a younger age, if
determined appropriate
76
) and updated annually, the IEP team must
consider the student’s strengths, preferences and interests while identifying
activities, services, and supports necessary to facilitate the student’s
movement from school to post-school activities, including, as appropriate:
• Instruction: Instruction could include the courses of study the student
needs to take to reach his/her postsecondary goals (e.g., Regents
classes in English, Biology and a Second Language; 2 semesters of
career and technical education classes in Culinary Arts & Hospitality
Technology). Instruction could be indicated as skill areas (e.g.,
instruction in problem solving skills, use of public transportation, and
how to balance a checkbook.) Discussion of instruction should include
a discussion of information about diploma options available and the
student’s diploma objectives and progress towards them. See the
DOE’s High School Academic Policy Guide for more information.
• Related services: The IEP must identify any related services (e.g.,
rehabilitation counseling services; school social work; orientation and
mobility services, assistive technology devices) the student may need
as a transition service to support the student in attaining the projected
post-school outcomes. (Related services recommended as a transition
activity must also be documented under the IEP section Special
75 Vocational assessments must be conducted beginning when the student is 12.
• Community experiences: The IEP must indicate if a student needs
to participate in community-based experiences or learn to access
community resources (e.g., after school jobs, use of public library,
community recreational activities) to achieve his/her projected post-
school outcomes.
• The development of employment and other post-school adult
living objectives: The IEP must identify what services or activities
the student needs to prepare him/her for employment and to assist
the student in meeting other post-school adult living objectives (e.g.,
participation in a work experience program; assistance with completing
college or employment applications; practice in interviewing skills; travel
training
77
).
• When appropriate, acquisition of daily living skills and
provision of a functional vocational evaluation: If appropriate to
the needs of the student, the IEP must indicate the services or activities
that will assist the student in activities of daily living skills (e.g., dressing,
hygiene, self-care skills, self-medication). The IEP must also indicate if
the student will need a functional vocational assessment as a transition
service or activity. A functional vocational assessment is an assessment
to determine a student’s strengths, abilities and needs in an actual or
simulated work setting or in real work sample experiences.
The statements of necessary transition services, developed in consideration
of the student’s needs, preferences and interests, must specify the particular
activity or service and the “school district/agency responsible” for that activity.
Although involvement from the student and family is important, the “school
district/agency responsible” field must indicate a specific role or title of the
responsible staff member or the outside agency that is involved in providing
and/or funding transition services to a student. Any agency mentioned
should be invited to participate in the meeting with the parent’s consent. The
beginning date for the service must be provided if the date of initiation is
different than the date of initiation for the IEP.
76 It may be appropriate to consider the coordinated set of transition activities before age 14 if the student identifies a very clear postsecondary goal. An example could be if a student has, from the age of 12,
consistently articulated an interest in becoming a doctor and her high school choice and academic programming reflect and support that goal. In addition, if the student will need more time to acquire transition
skills, the IEP team should consider including transition activities on the IEP before age 14. A parent may also request that the IEP include transition activities before age 14.
77 “Travel training” means providing instruction to enable students to develop an awareness of the environment in which they live, and to learn the skills to move effectively and safely from place to place within
that environment (e.g., in school, in the home, at work, and in the community). For information on recommending travel training, see page 15 of the SESIS training guide.
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Participation in State and District-Wide
Assessments
All students with disabilities must be included in State or district-wide
assessment programs. Alternate assessments are used to evaluate
the performance of students with severe cognitive disabilities who are
unable to participate in general education assessments, even with testing
accommodations. If the IEP team determines that the student will participate
in an alternate assessment on a particular State or district-wide assessment
of student achievement, the IEP must document why the student cannot
participate in the regular assessment and why the particular alternate
assessment selected is appropriate for the student. The recommended
program (e.g., special class) or placement (e.g., specialized school) for a
student should not be a consideration in determining whether the student
should participate in state and district-wide assessment.
To be eligible to participate in an alternate assessment program, a student
must:
• have a severe cognitive disability with significant deficits in
communication/language and adaptive behavior;
• require a highly specialized educational program that facilitates the
acquisition, application, and transfer of skills across natural environments
(i.e., home, school, community, and/or workplace); and
• require educational support systems including assistive technology,
personal care services, health/medical services, or behavioral intervention.
Students in grades 3–12 meeting these criteria may be eligible to participate
in the New York State Alternate Assessment (NYSAA). Students in grades
K–12 meeting these criteria may be eligible to participate in a district
alternate assessment, such as the Student Annual Needs Determination
Inventory/Formative Assessment of Standards Tasks (SANDI/FAST). This
must be indicated on the student’s IEP.
As a guideline, in NYC, only approximately 6% of students with disabilities are
eligible to participate in NYSAA. This percentage represents the aggregate of
all students with disabilities in NYC, including those in District 75 where the
majority of students eligible to participate in NYSAA are served.
For more information regarding alternate assessment, see the New York
State Education Department (NYSED) NYSAA guidance and the New York
City Department of Education Alternate Assessment (including NYSAA)
Frequently Asked Questions.
Participation with Students without
Disabilities
Removal from General Education Classes and/or
Extracurricular Activities
The IEP must detail the extent (if any) to which a student will not participate
in regular class and/or extracurricular and other nonacademic activities with
non-disabled peers. The IEP must include a justification for any removal
(including related service recommendations that require the student to be
pulled out of the classroom), explaining in particular detail a recommendation
for placement in a site that precludes interaction with non-disabled peers
(e.g., District 75 school not co-located with a District 1-32 school, NYSED-
approved non-public school).
Recommendations for Adapted Physical Education
If a student will not participate in a regular physical education program, the
IEP must indicate the extent to which the student will participate in specially-
designed instruction in physical education, including adapted physical
education. APE should be provided at the same time as other students
receive PE when at all possible. A student should never be pulled out of an
academic subject to go to APE.
Exemption from the Language Other than English (LOTE)
Requirement
The IEP must indicate if a student identified as having a disability that
adversely affects the ability to learn a language will be exempt from the
“language other than English” (LOTE) requirement of the local, Regents,
or Advanced Regents diplomas. School/CSE staff, parents, and students
should carefully consider the implications of a LOTE exemption on the student
achieving his/her postsecondary goals and planning his/her course of study.
For students seeking to go on to college, courses in LOTE are often required
for admission. If a student who had an IEP is declassified while in grades
9 through 12, and the student’s last IEP prior to declassification indicated
exemption from the LOTE requirement, the exemption continues upon
declassification. For further information, see the NYCDOE Frequently Asked
Questions (FAQ): Languages Other Than English (LOTE) Requirements.
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Placement Recommendation
The IEP must indicate the Placement recommended for the student.
Placement refers to the type of school or setting where the student’s IEP
will be implemented; it does not refer to the specific school the student will
attend. The range of Placement recommendations to be selected from the
drop-down menu in SESIS are:
• NYC DOE School Non-Specialized (District 1-32)
• NYC DOE Specialized School
• NYSED-Approved Non Public School – Day
• NYSED-Approved Non Public School – Residential
• NYSED-Approved Non Public School – Placed by ACS
• NYS Supported Non Public School – 4201 – Day
• NYS Supported Non Public School – 4201 – Residential
• Board of Cooperative Educational Services
• Charter School
• Home/Hospital Instruction
For information regarding referral, evaluation, the IEP meeting, and
placement of students in home or hospital settings, contact the DOE’s
Office of Home Instruction Schools.
District 75 / NYSED-Approved NPS Consideration Process
Preparing for the IEP meeting when Specialized School or
“NYSED-Approved Non Public School” (Day or Residential)
recommendation is being considered
Whenever the IEP team anticipates considering a new placement
recommendation of a District 75 or NYSED-approved non-public school
(NPS), the IEP team must complete the Least Restrictive Environment
(LRE) checklist to demonstrate that the school has implemented
interventions appropriate to address the student’s needs. Interventions may
include conducting an FBA and creating and implementing a BIP. The LRE
checklist must be submitted by the IEP team to the applicable supervisor of
school psychologists, who will review the student’s case and the completed
LRE checklist with the school psychologist prior to the IEP meeting in order
to: help identify potential resources available in the school or elsewhere
in the DOE to support the student; clarify roles and responsibilities in
the IEP decision-making process; and ensure that a recommendation
for a specialized school may be appropriate. If necessary, Central Based
Support Team (CBST) case managers will be called upon to assist in the
consultative process for possible NPS recommendations, with the goal of
determining whether there is an NPS with a program appropriate for the
student’s needs.
78
As always, the consideration and recommendation of an appropriate
program must take place at the IEP meeting within the timelines and
may not occur in any other context. As needed, supervisors of school
psychologists will serve as the district representative for meetings when
a specialized school will be considered. At the conclusion of this IEP
meeting, if the IEP team recommends an NPS, CBST must commence the
placement process.
NYSED-Approved Non Public Schools
The New York State Education Department (NYSED) grants approval to
day and residential programs as potential appropriate settings for a student
with a disability. These settings are highly restrictive, generally providing no
opportunities for a student’s participation with his/her non-disabled peers,
and as such are rarely the least restrictive environment appropriate for a
student with a disability.
When determining the appropriate setting for a student to receive special
education services, the opportunity for the student to be educated with
non-disabled peers must be considered. Accordingly, prior to considering
a recommendation for a NYSED-approved non-public school, the IEP
team must consider all public school settings. This does not mean that the
student must be placed in every possible public school setting before an
NPS can be recommended.
When considering a recommendation of an NYSED-approved non-public
school, the IEP team must have the following documents, which must be
gathered/obtained in advance of the IEP meeting to avoid delay:
• A psychological assessment completed within three years or, if the
school psychologist determines that this is unnecessary, a written report
by the psychologists indicating the reasons the assessment is not
needed.
79
• An assessment of the specific educational needs of the student
completed within the last six months. This assessment does not
78 If there is no DOE program appropriate for the student, and there is one or more NPS with a program appropriate for the student, NPS must be recommended, irrespective of the availability of seats in the
appropriate NPS program(s).
79 If the IEP team believes that the student would benefit from a community-based mental health service, the school/CSE should assist the parent in making direct referrals to the programs. Specific information
about programs and locations can be obtained by calling NYC Well at (888-692-9355).
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necessarily require formalized testing.
• An observation of the student in the current educational setting
conducted within the last six months.
• Psychiatric assessment completed within the last six months for students
with a classification of Emotional Disturbance unless there is written
documentation indicating why it is not needed or not yet available.
The IEP team should refer to the SESIS training guides regarding the Defer
to Central Based Support Team (CBST) Process for School-based
and CSE IEP teams.
Considering a Residential Recommendation
Before considering whether a residential recommendation may
be appropriate, the IEP team must first review the student’s prior
recommendation(s), services provided, and progress to ensure that all
appropriate, less restrictive recommendations have been considered. The
DOE must also ensure that community-based supports have been offered to
the family; the school social worker should be involved for this purpose.
If no less restrictive recommendations are appropriate, and community-
based supports have been offered to the family, the DOE may consider
a recommendation for a residential program based on a review of school,
home, and community factors, including those set out below. The existence
of home and community factors alone would not warrant a residential school
placement. However, the existence of home and/or community factors in
combination with school factors may indicate that the student is at risk of a
residential school placement. These factors include, but are not limited to:
School factors:
• Chronic lack of or inconsistent progress in meeting IEP goals;
• Chronic inability to make meaningful progress;
• Frequent and escalating problems with behaviors that are dangerous to
self or others, even with use of supplementary supports and services;
• Self-abusive, violent, or aggressive behaviors;
• Frequent, unexplained absences, pervasive lack of motivation, substance
or alcohol abuse, depression, withdrawal, suicidal ideation or suicidal
attempts, phobias; and/or
• Multiple referrals to the IEP team for increasingly intensive supports and
services.
Home Factors:
• Chronic state of crisis that impacts stability of family;
• Abuse or neglect in the home;
• Amount of time primary caregiver caring for student, negatively impacting
other members of the family;
• Student with limited capacity for self-care; family functioning cannot
support the child with self-care, leaving student unprotected; and/or
• Student showing dangerous behaviors at home and the safety of family
members and/or the student is at risk.
Community Factors:
• Student’s inability to function in social situations or participate in
recreational programs (e.g., interacts inappropriately with peers,
neighbors; makes unsafe use of leisure time; cannot establish or maintain
friendships);
• Court involvement (e.g., person in need of supervision (PINS) or juvenile
delinquency);
• Violence directed by the student toward someone or a group in the
community;
• Involvement in gang or involvement in gang-like activities; and/or
• Use of community resources has been attempted; resources are either
insufficient or unavailable.
Participation of Outside Agencies in IEP Meeting
Outside agencies are meaningful participants during initial discussions with
families and may be able to provide supports to families that would promote
the student’s ability to succeed in a day school. If an IEP team believes that
it may be appropriate to consider a residential placement, then the team is
required to invite an outside agency to participate in the IEP meeting, after
securing parental consent. To facilitate this participation, the IEP team must
review the list of community support services and identify the appropriate
agency (or agencies) that can provide the family with guidance as the
residential program is considered.
The team must then send a letter to the parent to obtain consent to invite the
identified agency.
• If parent does not respond, the IEP team must make outreach to the
parent to discuss the purpose of inviting the agency to the IEP meeting
and discuss any parental concerns.
• Appropriate outreach consists of:
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• At least two attempts at telephone contact at different times of the
school day/evening, if the parent has a telephone, and
• A follow-up letter sent to the parent by mail, and sent home with the
student if the parent does not have a telephone or if voicemail could
not be left.
• Attempts must be documented in the SESIS Events Log, by including
the phone number called and addresses used and describing any
conversations. If no parental contact is made despite appropriate
outreach documented in the SESIS Events Log, the IEP team may
proceed with the meeting without inviting the agency.
• If the parent refuses consent to invite the agency by checking
the “I do not consent” box on the consent form, the consent
form should be faxed into SESIS as a Document Related to IEP. The
IEP team may proceed with the IEP meeting without the agency’s
participation.
• If the parent consents to agency participation, the IEP team must
fax the consent form into SESIS as a “Document Related to IEP”, and
invite the agency to the IEP meeting.
• If the agency is invited, but unable to attend, the IEP team must
document that in the SESIS Events Log, and then may proceed with
the meeting.
All documentation pertaining to parental consent and invitation of the
agency must be uploaded into SESIS.
Completing the IEP and CBST Deferral
The IEP team will select a placement recommendation of “NYSED-
Approved Non Public School – Day” or “NYSED-Approved Non Public
School – Residential”, as appropriate. The team must then create the
Defer to Central Package in SESIS. The IEP team should complete the
Assurance Checklist and IEP team Efforts to Place Student in LRE
sections of the Defer to Central Package in SESIS.
The IEP team Efforts to Place Student in LRE section of the Defer to
Central Package documents:
• The most restrictive public special education placement previously tried
and/or considered;
• The specific supplementary aides and supports or services tried and
considered as additions to (or components of) the most restrictive
public special education program;
• Evidence of a lack of progress in less restrictive public special
education settings (or the reasons that such evidence is not relevant);
• For a residential placement, the IEP team must document the reason
that residential services are necessary to meet one or more educational
needs specified on the IEP; and
• For a residential placement, the timetable for a return to a less restrictive
program, the reason that a timetable is not appropriate, or the date
that the student’s rate of progress will be assessed and placement
reviewed.
The IEP team should then contact the applicable supervisor of school
psychologists or CSE chairperson to request that s/he certify in SESIS that
the required documentation is complete. If the required documentation is
not complete, the supervisor/chairperson must work with the IEP team to
ensure that the required documentation is complete and available for CBST
within the mandated timeline. If the required documentation is complete, the
chairperson or supervisor must certify in SESIS within 5 business days of
receipt of the packet.
Note: For students in foster care, ACS must be notified that the student
may require a residential placement. CBST does not arrange for the
residential placement for students in foster care. In such cases, the IEP
team should seek the participation of ACS as described above.
“NYSED-Approved Non-Public School – Placed by ACS”
When ACS informs the IEP team that it has placed a student under its
care in a residential setting, the IEP team will change the IEP to reflect a
Placement Recommendation of “NYSED Approved Non Public School –
Placed by ACS”.
Recommendations for a Student in a Charter School
A student attending a charter school is subject to the same criteria for
eligibility for special education (and evaluation and placement timelines)
as any other New York City-resident student being evaluated by the DOE.
If it is determined that the student is eligible for special education, the IEP
team must determine the type and intensity of services needed and the type
of setting in which they will be provided. As for students attending DOE
schools, the IEP team may not make a recommendation based on
the availability or unavailability of a special education program or
related service at the charter school (or any other school). While
the development of an IEP should be a consensus-driven process that
considers and values the input of the student’s charter school teacher(s),
the IEP team has ultimate responsibility to ensure that the IEP recommends
the services that the student needs in order to receive a free appropriate
education, irrespective of their availability.
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Recommending Deferred Placement
When in the Best Interest of the Student
The IEP team must decide whether the recommended special education
program is to commence immediately. Despite the determination that a
special education program is appropriate for a student, it may not always
be in the student’s best interest to implement the recommendation
immediately. The decision to postpone (“defer”) placement is made at the
IEP meeting by the IEP team, and the options should be explained to the
parent as an IEP team member. This decision must take into consideration
the social/emotional, academic, and management needs of the individual
student.
If the school/CSE staff and the parent agree that it would be in the best
interest of the student, his/her transition to a different special education
program may be recommended to take place at a later date. Typically,
this would the beginning of the following semester or school year, after
a vacation period, or timed to coincide with an anticipated change of
residence. The decision to defer placement must not be based
on unavailability of the recommended program, or on an IEP team
member’s disagreement with or uncertainty as to the appropriateness of
the program recommendation. The only consideration is whether deferred
placement would be in the best interest of the student.
For example:
• At an IEP meeting in December, a high school student receiving special
class services for Math is recommended for a general education Math
class with SETSS. It is determined that it is in the student’s interest to
complete the term in his/her current Math class and commence the
new program at the beginning of the next term, in order to ensure the
opportunity to earn course credit for the current term.
• A student is recommended for a special class in a specialized school,
which would require the student to change schools late in the school
year. It may be in the best interest of the student to defer the school
transfer until July of the new school year.
If the IEP team decides to defer placement, the IEP is completed in SESIS
by recording the date to which placement is postponed in the section
entitled “Projected Date of Initiation of IEP”. The IEP team must record its
rationale in the Summary of Recommendations section of the IEP under
Other Options Considered to explain why the service would not begin
immediately and why a postponement of the placement is recommended.
Written parental consent is required to defer placement.
The DOE must offer the recommended placement at least 20 school
days prior to the initiation date, or by August 15 for cases deferred until
September.
Instructional/Functional Levels
The IEP team must discuss the current instructional/functional levels of the
student and document that in the appropriate section of the IEP.
Summary of Recommendations
The majority of the Summary of Recommendations section is based on
information previously discussed and determined at the IEP meeting. The
IEP team must also note in this section whether the student has a medical
condition and/or physical limitation that affects his/her learning, behavior, and/
or participation in school activities, along with whether the student requires
medical and/or health treatment or procedures during the school day.
Promotion Criteria
If the student is attending a DOE school in grades 3–8, the IEP team must
consider the promotion criteria to which the student will be held, as per
Chancellor’s Regulation A-501. Refer to the Promotion Implementation
Guide, as well as to Promotion for Students with Disabilities for more
information.
For students attending DOE schools in grades K-2 and 9-12, no promotion
criteria designation need be completed on the IEP. In these grades, all
students are held to the promotion criteria as articulated in Chancellor’s
Regulation A-501.
Other Options Considered
During the IEP meeting, the IEP team should discuss other options that
are considered but were not offered. Those other options should be listed
in the Other Options Considered section. The team must then list the
Reason(s) for Rejection. This should be an explanation of why those
other options were not offered to the student. The IEP team should explain
in this section why those options were not chosen, and should use more
than mere conclusory statements such as “too restrictive” or “not ready for.”
The IEP team should concisely explain the reasons that those options were
not selected.
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Extended School Year (12-Month)
Services and/or Program
A student must be recommended for Extended School Year (ESY)
services
80
if necessary to prevent substantial regression over the summer.
As per NYSED guidance: “A student is eligible for a 12-month service
or program when the period of review or reteaching required to recoup
the skill or knowledge level attained by the end of the prior school year is
beyond the time ordinarily reserved for that purpose at the beginning of
the school year. The typical period of review or reteaching ranges between
20 and 40 school days. As a guideline for determining eligibility for an
extended school year program, a review period of eight weeks or more
would indicate that substantial regression has occurred.”
A student must be considered for ESY if he/she:
• has severe multiple disabilities and requires primarily habilitation and
treatment;
• requires a residential program;
• is receiving or recommended for home/hospital instruction;
• has highly intensive management needs that require a high degree
of individualized attention and intervention, including placement (or
consideration of placement) in a special class; or
• because of his/her disability, exhibits the need for 12-month special
education programs and/or related services in order to prevent
substantial regression.
In developing ESY special education program and related service
recommendations, IEP teams should consider that the intensity of service
provided during the 10-month school year might not be necessary to
achieve the ESY goal of preventing substantial regression. ESY programs
or services may be provided in a setting that differs from the one the
student attends during the school year, provided that the IEP team
determines that the setting is appropriate for the student to benefit from
the special education services and to meet his/her IEP goals. A student
who is at risk of substantial regression only in a particular area, may be
recommended for services that will address only that area.
For example: a student has an ICT program recommendation and two
40-minute sessions of occupational therapy per week for the 10-month
school year, and the IEP team has determined that ESY is necessary only to
prevent substantial regression over the summer in progress toward annual
goals relating to reading. The IEP team must consider the ESY program and
services necessary to prevent substantial regression, and could determine
that the student requires three hours per week of SETSS for ELA, without
related services. As with recommendations for the 10-month school year,
ESY recommendations must be made based on the student’s needs, not
the availability of a program or service.
The IEP must indicate the frequency, duration and placement
recommendation of the recommended ESY program/service, if it differs
from the 10-month recommendation.
When addition of ESY will be considered at a student’s annual review, the
IEP meeting should be held no later than April 15, to allow sufficient
time for summer planning for families and to facilitate timely planning for
ESY placement and transportation.
Students who are recommended for a 10-month program to be initiated in
September may remain in their current program for ESY.
Students whose program location will change for ESY must be notified of
the new site location by June 15th.
For detailed information on ESY services for the upcoming summer, please
check here beginning in May.
Determining Language of Instruction and
Services for Multilingual Learners (MLLs)
81
For a student currently identified as an Multilingual Learner (MLL), the
IEP team determines and recommends the appropriate language of any
recommended special education program (ICT, special class or SETSS),
speech-language therapy, and counseling. To do so, the IEP team must
consider the student’s levels of proficiency (both expressive and receptive) in
his/her native language(s) and English, the assessments and Social History,
and the concerns and preferences of the parent.
