LAWRENCE E. KAHN, District Judge.
Plaintiffs R.S. and E.S. and their minor son, A.S., bring this action, pro se, against the Shenendehowa Central School District Board of Education ("District") and MaryEllen Elia, Commissioner of the State University of New York. Dkt. Nos. 1 ("Complaint"), 10 ("First Amended Complaint" or "FAC"), 76 ("Second Amended Complaint" or "SAC").
IDEA's primary purpose is to ensure students with disabilities receive a free appropriate public education ("FAPE"), that "emphasizes special education and related services designed to meet students' unique needs and prepare them for further education, employment, and independent living." § 1400(d)(1)(A);
A party may commence an administrative proceeding challenging an IEP as failing to provide a FAPE by filing a written complaint with the relevant school district, which will require an administrative hearing before an Impartial Hearing Officer ("IHO") selected from a list of approved IHOs maintained by the district. § 1415(f). Any party wishing to seek relief from the IHO's decision may appeal the IHO's findings to the relevant state educational agency. §1415(g). The agency's State Review Officer ("SRO") is then required to conduct an impartial review of the IHO's decision. § 1415(g). If not appealed, the IHO's decision is final. § 1415(i)(1)(A). Further, the SRO's decision is final unless a party to that decision commences, as Plaintiffs have done here, an action in federal district court pursuant to § 1415(i)(2)(A). § 1415(i)(1)(B).
A.S. is a seven-year-old boy with Autism Spectrum Disorder ("ASD"). SAC ¶ 1; Dist. SMF ¶¶ 1-2; Elia SMF ¶ 1. A.S. initially received special education services in late 2012, but these services were terminated when Plaintiffs moved out of the country. Dkt. No. 35-2 ("SRO Decision") at 2; Elia SMF ¶ 3. In June 2014, after returning to the United States, A.S. was evaluated and found eligible for special education and related services. SRO Decision at 2-3; Elia SMF ¶ 4. Over the next year, A.S.'s program was modified by the District CSE multiple times. SRO Decision at 3-4; Elia SMF ¶ 5.
A.S. began the 2015-2016 school year as a kindergarten student attending the District's elementary school. Dist. SMF ¶ 9; SAC ¶ 10. Pursuant to New York Education Law § 3202, A.S. was not of compulsory school attendance age during the 2015-16 school year. Dist. SMF ¶10.
In October 2015, Plaintiffs expressed concerns to the school about A.S.'s placement. SRO Decision at 4-5; SAC ¶¶ 12-13; Elia SMF ¶ 6; Dist. SMF ¶¶ 11-12. The District CSE reconvened and, on October 22, 2015, produced a revised IEP for the 2015-16 school year. IHO Ex. 32. The parents then executed a first due process complaint notice challenging the IEP. SRO Decision at 4-5; SAC ¶¶ 12, 13; Elia SMF ¶ 6; Dist. SMF ¶ 11-12. They executed a second due process complaint notice in November 2015. SRO Decision at 5; SAC ¶ 1; Elia SMF ¶ 7; Dist. SMF ¶ 13. In response to these complaints, Plaintiffs met with a subcommittee of the CSE on November 23, 2015, and the parties reached a resolution agreement, signed on December 4, 2015, that withdrew the due process complaints regarding the 2015-16 IEP. SRO Decision at 5-6, 41; SAC ¶¶ 16-17; Elia SMF ¶ 8; IHO Ex. 39; IHO Tr. at 860-63.
In spring 2016, the District held a CSE meeting to complete an annual review and develop an IEP for A.S. for the 2016-17 school year, when he would be of compulsory attendance age and required to attend kindergarten. SRO Decision at 6; SAC ¶ 77; Elia SMF ¶ 9; Dist. SMF ¶ 19. A.S.'s IEP provided for him to attend the District's general education kindergarten class for the half-day that students without a disability typically attend kindergarten; in addition, it provided for A.S. to attend a special education class with a student to staff ratio not to exceed 12:1:1 (twelve students, with one certified special education teacher and one teaching assistant) for two hours per day (the District's "Connections" program). Dist. SMF ¶ 21; IHO Exs. 45, 46. In addition, A.S. would receive occupational and speech therapy six times per month. IHO Ex. 45 at 7. The IEP also recommended certain supplementary aids and services, program modifications, and accommodations.
