RICHARD W. STORY, District Judge.
This case comes before the Court on Defendant's Motion in Limine and/or to Dismiss to Limit the Issues Which Plaintiff May Present in its Appeal ("Defendant's Motion in Limine") [24], Defendant/Counterclaimant D.B.'s Et Als [sic] Motion for Final Judgment on the Record ("Defendant's MJAR") [31], and Plaintiff Cobb County School District's Motion for Summary Judgment ("Plaintiff's MSJ") [32]. After reviewing the record, the Court enters the following Order.
This case involves the efforts of the Cobb County School District and D.B.'s parents to provide D.B., an autistic child, with a "Free and Appropriate Public Education," and comes before this Court on the appeal of an administrative law judge's determination below. (
Defendant D.B. is eligible for special education services under the Individuals with Disabilities Education Improvement Act ("IDEA"), 20 U.S.C. §§ 1400 et seq. At the time relevant to this case, D.B. was a five-year-old student at East Side Elementary School in the Cobb County School District (the "District"), where he began kindergarten on August 7, 2013. Previously, D.B. attended pre-kindergarten in the Atlanta Independent School District ("APS"), where he received an Individualized Educational Program ("IEP") based on his eligibility under the IDEA categories of autism and speech language impairment.
On August 6, 2013, D.B.'s IEP Team, including his parents, Defendants G.S.B. and K.B., met to discuss D.B's IEP. Defendants provided D.B.'s February 21, 2013 IEP from APS and an APS psychological evaluation, but did not provide D.B.'s medical records. The APS records and the parents' statements became the basis for the District's IEP. Defendants represented that the problem behaviors listed in the APS IEP had been "extinguished in the fall of 2012." The IEP team concluded that D.B.'s behavior impedes his learning and could be supported through goals and objectives. At that time, the parents requested a functional behavioral assessment ("FBA") in light of potential transitional issues.
FBAs rely on the premise that all behaviors serve a purpose. With this in mind, FBAs attempt to identify the underlying reasons and environmental variables that contribute to problem behaviors. Information gathered through the FBA helps evaluators design a Behavior Intervention Plan ("BIP") with strategies to reduce or eliminate conditions that encourage problem behaviors and to create conditions that encourage positive behaviors.
IDEA provides no explicit requirements for FBAs. Rather, industry standards provide the framework for such an evaluation. FBAs may be conducted by educators or behavioral analysts. First, the evaluator relies on teacher and parent interviews, direct observation, and school records to identify targeted behaviors and form a hypothesis about the purpose of the problem behaviors. Next, the evaluator collects "ABC" — Antecedent, Behavior, Consequence — data. "Antecedents" are events or environmental conditions that precede (and presumably trigger) problem behaviors. "Behavior" refers to behavior topographies, which describe how the behavior looks. "Consequence" data records the immediate aftermath of the behaviors. The evaluator looks for patterns in the ABC data to create a hypothesis about the function of the problem behaviors. Because FBAs have no explicit requirements, analysts may exercise substantial discretion in tailoring their data collection to the particular student. But analysts must ensure the accuracy of the data by, e.g., including explanations and demonstrations of data collection, asking data takers to define variables to ensure understanding across all data takers, observing data collection, or providing feedback during the collection.
If the evaluator is confident in the FBA's results, the evaluation may end there. But if the evaluator seeks a more precise evaluation, the next step is a Functional Analysis ("FA"). In an FA, the evaluator "manipulates environmental conditions repeatedly to see if they can replicate rates of behavior . . . to see under which conditions the behavior is going to be repeatedly exhibited." (Dkt. [1-1] at ¶ 14.) An FA is the "only way to make definitive causal statements about the functions of the behavior." (
As the 2013 school year commenced, D.B.'s teachers presented demands to D.B. similar to his neurotypical peers, relying on Defendant's statements that: D.B. performed at those levels, academic demands were preferred, and problem behaviors had been extinguished. Yet when presented with these demands, D.B. exhibited "severe behavior outbursts," during which he pulled his hair, bit, scratched, pinched, and attempted to bang his head. D.B. directed these behaviors not only towards himself, but also towards the adults trying to help him. In addition to these outbursts, D.B. exhibited vocal and motor stereotypy throughout the day.
The District engaged Integrated Behavioral Solutions ("IBS") to conduct D.B.'s FBA. Erica Cooper was assigned to D.B.'s case. Ms. Cooper is a licensed Board Certified Behavior Analyst ("BCBA") and holds a Master's degree in Pyschology, with a focus on Applied Behavior Analysis ("ABA"). She has experience conducting, designing, and performing over one hundred FBAs, most of which were for students with autism and a portion of which included an FA. She has created over one hundred BIPs.
