IDEA FORMAL COMPLAINTS Administrative Accountability Branch Kentucky Department of Education Understanding the Self-Investigation Process

IDEA Self-Investigations  The Notice of Complaint (with sample)  The Decision to Investigate  Considerations Before You Investigate  Self-Investigation Options  Beginning the Investigation Process  Reviewing the Documents and Evidence  Outlining and Reporting (with sample)  Mistakes to Avoid  Test Your Complaint Know-How

The Notice of complaint  The complaint process begins with an official notice of complaint.  Parents should file their complaints with DECS and the district. However; DECS will ensure the district receives a copy of the complaint if the parents fail to do so.  DECS: Reviews the parent’s complaint; Identifies IDEA issues; and Sends both parties a formal notice of complaint.  The formal notice states the IDEA issues, specifies minimum documentation required, and establishes timelines for completion of the complaint investigation.

Sample Notice of Complaint

Sample Notice of Complaint (page 2)

The Decision to Investigate  Districts may choose to conduct a self-investigation and must notify DECS of its decision within three days.  How many districts self-investigate? During the school year 20 complaints have been filed: Five districts chose to self-investigate. Eight complaints were closed because of: Successful mediation or ARC negotiations; and/or No IDEA issues were identified. The remaining 7 have been either: Investigated by DECS; or Are awaiting decisions from districts on self-investigation.

The Decision to Investigate  Considerations Before You Investigate  Would a self-investigation cause further animosity with the parent?  Do you have time to do a thorough investigation?  Do you have experience with other types of compliance reviews such as IDEA monitoring or Title I?  Do you have clerical and legal support?

Self-Investigation Options  Self-Investigation: You Have Options  Districts determine how to conduct self- investigations.  Special Education Cooperatives may assist.  Before the final report is issued, districts may meet with parents to resolve complaints. If successful, those complaints are closed with no further corrective action required by DECS. This is called “early resolution.”  Districts identifying their own violations can write their own corrective action plans.

Beginning the Investigation Process - Districts Must Submit Report in 20 Calendar Days  Gather Documentation  Read the notice of complaint and parent letter.  Gather the records specified in the complaint letter.  Determine if additional documents are needed. For example, it may be necessary to use documents from previous years to understand the current situation.  Arrange the documents in chronological order.  For documents with more than one date, use the first date specified to place in chronological order.

Reviewing Documents and Evidence  Review the Documents  Read through the documents to understand the story of “where the child is” and “how he got there.”  As you read, note information relevant to the parent’s complaint. Mark those documents with sticky notes or tabs.  Begin drafting an outline for your report. Briefly state methods used to investigate and evidence reviewed. your findings in order. Include a reference to the evidence supporting each point. Evidence may include interviews with staff and parents, ARC documents, witness statements, evaluation, attendance, and discipline reports, police reports, related services documents, progress data, grades, and more.

Outlining and Reporting  Review the Outline  Read with a critical eye.  Does the evidence:  Show a clear sequence of events?  Need supporting information as in interviews, photographs, work samples, or other evidence?  Show violations?  Verify that the district is in compliance, and no violations occurred?  Write the Report  Writing Tips:  Be clear and specific;  Include only relevant details;  Focused on facts and not emotions;  Support statements with verifiable evidence; and  Strive for an objective voice.  You may write in bullets or numbered lists.  Include the chronology of events with evidence, a conclusion, and a proposed corrective action plan if needed.  Use titles rather than names.

Sample Chronology of Events (Redacted Copy of Actual Report)

Sample Conclusion (Redacted Copy of Actual Report)

Sample Corrective Action Plan (redacted copy from actual report)

Timelines  Complaints must be resolved within 60 days.  Districts choose to self-investigate within 3 days.  District report must be submitted to DECS within 20 days.  DECS completes any necessary investigational activities and issues final report within 36 days.  Corrective action plans will include timelines unique to each complaint. All corrective actions must be completed, and documentation must be submitted to DECS within timelines. In general, complaints must be closed no later than one calendar year.

Mistakes to Avoid  KDE may conduct additional investigatory activities or reject a district’s report when:  The report contains errors or evidence of altered documents.  The report does not address all of the issues in the complaint.  The investigation is not thorough, or evidence is lacking.  The report lacks organization and logic.  Observation of facilities or practices is needed.  Findings and conclusions are not consistent with regulations.  The allegations are severe and require direct communication with staff.

TEST YOUR COMPLAINT KNOW-HOW Administrative Accountability Branch It’s Time for Jeopardy!