On August 5, 2016, Plaintiffs filed a due process complaint regarding the 2016-17 IEP, alleging that A.S. "could not take advantage of an education not grounded in the principles of [ABA] [and] more specifically it was
A hearing before an IHO regarding the due process complaint was held in October 2016. SRO Decision at 9; SAC ¶ 42; Elia SMF ¶ 11; Dist. SMF ¶ 6-7; IHO Tr. On December 30, 2016, the IHO ruled that the District had provided A.S. with a FAPE as required by law. Dkt. No. 82-2 ("IHO Decision"); SRO Decision at 9; SAC ¶ 42; Elia SMF ¶ 12.
Plaintiffs appealed. On April 6, 2017, SRO Bates determined on April 6, 2017, that while the IEP was otherwise upheld, the District had failed to satisfy its least restrictive environment ("LRE") requirement for the 2016-17 school year. SRO Decision at 43; Dist. SMF ¶ 27. SRO Bates ordered the District to determine the extent to which A.S. should be placed with nondisabled peers in order to satisfy the LRE required under IDEA.
After the SRO Decision and commencement of this action, the District's CSE developed a new IEP for A.S. for the 2017-18 school year, when he was in first grade; and his parents did not appeal that IEP. Dist. SMF ¶ 40.
Plaintiffs filed suit on May 9, 2017, seeking review of the SRO decision regarding A.S.'s 2016-17 IEP, and challenging the state regulations that implement IDEA. Compl. Plaintiffs submitted the Amended Complaint on July 7, 2017. Am. Compl. On August 3, 2017, Plaintiffs submitted an ex parte motion for a preliminary injunction, seeking payment for expenses related to a proposed family move to a different school district, including "reasonable increases in cost of living, all rent increases necessary . . . and income and benefits lost . . . as a result of relocation." Dkt. No. 27 ("PI Motion") at 5.
The Court denied the PI Motion on August 7, 2017. Dkt. No. 29 ("August Order"). The District answered the Amended Complaint on August 11, 2017, Dkt. No. 36 ("Answer"), and SRO Bates and Elia jointly moved to dismiss, Dkt. No. 35 ("Motion to Dismiss").
On December 13, 2017, the Court granted in part and denied in part the Motion to Dismiss. Dkt. No. 71 ("December 2017 Order") at 16. Specifically, the Court dismissed with prejudice all claims against Bates, on the basis of absolute judicial immunity.
On January 22, 2018, Plaintiff filed a Second Amended Complaint, to which Defendants filed answers. SAC; Dkt. Nos. 78 ("District Answer"), 79 ("Elia Answer"). After settlement talks proved unfruitful, Dkt. Nos. 82, 84-85, 89, Defendants filed the Summary Judgment Motions now before the court, District SJ Motion; Elia SJ Motion. Plaintiffs have not responded. Docket.
Defendants raise mootness as a defense against certain of Plaintiffs' claims regarding the 2016-17 IEP, since that school year has passed, and Plaintiffs have not contested the subsequent IEP. Dist. Mem. at 13.
A party seeking to have a case dismissed as moot bears a heavy burden. Harrison &
Judicial review of IEP challenges "invariably takes more than nine months to complete, not to mention the time consumed during the preceding state administrative hearings."
"IDEA actions generally are resolved on summary judgment."
When considering a summary judgment motion filed in connection with an IDEA action, "a district court must conduct an independent review of the administrative record, along with any additional evidence presented by the parties, and must determine by a preponderance of the evidence whether the IDEA's provisions have been met."