The IEP team must consider the following factors:
• The family’s home language and the student’s use of his/her native
language(s) and English;
• Educational history, including whether the student is currently receiving
80 Special education programs and services provided in July and August; also known as “12-month” services.
81 In very limited circumstances — such as when a student who passed LAB-R/NYSITELL or NYSESLAT years earlier has recently returned to New York after an extended period living in an area where English
was not regularly spoken — the IEP team must consider the appropriate language of instruction (and/or speech-language therapy and/or counseling, if applicable) for a student who is not an MLL as per the
LAB-R/NYSITELL or NYSESLAT, if a language other than English is affecting the student’s ability to benefit from monolingual instruction.
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bilingual or ENL services, the number of years the student has received
bilingual or ENL services, as well as a review of the cumulative record
and current report cards;
• Scores on the LAB-R/NYSITELL and NYSESLAT;
• Teacher observations of the student’s work over an extended period of
time;
• Samples of oral and/or written work in both the native language(s) and
English;
• Informal student assessment including language sample interviews in
both the native language(s) and English; and/or
• Results of a culturally-responsive Response to Intervention plan, if
applicable.
Based on this review and analysis, the IEP team will reach one of two
determinations:
• Bilingual instructional services are not required, but English as a New
Language (ENL) is required to enable the student to continue to develop
further English language proficiency and to progress appropriately in an
English language instructional program (“ENL only ”); or
• Bilingual instructional services are required.
82
In either case, the IEP team must include a bilingual professional. See IEP
team Composition section for more information.
If the IEP team will be recommending speech-language therapy or
counseling, it must also determine the appropriate language of delivery for the
service. The IEP team should undertake the review, as described above, in
relation to the student’s need for each service.
83
Recommended language of instruction and services must be
determined based on the student’s needs, not the availability
of a bilingual program or service (whether in general or in a
particular district or school). For placement procedures when a student’s
recommended bilingual special class or ICT is not available, see Alternate
Placement for Students Recommended for Bilingual ICT or Bilingual Special
Classes. For additional considerations when a provider is not available
for a student’s recommended bilingual speech-language therapy, see
Recommending Interim Monolingual Speech-Language Therapy.
Recommending Interim Monolingual Speech-Language
Therapy for a Student Recommended for Bilingual Speech-
Language Therapy
All steps must be taken to assign a bilingual provider to a student
recommended for bilingual speech-language therapy. A student’s speech-
language therapy recommendation may not be changed from
bilingual to monolingual based on the unavailability of a bilingual
provider.
When, despite diligent efforts, a bilingual provider has not been assigned
by the 15th school day of the school year (or 15 school days after the
date service is to be initiated, if the projected date of initiation is after the
beginning of the school year), the IEP team must consider whether to
recommend that the student receive monolingual speech-language therapy
on an interim basis. In addition to the factors considered to determine
language of service, determining whether a student would be able to benefit
from interim monolingual speech-language therapy should also include
consideration of the student’s cultural and experiential background and
ability to adapt to different learning situations.
Students who may be appropriately recommended for Interim Monolingual
speech-language therapy include:
• Students who do not speak or understand any conventional language
and/or those who function at a non-symbolic level (using gestures and
facial expressions);
• Students who demonstrate emerging receptive and/or expressive
communication skills and knowledge in English while still being
dominant in their preferred language.
A student who has some fluency in a language other than English and who
does not exhibit basic communication skills in English, either receptively
or expressively, may not be appropriate for interim monolingual speech-
language therapy.
As long as a bilingual provider has not been assigned, a student
found not appropriate for interim monolingual speech-language
therapy should be reconsidered for interim monolingual speech-
language therapy throughout the school year (such as at annual/
requested reviews and reevaluations), as skills enabling the
student to benefit from the service may develop over time.
82 If the IEP team is recommending bilingual ICT or bilingual Special Class, the school/CSE must email BSE[email protected] (including the student’s name and NYCID) so that the recommended
placement can be offered if available.
83 This will often result in a recommendation of the same language for instruction, speech-language therapy and counseling. However, a student’s language needs will not necessarily be the same in each setting,
and the recommendations may differ as appropriate.
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To record a recommendation for interim monolingual speech-language on
the student’s IEP, in the Related Services section, select “Other” and enter
“Interim Monolingual Speech-Language Therapy pending Bilingual
availability” and include frequency, duration and group size (which may
vary from the bilingual recommendation, to the extent that the student’s
ability to make progress in monolingual speech-language therapy so
requires). The IEP team must develop appropriate goals for the service.
A waiver to amend the IEP without a meeting should be sought when
the possibility of Interim Monolingual speech-language therapy has
been discussed with the parent. The waiver request must include the
recommendation and its associated goals.
An interim monolingual speech-language therapy provider is assigned
through the cascade of services, subject to certain additional requirements.
The provision of interim monolingual speech-language therapy to a student
does not mean that the student’s bilingual recommendation has been
served. The DOE must continue to seek a bilingual provider (DOE,
contracted agency or independent) for a student receiving Interim
Monolingual speech-language therapy, and the RSA(s) associated
with the bilingual recommendation must not be invalidated.
A recommendation for interim monolingual speech-language therapy may
be modified as appropriate, like any other related service recommendation.
Should a student progress to the point that a recommendation may
be made for full-time monolingual speech-language therapy, or that
speech-language therapy service may be reduced in time/intensity or
discontinued entirely, the interim monolingual recommendation and
bilingual recommendation should be modified or removed, or replaced with
a monolingual recommendation, as appropriate. Only when no unserved
bilingual recommendation remains should a bilingual provider no longer be
sought and the RSA(s) associated with the bilingual recommendation be
invalidated.
Requirements for Providers of Interim Monolingual Speech-
Language Therapy
As a prerequisite to the provision of Interim Monolingual speech-language
therapy, a monolingual provider must have the basic 10 hours of training
in ENL methodology and an additional 10 hours of specialized training
on speech and communication issues specific to MLL students with
disabilities. Topics to be covered in such training should include, but are not
limited to the following:
• Review of bilingual/bicultural issues, professional literature, methods
and materials, working with parents, collaborating with other
professionals, etc.; and
• Familiarity with guidelines to assist in identifying strategies for
enabling the student to achieve his/her IEP goals.
An additional 5 hours of professional development is required upon
the provider’s assignment to serve a student recommended for interim
monolingual speech-language therapy.
Ongoing technical assistance from and/or consultation with Speech
Supervisors and Managers, bilingual speech teachers, ENL teachers, etc.,
will be made available on an as-needed basis. The Speech Supervisor
and the principal will ensure that sufficient time is made available for
these professionals to meet (e.g., during common preparation periods, in
classroom collaboration).
Recommending In-School Skilled
Nursing Services
The following protocol applies whenever a student is being considered
for in-school skilled nursing services. The Central Nursing Office of the
Office of School Health (OSH) plays an important role in ensuring the
provision of appropriate nursing services. OSH must be consulted as part
of the discussion of whether in-school skilled nursing services should be
recommended on a student’s IEP, and OSH may need to participate in the
student’s IEP meeting. As with all decision making regarding a student’s
IEP, decision making regarding in-school nursing services occurs only at
the IEP meeting.
Overview of School Nursing Services
Some students have medical needs that require support during the school
day from a skilled nurse. Skilled nursing services can be provided either as
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a non-1:1 service, whereby the school nurse is responsible for the provision
of nursing services, or as a 1:1 service, where the student’s needs are
sufficiently acute to require continuous support from a nurse. A 1:1 nurse
stays with the student throughout the school day and does not service any
other students. The 1:1 nurse keeps the student in close proximity in the
same room throughout the school day.
The extent and complexity of the student’s needs will impact the decision
on the type of skilled nursing services that are appropriate for the student’s
needs. In addition, the size of the building, student population and overall
student nursing needs will impact the decision on the type of skilled
nursing services that the student needs. Where a student’s nursing needs
are not full time and can be addressed at set times of the school day or
as needed by the school nurse, the student can be recommended for
non-1:1 skilled nursing services. Where a student is recommended for
non-1:1 skilled nursing services, the school nurse will provide nursing
support to the student as needed to administer medication, treatments or
other procedures. A health paraprofessional can also be considered and
recommended for a student who does not require 1:1 skilled nursing to
help address the student’s needs and support the nursing recommendation.
A student requires 1:1 skilled nursing services when his/her needs
cannot be safely met with non-1:1 skilled nursing services, a 1:1 health
paraprofessional, and/or other supports. For example, a ventilator-
dependent student or a student who requires frequent treatments or
medication administration would need a 1:1 nurse. If a student is assigned
a 1:1 nurse, the nurse is expected to address the student’s health needs.
A health paraprofessional is generally not needed when a 1:1 nurse has
been assigned to a student. A paraprofessional may still be appropriate
for behavior support, toileting, or orientation and mobility. See Special
Considerations: IEP-Assigned Paraprofessionals for more information on
considerations regarding recommending paraprofessional services.
For students with diabetes, asthma, or seizures, or students who need
oral medication administration, tube-feeding, catheterization, ostomy care,
administration of epinephrine, administration of Diastat, suctioning, provision
of oxygen, chest clapping, postural drainage, or dressing change, among
other medical conditions and needs, it is necessary to determine, based
on the student’s needs and the overall medical needs of students in the
building, whether a non-1:1 skilled nurse can safely provide the necessary
medical care (with or without the support of a health paraprofessional) or
whether a 1:1 skilled nurse should be recommended. Examples of support
a 1:1 health paraprofessional
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may provide include monitoring signs/
symptoms of seizures, anaphylaxis, asthma, and diabetes. However, if the
student’s needs in these areas could not be safely met by a 1:1 health
paraprofessional, skilled nursing may be required. For example, a student
who requires administration of seizure medication within 3 minutes of the
onset of a seizure must have constant access to a nurse who can reach the
student in less than 3 minutes.
A skilled nurse should not be recommended to address services related to
activities of daily living, such as oral feeding, toileting or gait/safety issues.
These needs can be addressed by a paraprofessional or other provider.
See Special Considerations: IEP-Assigned Paraprofessionals for more
information on considerations regarding recommending paraprofessional
services.
The determination about nursing services is a collaborative effort between
the IEP team, OSH, the student’s medical provider(s), and the parents.
Students Entering Kindergarten
Some students entering kindergarten may have been recommended for
1:1 skilled nursing services in preschool because they attend or attended
preschool programs that did not have full-time school nurses on site. All
DOE elementary schools have daily full-time school nurses. Therefore, for a
student entering kindergarten whose preschool IEP has 1:1 skilled nursing
services, the IEP team must determine whether the student’s needs can
be safely managed through non-1:1 skilled nursing services provided by
the school nurse. The IEP team should consider the availability of other
supports in the school, and whether a 1:1 health paraprofessional may
be able to support the student’s medical needs during the school day.
See Health Paraprofessional for more information on these services. A
1:1 skilled nurse may be appropriate if the IEP team determines that the
student’s needs cannot be safely managed considering the location of the
student’s classroom, location and availability of the school nurse, 1:1 health
paraprofessional, and other supports available in the student’s school.
For students who are turning 5 and may need nursing services in
kindergarten, IEP meetings should be completed as soon as possible,
so that the appropriate level of skilled nursing services can be identified
and arrangements made in time for the start of the school year. However,
if an IEP meeting could be held but for the unavailability of individuals or
documents needed for consideration of nursing, an IEP meeting should
be held to discuss all other issues, to enable the parent and the DOE to
84 A 1:1 health paraprofessional may require instruction or training in performing these tasks safely. When appropriate, such training may be provided by the school nurse or the Borough Nursing Director.
Training needs should be specified in the Supports for School Personnel section of the IEP.
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begin planning for the student’s placement in the fall. At the IEP meeting,
the IEP team should inform the parent of any additional documents that
are necessary for the IEP team to consider whether the student needs
nursing services. (See Collect Documentation below.) The IEP should
not be finalized at the conclusion of this meeting. When all needed
documentation and individuals are available, a second IEP meeting should
be held to consider nursing and any new or outstanding issues, make
recommendations and finalize the IEP.
When Nursing is Being Requested for the First Time for a
School-Age Student
For students entering kindergarten or for other students whose IEPs have
not previously recommended nursing services, the following steps must be
taken to ensure that the request for nursing can be reviewed and assessed
in a timely manner.
1. Collect Documentation
As soon as the school/CSE or parent identify a possible need for nursing
services, the IEP team must provide the parent with the “Guidelines for
the Provision of Health Services and/or Section 504 Accommodations
for Students in New York City Public Schools.” The following forms are
available on the DOE website and must be completed by the parent and
the student’s healthcare provider:
• HIPAA Form – This form authorizes members of the IEP team and
an OSH physician or nurse to speak to the student’s physician or
medical providers if review or clarification of the student’s medical
documentation is needed.
• Supporting Documentation – The school/CSE should inform the
parent that additional documentation from the physician or health
care provider can be submitted, and may be needed, as appropriate,
to provide additional background information regarding the student.
This documentation may include current medical examinations, current
medical summaries, current treatment recommendations, etc. OSH and
the school/CSE must consider all documentation submitted by the
parent.
85
• Forms for Prescribed Medication and Treatment – These forms are
required for the current school year. All forms must be completed by
a physician/healthcare provider in the tri-state area (NY, NJ or CT).
The parent must sign these forms after they are completed by the
medical provider. These forms are helpful to the IEP team; however,
as long as sufficient information is available to the IEP team,
an incomplete MAF or Treatment Form will not delay the
recommendation of nursing services:
• Medication Administration Forms (“MAF”) – An MAF is required to
provide precise information on the administration of medication to
the student.
• Request for Provision of Medically Prescribed Treatment (Non-
Medication) (“Treatment Form”) – This form must be completed if
the nurse must perform procedures (e.g., suctioning, catheterization,
oxygen administration, tube feedings) for the student during the
school day.
2. Create a Nursing Referral in SESIS
When a possible need for nursing services for the student is identified
by the parent or the school/CSE, the school/CSE must create a nursing
referral in SESIS for Recommend Nursing Services, as described here,
as soon as the school/CSE receives the supporting documentation. In the
referral, the school/CSE must specify whether the referral is for 1:1 Skilled
Nursing or Non-1:1 Skilled Nursing. If there is no specific request, the
referral should specify Non-1:1 Skilled Nursing.
Upon completing the Nursing Referral, the school/CSE must fax the
supporting documents into SESIS using the Nursing Referral Fax
Coversheet.
After all supporting documentation is faxed into SESIS, the school/CSE
must change the status of the nursing referral into “review.” The referral will
not be reviewed if the referral is in “draft” status. It is recommended that
the school/CSE also notify OSH Central Nursing via Outlook email.
3. OSH/Central Nursing Review
The OSH/Central Nursing designee will review the documentation that is
attached to the nursing referral in SESIS within 5 school days of receipt
by OSH of the nursing referral. The OSH/Central Nursing designee
may consult with the student’s health care provider and/or the parent
to obtain further information and clarification of the request for nursing
services, including more details on the student’s management needs. Such
communications should be memorialized in writing if they result in a change
in recommendation. Where relevant, OSH should also take into account
the physical size and layout of the student’s school, the number of students,
and the overall level of need of the student population. For students with
seizures, OSH will look at the student’s history and the school population to
85 Supporting documents do not obviate the need for completely filled out Medication and Treatment forms, which are necessary for commencement of services.
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ensure timely provision of care. As long as sufficient information is available
for OSH to review the request for nursing services, an incomplete MAF
or Treatment Form will not delay OSH’s review of the request for nursing
services. However, it is necessary for a complete MAF or Treatment Form
in order for services to be implemented. If the MAF or Treatment Form is
not complete or OSH requires additional information in order to review the
request for nursing or for nursing to be implemented, OSH (in conjunction
with the school/CSE, to the extent helpful under the circumstances) will
reach out to the parent and/or medical provider to obtain additional/clarified
orders from the medical provider within 5 school days of receipt by OSH
of the incomplete forms. If OSH/Central Nursing returns the referral to the
IEP team because more information is needed, OSH must also change the
status of the referral back to “Draft.” Once the IEP team has responded to
the request for information, the team must set the status of the referral to
“Review,” and OSH/Central Nursing will review the referral within 5 school
days of the change of status.
The OSH/Central Nursing designee will make a recommendation as to
what type and level of nursing service is appropriate for the student. Parent/
provider modifications to nursing requests must be documented. If the
OSH/Central Nursing recommendation is consistent with the parent’s
request, OSH will not need to participate in the IEP meeting.
The school/CSE must check the SESIS “Status of Nursing Referral”
report regularly to see if OSH has made a recommendation about the
provision of nursing services for the student. If no response from OSH
is received within 5 school days of OSH receiving the nursing referral,
the case manager should reach out to OSH to request an update on the
status. In some cases, OSH may request additional information from the
school/CSE. OSH should email the school/CSE contact person listed on
the Nursing Referral if any additional information is necessary and provide
updates on the status of the review of the nursing request.
Whenever additional documentation/communication is needed,
all efforts must be made to ensure that the IEP can be completed
and services arranged within the required timeline and to avoid
any missed school days. The case manager must escalate to the
supervisor/chairperson any cases that are not progressing in a
timely fashion.
4. IEP team Meeting and IEP Development
At the IEP team meeting following the receipt of the OSH recommendation,
the student’s need for skilled nursing services must be discussed. In
scheduling the IEP team meeting, if it appears that OSH disagrees with
the request from the parent/student’s health care provider, then a medical
representative from OSH must participate (in person or by telephone) in the
part of the IEP meeting when skilled nursing services are discussed. Every
effort must be made to give OSH 10 business days notice to participate in
an IEP meeting; OSH should also be provided all medical documentation
related to the case. If a representative from OSH does not participate in
the meeting, the IEP team may consider and make final recommendations
regarding nursing services based upon the discussion and documentation
at the IEP meeting. A recommendation for nursing services should
not be delayed based upon the failure of an OSH representative
to participate in the IEP meeting or the unavailability of the OSH
representative on the day scheduled for the IEP meeting.
If the parent or a DOE member of the IEP team disagrees with the OSH
representative as to the existence or extent of a student’s need for skilled
nursing services, the discussion should continue with the goal of reaching
consensus. If consensus cannot be reached at the meeting, see Resolving
Conflicts at the IEP Meeting.
If a student requires skilled nursing services, the IEP team should include
the approved nursing service on the IEP by following the steps described
here. In the Recommended Programs and Services section of the IEP,
select “School Nurse Services” from the Related Services drop-down in
the Recommended Programs and Services section of the IEP.
Periodic Review at IEP Team Meeting
Where a student is recommended for skilled nursing services, the extent
of the need should be reviewed at each annual review or any IEP team
meeting where there can be a discussion/decision on continuing an existing
nursing recommendation. Where a student has been receiving non-1:1
nursing services, the school nurse should provide information about the
provision of services and whether any adjustment is needed. Where a
student has been recommended for 1:1 nursing services, a review should
be done into the extent of the provision of service and whether the service
continues to be necessary. As students get older, enroll in DOE schools
with on-site nurses, or medical conditions stabilize, it is possible that a
student will no longer require 1:1 nursing. If it is anticipated that there will
be a discussion to change the recommendation on the student’s IEP, OSH
must be consulted using the nursing referral process discussed above.
If OSH does not agree with the parent’s request, a representative from
OSH must participate (in person or by telephone) in the part of the IEP
meeting when skilled nursing services are discussed. See IEP team and
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IEP Development. Every effort must be made to communicate with OSH at
least 10 school days before the scheduled date of the IEP meeting. It is not
necessary that an updated MAF or Treatment Form be provided for the IEP
team meeting unless there are changes in medical needs that bear on the
recommended services on the student’s IEP. If a representative from OSH
does not participate in the IEP meeting, the IEP team may consider and
make final recommendations regarding nursing services based upon the
discussion and documentation at the IEP meeting. A recommendation
for nursing services should not be delayed based upon the failure
of an OSH representative to participate in the IEP meeting or the
unavailability of the OSH representative on the day scheduled for
the IEP meeting.
Implementation/Requirement of MAF or Treatment Form for
Each School Year
A new, complete MAF or Treatment Form is required for each school year
(starting in September) for both 1:1 and non-1:1 skilled nursing services.
Additionally, if there is a change in the medication needs or treatment during
the school year, but which does not require a change to the IEP, a new form
must be provided. It is important that the MAF or Treatment Form be filled
out completely in order to ensure the safe administration of medication and/
or procedures according to the Nurse Practice Act. The nurse cannot rely
upon the prior year’s form. The provision of an incomplete MAF or Treatment
Form may delay the implementation of nursing services; however, it is not
a basis to change the IEP recommendation. If a student is recommended
to receive Extended School Year services (12-month services), the MAF
or Treatment Form from the prior school year can be used during July and
August of the current school year. (For example, the 2016/2017 MAF
or Treatment Form will be used for July and August 2017 for a student
recommended to receive Extended School Year services.)
The parent/provider must provide an updated MAF or Treatment Form
prior to the commencement of each school year in September. MAFs or
Treatment Forms for the upcoming school year will be available by no later
than June 1
st
of the prior school year and are requested to be completed
and submitted by mid-August. The new MAF or Treatment Form is
necessary to ensure that the assigned nurse has complete and up to date
instructions about the provision of medical services to the student. The MAF
or Treatment Form for non-1:1 nursing services may be provided directly to
the student’s school or the school nurse. The MAF or Treatment Form for
1:1 skilled nursing services should be provided to the contracted nursing
agency and to the school nurse. For students with Diabetes, the DMAF
must be sent to OSH.
Transportation
IEP Transportation Recommendations
86
Non-Specialized Transportation for Students with Disabilities
Non-specialized means of transportation include public transportation
(funded by DOE-issued MetroCards) and stop-to-school bus service. To
ensure maximum availability of non-specialized means of transportation, all
students with disabilities are eligible for a full-fare MetroCard, regardless of
age or distance from home to school, and for stop-to-school bus service (if
grade eligible and available) regardless of distance from home to school.
The trip to and from school for a student with a disability must take place
in the Least Restrictive Environment (LRE) appropriate; therefore, a
specialized form of transportation must not be recommended unless it is
necessary because of the student’s disability, to meet the student’s needs.
Determining the Need for Specialized Transportation
If there is no available means of non-specialized transportation that would
enable a student with a disability to travel to and from school safely and to
benefit from instruction, they require a specialized transportation service,
which must be recommended on the IEP. Specialized transportation always
includes busing from the closest safe curb location to school, but may
also include other necessary transportation accommodations, such as a
transportation paraprofessional or limited travel time. The IEP team must
first consider the student’s needs in relation to the non-specialized means
of transportation available between their residence and the school they are
attending or, if a new placement will be offered, the school they are most
likely to attend.
87
Specifically, the IEP team must consider the student’s
functioning and needs in the following areas, to the extent affected by a
documented impairment
88
:
86 The process and considerations for recommending specialized transportation and specialized transportation accommodations on an IESP are the same as for an IEP.
87 As needed, the IEP team should consult with OPT for information on the details of stop-to-school bus service to the student’s school, and should inquire about the possibility of adding additional stops that
would enable the student to travel to school using stop-to-school bus service.
