Planning, Preparing, & Planning, Preparing, & Participating in a Participating in a

facilitated IEP/ARD facilitated IEP/ARD Meeting Meeting ©©

Lana L. Traynor, Esq.Lana L. Traynor, Esq.

2012 COPAA Conference, Hilton Miami 2012 COPAA Conference, Hilton Miami DowntownDowntown

March 8 – 11, 2012March 8 – 11, 2012

ACRONYMSACRONYMS

ARD:ARD: Admission, Review, and Admission, Review, and Dismissal (IEP)Dismissal (IEP)

CADRE:CADRE: The National Center on The National Center on Dispute Dispute Resolution in Special Resolution in Special EducationEducation

CFR:CFR: Code of Federal RegulationsCode of Federal Regulations

FAPE:FAPE: Free Appropriate Public Free Appropriate Public EducationEducation

FPCO:FPCO: Family Policy Compliance Family Policy Compliance Office (of FERPA)Office (of FERPA)

FERPA:FERPA: Family Education Rights and Family Education Rights and Privacy ActPrivacy Act

IDEA: IDEA: Individuals with Disabilities Individuals with Disabilities Education ActEducation Act

IEP:IEP: Individualized Education Individualized Education ProgramProgram

IFSP:IFSP: Individualized Family Services Individualized Family Services PlanPlan

LEA:LEA: Local Educational AgencyLocal Educational Agency

LRE:LRE: Least Restrictive EnvironmentLeast Restrictive Environment

OCR:OCR: Office for Civil RightsOffice for Civil Rights

OSEP:OSEP: Office of Special Education Office of Special Education ProgramsPrograms

USC:USC: United States CodeUnited States Code

USDOE:USDOE: U.S. Department of EducationU.S. Department of Education

§:§: Section, as in a particular Section, as in a particular section of section of the CFR or USCthe CFR or USC

What is (and is not) a What is (and is not) a facilitated Meeting?facilitated Meeting?

BACKGROUND INFORMATION:BACKGROUND INFORMATION:

•The IDEA does not require facilitated The IDEA does not require facilitated IEP meetings.IEP meetings.

•States are not required to offer States are not required to offer facilitated meetings.facilitated meetings.

•According to a presentation delivered According to a presentation delivered during the 2011 OSEP during the 2011 OSEP Megaconference, the first facilitated Megaconference, the first facilitated IEP meeting (with use of an external IEP meeting (with use of an external facilitator) occurred in Michigan. In facilitator) occurred in Michigan. In 2000, the CADRE held its “First 2000, the CADRE held its “First National Symposium on Dispute National Symposium on Dispute Resolution.” Resolution.”

IS…IS…

•Voluntary – Both the Parent and the Voluntary – Both the Parent and the District must agree to participate.District must agree to participate.

•At no cost to the Parent.At no cost to the Parent.

•Focused on a specific goal, such as Focused on a specific goal, such as completing a comprehensive, completing a comprehensive, agreed-upon IEP for the Student.agreed-upon IEP for the Student.

IS NOT…IS NOT…

•Binding, as in arbitration.Binding, as in arbitration.

•Confidential, as is mediation under Confidential, as is mediation under the IDEA.the IDEA.

•Meant to preclude other possible Meant to preclude other possible avenues to resolve disputes, such avenues to resolve disputes, such as mediation, Complaint, or a Due as mediation, Complaint, or a Due Process Complaint.Process Complaint.

When & Why When & Why PARTIES SHOULD PARTIES SHOULD

USE USE FACILITATION:FACILITATION: • Positive alternative to costly Positive alternative to costly

and divisive IDEA and divisive IDEA alternatives (alternatives (e.g.e.g., Complaint , Complaint Investigation or a Due Investigation or a Due Process Hearing).Process Hearing).

• Creative, “outside-the-box” Creative, “outside-the-box” thinking and problem-solving thinking and problem-solving in an effort to reach a in an effort to reach a common goal – a common goal – a comprehensive, appropriate comprehensive, appropriate IEP for the Student.IEP for the Student.