Cooper began her evaluation on September 4, 2013. First, she spent four hours observing D.B. at school and interviewing school staff about D.B.'s behavior. At school, D.B. cried; threw and swiped materials; escaped from his chair; kicked, hit, and banged his head into adults; ran into walls; and banged his own head. Cooper observed these behaviors in "tantrum-like" episodes — multiple behaviors within twenty seconds — and D.B.'s teachers confirmed that these tantrums were typical of D.B.'s behavior.
Cooper visited the school four more times: on September 11, 16, and 27, and October 1, 2013. During those visits, she interviewed teachers about their observations and strategies and D.B.'s responses. She also trained Melanie Kirby, D.B.'s special education teacher, and Nadine Friedly, D.B's behavior support specialist, in data collection and directly observed D.B. for a total of sixteen hours.
On September 11, 2013, Cooper attended a second IEP meeting held to address D.B.'s behavior problems. At that meeting, she heard D.B.'s teachers' and parents' accounts of his behavior. D.B.'s parents said they did not see the problem behaviors observed in the school setting at home.
Cooper used an ABC format to collect her data, a format that is "customary" in ABA. (
Data collection occured over a period of ten school days. During this time, observers documented 98 problem behavior episodes. In addition to observing D.B. directly, Cooper trained Kirby and Friedly in data collection. Both had prior experience collecting data. Cooper discussed the Behavior Checklist with them and they exchanged emails regarding questions. Some or all of the training took place during the data collection period. Cooper also observed Kirby and Friedly and concluded that they were collecting data accurately.
Cooper's data collection focused primarily on the antecedent and behavior data. She tailored her form to reflect only those consequences that she had observed to be "meaningful" to D.B. Collectors counted each episode until behaviors had ended for one minute. Cooper hypothesized that individual behavior topographies did not necessarily correlate with a single function. Additionally, she theorized that behaviors could change based on what D.B. had access to (e.g., kicking versus swiping materials away).
Cooper compiled her findings in her FBA report dated October 2, 2013. She revised the report on October 30, 2013 to correct a typographical error. The FBA identifies D.B.'s problem behaviors and predicts when behaviors were most and least likely to occur. Cooper concluded that D.B.'s behaviors relate to three functions: (1) escape/avoidance, (2) access to preferred items/activities, and (3) automatic reinforcement. D.B. exhibits the same behaviors for functions (1) and (2). Function (3) related only to his vocal and motor sterotypy behavior, which is typical for how those behaviors manifest in children with autism.
On October 29, 2013, Cooper drafted a BIP using her conclusions from the FBA. D.B.'s parents disagreed with the FBA and, finding it inappropriate, requested an independent FBA.
Defendants then engaged the founder of Southern Behavioral Group, Dr. Michael Muller, BCBA-D, to conduct an independent FBA and FA.
Dr. Mueller observed D.B. on three separate days for a total of about ten hours. Dr. Mueller also spoke with school staff, but did not formally interview them. Dr. Mueller describes a functional analysis as "replicating events or scenarios or conditions that were observed to happen in the classroom that were confounded by other events." (T. at 955.) The functional analysis therefore generates more precise conclusions because the ABC results are more clear. This is in part because in the classroom setting, the teacher may take action to stop or change the child's problem behavior, especially when the behaviors may cause injury to the child or others. As such, the classroom setting leads to "overlapping patterns," where the interaction between the child and the adult cause multiple antecedents with different consequences, and therefore the problem behaviors may stem from a variety of functions. Dr. Mueller testified that disruption or interference in the learning environment is particularly significant if "the behavior is dangerous, severe, meaning someone is getting hurt, the child is hurting himself, [or] property is being broken or destroyed." (T. at 959.) The functional analysis prevents this disruption or interference by creating controlled conditions in which the analyst may directly assess whether a particular consequence reinforces the behavior. This leads to more accurate conclusions about the function of the behavior. An FBA may have multiple FAs conducted for multiple problem behaviors. (T. at 966.) Dr. Mueller conducted separate FAs on D.B.'s aggression and disruptive behavior.
At the time of the administrative hearing, Dr. Mueller had not completed his report, but he did provide charts summarizing his data. Dr. Mueller's FA revealed that D.B.'s problem behaviors were reinforced by different functions. His conclusions partially contradict Cooper's: Dr. Mueller found that the primary function of D.B.'s aggression was the seeking of a preferred item rather than avoidance of an academic demand.
Defendants seek reimbursement for Dr. Mueller's evaluation.