88 Note that a student may be impaired in a way that affects his/her need for specialized transportation but does not relate directly to his/her disability classification or special education program or related
services. Any documented, long-term impairment must be considered in assessing whether the student needs specialized transportation. The school/CSE should contact OSH in advance if there are any
questions relating to medical documentation presented by the parent. See Specialized Transportation Accommodations Protocol for more information regarding documentation.
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• Physical / Medical Needs, including, but not limited to: mobility
limitations; need for medical or mobility equipment or assistance;
propensity for seizures, fatigue or breathing difficulty; need for
assistance walking up/down stairs; need for assistance to maintain a
seated position with proper trunk support.
• Cognition / Communication, including, but not limited to: hearing,
auditory processing, vision, expressive communication skills, ability to
understand and safely respond to situations and interactions that may
arise while traveling without a parent, guardian, or family member.
• Social / Behavioral, including, but not limited to: fear in noisy
environments; self-abuse; elopement; tantrums. Note: Absent a
documented Emotional Disturbance, Social Maladjustment is not
an appropriate consideration in determining a student’s need for
specialized transportation.
Circumstances that may affect the student’s ability to travel to or from
school using non-specialized transportation but are not related to a
documented impairment or disability — such as the student’s age or
unavailability of family members to accompany the student to the school or
bus stop — are not a basis for a recommendation specialized transportation.
If the IEP team determines that no available non-specialized means
of transportation would be appropriate for the student because of
the student’s disability, it must recommend specialized transportation
service(s) on the student’s IEP, by checking the box “Student needs special
transportation accommodations/services as follows.” If the only service
needed is busing from the closest safe curb location to school, the IEP
team does not enter additional text.
The IEP team must consider the student’s present need for specialized
transportation at the initial IEP meeting and at all subsequent IEP meetings.
If the student’s needs, school site or residence — or the availability of
non-specialized transportation between the student’s residence and
school — change in a way that alters the student’s need for specialized
transportation, the IEP team must amend the IEP accordingly.
During the Social History Interview, the social worker should describe the
transportation options that are available to all students with disabilities (e.g.,
full fare MetroCards and/or stop-to-school busing, when available), and
explain that the IEP team will recommend specialized transportation only if
the available non-specialized transportation means are not appropriate for
the student because of documented impairments. If a student may require
specialized transportation or specialized transportation accommodations,
the parent should be provided with copies of the Request for Medical
Accommodations to be Completed by Treating Physician form for
completion by the student’s physician, and the Authorization for Release
of Health Information Pursuant to HIPAA form, to be completed by
the parent and then provided to the IEP team. Documentation that simply
requests an accommodation without describing the medical condition
and its impact on the student during transportation is not sufficient. See
Documentation for Accommodations When Office of School Health Review
is Required for more information on documentation.
For concerns or issues regarding the implementation of specialized
transportation (including accommodations), schools should reach out to the
BCO transportation liaison for assistance.
89
Types of Specialized Transportation Accommodations
If the IEP team determines that a student requires specialized transportation
accommodations, it must make a recommendation that is tailored to enable
the student to travel to and from school in the same manner as their non-
disabled peers to the maximum extent appropriate. Once recommended
on the IEP, steps must be taken to ensure that the accommodations are
provided on the implementation date to ensure that the student is not
excluded from school due to the lack of accommodations.
Transportation Paraprofessionals
All buses used for specialized transportation have an attendant in addition
to the driver. The attendant ensures that the students board the bus safely,
but the attendant does not act as a personal aide for any individual student.
If the student needs continuous or regular attention on the bus, the student
may need a transportation paraprofessional. For example, a transportation
paraprofessional may be required for a student who has a documented
behavioral issue that requires 1:1 support on the bus to and from school
(such as aggression or self-abuse); has a severe cognitive impairment such
that continuous management and support on the bus to and from school
is necessary; or requires medical support. See Medical/Nursing Services
below.
Special or Modified Vehicles
If there is a medical or behavioral need for which a modified vehicle
or ambulance is warranted, the IEP should describe the particular
89 Parents may be reimbursed for transportation if a student’s IEP-recommended transportation was not provided, and in certain other circumstances; please click here for guidance and required forms. For
additional information on specialized transportation, see the DOE Office of Pupil Transportation’s website.
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accommodations that are needed. For example, the user should select
an accommodation such as “Vehicle and/or Equipment Needs – Lift
Bus”, “Vehicle and/or Equipment Needs – Student uses Oxygen” or
“Other Accommodations – Route with Fewer Students”. OPT will use this
information to identify the appropriate vehicle for the student; except that, if
the student requires an ambulance, that should be specified on the IEP.
If a student is non-ambulatory, the IEP should indicate in the Transportation
Accommodations section the type of equipment that the student utilizes
(e.g. wheelchair, walking aids). Note: If a student utilizes a wheelchair, the
ambulatory code in STRE should be “W”. The ambulatory code “L” (lift)
should ONLY be used if a student uses a seat on the bus, but requires a lift
to board. “L” is not appropriate for students who travel in wheelchairs. For
information on using STRE, please see ATS training materials.
Students who use therapeutic and/or collapsible strollers/mobility devices
may be required to use wheelchairs in order to utilize certain special
vehicles. Students who use walkers for ambulation will need to use a
wheelchair or boarding chair to board the school bus and then may be
transferred to a school bus seat when possible. In such circumstances,
parents should be given guidance on how to acquire the necessary
equipment.
Medical/Nursing Services
A student with a disability may require health services (e.g., suctioning,
postural drainage) by a skilled nurse or a 1:1 health paraprofessional on
the bus to and from school. If the student may require nursing services
or a health paraprofessional on the vehicle, OSH must be consulted in
accordance with the Specialized Transportation Accommodations Protocol.
Travel Time Limitations
Limitations on travel time are recommended only when a bus ride exceeding
a particular time limitation would not be appropriate due to the student’s
medical or emotional condition, or would substantially diminish the student’s
ability to learn. Driving times in New York City are inherently unpredictable.
A time limitation does not mean that the student may never be on the bus
for longer than the prescribed time, but rather that the route under typical
circumstances will not exceed the time limitation.
When a travel time limitation is being considered as a specialized
transportation accommodation, the school/CSE should consult with OPT
in advance of the IEP meeting to determine the anticipated travel time to/
from school and whether a shortened route is feasible to implement in light
90 Assistants may not enter into a student’s apartment to provide assistance.
of likely traffic conditions and distance between the student’s home and
school. If a travel time limitation under consideration cannot be practically
or consistently implemented due to the distance between the student’s
residence and school, the IEP team must determine whether the specialized
transportation recommendation can be amended while still enabling the
student to arrive safely and to benefit from instruction, and if so, must amend
the IEP accordingly. If the IEP team determines that no form of specialized
transportation would enable the student to arrive safely and benefit from
instruction, a school closer to the student’s residence must be sought, with
home instruction provided in the interim as needed.
For example, if a student’s family moves, such that a travel time
limitation of 60 minutes to the student’s current school cannot be
consistently implemented, the IEP team must assess whether a different
recommendation for specialized transportation accommodations (e.g.,
addition of a transportation paraprofessional) would enable the student
to arrive at the school safely and benefit from instruction. If the IEP
team so determines, it must amend the IEP to reflect the appropriate
accommodations. If the IEP team determines that no form of transportation
would enable the student to arrive at the current school safely and benefit
from instruction, an appropriate school closer to the student’s residence
must be sought.
Specialized Transportation Assistant Services (“Porter Service”)
Parents are generally expected to bring the student outside to the curb
location where the bus picks up, as needed. However, Specialized
Transportation Assistant Services may be recommended for a non-
ambulatory student who resides in a building that has been verified by the
DOE to be non-accessible (e.g., no elevator and student lives on other
than the 1st floor, or multiple stairs for entry into building with no ramp
accessibility), such that the student must be carried up and down the stairs
to access the sidewalk.
90
These services are generally not appropriate
if a building is accessible but no adult is available to bring the student
outside; in such cases, the social worker should assist the family to make
arrangements for the student to be brought outside.
If Specialized Transportation Assistant Services are being considered,
the school/CSE must consult with OPT (in advance of the IEP meeting if
possible) to verify the need for and feasibility of implementing the requested
service based on the student’s housing arrangement.
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Specialized Transportation Accommodations Protocol
Consultation with or participation from the Office of School Health (OSH),
the Office of Pupil Transportation (OPT) or an administrator such as the
supervisor of psychologists or CSE chairperson, is required to recommend
certain specialized transportation accommodations, as detailed in this
protocol.
Depending on the type of accommodation(s) being considered and the
student’s needs, one or more of the following offices/supervisors must be
consulted:
• The Office of School Health (OSH)
• Supervisor of school psychologists or CSE chairperson
• Office of Pupil Transportation (OPT)
If consultation is required, the school/CSE must involve OSH or
the supervisor/chairperson as soon as the potential need for a
specialized transportation accommodation is identified. If it
appears that OSH, the supervisor of psychologists/CSE chairperson, or
OPT disagrees with a parent’s or other IEP team member’s request for a
specialized transportation accommodation, a representative from OSH, the
supervisor of psychologists/CSE chairperson, or a representative from OPT
must participate in the IEP meeting, as described below.
If the student has significant health issues or the IEP team or supervisor/
chairperson believes that existing OSH-reviewed accommodations may no
longer be appropriate due to a change in circumstances, see OSH Review
(below).
Documentation for Accommodations When Office of School Health
Review is Required
For specialized transportation accommodations when Office of School
Health review is required, parents must submit the following documentation
to the school/CSE
91
:
1. Request for Medical Accommodation – This must be completed by a
licensed medical provider (i.e., M.D., D.O., N.P., P.A.).
2. HIPAA Form – This form authorizes members of the IEP team and
an OSH physician or nurse to speak to the student’s physician or
medical providers if review or clarification of the student’s medical
documentation is needed.
3. Supporting Documentation – The school/CSE should inform the parent
that additional documentation from the physician or health care provider
may be considered, as appropriate, to provide additional background
information regarding the student. This documentation may include
current medical examinations, current medical summaries, current
treatment recommendations, etc. OSH and the school/CSE must
consider all documentation submitted by the parent.
These forms are available on the DOE website.
When Office of School Health Review Is Required
A representative from the Office of School Health (OSH) must review
the medical documentation and may be required to participate in the IEP
meeting when an IEP team is considering the following types of Specialized
Transportation Accommodations:
• Transportation Nursing Services
• Transportation Paraprofessional for reasons other than social-emotional
• Travel Time Limitation, if the maximum travel time stated by the student’s
physician is less than 60 minutes
• Route with Fewer Students
• Climate Control
• 5-Point Safety Harness / Safety Vest
• Car Seat
• Other accommodations that may impact the type of vehicle for the
student.
All required documentation must be submitted to OSH before the IEP
meeting.
When OSH review is needed, designated school/CSE staff must
upload the completed medical documents into SESIS using the “OSH
Physician Review: Transportation Accommodation” cover sheet
from the “Create New Document” menu. The school/CSE must notify
the designated Transportation Liaison. Liaisons must download the SESIS
materials as a PDF and upload the PDF into the Automated Student Health
Record (ASHR) management tool. Documents containing confidential
student medical information cannot be sent to OSH via email.
The OSH designee will review the documentation that is uploaded into
ASHR. The OSH designee may consult with the student’s health care
provider and/or the parent to obtain further information and clarification
of the request for medical services. The OSH designee will make a
recommendation as to what type and level of medical service is appropriate
91 For district schools, the BCO Transportation Liaison is responsible for working with school staff to ensure completion of the required items.
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for the student. Parent/provider modifications to medical requests must be
documented.
At the IEP meeting following the receipt of the OSH recommendation, the
student’s need for medical services must be discussed. In scheduling the
IEP meeting, if in consultation with the student’s health care provider, the
requested accommodations are modified or OSH does not recommend
approval of the request from the parent/student’s health care provider,
then a medical representative from OSH must participate (in person or by
telephone) in the part of the IEP meeting when specialized transportation
accommodations are discussed. Every effort must be made to give OSH 10
business days notice to participate in an IEP meeting; OSH should also be
provided all medical documentation related to the case. If a representative
from OSH does not participate in the meeting, the IEP team may consider
and make final recommendations regarding specialized transportation
accommodations based upon the discussion and documentation at the
IEP meeting. A recommendation for specialized transportation
accommodations should not be delayed based upon the failure
of an OSH representative to participate in the IEP meeting or the
unavailability of the OSH representative on the day scheduled for
the IEP meeting.
If the parent or a DOE member of the IEP team disagrees with the
OSH representative as to the existence or extent of a student’s need for
specialized transportation accommodations, the discussion should continue
with the goal of reaching consensus. If consensus cannot be reached at the
meeting, see Resolving Conflicts at the IEP Meeting.
OSH Contact Information: Tel: (718) 310-2918; Fax: (347) 396-8932
Consultation and involvement of OSH is not needed for the IEP team
to consider or recommend a wheelchair accommodation, or a
transportation paraprofessional for social-emotional reasons
for a student who is recommended for an in-school IEP-assigned
paraprofessional.
If the IEP team is considering initiation of a transportation paraprofessional
for a student who is not recommended for an in-school IEP
paraprofessional, the IEP team must consult with the supervisor/
chairperson. The designated school/CSE staff member must fax all
documents into SESIS as Documents Related to IEP and inform the
supervisor/chairperson that documents are awaiting review.
92
When OPT Consultation is Required
The Office of Pupil Transportation (OPT) must be consulted when an
IEP team is considering the following types of Specialized Transportation
Accommodations:
• Travel Time Limitation, if the maximum travel time stated by the student’s
physician is less than 60 minutes
93
• Accommodations that may impact the type of vehicle for the student
• Specialized Transportation Assistant Services (“Porter Service”)
94
OPT can provide information that may impact the feasibility of requested
accommodations (e.g., whether a limited travel time is feasible). This
information should be considered at the IEP meeting, with participation
from an OPT representative if needed.
Preparing the IEP to Reflect Transportation Accommodations
To recommend specialized transportation accommodation(s) in SESIS:
• Select “Yes” for “Does the student need transportation
accommodations?” The IEP will then indicate “Transportation from
closest safe curb location to school.”
• Select the accommodation(s) being recommended.
• Write the “Reason(s) why the student needs special transportation
service and/or accommodations” in the text box.
When a recommendation is finalized on the IEP, school/CSE staff must
notify the applicable Transportation Liaison, who must check the information
in SESIS and enter the specialized transportation accommodations into
ATS (STRE).
Specialized transportation accommodations should be revisited at annual
reviews and reevaluations, and as appropriate, should be addressed in
annual goals. Forms do not need to be resubmitted prior to the IEP meeting
if the services are being continued; however, if a student is receiving
medical care on the bus or has a nurse, an updated MAF or treatment form
may be needed.
Non-IEP Transportation for Students with Disabilities
Hardship Transportation
A student’s need for a special program or school may require the DOE to
offer him/her placement in a school that would require an unusually long or
92 The supervisor may determine it is necessary to consult with OSH, in which case the OSH Review procedure must be followed.
93 Schools/CSEs must notify the OPT that Limited Travel Time is being considered to ensure that the limitation is feasible.
94 Schools/CSEs must notify the OPT as soon as a potential need for porter service is identified. Porter service may not be recommended on a student’s IEP unless reviewed by OPT. OPT will consult with OSH
if there is a concern that the service may not be appropriate for health reasons. If OSH concludes that such service is not medically appropriate, a representative from OSH must participate in the IEP meeting.
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difficult commute from the student’s residence. In such a situation, a student Parentally Placed / Unilaterally Placed Students
who does not otherwise have specialized transportation on his/her IEP may
nevertheless be provided additional, “hardship” transportation services, up to
and including door-to-door bus service. Hardship transportation is provided
to minimize a burden caused by the unavailability of a nearby school to serve
the student’s needs; it is not conferred by and does not result in an
IEP recommendation. The availability of hardship transportation should be
discussed at the Social History and/or IEP meeting when there is a possibility
that the student’s recommended program will only be available at a school a
long distance from the student’s home.
Hardship transportation is provided only to DOE-offered placements; it is
not available to private/parochial schools, or to public schools selected by
the family through a choice process.
A student with a disability who is placed by his/her parent in a private or
religious school up to 50 miles from the student’s residence, and who will
receive a special education program and/or related services similar to those
recommended by the DOE, must be provided suitable transportation to
and from school.
95
If the student’s IEP or IESP recommends specialized
transportation, that recommendation will typically be the “suitable”
transportation to which the student is entitled. For many students, a non-
specialized means of transportation may be suitable.
The program and services provided at a private or religious school are
“similar” to the DOE’s recommendation if the student’s primary classroom
setting (general education or special education class)
96
is the same and the
type and intensity of special education and related services are comparable.
The CSE must determine whether the program and services offered by the
student’s school are “similar” to those recommended by the DOE. If the
student’s school is not providing a similar program or services to the DOE’s
recommendation, the student is not eligible for transportation under this
provision. For questions regarding whether a school is providing a “similar”
program and services, consult with the chairperson, who can make the
determination or seek guidance from the central Special Education Office if
needed.
95 This is regardless of whether or not the parent is seeking tuition reimbursement from the DOE.
96 A program of resource room and/or consultant teacher may be “similar” to a recommended co-teaching program (and vice versa).
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Annual Reviews and Requested Reviews
A student’s IEP must be reviewed at least annually. An IEP meeting must
be held within one year of the date of the prior IEP meeting. Schools/
CSEs should regularly review the Status of Annual Reviews report in
SESIS to ensure that annual review IEP meetings are scheduled and held
in a timely fashion. For students whose annual reviews are upcoming,
schools/CSEs should check the Advanced Report - Status of 3-Year
Mandated Reevaluations in Process in SESIS and, if the student’s
three-year reevaluation is due in the same year, conduct the three-year
reevaluation by the student’s annual review date.
In addition to required annual reviews, a review of the current IEP must be
conducted upon request of the parent.
97
Additional Assessments
The IEP team must determine in advance of the annual/requested review
meeting whether new assessments are needed. Before scheduling the
IEP meeting, school/CSE IEP team members (such as the student’s
teacher(s) and related service provider(s)) should review existing data
(e.g., teacher and related service provider reports, classroom assessments,
portfolio assessments, standardized testing, assessment reports, and
information provided by the parent). On the basis of that review and input
from the parent, the IEP team then must ascertain whether new or updated
assessments are needed to in advance of the IEP meeting.
If new assessments are needed, the school/CSE must make a referral for
reevaluation, treating the date the request for review was initially
received, as the date of referral, and follow the procedure for seeking
consent for and conducting assessments as part of a reevaluation.
98
In reviewing the available information, the school/CSE IEP team members
should consult with each other on issues that may arise at the IEP
meeting, and they may prepare draft annual goals. However, a complete
discussion of all issues, including annual goals, must occur at the
IEP meeting, including considering input from the parent.
IEP Team Composition for the Annual
Review/Requested Review IEP Meeting
Refer to the sections above for information regarding the composition of
the IEP team, the role of each member, and the advance preparation each
member should take to prepare for the annual review or requested review
IEP meeting.
Scheduling the Annual/Requested
Review IEP Meeting
The special education teacher (or related service provider, when a student
receives related services only) is responsible for arranging the annual
review or requested review IEP meeting. If a student is recommended for
related services only and is receiving services from a non-DOE employee,
the school psychologist will schedule and hold the meeting.
The parent must be invited to participate in every IEP meeting, including
every annual review or requested review. See the Ensuring Parent’s
Presence for more instructions.
97 This is called a “requested review.” The request must be processed in the same manner as initial referrals (date stamping, etc.). The IEP team need not conduct a review if the requested review is for a
discussion that would not be productive; for example, if there have been repeated requests made to discuss a subject that has already been addressed by the IEP team and no significant new information will
be available to consider. If the IEP team rejects the parent’s request for a requested review, the school/CSE should issue a PWN in response to the request and should ensure that the parent is aware of due
process rights and has been provided a copy of the procedural safeguards notice.
98 If it is first determined at the annual/requested review IEP meeting that additional assessments are needed, the referral for reevaluation must be made and parental consent sought at the IEP meeting. The
parent must not be directed to submit an additional written request. The date the request for review was initially received, is to be treated as the date for referral, unless the need for new assessments is based
on information presented at the IEP meeting that was not available to the school/CSE IEP team members prior to the IEP meeting.
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Reevaluation
A reevaluation must be conducted at least once every three years and
when:
• the school/CSE determines that the student’s educational or related
service needs warrant a reevaluation, including after improved academic
achievement and functional performance; or
• upon request of the parent or the student’s teacher;
except that a reevaluation need not take place more frequently than once a
year unless the parent and school/CSE agree otherwise.
A reevaluation:
• must be conducted by a multidisciplinary team or group of persons,
including at least one teacher or other specialist with knowledge in the
area of the student’s disability; and
• must be sufficient to determine the student’s individual needs,
educational progress and achievement, the student’s ability to
participate in instructional programs in regular education and the
student’s continuing eligibility for special education.
Information gathered as part of the reevaluation will assist the IEP team
in determining the student’s individual needs, educational progress and
achievement, ability to participate in instructional programs in general
education, and continuing eligibility for special education services.
Mandated Three-Year Reevaluation
A reevaluation must be conducted at least once every three years, except
if, upon review of existing data and the student’s needs, the school/CSE
and parent agree in writing that a reevaluation would be unnecessary. The
IEP meeting following completion of the assessments must be completed
within three years of the IEP meeting following the student’s most recent
prior evaluation or reevaluation.
99
Schools/CSEs should regularly review the
report Advanced Report - Status of 3-Year Mandated Reevaluations
in Process in SESIS to ensure that three-year mandated reevaluations are
commenced and completed in a timely manner. Schools/CSEs should also
regularly review the Status of Annual Reviews report in SESIS, and should
conduct the three-year reevaluation by the student’s annual review
date.
When a mandated three-year reevaluation is due, the school/CSE, upon
review of existing data and the student’s needs, may determine that a
reevaluation would be unnecessary. In that case, the school may seek
the parent’s agreement to waive the mandated three-year reevaluation. A
school/CSE should not routinely seek to waive mandated three-
year reevaluations. Any waiver must be based on the individual student’s
needs.
100
If the school/CSE determines that the mandated three-year reevaluation
would be unnecessary, the PWN: Request for Waiver of a Mandated
Three Year Reevaluation Form must be completed and sent to the
parent. This form must explain the specific reasons for the determination,
and that the parent has the right to disagree with the school/CSE.
101
If the
parent does not sign and return the form, the reevaluation must
be conducted. For more information, see SESIS Guide Waiver of the
Mandated Three-Year Reevaluation.
Requested Reevaluation
The school/CSE must conduct a reevaluation when it determines that the
student’s educational or related service needs warrant a reevaluation, or
upon request of the parent or the student’s teacher; except that only one
reevaluation may take place in a school year, unless the parent and school/
CSE agree that an additional reevaluation should be conducted.
102
DOE Requests for Reevaluation
The school/CSE must request a reevaluation when it believes that the
student’s educational or related services needs may have changed. This
belief may be based on, among other factors, a lack of anticipated progress,
or improved academic achievement and functional performance.
