Connecticut State Department of Education

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Special Education Procedures and Practices Manual


Chapter 13: Procedural Safeguards and Confidentiality


(34 CFR Section 300.500 – Section 300.520) (RCSA 10-76d-2)

Pursuant to federal and state law, parents have specific rights referred to as procedural safeguards. Pursuant to the IDEA, the District must provide parents with a Procedural Safeguards Notice containing a full explanation of these rights, written in the native language of the parents (unless it is clearly not feasible to do so) and in an easily understandable manner.79

The District must provide a copy of the Procedural Safeguards Notice to parents of a student with a disability one time each year and also when the following occurs:

  • The first time a parent/adult student or District staff ask for an evaluation/referral;
  • The parent/adult student asks for a copy of the Procedural Safeguards Notice;
  • The first time in the school year a parent/adult student requests a due process hearing or files a state complaint; or
  • When the District takes disciplinary action against a student, which results in a change of placement.

Prior Written Notice (PWN)

The purpose of PWN is to provide written communication to the parents or adult student of the actions that have been proposed or refused by the PPT. PWN is only required when the PPT proposes or refuses to initiate or change the identification, evaluation, or the educational placement of a student, or the provision of FAPE for a student.

Timelines

Please refer to Section 13 of the Connecticut IEP Manual regarding the two options related to timelines for PWN.

Content of Notice

PWN must include the following information:

  1. Description of the action proposed or refused by the District;
  2. Explanation of why the District proposed or refused to take the action;
  3. Description of any options the PPT considered and the reasons why those options were rejected;
  4. Description of each evaluation procedure, assessment, record, or report the PPT used as a basis for the proposed or refused action;
  5. Description of any other factors that were relevant to the PPT’s proposal or refusal;
  6. A statement that a parent has protections under the procedural safeguard protections of the IDEA and if the written notice is for an initial referral for evaluation, where a copy of the Procedural Safeguards Notice can be obtained; and
  7. Resources for parents to contact to obtain assistance in understanding the procedural safeguards of the IDEA.
Notice in Understandable Language

The District will write the PWN in language understandable to the general public (English) and provide the PWN in the native language of the parent or adult student or other mode of communication used by the parent or adult student, unless it is clearly not feasible to do so. If the native language or other mode of communication is not a written language, the District will take steps to ensure the notice is translated orally or by other means to the parent and adult student in his or her native language or other mode of communication. The District will also take steps to ensure that the parent and adult student understand the content of the notice, as well as document the steps taken to ensure that the notice was translated and understood.

In addition to the above information, the law requires notice to be given to the parents for a disciplinary removal from school or classes that results in a change in placement. This is not necessarily, but can be, a PWN as described above. A copy of the Procedural Safeguards in Special Education document will accompany the notice of a disciplinary action that results in a change in placement for the student.

Informed Parental Consent

The District must obtain written consent prior to conducting an initial evaluation, a reevaluation, and the initial provision of special education and related services for a student.

Informed consent means that the parent:

  • Has been fully informed in the parent’s native language or their alternate mode of communication about the activity for which the District is seeking consent;
  • Understands and agrees in writing to the carrying out of the activity for which consent is sought. The consent agreement describes that activity and, in the case of a records release, lists the records that will be released and to whom; and
  • Understands that the granting of consent is voluntary and may be revoked at any time.

Parental consent is not required before reviewing existing data as part of an evaluation or reevaluation, or before administering a test or other means of evaluation if the District has an assessment that is given to all students unless the District gets permission from all parents before administration of that test or other means of evaluation.

Consent to Conduct an Initial Evaluation

The District must obtain parental consent prior to conducting an initial evaluation. The District will use the Consent to Conduct an Initial Evaluation/Reevaluation document in CT-SEDS to document the date the District requested consent from the parent and the date when the District obtained consent from the parent.

District staff will make reasonable efforts to obtain written consent from a parent for a reevaluation. These efforts must be documented and could be a record of phone calls, e-mails, or written correspondence (e.g. detailed records of phone calls made or attempted and the results of those phone calls and copies of correspondence sent to the parents and any responses received).

If the parent fails to respond to a request from the District for consent to conduct an initial evaluation within 10 days from the date of the notice to the parent, the District will interpret the failure to respond as a refusal of consent.