When "the decisions of an IHO and a SRO conflict, the Court should generally defer to the SRO's decision, as the final decision of the state authorities."
The Second Circuit has provided guidance as to which administrative determinations are due most deference. "[D]eterminations regarding the substantive adequacy of an IEP should be afforded more weight than determinations concerning whether the IEP was developed according to the proper procedures."
In sum, "judicial review of administrative decisions under the IDEA requires the court (1) to conduct an independent review of the administrative record, (2) to use a preponderance of the evidence standard, and (3) to give deference to the administrative determinations, particularly that of the SRO."
As to Defendants' Motions for Summary Judgment on non-IDEA claims, the standard summary judgment standard of review applies. "[S]ummary judgment is proper `if the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.'"
Plaintiffs list fifteen "causes of action." SAC ¶¶ 77-192. The first through seventh causes of action are "in substance an appeal,"
The SRO's 44-page decision reflects a comprehensive review of the record and articulates clear explanations for each conclusion. It parses the parties' arguments in great detail and contains ample citations to the record in support of each finding. The SRO recognized that Plaintiffs' primary dispute was that the 2016-17 IEP did not specify "a full-day, integrated intensive ABA program, modeled on the preschool program, and that provided the student with 40 hours per week of intensive ABA." SRO Decision at 33.
The SRO addressed the student's educational needs and whether those were such that only instruction utilizing the ABA methodology would enable his educational progress. The SRO properly noted that, generally, an IEP does not specify a methodology, but instead leaves that decision to the school.
The record, amply cited by the SRO, supports this conclusion, showing that the student had already received instruction using both ABA and non-ABA methodologies, and made progress in individual and small group settings, as well as in larger group settings with adult support.
As to the appropriateness of the Corrections program, the record also included testimony about the research-based strategies the Corrections program was based upon, and the training required of the District's special education teachers. IHO Tr. at 489, 956-65; IHO Ex. 50.
At the IHO Hearing, the parents highlighted a doctor's report that the school "should consider a comprehensive [ABA] approach." IHO Tr. at 529-30, 572; IHO Ex. P-JJ at 1; IHO Ex. 1 at 21. The parents indicated that the doctor believed that the ABA program was truly essential for A.S., but had felt uncomfortable stating this explicitly in a report. IHO Tr. 530-32. Yet the doctor did not testify at the IHO Hearing, and the SRO could reasonably discount the parents' characterization of the doctor's stance given the doctor's report. SRO Decision at 36.
The Court finds that the SRO Decision was "thorough and careful" and therefore entitled to deference.
Plaintiffs allege that the SRO erred in his determination regarding A.S.'s "pendency placement." SAC ¶¶ 77-81; SRO Decision at 41. Plaintiffs claim that A.S.'s pendency placement was home-based instruction, and Plaintiffs are therefore due reimbursement for that home-based instruction.
IDEA requires that a student remain in his or her "then-current educational placement," unless the school and parents otherwise agree, during the pendency of an impartial hearing and any subsequent appeals. § 1415(j). "[Section 1415(j) represents] Congress's policy choice that all handicapped children, regardless of whether their case is meritorious or not, are to remain in their current educational placement until the dispute with regard to their placement is ultimately resolved."
Plaintiffs filed their due process complaint in early August 2016. SRO Decision at 5; SAC ¶¶ 36, 77; IHO Ex. 1. The SRO Decision identified A.S.'s October 22, 2015 IEP as the then-current educational placement as of the filing of the due process complaint. SRO Decision at 41; IHO Ex. 33. The SRO had sufficient basis for such a finding. As the SRO explained, the parents, in their IHO Hearing testimony, "essentially agreed" that this was the last agreed-upon IEP. SRO Decision at 41; IHO Tr. at 860-63. While the parents filed complaints regarding the October 22, 2015 IEP, those complaints were withdrawn through a December 4, 2015 resolution agreement, which amended the October 22, 2015 IEP by specifying New Meadow as the place of instruction. SRO Decision at 41; IHO Ex. 39; IHO Tr. at 860-63. In the IHO Hearing, A.S.'s father referred to the resolution amending the IEP as the most recent IEP. IHO Tr. at 860-63. No later IEP or agreement appears in the record, let alone one that suggests, as Plaintiffs assert, SAC ¶¶ 77-81, that A.S.'s home-schooling was the student's pendency placement.