A professional staff member may complete a Request for Reevaluation
Form in SESIS to request a reevaluation, providing information regarding
the student’s current needs.
99 Note: If the student’s most recent prior evaluation/reevaluation included limited (or no) assessments (e.g., a requested reevaluation in which only a physical therapy assessment was conducted, for a student
receiving a special education program and/or multiple related services), the timeline for the three-year reevaluation should be based on the date of the student’s most recent evaluation/reevaluation that
included comprehensive assessments.
100 The mandated three-year reevaluation should not be waived for any student recommended for a one-to-one paraprofessional for behavioral reasons.
101 The school/CSE should ensure that the parent is aware of his/her right to refuse the request, and the request should not be sent if a school/CSE is aware that the parent wishes for the three-year evaluation to
proceed.
102 An additional reevaluation must also be conducted if ordered by a judge or impartial hearing officer.
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The parent must be sent the Notice of Request for Reevaluation letter,
along with the Procedural Safeguards Notice.
For more information, see SESIS Guide How to Complete a Request for
Reevaluation.
Parent Request for Reevaluation
A parent may request a reevaluation by submitting a written request for
reevaluation to the student’s DOE school or CSE. The request may be hand
delivered or sent by mail, email, or fax. A request for reevaluation need not
contain “magic words”; a written request for an evaluation or to reconsider
the student’s special education needs, program, or services is sufficient.
If a parent makes an oral request (by phone or in person) for a reevaluation
to a DOE professional, the DOE professional must promptly assist the
parent to create a written request for a reevaluation that states the request
for evaluation and, if communicated by the parent, the reason(s) for the
request and any specific assessment(s) being requested. Schools/CSEs
must make clear to non-professional staff members who regularly interact
with parents that, if a parent makes an oral request (by phone or in person)
for reevaluation to a non-professional member of school or CSE staff, the
staff member must connect the parent with a DOE professional who can
promptly assist the parent to create a written request for reevaluation that
states the request for reevaluation and, if communicated by the parent,
the reason(s) for the request and any specific assessment(s) being
requested.
103
Immediately upon receipt of a request for reevaluation by hand, mail, or fax,
the school or CSE must stamp the document with the current date (or the
earlier date on which it was in fact received, if, for example, it arrived by fax
and was mislaid).
If the request for reevaluation is in the text of an email, the school/CSE must
print the email, including the time and date it was received, and treat the
printed email as the request for reevaluation. If the request for reevaluation
is attached to an email, the school/CSE must print the email, including time
and date of receipt, along with the attachment, and treat the printed email
and attachment as the request for reevaluation.
A DOE staff member who receives a request for reevaluation must
immediately either fax the request for reevaluation document into SESIS
or convey the request for referral document to a professional colleague
who is able to do so. When creating the fax coversheet for the request for
reevaluation document, the date of request must be recorded as the date
the request for reevaluation was received by the school/CSE; this date
should match the date stamped on the request for reevaluation (or the date
of the email, if the request for reevaluation was received by email).
When a request for reevaluation is received, the school/CSE must review
the student’s record in SESIS to determine whether a reevaluation
has been conducted for the student during the current school year. If a
reevaluation has not been completed for the student during the current
school year the reevaluation must be conducted. The Notice of Request
for Reevaluation is completed in SESIS and must be sent by the school/
CSE to the parent in the parent’s preferred language within five (5) school
days of the date the request for reevaluation was received. The Procedural
Safeguards Notice must be sent to the parent along with the Notice of
Request for Reevaluation.
Additional Requests for Reevaluations
If a reevaluation was already conducted for the student during the current
school year, the principal/chairperson – in consultation with the student’s
teacher or other providers, as appropriate – must determine
104
whether an
additional reevaluation is likely to provide new or meaningful information, in
which case the school/CSE should initiate the reevaluation.
The principal/chairperson must indicate the determination as to whether
or not to conduct the additional reevaluation for that school year on the
Additional Request for Reevaluation Form.
If the request is approved, the school/CSE must send the Notice of
Request for Reevaluation letter to the parent, along with the Procedural
Safeguards Notice. The parent must sign and return the Additional
Request for Reevaluation (Consent for Reevaluation) to the school/CSE
for the reevaluation to proceed.
If the request is disapproved, the Additional Request for Reevaluation
is sent to the parent, stating the reasons why it has been determined that a
reevaluation is not warranted.
See the SESIS guides on completing Additional Requests for Reevaluation
for specific instructions.
103 In either scenario, language support must be provided as needed, and the interaction with the parent must be documented in the SESIS Events Log.
104 If the additional reevaluation was ordered by a judge or impartial hearing officer, or agreed upon through resolution, settlement or mediation agreement, the additional reevaluation must be conducted; no
further approval or agreement is required.
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Requests for Reevaluation from Other Sources
If a non-DOE person other than the parent attempts to request a
reevaluation and claims authority to do so, the request for reevaluation must
be date-stamped and uploaded into SESIS. This should be documented
in the SESIS Events Log. Contact the BCO Director of Special
Education, D75 Liaison, or CSE chairperson to confirm that the request for
reevaluation is from an authorized person before proceeding.
If a reevaluation is ordered by judicial or impartial hearing order, or agreed
upon through resolution, settlement or mediation agreement, the school/
CSE must open up the reevaluation in SESIS and document the reason
in the SESIS Events Log. The school/CSE need not contact the BCO
Director of Special Education, D75 Liaison, or CSE chairperson before so
doing.
Determining Whether New Assessments
Are Needed In a Reevaluation
The IEP team must determine whether new assessments are needed as a
part of a reevaluation. To do so, the school/CSE IEP team members must
review existing data (e.g., teacher and related service provider reports,
classroom assessments, portfolio assessments, standardized testing,
progress reports, results of district and state assessments, evaluations and
information provided by the parent) in order to determine whether there
is a need for new assessments. There may be a need to conduct new
assessments to determine continued eligibility, special education needs,
and whether any additions or modifications to the student’s program or
services are needed to enable the student to meet the goals on his/her
IEP and to participate as appropriate in general education. The review of
existing evaluation data can be done by each member of the IEP team and
other qualified individuals as appropriate. This review need not take place at
an IEP meeting; but the parent must be given the opportunity to participate
in the decision-making process regarding whether additional assessment
data is needed.
If it is determined that existing information is sufficient and no additional
assessments (including classroom observations) are required, the school/
CSE creates the Assessment Planning document in SESIS and checks
“No” in the box “New Testing Needed.” This will create the Notice of No
New Testing Needed document, which must be and sent to the parent.
The IEP meeting should then be scheduled.
If it is determined that additional assessment data is required (e.g.,
classroom observations, social history update), the IEP team should
determine which additional assessments will be conducted to explore
areas related to the disability and behaviors that impede the student’s or
others’ learning or place the student or others at risk of harm or injury. This
determination will be made on the basis of the review of existing data and
information. See Special Education Evaluation for information regarding the
types of assessments that may be appropriate during a reevaluation.
A Social History Update should also be considered as a part of the
reevaluation. Depending upon the time that has elapsed since the student’s
last evaluation, there may be significant changes in their family situation
and the parent’s perceptions of the student’s development, changes in
skill level, family circumstances, and prior intervention strategies, and
other factors that may be affecting the student’s learning, such as Adverse
Childhood Experiences that may result in trauma-related symptoms.
Through the Social History Update, valuable information can be obtained
about the student’s home and community environment and what kinds of
strategies have been used in the past. The Social History Update can also
provide an opportunity to clarify the parent’s current beliefs, attitudes and
expectations for their student and well as their perception of the impact
of the special education services that the student has been provided.
When necessary, the social worker should refer the family to appropriate
community resources. For further information on conducting the Social
History Update, see Initial Social History.
Note:
• A Functional Behavioral Assessment (FBA) should be conducted if the
student’s behavior impedes his/her learning or that of others.
• A vocational assessment must be completed or updated on an annual
basis for all students who are 12 years of age or older, or who will turn
12 by the end of the calendar year in which the evaluation is completed.
A vocational assessment does not need to be conducted as a part of
the reevaluation; however, it may be advisable to conduct it at the same
time.
Obtaining Consent for Additional
Assessments in a Reevaluation
If the IEP team determines that additional assessments are needed as a
part of a reevaluation, the school/CSE must attempt to obtain informed
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parental consent prior to conducting those assessments. The school/CSE present levels of performance and annual goals.
opens the Assessment Planning document in SESIS and creates the
Refer to the sections above for information regarding the composition of the
Consent for Additional Assessments form, which must be sent to the
IEP team, the role of each member, and conducting the IEP meeting.
parent.
If the parent has not responded within seven (7) calendar days to
the Consent for Additional Assessments form, outreach must be
conducted. Outreach must include, at a minimum:
• Two attempts at telephone contact at different times of the day; and
• A follow-up letter sent to the parent by mail; and
• If the parent could not be reached by phone and no message was left,
a follow-up letter sent home with the student (“backpacked”), if s/he
attends a DOE public school.
All contacts and attempts to contact the parent must be documented in the
Events Log in SESIS.
If outreach to obtain consent was conducted and documented
and the parent failed to respond, the IEP team may proceed with
assessments without parental consent.
If the parent refuses or withdraws consent, no further assessments
may be conducted. The school/CSE should determine whether it can
proceed with the reevaluation without additional assessments. If it can, the
IEP meeting should be scheduled.
If the school/CSE cannot proceed with the reevaluation without additional
assessments, it should consider alternatives to the reevaluation in
consultation with the parent. If there are appropriate alternatives to the
reevaluation, the school/CSE should rescind the referral. If there are not
appropriate alternatives to the reevaluation, the school must consult with
the supervisor of psychologists or CSE chairperson to consider a request
for mediation or impartial hearing to obtain parental consent to proceed
with new assessments.
105
The Reevaluation IEP Meeting
The school psychologist is responsible for arranging and facilitating the
reevaluation IEP meeting. The parent must be invited to participate in every
IEP meeting, including every reevaluation IEP meeting. See the Ensuring
Parent’s Presence section for more instructions.
Before the reevaluation IEP meeting, the IEP team members should consult
with each other to review the assessment reports and begin drafting
At every reevaluation IEP meeting, the IEP team must determine whether
the student continues to meet the eligibility criteria for special education
as well as his/her disability classification. See Eligibility section for more
information. If the IEP team believes the student continues to meet the
eligibility criteria for special education, they should proceed with the
development of the new IEP.
If the IEP team determines that the student no longer meets the eligibility
criteria for special education and can be placed in a general education
program on a full-time basis without any special education services
or supports, the IEP team will determine that the student should be
declassified from special education.
The IEP team must determine whether the student requires declassification
services. If declassification services are appropriate, the IEP team will
identify the service and indicate the projected date of initiation of such
services, the frequency of provision of such services, and the duration of
such services. Services may include, but are not limited to instructional
support remediation, instructional modifications, and individual and/or group
counseling or speech. These services may continue for up to one year after
the student enters the full-time regular education program.
In addition, a student who is declassified is eligible to receive testing
accommodations if specified on the declassification IEP notice. A student
who was declassified in grades 8-12 may be eligible for the Safety Net
graduation options if his/her last IEP specifies Safety Net-eligibility. The
Safety Net graduation options allow students eligible for the Safety Net
to graduate with a local diploma if they meet certain conditions. For more
information regarding Safety Net graduation options and eligibility, see
Graduation Options and pages 18-20 of the High School Academic Policy
Guide.
To declassify a student, follow the instructions in the SESIS Guide
How to Declassify a Student in SESIS. The IEP team must create
a PWN: Declassification and send to the parent along with the
Recommendations Upon Declassification from the Declassification
from Special Education Services document. Record all parent contact
and outreach in the SESIS Events Log.
105 If a student is enrolled in private/religious school at private expense, or if a parent is home schooling the student, the DOE may not use due process procedures to conduct a reevaluation.
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Amending the IEP
An IEP may be changed (“amended”) either with an IEP meeting or,
in limited circumstances, without an IEP meeting. In all cases, an IEP
recommendation must be appropriate, considering the student’s individual
needs.
An IEP may not be amended without an IEP meeting for:
• changes to the IEP that require the participation of the school
psychologist on the IEP Team;
• changes to the student’s program recommendation (special class, ICT,
SETSS).
106
Changes to the student’s program recommendation include changes
from one special education program recommendation to another, whether
moving to a less restrictive recommendation (e.g. special class to ICT) or to
a more restrictive recommendation (e.g., ICT to special class). Additionally,
the following changes should not be made without an IEP meeting, unless
determined appropriate by the teacher and/or relevant related services
provider:
• Discontinuation of paraprofessional support;
• Discontinuation of a related services recommendation.
In general, an IEP may be amended in the below circumstances without
an IEP meeting, as long as the resulting IEP contains appropriate
recommendations for the individual student:
• Changing a staffing ratio from 12:1 or 12:1+1 to 15:1 for a student
articulating to a special class in high school
• Removing a subject on the IEP when:
• It is not offered to any student in the school (e.g., removing music from
the IEP when no student is receiving music instruction that semester);
or
• The high school student has earned all credits in that subject or has
completed the requirement and will not have it on their schedule
• Adding a subject to the IEP when the IEP team did not anticipate that
the student would be taking that subject, and the student requires a
special education program for that subject
• Changing the language of service to English for ELA, when it was
recommended in error in another language
• Changing the frequency, duration, and/or projected start date of a
program
107
• Correcting use of “other” in the SESIS subject drop-down menu
• Correcting a clerical error
An amendment may not be made based on the availability or unavailability
of a special education program or related service (whether in general
or in a particular district or school). The IEP must contain appropriate
recommendations for the individual student, irrespective of the availability
of the program or service. The school/CSE must immediately seek support
from the BCO as needed in ensuring that the recommendations are
provided if any are not currently available at the student’s school.
The amendment process may begin with a request from the school/CSE or
from the parent. In either case, no amendment to the I EP without an
IEP meeting may be made without the parent’s written consent to
the amendment.
Before an IEP can be amended without an IEP meeting, the proposed
change(s) must be described on the Waiver of IEP Meeting to Amend
IEP form. This form must clearly and specifically describe all proposed
change(s), in language understandable to the parent. The Waiver of IEP
Meeting to Amend IEP must be sent to the parent, and a member of the IEP
team must discuss the proposed change(s) with the parent to ensure that
the parent understands the proposed change(s) in full. See SESIS Guide
Amending an IEP with Waiver of IEP Meeting for more information.
If the parent does not understand the proposed change(s), does not agree
with or does not respond to the proposed change(s), or wishes to discuss
them with the IEP team, the changes cannot be made without an IEP
meeting.
If the parent agrees to the changes and returns the signed Waiver of IEP
Meeting to Amend IEP, the signed Waiver of IEP Meeting to Amend
IEP must be faxed into SESIS, and the agreed upon change(s) are made
to the IEP in SESIS. As at the conclusion of an IEP meeting, the IEP and
PWN: Recommendation must be issued to the parent within 10 business
days, and all relevant teachers, related service providers and administrators
must be notified of the change(s) made to the IEP and informed of any new
implementation responsibilities.
An amendment to the IEP without a meeting does not change the date by
which the student’s next annual review IEP meeting must be conducted.
106 If a school/CSE believes an amendment without an IEP meeting is urgently needed for a change to the student’s program recommendation or a change to the IEP that would require the participation of the
school psychologist at the IEP meeting, guidance should be sought from the supervisor of psychologists or chairperson on how to proceed.
107 If the change in the frequency and/or duration of the program is extreme enough to substantially change the student’s access to the program, an IEP meeting is required.
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School Location Letters and Informed Consent for the Provision of Special
Education Services
In an initial case only, informed written consent for the provision of
special education services must be obtained from the parent before any
special education services may be provided to the student. The Consent
for Initial Provision of Services form, included in the Prior Notice
Package for Placement, is used for this purpose.
At the conclusion of an initial IEP meeting at which the student has been
recommended for a program that will be provided in the student’s current
school, the case manager must ensure that the Consent for Initial
Provision of Services form is issued to the parent along with the PWN:
Recommendation and the student’s IEP
• at the conclusion of the IEP meeting, if the IEP has been finalized; or
• within 10 business days of the IEP meeting, if the IEP was not finalized
at the conclusion of the IEP meeting.
Following an initial IEP meeting at which the student has been
recommended for a program that will require a new school (i.e., for a
recommendation of a specialized school, or a specialized program or
special class that is not available and cannot be created in the student’s
current school), a School Location Letter must be issued to the parent
along with the Consent for Initial Provision of Services form. This may
be at the conclusion of the IEP meeting (with a copy of the finalized IEP
and the PWN: Recommendation) if the IEP has been finalized and the
new site has already been determined.
108
The School Location Letter indicates the school the student may attend
to receive the recommended special education program and services;
reminds the parent of his/her right to visit the school;
109
and includes a
contact name and phone number so that a visit may be arranged. School
Location Letters must be issued by the applicable timeline for placement.
If the parent has not signed and returned the Consent for Initial
Provision of Services form within seven (7) calendar days of its issuance,
outreach must be conducted, including, at a minimum:
• Two attempts at telephone contact at different times of the day; and
• A follow-up letter sent to the parent by mail; and
• If the parent could not be reached by phone and no message was left,
a follow-up letter sent home with the student (“backpacked”), if s/he
attends a DOE public school.
All contacts and attempts to contact the parent must be documented in
the SESIS Events Log, including the appropriate “Response Type” and
“Log Type”.
If the parent signs and returns the Consent for Initial Provision of
Services form, the case manager ensures that an Authorization to
Attend Letter is issued to the parent.
110
The Authorization to Attend
Letter is created through SESIS as described in the School-Based
Parental Notification of Placement Step-by-Step Procedures: Completing
the Authorization to Attend Letter instructions.
111
For cases other than initials, following an IEP meeting at which the student
has been recommended for a new program that will require a new school,
a School Location Letter must be issued to the parent. Upon the
parent’s acknowledgment
112
that the student will attend the new school, the
Authorization to Attend Letter is created.
At the conclusion of any IEP meeting at which a recommendation is
made that will require a new school site, the parent must be given the
contact information for the relevant placement office, to: obtain additional
information about the program, local schools where it may be available, and
the composition of available classes (range of students’ ages and functional
levels); facilitate site visits; and discuss any concerns.
113
108 As soon as the possible need has been identified, schools/CSEs should contact the relevant placement office to ensure that a site can be offered as soon as possible.
109 The parent has the right to visit the school and see the proposed class before or after providing consent (initial case) or acknowledging that the student will attend (cases other than initials).
110 A copy will be available to the sending and receiving school in SESIS.
111 If the parent does not consent to the provision of special education services within 45 days after appropriate outreach has been conducted and documented, the case may be closed in SESIS. The DOE may
not initiate mediation or file a due process complaint to compel the provision of special education services.
112 For cases other than initials, this acknowledgment does not have to be in writing. Any oral acknowledgment and conversation regarding the placement must be recorded in the SESIS Events Log.
113 If a DOE member of the IEP team has detailed information about the program and its availability, this conversation may occur at the conclusion of the IEP meeting.
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Withdrawal of Consent for the Provision of Special Education Services
After the parent has provided informed written consent for the initial
provision of special education services, the parent has the right to withdraw
that consent at any time. The school/CSE does not have the right to utilize
mediation or due process proceedings to compel the continued provision of
special education services.
If the parent indicates the intent to withdraw consent for the provision
of services, the parent must be provided the Parent Withdrawal of
Consent form. If the parent signs and returns the form, the school/CSE
must fax it into SESIS using the Case Closing fax coversheet.
Upon receipt of the signed Parent Withdrawal of Consent form, the school/
CSE must create the Parent Revocation – Notice of Termination
document in SESIS. The effective date of the revocation will be 11 school
days from the date the notice is sent to the parent. Send the completed
Parent Revocation – Notice of Termination document to the parent.
The school/CSE must arrange for the termination of all IEP-based services
as of the effective date indicated in the Notice of Termination.
114
All steps and communications with the parent regarding the withdrawal
of consent and termination of services must be recorded in the SESIS
Events Log. For full instructions on this process in SESIS, please see the
corresponding SESIS guidance.
If the parent has withdrawn consent for the provision of services, the
student is no longer considered to be a student with a disability, with
respect to the protections and services required by the IDEA. This includes
the protections afforded during disciplinary removal proceedings, unless
the student has a Section 504 plan. If the parent would like the student
to resume receiving special education services a new initial referral is
required.
115
114 Once services have been terminated, the DOE will not be considered to be in violation of the requirement to make available a FAPE to the student because of the failure to provide further special education
programs and services; is not required to convene IEP meetings or develop an IEP for the student for further provision of special education programs and services; and is not required to amend the student’s
education records to remove any references to the student’s receipt of special education programs and services, on the basis of the revocation of consent.
115 Withdrawal of consent does not affect the student’s eligibility for Section 504 accommodations.
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Placement
Provision of Special Education Programs
(Special Class, ICT and SETSS)
To the greatest extent possible, students with IEPs attend the same schools
and programs they would if they did not require special education services.
Students with IEPs may participate in the same admissions processes
as students without IEPs, including admissions to zoned, test, audition,
and screened schools and programs.
116
These schools and programs
must serve students in accordance with their IEP recommendations
whenever possible, and therefore must proactively plan for the provision of
recommended special education programs to both current and incoming
students.
117
The Checklist for Organizing Resources (CORe) helps school leaders and
the School Implementation Team (SIT) to analyze their overall instructional
and programming needs, evaluate current resources (e.g., budget, staff,
space), and make strategic decisions about how to deploy resources
to serve all students in accordance with their IEPs. If a school believes
it is unable to fully implement a current or incoming student’s IEP, the
school must request assistance from the BCO. The BCO will review the
CORe and offer recommendations and resources, if needed, to best meet
students’ needs.
118
The central Special Education Office will review a
CORe if the BCO unable to resolve the matter.
When a student recommended for ICT or special class has been admitted
to or newly identified by a school that does not have space in the
recommended class, the school must immediately notify the parent and, in
consultation with the parent, develop and implement a plan for providing
appropriate interim supports, as needed.
119
If a school believes it will be
unable to provide a student’s recommended special class program, the
CORe should be completed immediately. (A student who is not receiving
his/her recommended special class program may be eligible for a P-1,
which, if required, must be issued in addition to any interim interventions.)
116 For more information on enrollment and admissions policies, please see Chancellor’s Regulation A-101.
If the student’s IEP was not developed at the school, a multi-disciplinary
team should review the student’s strengths and needs and, if it appears
that there may be other program recommendations that could meet the
student’s needs, the school should convene an IEP meeting to consider
these options, along with any other information, concerns or preferences
shared by the parent. As in all situations, IEP recommendations must be
based on their appropriateness for the student’s needs, not the
availability or unavailability of a program or service at the school.
120
Special Class and ICT Composition and
Variances
Special Class Composition
For special classes with a ratio of 12:1, 12:1+1 or 15:1, students’
achievement levels in reading and math should generally not exceed a range
of 3 years. If a school operates a class in which the range of both reading
and math achievement levels exceeds 3 years, the school must provide
the BCO and the parent of each student in the class a description of the
range of reading and math achievement levels and the general levels of social
development, physical development and management needs by November 1
each year. The parent of any new student offered or entering that class must
be provided the same information.