In the underlying administrative proceeding, Plaintiff Cobb County School District initiated an action before the Office of State Administrative Hearings pursuant to the Individuals with Disabilities Education Improvement Act ("IDEA"), 20 U.S.C. § 1400, et seq., O.C.G.A. § 20-2-152, Georgia Board of Education Rules 160-4-7-.12(3)(u), and 34 C.F.R. § 300.516(a), to defend Cooper's FBA.
The stated purpose of IDEA is "to ensure that all children with disabilities have available to them a free appropriate public education ("FAPE") that emphasizes special education and related services designed to meet their unique needs . . ." 20 U.S.C. § 1400(d)(1)(A). If the parents of a disabled child are dissatisfied with their child's individualized education program ("IEP"), IDEA requires the educational agency to afford them an impartial due process hearing. 20 U.S.C. § 1415(f)(1)(A).
But the posture of the parties in this case is different from that of the typical IDEA action. Here, the District brought an administrative action in response to a request from Defendants for an independent educational evaluation ("IEE"). Defendants claim that the District's evaluation was inappropriate and inadequate for planning D.B.'s IEP and, accordingly, violated rights established under 20 U.S.C. § 1415(b). Defendants therefore engaged their own expert, Dr. Mueller, to conduct an independent FBA.
An administrative hearing was held in the Georgia Office of State Administrative Hearings over seven days from January 15, 2014 to March 26, 2014 (Dkt. [1-1] at 1 n.1.) While Defendants' expert had not completed his assessment at the time of the administrative hearing, he testified as to his observations of D.B. up to the time of trial. On June 3, 2014, the Administrative Law Judge ("ALJ") issued a final decision ("Final Decision," Dkt. [1-1]), finding, at bottom, that Plaintiff's "FBA data lacked sufficient reliability and thus, is not appropriate." (
Specifically, the ALJ found that the District's FBA failed in one significant regard: "Cooper's FBA is not appropriate because the data collection, as designed, was never going to provide a reliable enough conclusion as to the functions of D.B.'s serious and problematic behaviors." (
Based upon her findings, the ALJ granted Defendants' request for an IEE at public expense. (
Both parties move for a determination on the merits. Summary judgment decisions in IDEA cases are "better described as judgment[s] on the record."
IDEA provides that the Court "shall receive the records of the administrative proceedings, shall hear additional evidence at the request of a party, and, basing its decision on the preponderance of the evidence, shall grant such relief as the court determines is appropriate." 20 U.S.C. § 1415(i)(2)(C). This Court previously ruled that supplemental discovery was unnecessary; accordingly, it now decides the motions before it on the administrative record. (
Federal Rule of Civil Procedure 56's summary judgment principles do not apply in IDEA cases.
The district court's review of an administrative decision in an IDEA case is deferential. "[T]he administrative decision in an IDEA case is entitled to due weight and the court must be careful not to substitute its judgment for that of the state educational authorities."
"A court reviewing an administrative decision under the IDEA asks only two questions: (1) whether the school complied with the IDEA's procedural requirements, and (2) whether the IEP developed for the student is `reasonably calculated to enable the student to receive educational benefits.'"
With this legal standard in mind, the Court now reviews the ALJ's decision.
Defendants seek reimbursement for the FA performed by Dr. Mueller after they determined Cooper's FBA to be inappropriate. Essentially, Defendants argue that the District violated IDEA by failing to properly evaluate D.B. Plaintiff has the burden on this appeal to show that the District's FBA met the statute's requirements.
The Court finds it instructive to begin, again, with IDEA's underlying purpose: "to ensure that all children with disabilities have available to them a free appropriate public education ("FAPE") that emphasizes special education and related services designed to meet their unique needs." 20 U.S.C. § 1400(d)(1)(A). A school district provides a student with a FAPE when it "provid[es] personalized instruction with sufficient support services to permit the child to benefit educationally from that instruction."
Under IDEA, parents have a right to obtain an independent educational evaluation of the child. 20 U.S.C. § 1415(b)(1). Under IDEA's implementing regulations, the parents may obtain an IEE at public expense if they disagree with the district's evaluation. 34 C.F.R. § 300.502(b)(1). If the district does not agree to the additional IEE at public expense, it may file a due process complaint to request a hearing to show that its evaluation is appropriate. 34 C.F.R. § 300.502(b)(2)(i).
At such a due process hearing, the school district has the burden of proof to show that its assessment is adequate.