It is true that, as of the time of the August 2016 due process complaint, A.S. had aged out of the New Meadow pre-school, meaning his IEP would have to continue at the District kindergarten. However, that change in location did not nullify the status of A.S.'s October 22, 2015 IEP (as modified by the resolution agreement) as the "then-current educational placement," because an IEP does not grant the right to placement at a particular school, but rather the same general level and type of services.
Accordingly, the Court finds that the preponderance of the evidence in the administrative record supports the SRO denial of Plaintiffs' request to reimbursement on a pendency basis for the cost of home instruction. SRO Decision at 41. Plaintiff's first cause of action is therefore dismissed.
Plaintiffs also argue, in the alternative, that they should be reimbursed for A.S.'s homebased ABA instruction for the period August 29, 2016 through February 7, 2017, since that instruction qualified as a permissible unilateral placement. SAC ¶¶ 82-89; SRO Decision at 41-42.
A parent who believes that his or her disabled child has been denied a FAPE under IDEA may unilaterally move that child to a private educational placement and then seek reimbursement from the school district. § 1412(a)(10)(C)(ii);
(2) whether the parents' private placement is appropriate to the child's needs; and (3) a consideration of the equities."
Parents bear the burden of demonstrating that the unilateral placement was appropriate for the child's needs, even if the IEP was inappropriate.
Here, the only deficiency with the IEP the SRO identified was the district's failure to consider the extent to which its program constituted a removal from the general education setting in a manner inconsistent with A.S.'s LRE. SRO Decision at 25-33, 42-43. As the Court upholds the SRO conclusion that the only deficiency in the IEP was the LRE issue, the unilateral placement can only be regarded as proper, or appropriate, if the unilateral placement addressed that LRE deficiency.
The parents' unilateral placement did not address this deficiency. The parents did not place A.S. in a more general education setting or in a plausibly less restrictive environment. Rather, the parents provided A.S. home-based instruction that removed him even further from a general education setting. SRO at 42-43. Since this unilateral placement did not provide the element of special education services in which the District was deficient, it was not "proper."
Accordingly, the SRO had sufficient grounds to deny Plaintiffs' claim for reimbursement for A.S.'s unilateral placement, and Plaintiff's second cause of action is dismissed.
Plaintiffs seek attorneys' fees to compensate them for their pro se legal work in this action. SAC ¶¶ 90-95. Even where attorneys' fees are provided by statute, a pro se litigant who is not an attorney is not entitled to an award of such fees.
In their fourth cause of action, Plaintiffs claim that the SRO "contort[ed] much of the facts, tweaking them in a manner favorable for the Defendants." SAC § 96. Plaintiffs do not, as part of this cause of action, specify what "facts" were "contorted."
In their fifth cause of action, Plaintiffs claim that the SRO erred by upholding the IHO's decision to not admit particular exhibits offered by Plaintiffs during the IHO Hearing. SAC ¶¶ 97-106; SRO Decision at 14-16; IHO Tr. at 56-108. Specifically, Plaintiffs claim that the SRO improperly excluded as exhibits academic publications that detailed methodologies including ABA.
New York State regulations require that an IHO "exclude evidence that he or she determines to be irrelevant, immaterial, unreliable, or unduly repetitious." 8 N.Y.C.R.R. § 200.5(j)(3)(xii)(c). IHOs have "broad discretion" in how they conduct the impartial hearing.