The age range within a special class may not exceed 36 months, except
that the age range is not limited within a special class for students age
16 and older, or a special class with a ratio of 12:1+(3:1) (often called
12:1+4).
In exceptional circumstances, when all options have been exhausted
without resolution, a variance may be requested from NYSED to allow
an additional student beyond the maximum number (e.g., 12 students in
a class with a 12:1+1 ratio, 15 students in a class with a 15:1 ratio) to
be added to a special class, or to allow the 36-month age range to be
exceeded. The school may not place the student in the class until after the
variance procedure has been followed and the variance has been approved
by NYSED.
117 Schools receive access to view an incoming student’s IEP in SESIS when an Authorization to Attend letter is finalized or, for students articulating or Turning 5, the day after list notice or the day after the
School Location Letter is generated, respectively.
118 Schools should contact their ASE with any questions about using the CORe. Please see CORe resources for more information.
119 This must include specialized instruction services, and, as needed, may include other supports such as a paraprofessional.
120 Note procedures for resolving conflicts at the IEP meeting, and for notifying parent of due process rights, including pendency, if the parent disagrees with any changes to the IEP.
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ICT Class Composition
and subject), and to resolve discrepancies between IEP recommendation
(SESIS) and course programming (STARS). For instructions on how to
A maximum of 12 students with IEPs
121
may be placed in an ICT class, and
access the report from the SESIS homepage, watch How to Use the
the number of students with IEPs may not exceed 40% of the total number
Program Services Report video.
of students in the class.
NYSED allows one additional student with an IEP to be added to a
particular period or class (for a total of 13) after the start of the school year
when it receives notification within 10 days of the student joining the class.
The 13th student may be added only after the variance procedure (below)
has been followed and SEO has approved the placement.
Variance Procedure
If the school has an appropriate special class or ICT but cannot place
the student in the class without exceeding regulatory limits, and no other
appropriate options to serve the student or others in the class have been
identified, the school should draft a variance notification (ICT) or variance
request (special class) and submit it to the ASE for review. The forms
can be found here. Schools and BCOs may not submit variance
notifications or requests directly to NYSED.
The ASE will review the draft variance notification/request and may work
with the school to meet all students’ needs without exceeding maximums. If
the ASE confirms that the class was in compliance at the beginning of the
school year and agrees that a variance is warranted, the ASE will submit the
draft notification/request to V[email protected]. SEO will review
the draft, and may either provide further assistance or submit the variance
notification/request to NYSED. SEO will inform the ASE of the decision.
Approved variances remain in effect only through the end of the school
year. The school is expected to develop plans for the coming school year to
ensure compliance with regulatory requirements.
Monitoring Provision of Special
Education Programs: The Program
Services Report
Beginning in late August, principals and their designees receive a weekly
Program Services Report via SESIS messaging. The Program Services
Report lists the recommended special education programs (ICT, SETSS,
special class) from each student’s most recently finalized IEP, along with
data from STARS. Principals should use the report to ensure that all
students are fully served (including language of instruction, class type
BCO academic policy and systems leads and ASEs, should support
schools in resolving discrepancies between SESIS and STARS and
ensuring that all students are fully served. BCO academic policy and
systems leads can access their schools’ report in the OPE Data folder in
their R-drive; ASEs can access the report in their respective BCO folder
in their R-drive. For additional SESIS/STARS Program Services Report
resources, including FAQs and troubleshooting strategies, see the SESIS
wiki and STARS wiki. For additional assistance troubleshooting a Program
Services issue, follow this escalation path.
Arranging SETSS and ICT
For continuing students, schools will make best efforts to provide
recommended SETSS services on the first scheduled date of attendance of
the new school year. For continuing students or students with placements
deferred to the start of the school year in September, schools will identify
and assign a DOE SETSS teacher within 2 school days of the start of the
school. During the school year, schools will identify and assign a DOE
SETSS teacher within 2 school days of receipt of parental consent for initial
provision of services.
If a DOE teacher is not available, an authorization for SETSS Services
(“P-4”) should be provided to the parent by the BCO within an additional 5
school days. The P-4 sets forth the frequency and duration of services, and
includes instructions on how to invoke the P-4 and information on whom
to contact at the DOE for assistance. The parent will be provided with
information on available providers.
If a student is recommended to receive ICT and has not been placed in
(or offered placement in) an ICT class within 60 school days of the date
of consent (initial) or referral (reevaluation) and the student’s current
placement is in a more restrictive environment than ICT, the student may
remain in the current placement, unless the DOE and the parent agree to
place the student in a general education class with two periods of SETSS
in the interim. If the student’s current placement is in a less restrictive
environment (i.e., general education, SETSS, related services only), then
the school will provide the student with two periods per day of SETSS as
an alternative until the ICT class is available.
122
If two periods per day of
SETSS cannot be provided by the student’s current school, the parent must
121 This includes all students with IEPs in the ICT class (not only those students whose IEPs recommend ICT).
122 The IEP recommendation is not changed.
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be provided a P-4 for two sessions of SETSS per day.
123
If a P-4 has been issued and a provider cannot be identified by the parent,
a request for an “enhanced rate” may be made. Parents are informed in the
P-4 letter that if they have made good faith efforts to identify a provider and
were unsuccessful, they should contact the DOE representative indicated
on the letter. Upon receipt of a request for an enhanced rate for SETSS
services (which must include: provider information; frequency, duration and
intended start and end date of service; hourly rate; Parent’s Affidavit, filled
out its entirety and notarized; Provider’s Affidavit, filled out its entirety and
notarized; copy of the Resolution Agreement (if applicable)), the BCO/
CSE must review the submission and make the final determination whether
to approve the request. A selected provider must have the appropriate
credentials as defined in the P-4 Letter.
124
Identifying and Assigning an ENL
Teacher
During the school year, a DOE ENL teacher must be assigned within 2
school days of parental consent for the initiation of services. For continuing
students or students deferred to the start of the school year in September,
the school will identify and assign an ENL teacher within 2 school days
of the start of the school year in September. If a DOE ENL teacher is not
available, an authorization for ENL Services (the “ENL Authorization”)
should be issued within an additional 5 school days, and the parent notified
of available providers, whom to contact at the DOE for assistance, and how
to invoke the authorization.
Arranging Related Services
If monolingual and bilingual counseling, monolingual and bilingual speech,
occupational therapy and/or physical therapy are recommended on a
student’s IEP, the school will assign a DOE provider within 2 school days of
receipt of parental consent for provision of services during the school year.
For continuing students or students deferred to the start of the school year
in September, the school will identify and assign a DOE provider within 2
school days of the start of the school year in September.
If a DOE provider is not available, the BCO/D75 will request services
from agencies under contract with the DOE. If the BCO/D75 is unable to
locate a related service provider within an additional 13 days, the BCO/
D75 will issue a Related Service Authorization letter (“RSA”) to the parent.
The parent will be provided with information on available providers and
instructions on how to invoke the RSA. The school must work with the
BCO/D75 to provide assistance to parents in identifying an independent
provider, as well as to continue to seek a DOE or contract agency provider
for all unserved mandates after an RSA has been issued.
125
Related service provision must be recorded in SESIS encounter attendance
records and SESIS provider assignment (for contract and RSA providers).
Schools should review their weekly SESIS Mandated Services
Report to determine current levels of reported compliance and
identify any students for whom service provision has not been
recorded. Schools in need of assistance assigning providers and
accurately reflecting service provision, should contact the BCO/
D75. Additional information on the use of SESIS to manage and record
services is available through an interactive guide.
Students in Temporary Housing
Students in temporary housing
126
must be enrolled immediately with or
without documentation normally required for enrollment. This requirement
is mandated by the McKinney-Vento Homeless Assistance Act. Students in
temporary housing have the right to attend:
• The school the student was attending when last permanently housed
(“school of origin”);
• The last school in which the student was enrolled (“school of origin”); or
• A new school the student is eligible to attend.
It is often in the best interest of the student to remain in the school of origin;
however, the parent can choose to enroll the student in a new school.
This decision is made by the parent. Students in temporary housing cannot
be involuntarily transferred to a new school based on the new residence, even
in light of chronic absence or lateness. If the parent chooses to enroll the
student in a new school, the student has equal access to the school options
available to his/her peers, including zoned and non-zoned schools.
127
123 Issuance of the P-4 may be delayed beyond the 60th day to the extent there was substantial documented parental delay (e.g., the parent repeatedly fails to produce the student for evaluation), provided
appropriate outreach was made and documented.
124 An employee of the New York City Department of Education may not serve as an “enhanced rate” provider.
125 For a student awaiting a provider for bilingual speech therapy, see Interim Monolingual Speech.
126 The enrollment and admissions rights described here apply to any student who was attending a DOE school at the time s/he became homeless or moved to a different temporary housing situation, even if that
new temporary residence is outside New York City. These rights also extend to students currently enrolled in pre-K.
127 For a student who is recommended for a District 75 program or bilingual special class or ICT, or a student who is receiving services in the ASD Nest or ASD Horizon program, a school serving the student’s
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See Students in Temporary Housing for more information on special visit the specialized programs website, or email specializedprograms@
education issues related to students in temporary housing. schools.nyc.gov (for ACES) or [email protected] (for ASD
Nest and Horizon programs).
Accessible Schools
Accessible schools are located in buildings where an individual with
a mobility impairment may enter and access all relevant programs and
services, including the science laboratory, library, cafeteria, and gymnasium;
there is also at least one accessible restroom. All students with accessibility
needs will be provided an accessible school.
128
When participating in elementary, middle, or high school admissions,
families are encouraged to visit each school they intend to list on their
application to confirm that the school is located in a building that will meet
the student’s accessibility needs.
If a student receives an offer to a school that does not meet his or her
accessibility needs, is new to New York City and is zoned or assigned to
a school that does not meet his or her accessibility needs, or has a new
accessibility need that is not met by his or her current school, the parent
may request reasonable accommodations (in the current, offered or
assigned school) by emailing Accessibility@schools.nyc.gov. The parent
may also request a new placement by emailing ES[email protected].
or by participating in the appeals process (high school). Alternatively,
the parent can visit a Family Welcome Center to discuss the student’s
accessibility needs and options for placement.
IEP teams document students’ specific accessibility needs in the Present
Levels of Performance section of the IEP under “Physical Development.” If
the student requires an accessible school, the IEP team checks the “Yes”
box for “Accessible Program”.
Specialized Programs in District 1–32
Schools
Some students may benefit from uniquely designed classroom
environments and service models, called specialized programs. Students
are selected for specialized programs based on an application process. For
more information on these programs, including applications or family guides,
new residence and offering the applicable program will be identified if possible.
128 In some cases, programs may need to be re-located to accommodate access.
129 An ICT class is considered bilingual if one of the two teachers is a certified bilingual teacher.
Academics, Career, and Essential Skills (ACES)
The ACES program provides a special class in a District 1–32 school for
some students who are classified as having an intellectual disability (ID) or
multiple disabilities (MD), and who (starting in third grade) will participate
in alternate assessment. These programs provide academic instruction and
help students learn skills needed for daily living.
Autism Spectrum Disorder Programs: ASD Nest and ASD
Horizon
The ASD Nest program is designed for students on the autism spectrum
whose academic abilities are on grade-level and whose primary need for
support is in the areas of language and social skill development. ASD Nest
programs provide reduced-size Integrated Co-Teaching (ICT) classes in
district 1–32 schools, with teachers who are trained to design instruction
for students with autism.
The ASD Horizon program is designed for students on the autism
spectrum whose academic abilities are approaching or below grade level.
ASD Horizon provides a special class with a ratio of 8:1+1 in a district
1–32 school with instructional and interpersonal supports. The principles
of Applied Behavior Analysis (ABA) are used in everyday instructional
practices.
Alternate Placement for Students
Recommended for Bilingual ICT or
Bilingual Special Class
An alternate placement is an interim service provided when a student’s
recommended bilingual ICT
129
or special class is not available. An alternate
placement is a monolingual ICT or special class, with a paraprofessional
who is bilingual in the recommended language of instruction of the
student(s) awaiting a bilingual class.
130
The principal is responsible for ensuring that the classroom teacher
130 One paraprofessional is needed for each language for which student’s in the class are awaiting placement.
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receives 10 hours of training in English as a second language methodology,
techniques and materials, if such training has not already been provided.
In order to promote more effective instruction, the DOE must seek to
cluster students in need of alternate placement classes according to their
functional needs, appropriate age range and language, rather than having
individual students with alternate placement paraprofessionals in many
different classes — subject to a parent’s wishes for the student to remain in
his/her current or local/chosen school.
A student in an alternate placement remains “awaiting a site offer” until such
time as the student is placed in an appropriate bilingual class, or the IEP
team determines that the student no longer requires bilingual ICT or special
class services.
The Special Education Office monitors the need for and availability of bilingual
ICT and special classes, offering the recommended bilingual programs to
awaiting students as the programs become available. Whenever an IEP
team makes a new recommendation for bilingual ICT or bilingual
Special Class, or when a new student arrives at a school that does
not have the student’s recommended bilingual ICT or bilingual
special class, the school/CSE must email BSEPrograms@schools.
nyc.gov (including the student’s name and NYCID) so that the
recommended placement can be offered if available.
131
Placement in State-Approved / -Supported /
-Operated Programs
Placement in a State-Approved Non-Public School (NPS) through
the Central-Based Support Team (CBST)
When the IEP team makes a recommendation for a NYSED-approved
non-public school (NPS), the CBST case manager will identify schools that
may be appropriate for the student based on the student’s profile, including
but not limited to: the student’s educational functional level, age, IQ, and
disability classification. These factors, coupled with the case manager’s
knowledge of the school’s population, determine the schools to which
the student’s information is forwarded for consideration. The CBST case
manager will contact the parent to explain the application process and
discuss schools that may be appropriate.
The NPS then makes a determination regarding whether to interview the
student and ultimately, whether to accept the student. CBST will assist the
parent with arrangement of transportation to interviews, as needed. Once
an NPS has accepted the student, the CBST case manager will receive
131 The number of students in alternate placements must be reviewed at least twice a year.
a copy of the acceptance letter. A parent may also secure acceptance at
an NPS, in which the CBST case manager must continue to assist in the
placement process.
For reevaluations and initial cases, once a school has been indentified, the
CBST case manager will notify the parent of the acceptance and will send
the Notice of Securement to the school/CSE. For initial cases, the school/
CSE will seek initial consent for the provision of special education services
and notify the CBST case manager when consent has been received.
A new IEP meeting is generally not required for the student to begin
attending the NPS. However, if the student’s need for specialized
transportation and/or transportation accommodations may have changed
based on the location of the NPS, or if other changes to the IEP may be
needed based on the NPS’s service delivery model, the school/CSE must
immediately convene an IEP meeting or seek a waiver to amend the IEP
without a meeting, to ensure that appropriate recommendations are made
and transportation arranged so that the student can begin attending the
NPS as soon as possible.
Consideration of State-Supported Schools (4201) and State-
Operated Schools
State-Supported (4201) Schools and State-Operated Schools are special
education schools serving students with severe emotional disabilities,
students with severe physical disabilities, students who are blind, and
students who are deaf. State-Supported and State-Operated Schools offer
day programs, and some also offer a five-day residential program.
The parent or the IEP team may submit an application to NYSED for a
State-Supported or State-Operated school. The application must be
supported by written evidence of blindness, deafness or severe physical
or emotional disability. The parent will need to make arrangements with
the school for an evaluation. The school will evaluate the student’s special
education needs and eligibility for its program, and forward the results of
the evaluations and the acceptance determination to the DOE school/CSE.
If the student is accepted, the DOE school/CSE will convene an IEP team
meeting and complete all required documentation before forwarding to
NYSED for final approval.
Any recommendation for placement in a State-Supported or State-
Operated School must be confirmed by NYSED. For further information
regarding the application process, see: http://www.p12.nysed.gov/
specialed/lawsregs/sect2007.htm.
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IEP Development and Recommendations for Students Admitted to
Office of Mental Health (OMH) Programs
home instruction should not be recommended as the program on the
student’s I
EP.
When an absence of at least four weeks is anticipated, parents are
encouraged to make arrangements for home instruction to begin as soon
as possible. Schools/CSEs must inform parents of the availability of home
instruction and assist the parent to submit the documentation required by
and included in Chancellor’s Regulation A-170.
If a student is awaiting placement in a specialized school (NPS or D75)
and cannot be maintained in their current setting, even with the addition of
supplementary aids and services, home instruction may be provided on an
interim basis. Schools/CSEs should immediately contact their supervisor of
psychologists or chairperson for guidance when this situation arises.
133
Students in a hospital setting receive instruction after a hospital physician
makes a determination that a student is medically able to do so. Hospital
instruction ends when the student is discharged from the hospital. If the
student may still be too ill to return to school upon discharge, parents
should be encouraged to proactively submit a request for home instruction
before the student is discharged from the hospital to avoid delay in
transitioning to home instruction. Schools should provide support to parents
throughout this process.
For detailed information about DOE home and hospital instruction policy
and procedure, see Chancellor’s Regulation A-170, Home and Hospital
Instruction Programs: Academic Policy and Systems Guidance, and the
Home Instruction Schools webpage.
Home Instruction IEP Recommendations
Home instruction may be an appropriate IEP program recommendation
for a student who has a medical/physical condition or severe emotional/
psychological/behavioral disability that is expected to prevent him/her from
attending school for an extended period of time (i.e., one year or longer).
If the school/CSE believes that home instruction may be an appropriate
recommendation, it must submit a referral to the Office of Home Instruction
through SESIS prior to the IEP meeting, and consult with the supervisor of
psychologists.
134
If consensus cannot be reached on the recommendation,
see Resolving Conflicts at the IEP Meeting. If it is determined at the IEP
meeting that home instruction is the appropriate recommendation for the
student, the IEP must specify the type, location, frequency, duration, and
projected beginning service date(s) of home instruction and related services
that the student will receive under Recommended Special Education
132 Home instruction may also be provided for a student if the student is the parent of a child who has a medical/physical condition which prevents the child from using LYFE or other day care services.
133 Note that a P-1 must be issued under these circumstances, if and when the student is eligible, irrespective of the decision provide home instruction.
134 Review the SESIS/STARS Program Services Guide for details on submitting this referral.
The New York State Office of Mental Health certifies nonresidential
programs designed for the purpose of providing a comprehensive array
of services for students with serious emotional disturbances through
integrated mental health and special education services. These programs
are commonly known as Day Treatment Programs (DTPs).
A student is admitted by the DTP in accordance with the program’s
admission criteria. Entry into a DTP can take place through a referral by
the IEP team at the school the student attends, by a parent, or by a 45-day
Intensive Day Treatment facility that is serving the student. An IEP team
may not recommend that a student receive services in the educational
component of the program unless the DTP has accepted the student.
When a DTP is considering admitting a student in accordance with its
admission criteria, the DTP must immediately request an initial evaluation/
reevaluation to the student’s school/CSE. The DTP will make available
to the IEP team any relevant assessment materials (e.g., psychiatric
assessment). A representative of the DTP Treatment Team must be invited
to participate in the IEP meeting (and may participate by telephone). If a
DTP Treatment Team representative does not participate in the IEP meeting,
the IEP team must seek and consider written input from the DTP.
If, at the IEP meeting, it is determined that the student has a disability and
that educational services at the DTP are appropriate to meet the student’s
special education needs, the IEP is completed as follows:
• Under Recommended Services, enter the special class ratio (e.g., 8:1:1,
15:1:1);
• Under Management Needs, incorporate that Verbal Therapy will be
provided “as needed”;
• Related services not provided by the DTP must be included as usual
(i.e., including frequency, duration, etc.).
Home and Hospital Instruction
Home and hospital instruction are educational services provided to
students who are unable to attend school due to a medical/physical
condition, severe emotional/psychological/behavioral disability, or
hospitalization.
132
For a student to receive home instruction, the anticipated
duration of the student’s absence must be at least four weeks. In general,
when a student’s absence is expected to last less than one school year,
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Programs and Services. F or example:
RECOMMENDED SPECIAL EDUCATION PROGRAMS AND SERVICES
Special Education
Program/Services
Service Delivery
Recommendations
Frequency
How often provided
Duration
Length of session
Location
Where service will be provided
Projected Beginning/
Service Date(s)
Special Education Program:
Special class
Individual home
instruction
5 days/ week
Related Services:
Speech and Individual 5 days/week
Language Therapy
An elementary school-age student must be recommended for at least
5 hours of home instruction per week. A secondary school-age student
(grades 7–12) must be recommended for at least 10 hours of home
instruction per week. The IEP team should seek input or participation from
the Office of Home Instruction in making an individual determination as
to the appropriate number of hours of instruction per week, taking into
consideration the student’s unique circumstances and ability to tolerate
instruction for extended periods, the student’s instructional needs, and the
intensive, personal, 1:1 nature of home instruction.
If home instruction is being recommended, an IEP meeting should be held
within 6 months to review the student’s progress and continuing need for
home instruction and to ensure that a return to school is considered as
soon as it may be possible.
135
Affiliated School Responsibilities for Students Receiving
Home Instruction or Hospital Instruction
When a student is receiving home/hospital instruction, the school with
which the student is affiliated must participate in shared instruction with
the home/hospital instruction provider. Shared instruction means that the
school should be in contact with the home instruction provider to provide
him/her with the student’s curricular materials and other work.
If the student is affiliated with a DOE school, that school remains
responsible for the student’s case while the student is receiving
home/hospital instruction, including conducting Annual Reviews and
Reevaluations, ensuring the participation of the home/hospital instruction
teacher.
136
2 hours / day Student’s home 9/7/17
30 minutes per
Student’s home 9/7/17
session
Students who are enrolled in home or hospital instruction who do not
have IEPs at the time of enrollment may be referred for initial evaluation, as
needed.
• If the student’s affiliated school is a DOE school, the evaluation is
conducted by that school, with support from the Office of Home
Instruction.
• If the student’s affiliated school is not a DOE school, the evaluation
is conducted by the applicable CSE, with support from the Office of
Home Instruction.
When a student with an IEP recommendation for home instruction is ready
to return to school, or when a student receiving home or hospital instruction
is returning to school and their educational or related service needs may
have changed, the school/CSE must refer the student for reevaluation. In
the IEP meeting following the reevaluation, the school/CSE must ensure
that the home/hospital instruction teacher participates in the IEP meeting.
135 Documents must be submitted to the Office of Home Instruction on a yearly basis, but are not required for every IEP meeting.
136 The home/hospital instruction teacher may participate in the IEP meeting by phone if they have all documents that may be discussed readily available.
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P-1 / P-2 Procedures
The P-1 (also called a P1-R / P-1R or “Nickerson” letter) entitles the parent
to enroll the student in an appropriate NYSED Approved Non-Public School
(NPS) at DOE expense, to ensure that the student receives appropriate
special class services as needed.