Please note that if the parent does provide consent for an initial evaluation, the consent only applies to the initial evaluation and cannot be construed as consent for the initial provision of special education and related services.

The District does not violate its obligation to provide FAPE to a student if the District declines to pursue the evaluation in the case that the parent has not provided written consent, or revokes consent.

Special Rules for the Initial Evaluation for Wards of the State

When the District seeks to evaluate a student for the first time and the student is in the custody of the Commissioner of the Department of Children and Families (DCF) and not residing with the student’s parent, the District is required to obtain consent from the student’s assigned surrogate parent.

Consent to Conduct a Reevaluation

The District must obtain written parental consent prior to conducting a reevaluation if new evaluative information is being considered. The District will generate the Consent to Conduct an Initial Evaluation/Reevaluation document within CT-SEDS in order to document the date the District requested consent from the parent and the date when the District obtained consent from the parent. No written parental consent is needed for a reevaluation if it is limited to a review of existing evaluative information

District staff will make reasonable efforts to obtain written consent from a parent for a reevaluation. These efforts must be documented and could be a record of phone calls, e-mails, or written correspondence (e.g. detailed records of phone calls made or attempted and the results of those phone calls and copies of correspondence sent to the parents and any responses received).

If the parent fails to respond to a request from the District for consent to conduct a reevaluation within 10 days from the date of the notice to the parent, the District will interpret the failure to respond as a refusal of consent.

Consent for the Initial Provision of Special Education

The District must obtain written parental consent before the initial provision of special education.

District staff will make reasonable efforts to obtain written consent from a parent for the initial provision of special education. These efforts must be documented and could be a record of phone calls, e-mails, or written correspondence (e.g. detailed records of phone calls made or attempted and the results of those phone calls and copies of correspondence sent to the parents and any responses received).

If the parent fails to respond to a request from the District for consent for the initial provision of special education within 10 days from the date of the notice to the parent, the District will interpret the failure to respond as a refusal of consent.

If the parent refuses to consent for the initial provision of special education and related services, the District will not be considered to be in violation of the requirement to make FAPE available to the student.

Dispute Resolution Options when Parent Refuses Consent

If the parent does not provide consent for an initial evaluation or a reevaluation, the District may use mediation or a due process hearing to obtain an agreement or a ruling that allows the District to conduct the evaluation. The District does not violate its obligation to provide FAPE to a student if the District declines to pursue the evaluation in the case that the parent has not provided written consent, or revokes consent.

If a parent refuses consent for the initial provision of special education and related services, the District is prohibited from using the due process system, including mediation or a due process hearing, in order to obtain agreement or a ruling that the services may be provided to the student.

Revoking Consent

If a parent grants then withdraws consent, that withdrawal must be submitted to the District in writing. A withdrawal of consent is not retroactive and, therefore, does not withdraw consent for activities that took place during the period after consent was first given, but prior to when the consent was withdrawn. Confidentiality and Student Records

The District protects the confidentiality of any personally identifiable information (PII), at collection, storage, disclosure, and destruction stage.

The District custodian of records is responsible for ensuring the confidentiality of any PII. All District personnel collecting or using PII must have received training or instruction about the policies and procedures in the IDEA and FERPA, as well as any state policies and procedures for protecting the confidentiality of PII.

The District maintains, for public inspection, a current list of the names and positions of those employees within the District who may have access to personally identifiable information.80

Access to Education Records

Parents have the right to inspect and review any education records relating to their child that are collected, maintained or used by the District to meet the requirements of Part B of the IDEA. The District will presume that parents have the authority to inspect and review records relating to their child unless it has been advised that the parents do not have the authority under applicable state law governing such matters as guardianship, separation, and divorce.

The right to inspect and review the records also includes the following:

  • The right to a response from the District to reasonable requests from parents for explanations and interpretations of the records;
  • The right to have a representative of the parent inspect and review the records; and
  • Pursuant to state regulations, the right to one free copy of the records.

A parental request to review and inspect education records or a request for one free copy of such records must be in writing.

Pursuant to state regulations, the District will allow parents to inspect and review their child’s education records without unnecessary delay and before any meeting regarding an IEP or any hearing or resolution session; otherwise, the District will comply with such request no later than 10 school days of the request.