• Participants can reach Participants can reach agreements that are outside agreements that are outside the scope/authority of a the scope/authority of a Complaint Investigator or a Complaint Investigator or a Hearing Officer’s authority.Hearing Officer’s authority.

• Student-focused meeting.Student-focused meeting.

• Collaborative process.Collaborative process.

• Forum for all team Forum for all team members to participate in a members to participate in a less stressful, positive less stressful, positive meeting.meeting.

• Can begin to rebuild trust Can begin to rebuild trust and repair communication and repair communication breakdowns between Parent breakdowns between Parent and District personnel.and District personnel.

• Student-focused meeting.Student-focused meeting.

• Collaborative process.Collaborative process.

• Forum for all team Forum for all team members to participate in a members to participate in a less stressful, positive less stressful, positive meeting.meeting.

• Can begin to rebuild trust Can begin to rebuild trust and repair communication and repair communication breakdowns between Parent breakdowns between Parent and District personnel.and District personnel.

A Facilitator….A Facilitator….

IS…IS…• Neutral, impartial person.*Neutral, impartial person.*

• Preferably, specially trained in Preferably, specially trained in the IDEA & applicable state the IDEA & applicable state laws.laws.

• Present to assist the team Present to assist the team participants in developing an participants in developing an appropriate IFSP/IEP for the appropriate IFSP/IEP for the Student.Student.

• Positive communicator who Positive communicator who clarifies and summarizes.clarifies and summarizes.

• Timekeeper/Parking Lot.Timekeeper/Parking Lot.

* “External” vs. “Internal” * “External” vs. “Internal” Facilitator.Facilitator.

IS NOT…IS NOT…• A team member.A team member.

• A decision-maker or A decision-maker or “stakeholder.”“stakeholder.”

• A mediator.A mediator.

• A judge or an arbitrator.A judge or an arbitrator.

• An advocate for either the An advocate for either the Parent or the District.Parent or the District.

• Held to the same Held to the same confidentiality requirements confidentiality requirements as a mediator.as a mediator.

• What is the purpose of the meeting What is the purpose of the meeting (e.g.(e.g., , evaluation planning, 3-year reevaluation, evaluation planning, 3-year reevaluation, annual IEP review)?annual IEP review)?

• What is the desired outcome of the What is the desired outcome of the meeting?meeting?

• Identify previous barriers (Identify previous barriers (e.g.e.g., , interpersonal conflict between team interpersonal conflict between team members, refusal to consent to members, refusal to consent to evaluation, communication, trust).evaluation, communication, trust).

• Ascertain what has worked in the past, Ascertain what has worked in the past, program-wise or personnel-wise. program-wise or personnel-wise.

• Whom is a required meeting participant? Whom is a required meeting participant? Additional attendees expected?Additional attendees expected?

• Determine if the Student will attend the Determine if the Student will attend the meeting.meeting.

• Positive mindset – What are the Positive mindset – What are the alternatives to a facilitated meeting? alternatives to a facilitated meeting? None of the alternatives, are as Student-None of the alternatives, are as Student-focused or as collaborative as a facilitated focused or as collaborative as a facilitated meeting.meeting.

• Draft a list of questions, concerns, and Draft a list of questions, concerns, and desired outcomes to discuss with the desired outcomes to discuss with the facilitator.facilitator.

• Set-up pre-meeting telephone conference Set-up pre-meeting telephone conference or a meeting with the facilitator to discus or a meeting with the facilitator to discus questions, concerns, desired outcomes, questions, concerns, desired outcomes, previous barriers to success, and the previous barriers to success, and the “positives” (what has worked successfully “positives” (what has worked successfully in the past).in the past).

• Request any accommodations you may Request any accommodations you may need and/or accessibility issues with the need and/or accessibility issues with the facilitator – be very specific.facilitator – be very specific.

• Organize your records – many ways to do Organize your records – many ways to do this, such as by subject matter (this, such as by subject matter (e.g.e.g., , evaluations, IEP) or chronologically. May evaluations, IEP) or chronologically. May want to consider color-coding key want to consider color-coding key documents with ”tabs.” documents with ”tabs.” SeeSee next slide. next slide.