P-1 Eligibility and Issuance
The P-1 may only be issued by the CSEs, the Impartial Hearing Order
Implementation Unit, or the central Special Education Office. Subject to the
exceptions that follow, a P-1 must be issued if and when:
The student is recommended for a special class for 60% or more of the
school week, exclusive of lunch;
AND
One of the following circumstances applies:
• The DOE has not offered the student’s recommended special class
placement on or before the 60th school day from the date of the DOE’s
receipt of parental consent (initial) or referral (reevaluation), and:
• Placement was not deferred with parental consent; or
• If placement was deferred with parental consent until September,
the DOE has not offered the student’s recommended placement on
or before August 15;
• For a student with a continuing special class recommendation who will
be articulating to a new school in September, the DOE has not offered
the student’s recommended special class placement on or before
August 15;
• For a preschool student with an IEP turning five years old during the
calendar year, the student’s recommended placement was not issued
by the applicable date in the following chart:
Turning Five
Referral Date
Placement Issuance Date
September 1
st
– March 1
st
June 15
March 2
nd
– April 1
st
July 15
April 2
nd
– May 10
th
August 15
May 11
th
– August 31
st
60 school days from the date of referral
In addition a P-1 must be issued when it is evident that the student’s
recommendation will be for a special class but the IEP has not yet been
finalized, and the applicable due date has passed or will pass without a
finalized IEP and placement offer.
Proactive central monitoring of the need for and availability of DOE special
classes is necessary to ensure that students are offered appropriate special
classes as soon as possible, and that any inability to offer a certain special
class is identified so that NPS options may be explored. A P-1 should
be issued at any point prior to the applicable due date when it
is evident that the DOE will not be able to offer the student’s
recommended special class placement on or before the applicable
due date.
A P-1 need not be issued if the delay resulting in the DOE not offering the
recommended special class placement on or before the applicable due
date is attributable to the parent (e.g., requesting postponement of or not
appearing at IEP meetings scheduled with proper notice and attempts to
schedule at a time that is mutually convenient). As always, schools/CSEs
must document all interactions and communications with the parent by
recording entries in the SESIS Events Log and faxing relevant documents
into SESIS.
To ensure timely issuance of placement offers and P-1s when needed,
school/CSE case managers must notify the supervisor of school
psychologists / CSE chairperson of students who are awaiting special class
placement and are within 10 business days of the applicable due date.
The supervisor/chairperson will review the case with the team and work to
immediately secure an appropriate public school placement for the student.
If no public school placement is available or anticipated to be available by
the applicable due date, then:
• the chairperson will issue the P-1;
• the supervisor will send a Nickerson (P-1) Request Form to central SEO
(Nickersons@schools.nyc.gov) for issuance of a P-1.
The P-1 is issued by the authorized user by completing the P-1 in SESIS.
The packet, sent to the parent in full, includes the P-1, P-2, Letter to NPS,
list of NYSED Approved Non-Public Day schools in the metro area, and the
current IEP. The list of NYSED Approved Non-Public Day schools in the
metro area and the current IEP must be printed separately and included
with the P-1, P-2, and Letter to NPS.
When a P-1 has been issued, upon request of the parent, the Central-
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Based Support Team (CBST) must assist the parent in identifying an
available appropriate NPS placement. The responsible office (D75,
BCO, CSE) must make every effort to identify and offer the
recommended public school placement, even after the P-1 has
been issued. In cases in which the DOE has not yet offered the
recommended public school placement and will not be able to do
so imminently, CBST and the responsible office must actively seek
appropriate NPS placements for the student, including arranging
transportation for the parent to NPS placements when necessary.
P-2 Procedures
If an NPS accepts a student pursuant to a P-1, the school completes the
P-2, listing the special class ratio and related services that it will provide,
and returns the P-2 to the central SEO, as directed in the Letter to NPS
included in the P-1 packet.
Upon receipt of the completed P-2 from the NPS, the DOE has 15 days
to determine whether or not the student’s needs can be met by the NPS.
If the DOE does not respond to the P-2, after 15 days the P-2 is deemed
approved.
If SEO approves the P-2 (including if 15 days expire after the DOE’s
receipt of the P-2):
• CBST submits the DCERT (STAC approval) online to NYSED.
• The responsible CSE enters the new NPS code in SESIS and arranges
transportation.
• If a public school placement had been offered, that placement may be
relinquished.
If SEO disapproves the P-2:
• SEO will notify the parent, the NPS, and the issuer of the P-1,
detailing the reason for disapproval (e.g., P-1 expired
137
, staffing ratio
inappropriate, necessary services not offered
138
).
• The parent may continue to seek an appropriate NPS as long as the P-1
has not expired due to a DOE offer of placement prior to the date noted
on the P-1.
Placement in an NPS pursuant to a P-1 is for a limited period, defined by
the date on which the P-1 was issued and/or invoked:
• A P-1 issued between July 1 and March 15 will entitle the student to
attend an appropriate NPS for the remainder of the current school year
only.
• A P-1 issued and invoked between March 16 and June 15 will entitle
the student to attend the NPS for the remainder of the current school
year and the entire following school year.
• A P-1 issued between June 15 and June 30 entitles the student to
attend the NPS for the following school year only.
A student’s acceptance/attendance at an NPS as a result of the P-1
process does not mean the student has an educational need for such
a setting. At subsequent IEP meetings, the IEP team must pursue a
recommendation of the least restrictive environment appropriate, followed
by a timely placement offer.
Contact [email protected] with any questions on the P-1/P-2
process or a specific case.
137 Each P-1 has a “guaranteed enrollment period,” a date until which the parent may invoke the P-1 even if the student has been offered a DOE placement. The applicable date is automatically populated when
the P-1 is generated in SESIS, based on the date the letter is finalized.
138 NPS class staffing ratios and related service delivery models often vary from the DOE’s continuum of special class services. A P-2 will be approved if the class staffing ratio and/or services to be provided are
comparable to those recommended for the student. If there are discrepancies of concern, SEO will contact the NPS (and the parent, if needed) to clarify and resolve the issues as much as possible, with the
goal of assuring that the student receives appropriate services.
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Students with Disabilities Entering or Returning to NYC
When a student with a disability relocates to New York City, and the family
provides a non-DOE IEP (or equivalent document from their city, state, country
or territory), a Comparable Service Plan (CSP) must be developed to provide
the student with services comparable to those described in the non-DOE IEP.
This plan must be implemented until a new IEP has been developed by the
DOE. Note that if a non-DOE IEP and/or supporting materials are not
immediately available—such is the case with most asylees—self-reported
information from the family should be used to create the CSP, as appropriate.
Schools should contact their supervisor of school psychologists for support in
creating CSPs for students without supporting materials.
Creating the Comparable Service Plan
When a student moves from another New York State school district to NYC and
the family informs the DOE that the student received special education services
in the prior district of attendance, the DOE must:
• Immediately (in no more than 5 days), look at whether the student has a
profile in SESIS, and request and obtain the student’s records from the
student’s previous school, including the IEP, supporting documents and
evaluation materials, and any other records relating to the provision of
special education services provided to the student
139
; and
• Meet with the parent to develop a plan to provide the student with services
comparable to those described in the non-NYCDOE IEP.
140
This plan is called
the Comparable Service Plan (CSP), and it must be implemented until a
new DOE IEP has been developed.
Typically the parent will appear at a Family Welcome Center (FWC), which will
create the CSP and provide a placement site. The parent may instead appear
at the CSE, which should create a CSP. If the student’s non-DOE IEP indicates
that the student is recommended to attend a specialized school, the FWC will
refer the family to the CSE to create the CSP.
Occasionally a student with an IEP will enroll in a DOE school without a CSP
already having been created. If no CSP has been created at the time of
student’s enrollment, the school must create the CSP
.
To create the CSP, the FWC/CSE/school should take one of the following
courses of action:
• If the student has a SESIS profile, the student’s External IEP should be faxed
into SESIS with the description “Student’s External IEP”, choosing “IEPs from
Outside NYC” in the “category” field and
“External IEP” in the “form” field. The Comparable Service Plan (CSP) should
be completed in SESIS. After completion, the status of the CSP should be set
to “review.”
• If the student does not have a SESIS profile, and the family appeared at a CSE
or appears at a school to register, the school/CSE should create a SESIS
profile for the student and fax the External IEP into SESIS with the
description “Student’s External IEP”, choosing
“IEPs from Outside NYC” in the “category” field and “External IEP”
in the “form” field. The Comparable Service Plan (CSP) should be completed
in SESIS. After completion, the status of the CSP should be set to “review.”
• If the student does not have a SESIS profile, and the family appeared at a
Family Welcome Center (FWC), the FWC should not
create a SESIS profile.
The FWC should create a profile in ATS and should create a CSP on paper.
The FWC should provide the CSP and External IEP to the receiving school.
The receiving school will then fax the CSP and the External IEP into SESIS
after creating a SESIS profile for the incoming student. The receiving school
must implement the CSP until a new IEP is created.
The CSP is printed as a PWN: Recommendation, showing the services
proposed for the student, which includes details regarding service delivery,
such as the frequency, duration, location, and projected beginning date of
services.
139 If the student is returning from a New York State Office of Children and Family Services (OCFS) or Administration of Children’s Services (ACS) contract facility court-ordered placement, the releasing site
should forward documentation to the Office of Student Enrollment ([email protected]). If a family of a student who will be released from an OCFS placement appears at a CSE, the CSE should
email [email protected] to determine next steps. See the section below for more information regarding students returning from OCFS placement.
140 If the student is returning to NYC and had an NYCDOE IEP, that IEP should also be referenced when determining the services recommended on the CSP; however, the more recent IEP should be given
greater weight.
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Once the CSP has been created, a placement will be identified as soon as
possible, but no later than five days from the date the family appears at the
FWC, CSE, or school for enrollment. The parent will be provided with the
CSP and a notice of the school the student will attend. The receiving school
will receive the CSP and supporting documentation (e.g., student’s records
and any other materials received from the student’s previous school).
141
Upon the student’s enrollment, the school must immediately program the
student according to the CSP. If no CSP has been created at the time of
student’s enrollment, the school must create and implement the CSP (as
per directions above).
Developing the IEP for Students with
Disabilities Entering or Returning to NYC
After a student with a disability enters or returns to New York City and a
CSP has been created, the DOE must take the steps below. The steps
differ depending on whether the student is coming from another school
district in New York State, from out of state, or has been discharged from a
court-ordered placement.
Students Entering NYC from a School District within New
York State
The IEP team must develop an IEP in accordance with the procedures
set out in this manual. This must be done within 30 calendar days of
the student’s enrollment at the school. If the IEP team questions the
appropriateness of the previous district’s service recommendations, the
IEP team should consider conducting new evaluations prior to developing
the NYCDOE IEP.
142
This determination as to whether to create an IEP or
evaluate the student must be made as soon as the student is enrolled in
the DOE school or, if the student will not be attending a DOE school, is
identified to the CSE to avoid delays.
Students Entering NYC from Another State
Because each state has its own eligibility requirements, the student’s
evaluation materials and IEP might not necessarily be consistent with New
York State standards. Therefore, the IEP team must determine whether it
will adopt the evaluation materials and IEP from the student’s prior school.
This determination as to whether to create an IEP or evaluate the student
must be made as soon as the student is enrolled in the DOE school or, if
the student will not be attending a DOE school, is identified to the CSE to
avoid delays.
• If the DOE agrees with the eligibility determination made by the
student’s prior school, within 30 calendar days of the student’s
enrollment at the school, the IEP team at the school in which the
student is enrolled must develop a new IEP. If the DOE agrees with
the previous eligibility determination but questions the appropriateness
of the previous state’s service recommendations, the IEP team should
consider conducting new evaluations prior to developing the IEP.
• If the DOE does not agree with the eligibility determination made by the
student’s prior school, the IEP team at the student’s new school must
evaluate the student. The social worker must obtain parental consent to
evaluate immediately following the CSP meeting or as soon as possible
thereafter.
Students Discharged from OCFS or ACS Placement Returning
to a NYC Public School
To facilitate the transition of students with disabilities returning to New York
City Public Schools following placement with the New York State Office
of Children and Family Services (OCFS) or Administration for Children’s
Services (ACS) contract agency placement, the releasing facility will
provide certain information to the DOE up to 60 days prior to the student’s
release. Those materials should be uploaded to SESIS to enable the IEP
team to review all relevant materials in developing an IEP.
The school/CSE has 30 calendar days from the date the student is
admitted to the school to develop an IEP. If it is determined that new
assessments are needed to make an appropriate recommendation, the
school/CSE has an additional 30 school days to conduct assessments,
hold the IEP meeting, and arrange for the services and program on the IEP.
141 If the student is currently attending a NYSED-approved Non-Public School, the CSE should determine in conjunction with OPT if it is feasible for the student to be transported from the student’s current
residence to the Non-Public School. If so, the CSP should indicate the Non-Public School and transportation should be arranged with OPT. The CSE should then proceed with IEP development, which may
include consideration of less restrictive placements.
142 The school/CSE must accept the non-DOE IEP eligibility determination if the IEP was in effect in New York State and the student transferred to an NYC school within the same school year.
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Students In Private or Religious Schools
The DOE has special education responsibilities for students who have been
placed by their parents in private or religious schools in New York City at
their own expense, including students who reside in New York State
outside New York City, and students who reside outside New York State.1
Such a student is referred to as a “parentally placed student.”
The DOE has the obligation to identify, locate, and evaluate each child
attending a private and religious school in New York City who has a
disability or is suspected of being a child with a disability (“Child Find”). For
these students the DOE follows the same initial referral and evaluation
process as for all students.
For students who reside outside New York City, parental consent must be
obtained before any personally identifiable information about the student
relating to special education is shared between the DOE and the student’s
district of residence. The Request to Share Personally Identifiable
Information Form must be provided to the parent and signed when an initial
evaluation or reevaluation is requested.
If a parentally placed student is found eligible for special education
services, the IEP team must determine whether a parent is requesting a
Free Appropriate Public Education (FAPE)2 for the student or:
• “equitable special education services” (for students who reside in New
York State); or
• “equitable participation” in special education services (for students who
reside outside New York State).
If the parent is requesting FAPE and the student is a New York City
resident, the IEP team must develop an IEP and ensure that a placement
offer is made for the recommended program.
145
If the parent is requesting
FAPE and the student is not a New York City resident, the school/CSE
must inform the parent to contact the student’s school district of residence
for development of an IEP.
If the student is a New York State (including New York City) resident
and the parent requests equitable special education services, the IEP
team must develop an Individualized Education Services Plan (IESP).
An IESP may include services such as related services, Special
Education Teacher Support Services, paraprofessionals, and
transportation.
If the student resides outside New York State and the parent requests
“equitable participation” in special education services, the IEP team
must develop a Services Plan (SP). An SP may include services from a
list created by the DOE annually.4
A representative of the student’s school must be invited to participate
in the meeting to develop the IESP/SP. If the school representative’s
participation cannot be obtained, input and documentation from the
school must be requested, and considered at the IEP meeting.5 The
CSE is responsible for the case of a student with an IESP/SP, including
requested and three-year reevaluations, requested and annual
reviews, and arrangement of services (through Provider Assignment).
If the IEP team determines that the student will need extended school
year services, an IEP must be developed for the recommended ESY
services if the student is a New York City resident. If the student is not
a New York City resident, the parent must be informed to contact the
student’s district of residence for an IEP for ESY.
If a New York City resident student is parentally placed in a school
outside New York City, the school/CSE must direct the parent to
contact the school district in which the student’s school is located for
10-month special education services. If the student requires ESY, the
CSE must complete an IEP meeting to recommend ESY services.
143 This does not apply to students who are: (1) attending private schools via placement by a public agency, (2) enrolled in Charter Schools, (3) in private day care or preschool programs, (4) enrolled by their
parents in public schools outside of their district of residence, or (5) parentally placed in drug rehabilitation centers or hospitals.
144
A parent may request FAPE but “unilaterally place” a student in private school, in which case the parent may seek DOE payment or reimbursement of private school tuition through an impartial hearing. The
term “Parentally placed” refers to a student whose parent (or other private party) is funding his/her education in a private or religious school (or approved home schooling program), and is requesting that the
DOE provide equitable special education services, not private school tuition.
145 A parent may request FAPE at any time after having requested equitable services/participation.
146The services available through “equitable participation” are determined by DOE consultation with representatives of parents of parentally placed students and representatives of private/religious schools.
147 For guidance on creating the IESP/SP in SESIS, click here. For additional SESIS steps, click here.
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Parents of students with IESPs must request special education
services for the upcoming school year in writing to the CSE by June
1. Such written requests must include the following information:
1. Identification information of the student, including name, date of
birth, and student ID;
2. Contact information for the parent, including name, phone
number, and email address;
3. Contact information for the nonpublic school, including name of
school and address;
4. A statement that the parent intends to enroll their child in a
nonpublic private or religious school located in New York City at
their own private expense and is requesting equitable special
education services for the upcoming school year.
The DOE has a sample Request for Special Education Services form
on the DOE website that parents may sign and return to the
appropriate CSE.
For a New York State resident student who is initially identified:
• on or after June 1 and before September 1:
o the parent must request services for the upcoming 10-
month school year within 30 days
• on or after September 1 and before April 1:
o the parent must request services for the current 10-
month school year within 30 days
• on or after April 1 and before June 1
o the parent must request services for the upcoming 10-
month school year by June 1.
To promote inclusion of students with disabilities, private/religious
schools are encouraged to allow related service and SETSS providers
to provide “push-in” services — in the student’s classroom, in
coordination with their teacher(s) — whenever feasible and appropriate
for the student’s needs and goals, as documented in the IESP/SP.
Classroom-based services allow for intervention to occur in the
student’s natural learning environment. Related service and SETSS
providers should plan together with private/religious schools and
classroom teachers to integrate and align services with the student’s
curriculum, and to schedule service delivery in order to maximize the
amount of time students with IESPs/SPs spend in the same setting as
their peers, including physical education and recess periods.
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Students with Disabilities Subject to D
suspensions must be entered into SOHO at the time the decision is made
to remove the student or impose the removal. When the school enters
information into SOHO, SOHO will guide the user through the procedural
due process requirements for SWDs, including the process to determine
whether an MDR must be held and if so, the timing of the MDR.
An MDR must be conducted when a student with a disability is subject to a
“disciplinary change of placement.” A disciplinary change of placement occurs
whenever a student is removed from his/her current educational program for
more than 10 consecutive school days in a school year or for more than 10
cumulative school days in a school year as the result of a “pattern of removals.”
The purpose of the MDR is to determine whether the behavior that led to the
disciplinary removal or the proposed disciplinary removal was caused by or
had a direct and substantial relationship to the student’s disability and/or was
the direct result of a failure to implement the student’s IEP.
Students Requiring MDRs
An MDR must be conducted for any student with an IEP or 504 Plan who is
subject to a disciplinary change of placement, as defined in this section. If a
student does not have an IEP or 504 Plan, but the DOE is “deemed to know”
that the student is a student with a disability under the IDEA, the student is
entitled to the same due process protections as a student with an IEP who is
subject to disciplinary removal. See “Deemed to Know” below.
Disciplinary Change of Placement
A disciplinary change of placement occurs if a student with a disability is
removed from his/her current education program:
iscipline
Students with IEPs or 504 plans (referred to collectively as students with
disabilities or SWDs) who are subject to discipline are afforded specific
protections under federal and state law and regulations and DOE policy.
Every reasonable effort must be made to correct student behavior through
interventions and supports. Such supports and interventions should be used
both as a preventative measure, and, where disciplinary action is warranted,
in connection with the discipline. If disciplinary action is warranted, a
Manifestation Determination Review (MDR) must be conducted in certain
circumstances to ensure that a SWD is not being disciplined for behavior
(i) that has a direct and substantial relationship to the student’s disability and/
or (ii) that is a direct result of a school’s failure to implement the student’s IEP.
This section addresses:
• The circumstances under which an MDR must be conducted for a SWD;
• How to schedule an MDR meeting and notify parents of such meeting;
• The for conducting an MDR meeting;
• The procedural requirements steps that a school must take following an
MDR; and
• How SOHO,148 the DOE’s system of record for suspensions
and removals, supports schools in complying with the procedural
requirements of conducting an MDR.
Disciplinary Removals
A student with a disability cannot be removed from his/her classroom for
disciplinary reasons, except as a result of a teacher removal, principal’s
suspension or superintendent’s suspension. All procedural due process
requirements must be followed when these disciplinary removals are
imposed.
149
While these due process procedures (including MDRs) are
being implemented, the student must remain in his/her classroom setting
and may not be removed until after the suspension hearing/conference and
associated MDR have taken place, unless the student was removed prior to
the hearing/conference.
150
All teacher removals, principal’s suspensions, and superintendent’s
148 SOHO stands for “Suspensions and Office of Hearings Online.”
• For more than 10 consecutive school days as a result of a
superintendent’s suspension; or
• For more than 10 cumulative school days in a school year as a result of
multiple disciplinary removals that constitute a “pattern of removals,” as
defined below.
149 Superintendent’s suspensions, principal’s suspensions and teacher removals are referred to collectively herein as “disciplinary removals.” For more information regarding how these disciplinary removals are
effectuated, see Chancellor’s Regulation A-443.
150 A student may be removed prior to a principal’s suspension conference only if the principal/designee has determined that the student’s continued presence in school poses a continuing danger or an ongoing
threat of disruption. With respect to superintendent’s suspensions, students charged with certain infractions of the Discipline Code must remain in school in their classes pending the suspension hearing
unless the principal/designee believes that the students’ continued presence in school poses an immediate or continuing danger to persons or property or an ongoing threat of disruption to the academic
process. Students charged with other more serious infractions of the Discipline Code will be assigned to an alternative site prior to the hearing unless the principal decides that the student will remain in
school pending the hearing. Students charged with the most serious infractions must be assigned to an alternative instruction site prior to the hearing.
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The principal/designee must enter all disciplinary removals (teacher
removals, principal’s suspensions, and superintendent’s suspensions) into
SOHO at the time the decision is made to impose, or seek to impose,
discipline. SOHO is programmed to calculate the total number of days of
removal
151
in a school year and to notify the principal by email when the
imposition of discipline will result in a disciplinary change of placement.
Pattern of Removals
There are two types of patterns of removals that may result from the
imposition of discipline: Presumptive patterns and Non-presumptive
patterns.
152
Presumptive Patterns of Removals
As a matter of DOE policy, a pattern of removals is presumed and an MDR
is required whenever a SWD will be removed from his/her educational
placement for more than 10 cumulative school days in a 40 school day
period as the result of the imposition of at least three disciplinary removals
of 10 school days or fewer. Such a pattern is referred to as a “presumptive
pattern of removals.” When the imposition of a disciplinary removal will
result in a presumptive pattern of removals, SOHO is programmed to
notify the school by email that an MDR is required. In these instances, the
principal/designee does not have to decide whether a pattern of removals
will occur if discipline is imposed, as described below. It is presumed to
occur and an MDR must be held.