The District will provide one free copy of the records no later than 10 school days of the request. The District may charge for additional copies of an already-copied document if the fee does not effectively prevent parents from exercising their right to inspect and review the records. The District does not charge parents a fee to search for or to retrieve the educational records of a special education student.

Any test instrument or portion of a test instrument for which the test manufacturer asserts an ownership or copyright interest may not be copied. However, they may be reviewed and inspected by parents if they are part of their child’s education record.

Record of Access

The District maintains a record of the parties that have accessed a student’s education record. With the exception of parents and authorized employees of the District, everyone who reviews a student’s educational record must be documented in the record of access. The record of access includes the name of the party having access, the date the District gave access, and the purpose for which the party was authorized to use the records.

Records of More than One Child

If the education records include information on more than one student, the parents of those students have the right to inspect and review only the information relating to their child or to be informed of that specific information.

List of Types and Locations of Information

Upon request, the District will provide a parent with a list of the types and locations of education records collected, maintained, and used by the District.

Amendment of Records at Parent Request

Parents may request that the District amend their child’s education records if they believe that information in the education records is inaccurate, misleading, or violates the privacy or other rights of the student. Within a reasonable period of time, the District will decide whether to amend the information in accordance with the request and communicate this decision to the parent. If the District decides to refuse the request to amend the student’s education record, the District will inform the parent of the refusal and advise the parent of the right to a hearing pursuant to the IDEA.

Parents’ Opportunity for a Hearing

Upon request, the District will provide the parent with an opportunity for a hearing to challenge information in education records to ensure that it is not inaccurate, misleading or otherwise in violation of the privacy or other rights of the student. The District will conduct the hearing in accordance with the procedures contained in FERPA.

Hearing Result

If, as a result of a hearing, the District decides that the information is inaccurate, misleading or otherwise in violation of the privacy or other rights of the student, the District will amend the information accordingly and so inform the parent in writing.

If, as a result of a hearing, the District decides that the information is not inaccurate, misleading or otherwise in violation of the privacy or other rights of the student, the District will inform the parent of the parent’s right to place, in their child’s education records, a statement commenting on the information that they requested be amended or providing any reasons for disagreeing with the decision of the District.

The District will maintain any explanation provided by the parent after a hearing as part of the student’s education records as long as the record or the contested portion of the record is maintained by the District. Also, if the District discloses the student’s records or the contested portion of the record to any party, the District will also disclose the parent’s explanation to that party.

Consent for Disclosure of Personally Identifiable Information (PII)

District personnel must obtain parental consent before disclosing PII to parties unless the information is contained in education records and the disclosure is authorized without consent pursuant to exceptions outlined in FERPA.

District personnel must obtain parental consent or the consent of the adult student before PII is released to officials of participating agencies providing or paying for secondary transition services in the student’s IEP.

Parental consent is not required before PII is released to officials of other agencies for purposes of meeting the requirements of the IDEA.

Destruction of Information

The District will inform parents when the PII collected, maintained or used under the IDEA is no longer needed to provide educational services to the student. If the parent requests that the information is destroyed, the District will comply with the request and destroy the information.

The District may maintain a permanent record of a student’s name, address, and phone number, his or her grades, attendance record, classes attended, grade level completed, and year completed without time limitation.81

Records of students placed by the District in Regional Education Service Centers (RESCs) and approved-private special education programs (APSEPs) are education records, therefore retention and destruction of this information is the obligation of the District.

Dispute Resolution Options Available Pursuant to the IDEA

State Complaints

Any individual or organization may file a state complaint with the BSE alleging that the District has violated a requirement of any state or federal law concerning special education.

Due Process Hearing

The District or a parent may file for a due process hearing on any matter relating to a District’s proposal or refusal to initiate or change the identification of a student, the evaluation of a student, the educational placement of student, or the provision of a FAPE to the student.

Resolution Process

Within 15 days of receiving a due process hearing request filed by a parent, and prior to initiation of a due process hearing, the District will convene a meeting with the parent and the relevant member or members of the PPT who have specific knowledge of the facts identified in the due process complaint.

Mediation

Mediation is a way to settle a dispute when the District and a parent disagree on the identification of a student, the evaluation of a student, the educational placement of a student, or any other matter related to the provision of a FAPE to the student. Mediation is voluntary and therefore both the District and the parent must agree to participate in the mediation process. The BSE has model forms for state complaints, mediations, and due process hearings.82

The Procedural Safeguards Notice83 provides more detailed information about state complaints, mediation, due process hearings, and the advisory opinion process.