• If the Student will not attend the meeting, If the Student will not attend the meeting, bring a picture, Person Centered Plan bring a picture, Person Centered Plan brochure, or prepare a short (2 to 3 minute) brochure, or prepare a short (2 to 3 minute) video of the Student to share with the video of the Student to share with the meeting participants. A sample Person meeting participants. A sample Person Centered Plan brochure will be provided Centered Plan brochure will be provided during the presentation.during the presentation.

PLANNING AND PREPARING FOR A PLANNING AND PREPARING FOR A FACILITATED MEETINGFACILITATED MEETING

Planning & Preparing for a Planning & Preparing for a facilitated meeting (records)facilitated meeting (records)

• Special education records tend to be Special education records tend to be voluminous when, in reality, very few voluminous when, in reality, very few documents are necessary (or documents are necessary (or referenced) during a facilitated referenced) during a facilitated meeting. meeting.

• Identify the types of records that should Identify the types of records that should be in the Student’s educational file:be in the Student’s educational file:• AssessmentsAssessments• CorrespondenceCorrespondence• Disciplinary RecordsDisciplinary Records• Eligibility PaperworkEligibility Paperwork• EmailsEmails• EvaluationsEvaluations• Prior Written NoticesPrior Written Notices• Progress ReportsProgress Reports• Report CardsReport Cards

See See FERPA (20 U.S.C. § 1232g and its FERPA (20 U.S.C. § 1232g and its implementing regulations, 34 CFR implementing regulations, 34 CFR Part 99).Part 99).

• Determine which records you currently Determine which records you currently have in your possession.have in your possession.

• Identify which records, if any, you are Identify which records, if any, you are missing from the Student’s file.missing from the Student’s file.

• If necessary, submit a written records If necessary, submit a written records request to the District.request to the District.

• The FERPA grants “access” to records, The FERPA grants “access” to records, not copies of records, with limited not copies of records, with limited exceptions.exceptions.

• A District may charge for copies of A District may charge for copies of education records with limited education records with limited exceptions. exceptions.

• Current trend among districts is to Current trend among districts is to provide education records provide education records electronically (or on a CD) to Parent or electronically (or on a CD) to Parent or Attorney.Attorney.

Planning & Preparing for a facilitated meeting Planning & Preparing for a facilitated meeting

Organize Documents:Organize Documents:

•There are several ways to organize a There are several ways to organize a Student’s education records, such as: Student’s education records, such as: chronologically (chronologically (e.g., e.g., oldest to most current oldest to most current documents, or, most current documents to documents, or, most current documents to oldest documents), or by subject matter oldest documents), or by subject matter ((e.g.e.g., Evaluations, IEPs, Progress Notes), or a , Evaluations, IEPs, Progress Notes), or a combination of the those two methods.combination of the those two methods.

•After 13 years of experimenting (and trying After 13 years of experimenting (and trying about 30 different records organization about 30 different records organization systems), my law firm has developed a systems), my law firm has developed a system that works for system that works for usus. I emphasize “us” . I emphasize “us” because what works for my because what works for my learning/processing style may not work for learning/processing style may not work for you. you. SeeSee example file provided during the example file provided during the presentation.presentation.

•Consider using tabs, color-coded “flags,” Consider using tabs, color-coded “flags,” and adding dates to the “flags” so that you and adding dates to the “flags” so that you can quickly identify relevant documents with can quickly identify relevant documents with minimal effort.minimal effort.

•Trial and error – You may need to refine Trial and error – You may need to refine your organization system multiple times. Do your organization system multiple times. Do what works for you!what works for you!

Additional Tips:Additional Tips:

•Spend considerable time preparing and Spend considerable time preparing and asking yourself, “Which documents do I really asking yourself, “Which documents do I really need during the meeting?” Limit documents need during the meeting?” Limit documents to the last two years unless a document is to the last two years unless a document is germane to the discussion, such as an initial germane to the discussion, such as an initial evaluation or developmental history evaluation or developmental history summary.summary.