Non-presumptive Patterns of Removals
If the imposition of a disciplinary removal will result in the SWD being
removed for more than 10 cumulative school days in the school year and
does not result in a presumptive pattern of removals, the principal/designee
must determine whether a non-presumptive pattern of removals will occur if
the discipline is imposed. Once an SWD has been removed for more than
10 cumulative school days in the school year, the non-presumptive pattern
determination must be made for every subsequent removal of less than 11
consecutive school days which will not result in a presumptive pattern. This
determination must be made regardless of whether prior behaviors have
been found to constitute a pattern of behavior or an MDR has previously
been conducted for the student.
In determining whether a non-presumptive pattern of removals will occur the
principal/designee must consider:
• Whether the behaviors underlying the prior and proposed disciplinary
removals are substantially similar, including prior behavior(s) that
resulted in positive manifestation determinations during the current
school year; and
• If those behaviors are substantially similar, whether the imposition of
the removal will result in a pattern of removals, taking into account the
nature of the behavior and additional factors including the temporal
proximity of the prior and proposed removals to one another, the length
of each removal, and the total amount of time the student will have been
removed.
SOHO will prompt the school to answer questions (as described in more
detail in Conducting an MDR Meeting) when the principal/designee enters
the disciplinary removal into SOHO.
To help the principal/designee, the following information regarding each
prior disciplinary removal is available in SOHO:
• The number of days of removal for each disciplinary action;
• The date each removal was imposed;
• The infraction code(s) associated with each disciplinary removal; and
• A link to the associated Online Occurrence Reporting System (OORS)
report for each disciplinary removal, which includes a description of the
behavior for which the student has been removed.
Determining Whether a Disciplinary Removal will Result in a Non-
Presumptive Pattern of Removals
Principal’s Suspension/Teacher Removal
The following sets forth the SOHO-assisted process for determining
whether the imposition of a teacher removal or principal’s suspension will
result in a non-presumptive pattern of removals.
The principal/designee must enter the number of days of a teacher removal
or of a proposed or imposed principal’s suspension into SOHO. SOHO will
calculate the cumulative number of days of removal for the student for the
school year.
151 A disciplinary removal of a SWD for any portion of a day is counted as a disciplinary removal for a full day for the purposes of determining the number of days of removal.
152 SOHO is programmed to prompt a pattern determination by looking at the number of days for which the student has been removed during the current school year, including the time that a student has been
removed for a prehearing removal.
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If the number of days of the proposed removal, when aggregated with prior
removal(s), results in more than 10 cumulative school days of removal in the
school year, and a presumptive pattern of removals will not occur, SOHO
will prompt the principal/designee to make a determination as to whether a
non-presumptive pattern of removals will occur if the removal is imposed by
answering the following question(s):
(1) Is this behavior substantially similar to the student’s behavior in the previous
incident(s) that resulted in disciplinary action (removal/suspension) this
school year, taking into account what happened in the incidents and the
surrounding circumstances, including but not limited to, the precipitating
events, the location and time of the incidents and the participants?
In responding to this question, schools should consider all factors listed
in the question, even if the locations, time or events are not the same. In
assessing similarity, the incidents do not need to be identical in order to be
substantially similar.
If the principal/designee responds “NO” to this question, a pattern of
removals will not occur and an MDR will not be required.
If the principal/designee responds “YES” to this question, the principal/
designee will be asked to consider additional factors in determining
whether a pattern of removals will occur if the discipline is imposed. The
following will appear in SOHO:
(2) In addition to considering the similarity of behaviors, you must determine
whether there is a pattern of removals by considering additional factors such
as:
(A) The length of prior disciplinary actions during the current school year;
(B) The total amount of time the student has been removed from school
during the current school year as a result of disciplinary actions; and
(C) The temporal proximity to one another of the disciplinary actions under
consideration.
The principal/designee must consider these factors and determine whether
a pattern of removals will occur if the teacher removal or principal’s
suspension is imposed and enter his/her decision into SOHO.
If the principal/designee determines that there is a pattern of removals, the
principal must answer “YES” to the second question in SOHO. SOHO will
then send an email notifying the school that an MDR must be conducted
and that the school must take the following steps:
• Schedule the MDR and send the suspension/removal and MDR
notification letter generated from SOHO to notify the parent of the MDR.
Call the parent to confirm attendance.
• Review the MDR Worksheet and gather the relevant documents to
prepare for the meeting.
• Ensure that the appropriate staff members will be present at the MDR.
• Conduct the meeting and complete the Worksheet at the meeting.
• Within 24 hours of the completion of the MDR meeting, enter the MDR
Worksheet into SOHO. The Worksheet is accessed in the MDR queue
by scrolling to the last column on the right.
Upon request, interpretation must be made available for parents whose
preferred language is other than English. See Interpretation for requirements
and best practices regarding interpretation.
Superintendent’s Suspensions of 10 Days or Less
Whenever a superintendent’s suspension has been authorized for a SWD,
there is the possibility of a disciplinary change of placement following the
hearing if the charges are sustained. Therefore, as soon as the suspension is
authorized, SOHO preliminarily schedules the MDR and notifies the school
by email of the date for the MDR. The Hearing Office will send a letter to the
parent notifying the parent of the possible MDR.
If the charges are sustained at the suspension hearing or a plea of no contest
is entered, the suspension hearing office will enter the proposed disposition
into SOHO.
If the proposed disposition following the hearing or plea of no contest is
a continued suspension for fewer than 11 school days and will result in a
presumptive pattern of removals, the MDR must be conducted as originally
scheduled by SOHO.
153
The principal will receive an email reminding him/her
of the scheduled date for conducting the MDR.
If the proposed disposition is for fewer than 11 school days, but the
imposition of the discipline will result in more than 10 cumulative school
days of removal and will NOT result in a presumptive pattern, the principal/
designee will be required to make a non-presumptive pattern of removals
determination in SOHO. SOHO will send an email to the principal directing
the school to access the “MDR Queue” in SOHO and make a non-
presumptive pattern of removals determination, as set forth above.
If the principal/designee determines in SOHO that there is a non-presumptive
pattern of removals, an MDR must take place (and the principal will receive
an email reminding the school of the deadline for the MDR). If the principal/
153 Additionally, if the proposed disposition is for greater than ten school days, the MDR will also go forward as planned.
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designee determines that no pattern exists, an MDR is not required and an
email will be sent to the school notifying the principal of the cancellation of
the MDR. The school must notify the parent of the cancellation.
Timeframes and Notification
Requirements
The timeframes and notification requirements for MDRs are set forth
below. Timeframes for scheduling MDRs differ depending upon the type of
disciplinary removal.
Parents must receive written notification of the MDR. This notice must inform
the parent of:
• The date of the meeting;
• The purpose of the meeting;
• The names of all individuals whom the principal/designee expects to
attend; and
• The parent’s right to request that additional individuals participate.
Schools are required to use the parent notification letters in SOHO to
notify the parent of the removal/suspension and the MDR meeting. For
superintendent’s suspensions, the suspension hearing office will notify
parents in writing of the suspension and the MDR date. Copies of these
letters are available in SOHO. The procedural safeguards notice must be
sent to the parent along with the MDR notice every time a disciplinary change
of placement occurs.
Superintendent’s Suspension that Results in a Disciplinary
Change of Placement
Whenever a superintendent’s suspension has been imposed for a student
with a disability, SOHO automatically schedules an MDR for two school
days after the hearing date and notifies the school by email of the date of the
suspension hearing and the MDR.
The MDR will be canceled by SOHO if, following the suspension hearing or a
plea of no contest:
• The charges are dismissed; or
• The imposition of the discipline will not result in a presumptive or non-
presumptive pattern of removals.
The suspension hearing office will notify the parent in writing of the
suspension and the date of the suspension hearing and the required
information about the MDR, described above. The suspension hearing office
will also notify the school of any hearing postponements or rescheduled or
canceled MDRs and the school must notify the parent of these changes.
Principal’s Suspension that Results in a Disciplinary Change of
Placement
The MDR must be conducted no later than five school days after the date
scheduled for the principal’s suspension conference unless the conference
is adjourned by the parent. SOHO will automatically notify the school that
an MDR must be scheduled by that date. If the conference is adjourned by
the parent, the MDR must be rescheduled (to occur within five days of the
rescheduled conference). The school must enter the new date and the reason
for holding the meeting after the deadline in SOHO.
The school must notify the parent in writing of the suspension and the MDR
by sending the notification letter found in SOHO. This notice must be sent in
a manner which assures receipt within 24 hours of the decision to suspend.
Any subsequent change to the MDR date or time must be accompanied by
notification to the parent.
Teacher Removals that Result in a Disciplinary Change of
Placement
The MDR must be conducted no later than five school days after the date the
teacher removal was imposed. SOHO will automatically notify the school that
an MDR must be conducted by that date.
The school must notify the parent in writing of the MDR by sending the
teacher removal/MDR notification found in SOHO on the same date the
removal is imposed. The notice contains the required information about the
MDR, as described above. Additionally, any subsequent change to the MDR
date or time must be accompanied by notification to the parent.
Required Members of the MDR Team
The following people must participate in the MDR in person, unless otherwise
indicated (this group is referred to as the MDR Team):
• (Required Member) A representative of the school district knowledgeable
about the student and the interpretation of information about the
student’s behavior;
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• The parent (the parent may participate in person or by phone);
154
and
• Other participants as determined by the school district and/or the parent
(other participants may participate by phone, if necessary).
Upon request, interpretation must be made available for parents
whose preferred language is other than English. See Interpretation for
requirements and best practices regarding interpretation.
It is recommended that at least two school staff members attend the MDR
meeting. Ideally, meeting participants will include clinicians who know the
student and his/her disability, individuals who are familiar with the incident
(or should be spoken to before the meeting to understand what happened
at the incident and any hearing/conference that took place prior to the
MDR), individuals the parent brought to the meeting, and/or the student (if
appropriate).
Conducting an MDR Meeting
An MDR Worksheet must be completed by the MDR Team. The MDR
Worksheet (updated for the 2016-17 school year) can be found in the MDR
queue in SOHO or at http://ats.nycboe.net/Safety/soho/Suspension_
Documents/MDRWorksheet.pdf. Schools must respond to every question
on the Worksheet. The steps that schools must follow in conducting the
MDR are set forth below. This section also provides some procedural
guidance to the MDR team on the factors to consider in making a MDR
determination.
Procedural Requirements
The MDR should begin with confirmation that the required members are
present. The participants must be documented on the MDR Worksheet.
Next, the MDR Team must identify each document present at the meeting.
Any document relevant to the MDR discussion must be present and
reviewed by the MDR team. At a minimum, this must include:
• IEP or 504 Plan;
155
• Functional Behavioral Assessment (if it exists);
• Behavioral Intervention Plan (if it exists);
• Teacher anecdotes;
• The OORS report (and any OORS reports for prior related incidents);
• Relevant evaluations; and
• Information provided by the parents.
Review of Documents and Discussion of Disability
The MDR Team must review the documentation noted above and discuss
the student’s behavior and disability in order to determine whether
behaviors identified in the IEP, the FBA, and/or the BIP are similar to or
related to the behavior which is the subject of the MDR. The MDR Team
must also consider any information provided by the parent and other
relevant documents and information as determined by the school (e.g.,
OORS reports from prior incidents, report cards, etc.). If an interpreter is
present at the meeting, they should explain as needed any documents that
are the subject of discussion. The questions on the MDR Worksheet are
intended to guide the MDR Team through this analysis.
Each document should be carefully reviewed and discussed, focusing on
any behavioral concerns and triggers noted in the documents. This may
include consideration of academic factors that are related to the student’s
behavior. Following the discussion of the documents, the MDR Team must
also consider whether there are any behavioral concerns or observations
about the student that are not contained in the documents and record the
discussion on the Worksheet.
Based on the MDR Team’s review of the documents and other information
discussed, the MDR Team must describe the student’s disability and how it
affects the student’s behavior (“disability-related behavior”). The MDR Team
must look beyond the disability classification and generalizations about the
classification to discuss how the specific characteristics of the disability are
evidenced with the student.
Information about the Incident
MDR Teams must review incident-related documents/information and discuss
the student’s behavior, including:
• OORS Report and charges;
• Sustained charges or findings of fact, if available (for Superintendent’s
Suspensions);
• Summary of principal’s conference, if available (for Principal’s
Suspensions);
154 If the parent has been provided with the required notification and does not attend the meeting or participate by phone, the meeting may still take place. If the parent informs the school that he or she is
unavailable on the scheduled date and requests that the school reschedule the MDR, the school should take reasonable steps to reschedule.
155 If the MDR Team is conducting the MDR based on a 504 Plan, the underlying documentation from the 504 Plan should also be considered, if relevant.
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• Notes from teacher conference or parent communication, if available (for
Teacher Removals); and/or
• Other information relevant to the MDR discussion.
The MDR Team must describe the behavior and circumstances that resulted
in the disciplinary action (e.g., where and when did the incident take place,
how did other students and adults behave, the student’s role, reaction and
any immediate consequences). Next, the MDR Team must determine what
prompted the student’s behavior and what the triggering events that led
to the incident were (e.g., what occurred immediately prior to the incident,
motivation behind engaging in the behavior).
Relationship between the Disability and the Incident
The MDR Team must discuss the relationship between the disability and
the incident to determine whether or not the incident was caused by or had
a direct and substantial relationship to the student’s disability. In answering
these questions, the MDR Team must refer to documents, anecdotals, and
other observations discussed above. The MDR Team must examine whether
or not the behavior that led to the incident is similar to, or related to, the
disability-related behaviors and triggering events that have previously been
identified in the documents or other observations.
Following this discussion, if the student had a BIP, the MDR Team must
re-examine the document and determine whether the behavior focused
on was the same as the behavior that led to the incident in question. If the
answer is “YES”, the MDR Team must determine that the behavior that led
to the incident in question was caused by or had a direct and substantial
relationship to the student’s disability.
For all students, whether or not the student has a BIP, the MDR Team must
use the information learned from a review of the documents and discussion
during the meeting, to answer the following question: Was the conduct in
question caused by or did it have a direct and substantial relationship to the
student’s disability?
A determination must be made as to whether there is a causal link between
the conduct for which the student was suspended and the student’s
disability. The MDR Team must consider all of the student’s special education
needs, regardless of whether the behavior is commonly linked to
the disability category in which the student has been classified.
Although the primary focus of the MDR should be on the behavior subject to
disciplinary action, the MDR Team must also examine any triggering events
or circumstances that may have occurred immediately prior to the behavior
subject to disciplinary action. In addition, the MDR team must analyze
the student’s behavior across settings and across time when determining
whether the conduct in question is a direct result of the disability (e.g.,
behavior occurring at the same time of the day as previous behaviors,
whether the student had been able to control his/her conduct in similar
situations or settings in the past, whether there was something different
about the circumstances on the day of the behavior subject to the disciplinary
action than other similar situations or settings in the past, etc.).
The Team must explain the response and document that explanation on the
Worksheet.
Implementation of Program and Services
The MDR Team must discuss whether the student was receiving the program
and all of the services outlined on the IEP and must answer the following
question: Was the conduct in question a direct result of the DOE’s failure to
implement the student’s IEP?
The MDR Team must consider whether a part of the IEP was not
implemented, and if so, whether implementation of that part of the IEP would
have prevented this conduct or made it less likely to occur. In determining
whether the conduct in question was a direct result of the DOE’s failure to
implement the student’s IEP, the Team must answer “YES” if the IEP was not
fully implemented and there was a direct impact on behavior. The Team must
answer “No” if:
• The IEP was not fully implemented and there was no impact on behavior;
or
• The IEP was fully implemented.
In, the MDR Team must explain and document its response on the
Worksheet. The response should include, if applicable, areas of non-
implementation and a description of whether and how there was an impact
on the student’s behavior.
Meeting Outcomes
If the MDR Team agrees that the answer to either one or both of these
questions is “YES,” the behavior IS a manifestation of the student’s disability.
If the answer to both questions is “NO,” the behavior IS NOT a manifestation
of the student’s disability.
Enter Meeting Information into SOHO
Enter the following information in the student’s MDR record found in the
MDR queue: (1) the date the MDR was held; (2) the participants; and (3) the
meeting outcome.
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If the MDR team has completed a paper copy of the MDR Worksheet, the
school must enter all information from the MDR Worksheet into SOHO,
maintain the paper copy at the school, and provide a copy of the MDR
Worksheet to the parent upon request. Alternatively, the MDR Team must
enter and complete the MDR Worksheet directly into SOHO at the meeting
and provide a copy to the parent upon request.
Required Steps Following the MDR
Meeting
Determination of a Manifestation
If the MDR Team finds that the action for which the student was subject
to discipline was a manifestation of his/her disability, the student must be
immediately returned to school, except as set forth below.
If a student’s misconduct is found to be a manifestation of the student’s
disability, the student may still be assigned to an Alternate Learning Center
(ALC) for up to 45 school days by the CEO/designee if charges involving
the following offenses were sustained at the superintendent’s suspension
hearing:
• Weapons: The student brought or possessed a weapon
156
in school,
on school premises, or at a school function under the jurisdiction of the
school or DOE.
• Drugs: The student knowingly possessed or used illegal drugs or
sold or solicited the sale of a controlled substance while at school, on
school premises, or at a school function under the jurisdiction of the
school or DOE.
• Serious bodily injury: The student inflicted serious bodily injury on
another person at school, on school premises, or at a school function,
meaning bodily injury which involves a substantial risk of death, extreme
physical pain, protracted and obvious disfigurement, or protracted loss or
impairment of the function of a bodily member, organ or mental faculty.
The following steps must also be taken if the MDR Team concludes that the
action is a manifestation:
• If the student does not already have one, a Functional Behavioral
Assessment (FBA) must be conducted and, if appropriate, a Behavioral
Intervention Plan (BIP) must be developed and implemented immediately.
For more information about FBAs and BIPs, visit the “Behavior Supports”
page within the Special Education Resources section on the DOE
InfoHub.
• If an FBA has already been conducted, it must be reviewed to determine
whether a new FBA is needed and whether a BIP should be created.
If a BIP has already been developed, it must be reviewed and modified
as necessary to address the behavior that resulted in the removal.
Additionally, if appropriate, the BIP should be reviewed to address other
behaviors identified in the FBA that impede learning.
• If the student’s IEP is not fully implemented, steps must be taken
immediately to remedy the deficiencies.
Determination of No Manifestation
If it is determined that the student’s behavior was not a manifestation of his/
her disability, the disciplinary removal may be imposed.
The following additional steps must be taken:
• At the next IEP meeting, the IEP team must determine whether the
student’s behavior necessitates conducting an FBA and/or developing
or reviewing a BIP.
157
If the student requires an FBA, one must be
conducted, and a decision must be made as to whether the student
requires a BIP. If the student requires a BIP, it must be developed and
implemented immediately. If the student already has a BIP, it must be
reviewed to determine if a new FBA is needed to gather new data or if
changes need to be made to the BIP.
• The FBA and BIP must be forwarded to the student’s suspension site
upon completion.
For Either Outcome
Regardless of whether the behavior is found to be a manifestation of the
student’s disability, if any member of the MDR Team determines that the
educational or related service needs of the student warrant a change in the
student’s program or a reevaluation of the student, the member must submit a
request for a reevaluation or an IEP review immediately following completion
of the MDR.
156 A weapon for these purposes means a weapon, device, instrument, material or substance, animate or inanimate, that is used for, or is readily capable of, causing death or serious bodily injury, except that this
term does not include a pocket or other knife with a blade of less than two and one-half inches in length.
157 If the student is attending an ALC, the school should work with the ALC staff to gather the relevant information to create or update the FBA/BIP.
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The DOE is not “deemed to know” the student is a student with a disability
Order from Impartial Hearing Officer to
(i.e., the student is not presumed to be a student with a disability for
Place a Student in an ALC
disciplinary purposes), if:
In exceptional cases the DOE may also seek an order from a special
education impartial hearing officer to place a student in an ALC for up to 45
days when maintaining the student in his/her current educational placement
is substantially likely to result in injury to the student or others.
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The order
may be sought without seeking disciplinary action, in which case the
student remains in school pending the outcome of the hearing. The student
may remain in the ALC regardless of the determination of an MDR Team.
Prior to pursuing this type of removal, the school should consult with
relevant supervisors who should contact the central DOE Special
Education Office for guidance.
“Deemed to Know”
The procedural protections of the IDEA apply to a student without an IEP if
the DOE is “deemed to know” that the student is a student with a disability.
This means that the student is presumed to be a student with a disability for
disciplinary purposes.
The DOE is “deemed to know” that a student is a student with a disability if,
prior to the conduct at issue:
• The parent expressed concern in writing to a school-based
administrator, the district CSE or a teacher of the student advising that
he/she thinks his/her child may have a disability;
• The parent has requested in writing to the school principal or the district
CSE an evaluation of his/her child to determine whether the student is a
student with a disability (request for an initial evaluation); or
• A teacher of the student, or other DOE employee, has expressed
concerns directly to the school principal or district CSE or other
appropriate supervisory personnel about a pattern of behaviors
demonstrated by the student.
• The parent declined to consent to an evaluation, has not produced the
student for an evaluation or has revoked or withdrawn consent;
• The parent refused to allow the provision of special education services;
or
• The student was evaluated and determined not to be a student with a
disability under the IDEA.
If it is determined that the DOE is “deemed to know” that a student is
a student with a disability, the school must determine if there is/will be a
disciplinary change of placement. If there is/will be a disciplinary change of
placement, an MDR must be conducted for the student.
Suspension Plan
If a student with a disability is removed from his or her school program
for more than 10 consecutive school days, a Suspension Plan must be
created. The Suspension Plan provides information regarding the student
and delineates the programs and services the student will receive during
the removal. A Suspension Plan must be created whenever either: (1) the
student is removed for 10 or more consecutive days as a result of a
suspension, or (2) the student is removed pre-hearing and an adjournment
results in the student being out of his or her regular school program for
more than 10 consecutive school days.
A Suspension Plan is a collaborative effort between the student’s school
(the home school) and the suspension site
159
to determine the programs
and services that will enable the student to make progress toward meeting
his/her annual goals during the period of removal. The Suspension Plan
must include an explanation of the student’s level of need in math, listening,
speaking, writing and reading English, and behavior; IEP goals, strategies,
interventions, programs, supports, testing accommodations, promotion
criteria (if applicable), and medical alerts; the special education program to
be implemented at the suspension site (including related, supplementary,
and transition services, if appropriate); and additional transportation support
to the suspension site if needed. The Suspension Plan must note the
student’s classification and the date of the last IEP conference.
158 The DOE may request that the impartial hearing officer extend the student’s placement in the ALC for additional 45 day periods if returning the student to his/her current educational placement is substantially
likely to result in injury to the student or others.
159 Suspension site, for students in grades 6–12, refers to an Alternate Learning Center (ALC). For students in grades K–5 or attending a District 75 school, the suspension site will be a “buddy school.” The
OSYD Borough Director of Suspensions will arrange for a suspension location for all students serving Superintendents Suspensions.