Independent Educational Evaluation (IEE) at Public Expense

A parent has the right to request an independent educational evaluation (IEE) at public expense if the parent disagrees with an evaluation that was obtained by the District. A parent does not have the right to an IEE at public expense if the District declines to evaluate a student to determine eligibility for special education (i.e., declines to conduct an initial evaluation). If the parent disagrees with the District’s decision to not conduct an initial evaluation, the parent may use the dispute resolution options (i.e., state complaint, mediation, due process hearing) afforded by the IDEA in order to pursue an evaluation by the District. Comprehensive guidance related to IEEs, and in-school observations is available through the Bureau of Special Education.84

The parent may request an IEE at public expense either at or outside of a PPT meeting. The District may ask for the parent’s reason, but will not require the parent to provide an explanation and may not unreasonably delay either providing the IEE at public expense or filing a request for a due process hearing to show that its evaluation is appropriate. If the request is made during a PPT meeting, the District is not required to provide an answer to the parent’s request at that time. Although the PPT may review the request during the meeting, the District may inform the parent of its decision regarding the IEE at public expense subsequent to the PPT meeting, provided that the decision is made without unnecessary delay.

If a parent requests an IEE at public expense, the District will, without unnecessary delay, either:

  • Request a due process hearing to show that its evaluation is appropriate; or
  • Ensure that an IEE is provided at public expense, unless the District demonstrates at a due process hearing that an evaluation obtained by the parent did not meet the District’s IEE criteria.

The District will also provide the parent with the following:

  • Information about where an IEE may be obtained; and
  • The District’s IEE criteria.85, 86

The parent retains the right to choose the independent evaluator. The District will provide the parent with a list of independent evaluators that meet its IEE criteria, and the parent may choose an evaluator from the District’s list, or the parent may choose an evaluator not on the list that meets the District’s criteria. If the evaluator chosen by a parent does not meet the District’s IEE criteria and the District believes there is no justification for choosing an evaluator that does not meet its criteria, the District is required to, without unnecessary delay, either demonstrate in a due process hearing that the evaluator does not meet its IEE criteria or ensure that the IEE is provided at public expense.

Referral to and Action by Law Enforcement and Judicial Authorities

Part B of the IDEA does not prohibit the District from reporting a crime committed by a student with a disability to appropriate authorities; or prevent state law enforcement and judicial authorities from exercising their responsibilities with regard to the application of federal and state law to crimes committed by students with disabilities.

Transmittal of Records

If District personnel report a crime committed by a student with a disability, the school district:

  1. Must ensure that copies of the student’s special education and disciplinary records are transmitted for consideration by the authorities to whom the District reports the crime; and
  2. May transmit copies of the student’s special education and disciplinary records on to the extent permitted by FERPA.

Other Safeguards

Please see chapter 10 for information about the following procedural safeguards:

  1. Procedures for Disciplining Children;
  2. Protections for Children Not Yet Eligible; and
  3. Expedited Due Process Hearings.

Please see the Procedural Safeguards Notice for information about the following procedural safeguards:

  1. Unilateral Placements by Parents in Private Placements;
  2. Stay Put; and
  3. Attorneys’ Fees.

Chapter 13 Appendix

Add supplemental documents/information here

  1. https://portal.ct.gov/-/media/SDE/Special-Education/Prosaf.pdf?la=en
  2. (identify location of list)
  3. Note: the State Record Retention Schedule sets a 50 year minimum retention time for these types of records; however, the District may maintain these records for a longer period of time if they so choose.
  4. https://portal.ct.gov/-/media/SDE/Special-Education/Complaint-Resolution-Process-Rev-72517.pdf?la=en
  5. https://portal.ct.gov/-/media/SDE/Special-Education/Prosaf.pdf?la=en
  6. https://portal.ct.gov/SDE/Special-Education/Guidance-for-Independent-Educational-Evaluations-and-In-School-Observations
  7. (add link to district IEE criteria)
  8. The District has the right to set standards, which the independent evaluator must meet in order for the school district to publicly fund an IEE. The IEE criteria must be the same criteria that the District would use when it initiates its own evaluation; to the extent, those criteria are consistent with a parent’s right to an IEE.