•Once you have developed a records Once you have developed a records organization system that works for you, organization system that works for you, maintain consistency 100% of the time. When maintain consistency 100% of the time. When you receive a new document, have you receive a new document, have established procedures in place and follow established procedures in place and follow them without exception. them without exception.

•In the age of “cloud computing,” many In the age of “cloud computing,” many people type notes or upload their handwritten people type notes or upload their handwritten notes to the “cloud.” Don’t forget to print the notes to the “cloud.” Don’t forget to print the notes and take them with you to the notes and take them with you to the facilitated meeting.facilitated meeting.

•Consider investing in a scanner if you prefer Consider investing in a scanner if you prefer to keep your documents stored electronically.to keep your documents stored electronically.

•Yellow highlighters versus other colors of Yellow highlighters versus other colors of highlighters - photocopying issues. highlighters - photocopying issues.

Participation in and follow-up to a Participation in and follow-up to a

facilitated meetingfacilitated meeting

• The facilitator will explain the process, The facilitator will explain the process, his/her role in that process, the desired his/her role in that process, the desired outcome of the facilitated meeting as outcome of the facilitated meeting as expressed by the meeting participants, expressed by the meeting participants, and the time allotted for the meeting.and the time allotted for the meeting.

• The facilitator will review the previously The facilitator will review the previously agreed-upon agenda that was agreed-upon agenda that was developed thru consultation with the developed thru consultation with the Parent and the District.Parent and the District.

• If a meeting participant requests an If a meeting participant requests an addition or revision to the previously addition or revision to the previously agreed-upon agenda, all participants agreed-upon agenda, all participants must agree to such addition or revision. must agree to such addition or revision. Otherwise, the original agenda remains Otherwise, the original agenda remains and should be followed by the and should be followed by the facilitator.facilitator.

• The facilitator may utilize a large poster The facilitator may utilize a large poster board, or some other tool to list and board, or some other tool to list and track new or unresolved issues. track new or unresolved issues. Frequently, this tool is considered (and Frequently, this tool is considered (and called) a “Parking Lot” for items that called) a “Parking Lot” for items that will be addressed at a later date/time.will be addressed at a later date/time.

• Once agreement is reached on a Once agreement is reached on a particular item, the facilitator will confirm particular item, the facilitator will confirm consensus before moving to the next consensus before moving to the next agenda item.agenda item.

• In order to memorialize the agreements In order to memorialize the agreements made, foster communication, and follow-made, foster communication, and follow-thru on commitments made during the thru on commitments made during the facilitated IEP meeting, the participants facilitated IEP meeting, the participants should develop a specific, written “Action should develop a specific, written “Action Plan” that includes the following items:Plan” that includes the following items:• Specific item(s) to be accomplished.Specific item(s) to be accomplished.• Identify whom will be responsible for each Identify whom will be responsible for each

agreed-upon item.agreed-upon item.• Provide a “due date” for each agreed-upon Provide a “due date” for each agreed-upon

item.item.

• The participants should agree upon a The participants should agree upon a method of communication (possibly an method of communication (possibly an email chain) to update each other in real-email chain) to update each other in real-time when an item on the Action Plan has time when an item on the Action Plan has been completed.been completed.

• Distribute the Action Plan to all Distribute the Action Plan to all participants before they leave the participants before they leave the meeting.meeting.

Checklist for a successful facilitated Checklist for a successful facilitated meetingmeeting

☐ ☐ Follow proper procedures to request a Follow proper procedures to request a facilitated meeting.facilitated meeting.

☐ ☐ Agree on a particular facilitator. This is Agree on a particular facilitator. This is where “external” versus “internal” facilitator where “external” versus “internal” facilitator may become an issue.may become an issue.

☐ ☐ Ask yourself, “What do I want to Ask yourself, “What do I want to accomplish during this meeting? How can I accomplish during this meeting? How can I help the most important person – the help the most important person – the Student?”Student?”

☐☐ Identify previous barriers to successful Identify previous barriers to successful meetings.meetings.

☐☐ Identify portions of the Student’s IEP, Identify portions of the Student’s IEP, program, services, or personnel that have program, services, or personnel that have worked well for the Student. worked well for the Student.