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The Suspension Plan is composed of two parts:
• Part 1 summarizes: the student’s skill-based performance; his/her
needs, including around transportation, health, and behavior; and the
strategies, interventions, programs, services and/or supports employed
by the home school. It is designed to obtain current information
about the student’s academic performance, behavioral issues, and/
or instructional supports, with the most up-to-date details about the
student’s performance.
• Part 2 describes the special education program, related services,
accommodations, and other supports the student will receive during the
suspension.
For students in grades 6–12 attending District 1-32 schools:
• The home school will complete Part 1 of the Suspension Plan in
Suspensions and Office of Hearings On-Line (SOHO), the DOE’s
system of record for suspensions and removals, within three school
days of the student’s suspension. The home school must provide the
name and contact information of a special education contact in the
event the ALC to which the student is assigned requires additional
information.
• The Alternative Learning Center (ALC) to which the student is assigned
will complete Part 2 of the Suspension Plan no later than 10 school
days after the student’s arrival at the suspension site. To create Part
2, the ALC will convene an IEP meeting with the parent to discuss
the services the student needs while attending the ALC. To the extent
necessary, the ALC will reach out to the home school to acquire
sufficient information regarding the student to make a program and
services recommendation.
For students in grades K–5 or attending a District 75 school, the home
school will complete both Parts 1 and 2 of the Suspension Plan, which
will be used while the student is attending a “buddy school.” Part 2 of the
Suspension Plan will be created by the IEP team (including the parent).
Both sections of the Suspension Plan must be completed in SOHO within
10 school days of the student’s suspension.
If a Suspension Plan is created using an out-of-date IEP, and the IEP is
updated while the student is suspended, the Suspension Plan should be
adjusted at an IEP meeting based upon the up-to-date IEP.
With the IEP goals attached, the Suspension Plan, forms a comprehensive
document with all relevant information on how the Suspension Site will
deliver the student’s special education services.
The Suspension Plan should be uploaded to SESIS or otherwise made
available to the school that the student will attend following the end of the
suspension. Detailed instructions on completing the Suspension Plan are
available in the Office of Safety and Youth Development (OSYD) Wiki, in
the Suspensions and Office of Hearings Online (SOHO) section.
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Due Process
Mediation
Mediation is a method to resolve disagreements involving special education
matters that provides an opportunity for immediate improvement in
communication between the DOE and the parent. Mediation is conducted
by an independent and approved mediator who assists the parties in
reaching their own agreeable solutions. Mediation is conducted through a
network of Community Dispute Resolution Centers:
Borough Community Dispute Resolution Center
Bronx IMCR Dispute Resolution
Phone: 718-585-1190
Fax: 718-585-1962
Email: [email protected]
Address: 384 East 149
th
St, Suite 330
Bronx, NY 10455
Brooklyn & New York Peace Institute
Manhattan Phone: 718-834-6671x220
Fax: 718-834-6681
Email: [email protected]
Address: 210 Joralemon St, Suite 618
Brooklyn, NY 11201
Queens
Community Mediation Services
Phone: 718-523-6868x268
Fax: 718-523-8204
Email: [email protected]
Address: 89-64 163
rd
St
Jamaica, NY 11432
Staten NY Center for Interpersonal Development (NYCID)
Island Phone: 718-815-4557
Email: [email protected]
Fax: 718-876-6068
Address: 130 Stuyvesant Place, 5
th
Fl
Staten Island, NY 10301
The following issues are NOT appropriate for mediation:
• Parent request for non-NYSED-approved private school placement;
• DOE request for mediation (or impartial hearing) for a dispute about
initial provision of special education programs and/or services (however,
parents may make such a request in mediation or impartial hearing);
• Attorney’s fees.
Parents may make a written request for mediation to the Community
Dispute Resolution Center or to the student’s DOE school or CSE.
Advocates/attorneys may submit a request for mediation on behalf of a
parent. The Community Dispute Resolution Center will forward the request
to the appropriate DOE representative, who should fax a copy into SESIS.
The Community Dispute Resolution Center will coordinate the scheduling
and coordination of the meeting including the timing, location, notification,
and the presence of interpreters, contacting the DOE’s Translation and
Interpretation Unit if needed. Mediations are generally scheduled to
take place within 15 to 30 days of the request, and they may take place
anywhere convenient for all parties.
For questions regarding Mediation contact the administrator for special
education or CSE chairperson. For more information, see https://nypeace.
org/school-youth/ for further info.
Interaction between Mediation and Impartial Hearings/
Resolution Sessions
Mediation may be requested at the same time as an impartial hearing, and
may be requested in place of, or in addition to, the resolution session.
If mediation is requested at the same time as an impartial hearing, the
Community Dispute Resolution Center will attempt to schedule mediation
prior to the impartial hearing. The DOE and the parent may seek
adjournment of the impartial hearing pending the mediation outcome. If
the issues are resolved in mediation, the party that filed the due process
complaint will withdraw that complaint.
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Impartial Hearings
The Impartial Hearing is a due process right afforded to a parent by federal
and state law. The parent may request an impartial hearing with respect to
the identification, placement, evaluation, classification, and appropriateness
or timeliness of a recommended program. The school/CSE must make
every attempt to resolve disputes with parents, including through meetings,
mediation, and escalation to supervisors for support with complex issues.
Both the parent and the DOE may file due process complaints seeking
impartial hearings in certain circumstances. Most cases are filed by the
parent; see DOE-Initiated Impartial Hearings for more information about and
considerations specific to when the DOE may file for an impartial hearing.
A request for an impartial hearing must be submitted to the DOE’s Impartial
Hearing Office. If a parent seeks assistance from a school/CSE DOE in
requesting an impartial hearing, he/she should be provided with a sample
Due Process Complaint Form and provided with a copy of the Procedural
Safeguards. If a school/CSE receives a request for an impartial hearing
from a parent, the school/CSE must immediately notify the Impartial Hearing
Office and send a copy of the request to the Impartial Hearing Office.
Upon receipt of a due process complaint, the Impartial Hearing Office mails
the parent a copy of the Procedural Safeguards.
School and District CSE interactions with student and parent
while due process proceedings are ongoing
While an impartial hearing is pending, the school should attempt to maintain
continuity of instruction for the student to ensure he or she receives an
appropriate education. To that end, once an impartial hearing has been
sought, a student is entitled to remain in “pendency placement,” discussed
below. During due process proceedings, a student’s right to an annual
review or three year re-evaluation continues as usual, also discussed below.
It is also important to maintain professional and typical interactions with the
parent as due process proceedings are ongoing. Should the parent or the
parent’s advocate or counsel contact a school/CSE regarding the subjects
at issue in the due process complaint, it is appropriate for the school to
reach out to the DOE impartial hearing representative, attorney, or ASE for
guidance on how to engage in such interactions.
Pendency
After a due process complaint has been filed, a student is generally entitled
to remain in the last agreed upon program during the pendency of the
impartial hearing and any appeals. This is commonly referred to as the
“pendency placement.” Pendency is also referred to as “stay-put” or “status-
quo.”
Pendency is in effect from the day that a request is filed until the day that
the hearing process has been exhausted, including the appeals process (if
applicable). During any hearing or appeal — except an expedited impartial
hearing or appeal relating to disciplinary procedures — a school-age student
should stay in the last agreed upon placement and may not be moved
unless the parent and the DOE have otherwise agreed. The last-agreed-
upon placement is generally determined by the last agreed-upon IEP or the
last unappealed hearing decision. To the extent possible, field staff should
consult with the impartial hearing representative or OLS attorney in order
to identify and provide students with the last agreed-upon placement and
services as soon as the request is filed.
In certain instances, the impartial hearing officer may hold a pendency
hearing and issue an interim order determining pendency. A school may
also be instructed to provide certain pendency services by the central
Special Education Office or a DOE attorney.
Pendency Placement For Students Turning Five Years Of Age
If student who is turning five years of age has been receiving preschool
special education services through a CPSE, and a due process complaint
is filed, the student will be placed in a school-age program that is most
similar to the one he/she attended in preschool, if the hearing continues
beyond the start of the new school year. If the student attended a special
education preschool program which also has a state-approved school-age
program, the student may receive services in the school-age program until
the end of the Impartial Hearing process.
Annual Review / Three-Year Evaluation Process during Due Process
Proceedings
Due process proceedings – including the scheduling of mediation,
resolution meetings and impartial hearings – do not impact the DOE’s
obligation to recommend a free appropriate public education and to hold
an annual review of the student’s IEP at least every 12 months. Annual
review and three-year evaluation timelines must be maintained even when
due process proceedings are ongoing regarding the current or previous
IEPs. While a student retains his/her right to remain in the last agreed upon
placement, the IEP team should meet to review any needed evaluations and
to create an IEP that reflects the student’s present levels of performance, to
update the annual goals, and to recommend the program and services that
the IEP team believes is appropriate for the student.
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Pre-Hearing Issues
after a due process complaint has been filed. (The DOE and parent can,
however, agree to hold a mediation session in lieu of a resolution meeting
Determination of Sufficiency
by using the procedures above.)
The request must contain the following elements to be considered
sufficient:
Resolution Meeting Requirements
• The name of the student;
• The address of the student’s residence (or contact information if the
student is living in temporary housing or if the student is homeless);
• The name of the student’s school;
• A description of the nature of the problem, including the relevant facts;
and
• A proposed resolution of the problem to the extent known and available
at the time.
If a request does not contain one or more of the required elements, an
insufficiency challenge should be sent through the Impartial Hearing System
(IHS) within 15 calendar days of the request date to the Hearing Office.
The parent will be notified that the DOE is challenging the sufficiency of the
request by the Impartial Hearing Office. The Impartial Hearing Office will
forward the insufficiency request to the hearing officer assigned to the case
for review. The hearing officer will make a determination as to the sufficiency
of the request. If deemed insufficient, the hearing officer may permit the
parent to amend the request. Should an amended request be filed, the
timeline for the hearing process will be reset.
Note: Under the circumstances discussed below, certain requests may be
expedited; and requests for expedited hearings may not be challenged for
sufficiency.
Due Process Response
Within 10 calendar days of the filing of the due process complaint, the DOE
must complete and send to the parent and Impartial Hearing Office a Due
Process Response Form.
Once completed, the Due Process Response Form must be sent to the
parent or the parent’s representative and uploaded onto IHS.
Resolution Meeting
After the parent’s due process complaint is filed, the DOE and the parent
are provided with an opportunity to meet to discuss possible resolution to
the issues of the complaint. This meeting is called a “resolution meeting.”
A resolution meeting differs from a mediation meeting, and can only occur
During the resolution meeting, a DOE representative
160
and the parent must
meet to discuss the following:
• The due process complaint;
• The facts that form the basis of the complaint; and
• Possible resolution(s) to the complaint.
The DOE staff assigned to schedule the resolution meeting (known in IHS
as the Resolution Case Manager, or RCM) must make reasonable efforts to
engage the parent in the resolution process in every case and to document
all efforts to schedule and hold resolution in both the SESIS Events Log
and IHS. Documentation should include detailed records of the DOE’s
phone calls, copies of written notice and other correspondence, and
records of other outreach to arrange the meeting at a mutually agreed upon
time and place.
If the parent and the DOE agree, in writing, to waive the resolution
session, the RCM should notify the Impartial Hearing Office. If the parent
seeks to waive the resolution meeting, the DOE does not need to consent.
It is strongly recommended that field staff not waive the resolution meeting
and participate in resolution for each case.
If the parent withdraws the request for impartial hearing before the meeting
date, a resolution does not need to be held.
Resolution Timelines
Standard timeline:
• The resolution meeting must take place within 15 calendar days
of receipt of the due process complaint. (Additional meetings or
communications may take place following this initial 15 calendar day
period.)
• The DOE and the parent have 30 calendar days from receipt of the
request to resolve the case to the parent’s satisfaction before the case
is scheduled for hearing with a hearing officer. That 30 calendar day
period is known as the “Resolution Period.”
160 The meeting may not include an attorney of the district unless the parent is accompanied by an attorney. The DOE representative charged with holding the resolution meeting may differ by office.
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Expedited timeline (only for limited reasons addressed below):
• The resolution meeting must take place within 7 calendar days of
receipt of the due process complaint.
• The DOE and the parent have 15 calendar days from receipt of the
request to resolve the case before the case is scheduled for a hearing.
Note: If a parent amends the impartial hearing request, the parties must
hold a new resolution meeting within the mandated timelines unless both
parties waive their rights to do so.
Interpretation Services
Where the parent has limited English proficiency, the DOE representative
should ensure that there is an interpreter available during the resolution
meeting, whether by phone or in person. If the parent or parent’s counsel
brings an interpreter, the DOE should also bring an interpreter to ensure
that there is full communication between the parties. Contact the
Translation and Interpretation Unit to secure an interpreter.
Written Resolution Agreement:
If a resolution to the parent’s complaint is reached during the resolution
period, a resolution agreement should be signed by both the parent and the
DOE representative. The agreement is legally binding. Either party may void
the agreement within 3 business days from the date that the agreement was
signed.
The agreement may reflect a complete resolution of all outstanding issues,
in which case the impartial hearing request must be withdrawn by the
parent. If there is a partial resolution of some portion of the issues raised in
the impartial hearing request, the impartial hearing will move forward with
the unresolved issues.
When considering resolution options, be sure to consider the appropriate
length of time necessary to secure all necessary components of the
resolution agreement. For example, if a resolution agreement is signed
that requires the DOE to perform certain assessments, ensure that the
agreement contains a timeline that is reasonable for those assessments
to be completed. An IEP meeting should also be arranged following the
completion of the assessments, and could be agreed to as a specified
number of days following receipt by the DOE of the assessments.
When a complete or partial agreement has been reached and the three
business days have passed, the DOE representative is responsible for
following up with the school or district CSE to make sure the terms of the
agreement are implemented as specified, and to assist with any difficulties.
The DOE representative should also contact other administrative offices,
as appropriate, to ensure the agreement is implemented in its entirety.
If necessary, depending on the terms of the resolution agreement, the
IEP team should reconvene or amend the IEP to reflect the agreed upon
resolution. A resolution agreement can become “pendency” in future
impartial hearings involving the same student.
Expedited Due Process Complaints
The following issues raised in a due process complaint may require an
expedited timeline for the resolution process and for the impartial hearing to
be held.
• The parent may request an expedited due process hearing following a
determination by the school at a Manifestation Determination Review
(MDR) that a student’s behavior that led to a disciplinary change of
placement was not a manifestation of the student’s disability. See MDR
section for more information.
• The parent may also request an expedited due process hearing related
to any decision regarding a student’s change of placement (in an
ALC or otherwise) resulting from a disciplinary removal or suspension,
including the disciplinary change of placement without conducting an
MDR in accordance with disciplinary due process rights.
Where a due process hearing is expedited, the resolution meeting must
be held within 7 calendar days of the filing of the due process complaint,
and the resolution period ends after 14 calendar days of the filing of the
due process complaint. The hearing must be held within 20 school days
of the filing of the due process complaint, and the impartial hearing officer
must make a determination within 10 school days after the hearing. The
hearing officer is not permitted to make any extensions or adjournments to
the hearing timeline for expedited cases, even if the DOE and parent jointly
seek such an extension or adjournment.
DOE-Initiated Impartial Hearings
The DOE has the right to initiate due process proceedings in certain limited
circumstances. Impartial hearing proceedings should only be sought by
the DOE when all other options for non-adversarial dispute resolution with
the parent — such as an additional IEP meeting or mediation — have been
considered and/or exhausted.
The DOE may initiate due process proceedings for the following reasons:
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• To defend the appropriateness of a DOE assessment, when the parent
Impartial Hearing Orders and Implementation
has requested an independent assessment at DOE expense;
At the conclusion of the impartial hearing, the impartial hearing officer
• To conduct an initial evaluation, when the parent of a student attending
or seeking to attend public school is unresponsive or does not consent
to an initial evaluation;
161
or
• To request placement in an IAES setting for a student who is
substantially likely to injure him/herself or others if the student remains
in the current placement.
The DOE may not use due process procedures in order to initiate services
without consent. If the school/CSE continues to believe that the student
requires special education and/or related services in order to receive an
appropriate education, it should continue to attempt to engage the parent
to promote the goals of involving the parent in educational decisions and
ensuring there is trust, cooperation, and understanding between the parent
and the school.
If a school/CSE wishes to initiate an impartial hearing, it must consult with
the ASE, CSE chairperson, or D75 or D79 hearing representatives. If the
BCO director of special education believes a hearing should be initiated,
the director must contact the Impartial Hearing Representation Office with
the subject line “Inquiry about DOE-filed Impartial Hearing” prior to taking
any steps.
Preparing for Impartial Hearings
Impartial Hearing Representation
Depending on the nature of the case and the student’s school, the DOE
may be represented at an impartial hearing by an attorney from the Office of
Legal Services, a CSE or D75/D79 professional, or a trained non-attorney
representative from the Impartial Hearing Representation Office.
DOE Staff Participation in Pre-Hearing Investigation
DOE staff may be contacted by the DOE’s impartial hearing representative
or attorney and asked to provide information for a due process case. DOE
staff must fulfill requests for documents or information in connection with
the impartial hearing case. Early and prompt cooperation will ensure that
the complaint can be investigated quickly and the representative can make
a recommendation regarding the merits of the complaint.
will issue an order containing his or her decision on the merits of the
issues presented at the hearing. The DOE’s Impartial Hearing Order
Implementation Unit is responsible for ensuring the timely implementation of
all impartial hearing orders.
Schools/CSEs should take no action in response to a hearing
order unless and until directed to do so by the Impartial Hearing
Order Implementation Unit or the designated school/CSE
implementation liaison.
162
Appeals of Impartial Hearing Orders
If the DOE or parent disagrees with the decision of the impartial hearing
officer, either may appeal the decision by seeking review by a State Review
Officer (SRO). If the DOE or parent disagrees with the findings of the
SRO, they may initiate an appeal of the decision in federal court. A student
is entitled to remain in the last agreed-upon program during the pendency
the appeal. If the DOE is required to take action in connection with a
decision by the SRO or a federal court, either OLS or the Impartial Hearing
Order Implementation Unit will notify the appropriate DOE offices and staff
members to ensure that the decision is implemented.
As used throughout this SOPM, the term “Parent” refers to any individual
who is permitted by law to consent to the evaluation and provision of
special education services to the student and otherwise make educational
decisions on behalf of the student.
161 If a student is enrolled in a private/religious school at private expense, or if a parent is home schooling the student, the DOE may not use due process procedures to conduct an initial evaluation or
reevaluation.
162 If an Order has been issued and the school/CSE notes its responsibility for ordered actions, the school/CSE may contact the Impartial Hearing Order Implementation Unit for guidance on how to proceed.
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Graduation and Exit
Students with disabilities should be encouraged to pursue the most
rigorous diploma option appropriate, which may be a Regents endorsed or
local diploma.
Graduation Options
The “Safety Net” provides additional flexibility to earn a local diploma,
for certain students who will not meet or exceed the requirements for an
advanced Regents or Regents diploma. The following students are Safety
Net eligible:
• Students with an IEP;
• Students who were declassified in grades 8-12 and whose last IEP
specifies Safety Net eligibility; and
• Students with a Section 504 Plan specifying Safety Net eligibility.
For information on Graduation Requirements and Options, including
Safety Net options, see the High School Academic Policy Guide, the
Academic Policy Guide on Graduation Requirements, and Superintendent’s
Determination of Graduation with a Local Diploma.
When a student with an IEP will graduate from high school with a Regents
endorsed or local diploma, the school must provide prior written notice to
the parent. This notice informs the parent that the student will no longer be
eligible to receive a free appropriate public education after the student’s
receipt of a Regents endorsed or local diploma. The school/CSE must also
provide an exit summary as described below.
Commencement Credential Options
In lieu of, or in addition to, a Regents endorsed or local diploma, students
who meet specific criteria may be eligible to earn the Career Development
and Occupational Studies (CD
OS) commencement credential or the Skills
an “Exit Summary.” The Exit Summary summarizes the student’s academic
and Achievement commencement credential (SACC).
163
achievement and functional performance and includes recommendations
on how to assist the student in meeting his or her postsecondary goals.
CDOS Commencement Credential
NYSED states that the purpose of the Exit Summary is “to provide the
The CDOS commencement credential option is available to all students.
student with a written report that provides essential information to consider
It is designed to recognize students’ mastery of the career-readiness skills
as the student transitions from secondary school.”
defined in the
CDOS learning standards. T he CDOS commencement
The Exit Summary must be provided to the student prior to the end of the
credential may be awarded to students as an endorsement to a Regents
endorsed or local diploma, or as the student’s sole exiting credential from
high school. The CDOS commencement credential may also be used
towards meeting Regents or Safety Net graduation requirements.
If a student earns the CDOS credential without earning a high school
diploma, the school must provide the student with written notice of his/her
right to return to high school and work towards earning a diploma, receiving
special education services if eligible.
For more information regarding the CDOS credential and sample
notices, see the Career Development and Occupational Studies (CDOS)
Commencement Credential guide.
Skills and Achievement Commencement Credential
Students with IEPs who participate in the New York State Alternate
Assessment (NYSAA) in place of standardized assessments may be eligible
to receive the Skills and Achievement Commencement Credential (SACC).
If a student earns this commencement credential, the school must provide
the student with written assurance of their eligibility to stay in high school
through the school year in which they turns 22.
The Skills and Achievement Commencement Credential should be awarded
in alignment with the transition planning process for students with IEPs.
For more information, see the Skills and Achievement Commencement
Credential for NYSAA-Eligible Students with Disabilities guide.
Exit Summary
When a student with an IEP will no longer be eligible for special education
— either because s/he will (a) graduate with a local or Regents endorsed
diploma or (b) no longer be age-eligible
164
— the school/CSE must complete
163 These exiting credentials are not equivalent to a high school diploma; they do not have credit or exam requirements; and once received, they do not end a student’s eligibility to receive a free appropriate public
education. They do not guarantee qualification in situations where a high school diploma is required.
164 A student is eligible for special education only if s/he has not attained the age of 21 as of September 1 of the school year. Students who turn 21 on or after September 1 may receive services through June
30 of the school year in which the student turns 21. Students who turn 21 between July 1st and August 31st may receive any recommended ESY special education programs and/or related services, but are
ineligible for services beginning September 1.
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Table of Contents Top of this section General Information & Terms
school year in which the student will graduate with a local or Regents
endorsed diploma or “age out”. The Exit Summary may be developed during
the student’s last IEP meeting before exiting. The Exit Summary should
be prepared through a team process that includes the student, family and
members of the school/CSE who know the student well. If appropriate, and
with the parent’s consent, adult agency personnel should be included in
discussions regarding the Exit Summary.
The Exit Summary contains two parts: (1) a summary of academic
achievement, functional performance, and learning characteristics, and (2)
postsecondary goals and recommendations for support. Teams should
consult the NYSED Memorandum, Student Exit Summary as Required
by IDEA 2004, for in-depth guidance on the information that should be
included within each section of the student’s Exit Summary.
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