When assessing the adequacy of a district's evaluation, IDEA's implementing regulation 34 C.F.R. § 300.304 provides the relevant standard. Under that regulation, the school district is required to: (1) "[u]se a variety of assessment tools and strategies to gather relevant functional, developmental, and academic information about the child," (2) "not use any single measure or assessment as the sole criterion for determining whether a child is a child with a disability and for determining an appropriate educational program for the child," and (3) "[u]se technically sound instruments that may assess the relative contribution of cognitive and behavioral factors, in addition to physical or developmental factors." 34 C.F.R. § 300.304(b)(1)-(3). Additionally, under 34 C.F.R. § 300.304, the school district must ensure that any assessment or evaluation is: (1) "selected and administered so as not to be discriminatory on a racial or cultural basis," (2) "provided and administered in the child's native language or other mode of communication and in the form most likely to yield accurate information on what the child knows and can do academically, developmentally, and functionally," (3) "used for the purposes for which the assessments or measures are valid and reliable," (4) "administered by trained and knowledgeable personnel," and (5) "administered in accordance with any instructions provided by the producer of the assessments." 34 C.F.R. § 300.304(c)(1)(i)-(v). Further, the district must ensure that the assessment or evaluation is tailored to assess specific areas of educational need, 34 C.F.R. § 300.304(c)(2), and selected and administered to best reflect the child's aptitude of achievement level despite any impaired sensory, manual, or speaking skills. 34 C.F.R. § 300.304(c)(3). The child must also be assessed in all areas related to his suspected disability. 34 C.F.R. § 300.304(c)(4). If the child transfers from one school district to another in the same school year, the district must coordinate with a child's prior and subsequent schools. 34 C.F.R. § 300.304(c)(5). In addition, the evaluation must be sufficiently comprehensive to identify all of the child's special education and related needs, not just those commonly linked to the child's disability category. 34 C.F.R. § 300.304(c)(6). Finally, the assessment tools and strategies must provide relevant information that directly assists determination of the child's educational needs. 34 C.F.R. § 300.304(c)(7).
An FBA is an "educational evaluation" under IDEA.
Beyond the implementing regulations' requirements for IDEA evaluations, no mandatory standards circumscribe FBAs. FBAs should "attempt[] to identify the likely triggers to and the appropriate interventions for problem behaviors."
Plaintiff argues that the ALJ erred because she did not apply the relevant law. But the Court finds that the ALJ committed no legal error in her analysis.
The ALJ used the relevant legal standard to assess the District's FBA. In her Conclusions of Law, the ALJ first set forth the statutory and regulatory requirements of 14 U.S.C. § 1415(b)(1) and 34 C.F.R. §§ 300.502 and 300.304. (Dkt. [1-1] at 15-16.) She next properly concluded that an FBA conducted to assess the need for special education and related services is an "evaluation" under IDEA. (
But the FBA was inappropriate, the ALJ concluded, because the data collection "was never going to provide a reliable enough conclusion as to the functions of D.B.'s serious and problematic behavior." (
The ALJ found that D.B. required a more thorough assessment than that accomplished by Cooper's FBA. Her findings relied on the seriousness of D.B.'s violent and aggressive behaviors toward himself and others. (
As explained supra at Part I.A, the Court is deferential to the ALJ's findings of fact. Having presided over a multi-day hearing that produced a record of over one thousand pages, she is in the best position to weigh the balance of the evidence and the credibility of the witnesses. After considering all of the evidence, the ALJ was persuaded by the Defendants' witnesses, and this Court will not lightly set aside her reasoned judgment.
And the Court finds that her judgment was sound and supported by a preponderance of the evidence. For example, Cooper chose to collect data on D.B.'s behavior by tantrum-like "episodes." (
The ALJ concluded that Cooper based her hypotheses significantly on interviews and personal observations but insufficiently on actual data. (
Plaintiff argues that the ALJ should have excluded evidence of Dr. Mueller's FA and that this Court should similarly disregard any evidence or arguments based on Dr. Mueller's FA.
The Court agrees that the relevant question here is not whether Dr. Mueller's FA was a superior evaluation.
There is ample evidence in the record — certainly more than a preponderance — to support the ALJ's finding that Cooper's FBA was insufficient to evaluate D.B.'s educational needs. Again, IDEA's implementing regulations require that the "[a]ssessment tools and strategies provide relevant information that directly assists" determination of the child's educational needs. 34 C.F.R. § 300.304(c)(7) (emphasis added). Considering what is at stake here — a disabled child's access to a free appropriate public education — the Court agrees with the ALJ's decision that the FBA did not fulfil IDEA's requirements. Accordingly, the administrative decision is
In light of the Court's conclusion above, Defendants' Motion in Limine [24] is
For the foregoing reasons, Defendant's Motion in Limine and/or to Dismiss to Limit the Issues Which Plaintiff May Present in its Appeal [24] is