☐ ☐ Draft a list of questions, concerns, and Draft a list of questions, concerns, and issues to discuss with the facilitator pre-issues to discuss with the facilitator pre-meeting.meeting.

☐ ☐ Set up a telephone conference or a Set up a telephone conference or a meting with the facilitator to discuss your meting with the facilitator to discuss your question, concerns, previous barriers to question, concerns, previous barriers to success, and the “positives” (what has success, and the “positives” (what has worked for the Student).worked for the Student).

☐☐ Discuss/request any necessary Discuss/request any necessary accommodations with the facilitator that you accommodations with the facilitator that you need to ensure a comfortable meeting.need to ensure a comfortable meeting.

☐☐ Determine which records you need to Determine which records you need to prepare for the meeting.prepare for the meeting.

☐☐ Submit a written records request to the Submit a written records request to the District/ESD, if necessary.District/ESD, if necessary.

☐ ☐ Organize your records – very few records Organize your records – very few records are really needed (or accessed) during a are really needed (or accessed) during a meeting.meeting.

☐ ☐ If you intend to discuss a new document If you intend to discuss a new document ((e.ge.g., private evaluation report) during the ., private evaluation report) during the facilitated meeting, provide the document(s) facilitated meeting, provide the document(s) to the facilitator and the District or Parent as to the facilitator and the District or Parent as many days in advance of the meeting as many days in advance of the meeting as possible.possible.

Checklist for a successful Checklist for a successful facilitated meetingfacilitated meeting

☐☐ Develop a written timeline of Develop a written timeline of important/key events related to the important/key events related to the Student’s education, such as evaluations, Student’s education, such as evaluations, initial eligibility or special education initial eligibility or special education services, and IEP dates, for ease of services, and IEP dates, for ease of reference during the facilitated meeting.reference during the facilitated meeting.

☐☐ Create a written “Cast of Characters” Create a written “Cast of Characters” (key people, relationship to the Student, (key people, relationship to the Student, date of service) and their contact date of service) and their contact information for ease of reference during information for ease of reference during the facilitated meeting.the facilitated meeting.

☐ ☐ Consider bringing a friend to the Consider bringing a friend to the meeting with you – someone who can meeting with you – someone who can offer you moral support, take notes, and offer you moral support, take notes, and gently nudge you if get “stuck in the gently nudge you if get “stuck in the past.” In addition, a note taker allows you past.” In addition, a note taker allows you to stay in the moment and to participate to stay in the moment and to participate in the meeting without concerns of multi-in the meeting without concerns of multi-tasking.tasking.

☐ ☐ Arrange for child care, if necessary, and Arrange for child care, if necessary, and reschedule other commitments so that reschedule other commitments so that you can minimize your stress and focus you can minimize your stress and focus on the facilitated IEP meeting.on the facilitated IEP meeting.

☐ ☐ Make a list of everything you need to Make a list of everything you need to take to the meeting, including pens, paper, take to the meeting, including pens, paper, highlighters copies of new documents that highlighters copies of new documents that you recently provided to the District or you recently provided to the District or Parent, snacks, pictures of the Student (or Parent, snacks, pictures of the Student (or Person Centered Plan or video), and any Person Centered Plan or video), and any necessary equipment needed (if you necessary equipment needed (if you intend to show a video of the Student).intend to show a video of the Student).

☐ ☐ At least two days before the facilitated At least two days before the facilitated meeting, gather all the items on your list meeting, gather all the items on your list and set them aside. Inevitably, you will and set them aside. Inevitably, you will remember something that you forgot to remember something that you forgot to add to your list, so give yourself plenty of add to your list, so give yourself plenty of time to find the necessary item(s) and time to find the necessary item(s) and minimize stress.minimize stress.

☐ ☐ If the District and the Parent have agreed If the District and the Parent have agreed to a facilitated IEP meeting, that typically to a facilitated IEP meeting, that typically means that previous meeting(s) didn’t go means that previous meeting(s) didn’t go well, or, there may be conflict/trust issues well, or, there may be conflict/trust issues impeding the participants’ ability to develop impeding the participants’ ability to develop and implement an agreed-upon, appropriate and implement an agreed-upon, appropriate IEP for the Student. Acknowledge the stress IEP for the Student. Acknowledge the stress and likely anxiety associated with the and likely anxiety associated with the upcoming meeting and take time for self-upcoming meeting and take time for self-care.care.

checklist for a successful facilitated meetingchecklist for a successful facilitated meeting

☐☐Attend the meeting with an open mind, Attend the meeting with an open mind, ready to collaborate for the most important ready to collaborate for the most important person at that given moment, the Studentperson at that given moment, the Student..

☐ ☐ Allow the facilitator to assist the progress Allow the facilitator to assist the progress of the sharing of open, honest of the sharing of open, honest communication between all meeting communication between all meeting participants.participants.

☐☐ If an impasse occurs, have confidence If an impasse occurs, have confidence that the facilitator will guide you thru this that the facilitator will guide you thru this process.process.

☐ ☐ Upon agreement, create an Action Plan.Upon agreement, create an Action Plan.

☐ ☐ It may take two meetings to reach the end It may take two meetings to reach the end goal, particularly if several issues are placed goal, particularly if several issues are placed on the “Parking Lot” to discuss and resolve on the “Parking Lot” to discuss and resolve at a future date.at a future date.

☐ ☐ A facilitated IEP meeting is a powerful A facilitated IEP meeting is a powerful mechanism to reach consensus in a mechanism to reach consensus in a collaborative manner. The alternative collaborative manner. The alternative options, particularly a Complaint and a Due options, particularly a Complaint and a Due Process Complaint are stressful, costly, and Process Complaint are stressful, costly, and divisive. So, work hard to reach agreement divisive. So, work hard to reach agreement and stay focused on the Student. and stay focused on the Student.

☐☐Attend the meeting with an open mind, Attend the meeting with an open mind, ready to collaborate for the most important ready to collaborate for the most important person at that given moment, the Studentperson at that given moment, the Student..

☐ ☐ Allow the facilitator to assist the progress Allow the facilitator to assist the progress of the sharing of open, honest of the sharing of open, honest communication between all meeting communication between all meeting participants.participants.

☐☐ If an impasse occurs, have confidence If an impasse occurs, have confidence that the facilitator will guide you thru this that the facilitator will guide you thru this process.process.

☐ ☐ Upon agreement, create an Action Plan.Upon agreement, create an Action Plan.

☐ ☐ It may take two meetings to reach the end It may take two meetings to reach the end goal, particularly if several issues are placed goal, particularly if several issues are placed on the “Parking Lot” to discuss and resolve on the “Parking Lot” to discuss and resolve at a future date.at a future date.

☐ ☐ A facilitated IEP meeting is a powerful A facilitated IEP meeting is a powerful mechanism to reach consensus in a mechanism to reach consensus in a collaborative manner. The alternative collaborative manner. The alternative options, particularly a Complaint and a Due options, particularly a Complaint and a Due Process Complaint are stressful, costly, and Process Complaint are stressful, costly, and divisive. So, work hard to reach agreement divisive. So, work hard to reach agreement and stay focused on the Student. and stay focused on the Student.

ADDITIONAL RESOURCES….http://www.copaa.org/(Council of Parent Attorneys and Advocates)

http://www.directionservice.org/cadre/(Extensive information about collaborative meetings, including facilitated meetings)

http://www.disabilityisnatural.com/explore/pfl(People First Language resources)

http://www2.ed.gov/policy/gen/guid/fpco/ferpa/index.html(FERPA/FPCO resources)

http://idea.ed.gov/(IDEA history and statutes/regulations)

http://nichcy.org/(National Dissemination Center for Children with Disabilities)

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fa·cil·i·tatefa·cil·i·tate/fəˈsiliˌtāt//fəˈsiliˌtāt/

Verb:Verb: Make (an action or process) easy or easier. Make (an action or process) easy or easier.Synonyms: relieve - ease - alleviate - simplify – lightenSynonyms: relieve - ease - alleviate - simplify – lighten

Source: Merriam Webster Online Dictionary 2012Source: Merriam Webster Online Dictionary 2012