The IHO did not exclude Plaintiff's academic publications categorically, but instead advised A.S.'s parents that such publications might later be entered into the hearing record as evidence, once proper foundation had been elicited from a witness.
Plaintiffs contend that the SRO erred in finding that IDEA does not give A.S. a right to a particular educational methodology—in this case ABA instruction—in his IEP. SAC ¶¶ 107-122.
An IEP need not "mention evaluative methods or a particular teaching methodology" to be "substantively adequate."
Given the discretion afforded schools in choosing methodologies, and the record's support for the adequacy of the special education methods used, the SRO did not err in finding that A.S. had no right to an exclusively ABA-based IEP plan. This claim is therefore dismissed.
Plaintiffs claim that the SRO erred in upholding the annual goals set by A.S.'s 2016-17 IEP, which relied on inaccurate representations of A.S.'s present level of performance provided by the District. SAC ¶¶ 123-33.
An IEP must include "a statement of measureable annual goals, including academic and functional goals." § 1414(d)(1)(A)(i)(II). These goals must be "designed to meet the child's needs that result from the child's disability to enable the child to be involved in and make progress in the general education curriculum; and to meet each of the child's other educational needs that result from the child's disability."
The SRO had sufficient basis to find that the present abilities detailed in the IEP accurately reflected A.S.'s abilities. The SRO Decision details at length the basis for the goals included in A.S.'s 2016-17 IEP. SRO Decision at 21-25. The CSE convened on two dates to develop the IEP. The first meeting included three staff members from A.S.'s then-current preschool: the executive director, the student's speech-language pathologist, and the director of ABA services. SRO Decision at 21; IHO Tr. at 244, 478-79, 498-99, 660, 685-86, 773-79, 1017, 1151-52, 1192-93. Several witnesses at the impartial hearing testified that preschool staff, who would have observed A.S. in school, provided input regarding A.S.'s present levels of performance for the draft IEP. SRO Decision at 21-22; IHO Tr. at 238, 246, 278-79, 492, 498-502, 677-80, 779. And the hearing record includes evidence that the CSE discussed, reviewed, and revised the annual goals ultimately included in the IEP, in consultation with the parents. SRO Decision at 22. At the IHO Hearing, the special education teacher who attended the June 2016 CSE meeting testified that, when the CSE "started going through the goals," the parents indicated that A.S. could "already do these things," and that the CSE then rewrote the goals to be more consistent with A.S.'s apparent capabilities. IHO Tr. at 244-45; IHO Ex. 46 at 1, 6. Similarly, the special education director testified that the CSE modified the IEP's present levels of performance and goals to address parental concerns. SRO Decision at 22-23; IHO Tr. at 479-80. The SRO thoroughly explained the close alignment between the present levels of performance and the goals in the IEP. SRO Decision at 23-25; IHO Ex. 45 at 2-8. Accordingly, this claim is dismissed.
Plaintiffs' claim in their ninth, tenth, and fifteenth causes of action that the New York regulations regarding students with disabilities, codified at 8 N.Y.C.R.R. § 200, et seq, violate IDEA and the Fourteenth Amendment. SAC ¶¶ 137-84, 189-92. These claims do not involve factual disputes, but rather questions of law regarding the text and interpretation of § 200 and IDEA.
Plaintiffs argue, in what they label the ninth cause of action, that § 200, which was promulgated by Elia, and carried out by the District through A.S.'s IEP, improperly "segregates" students with disabilities so that they are "likely to be permanently disabled," in violation of IDEA. SAC ¶¶ 137-152. Essentially, Plaintiffs claim that § 200 does not comply with IDEA's LRE requirement that, to the maximum extent appropriate, disabled children be educated with nondisabled children. § 1412(a)(5)(A).
The Second Circuit has explained that New York "has set forth regulations to implement the goals of the IDEA, which `appear to track the IDEA closely.'"
Plaintiffs assert that § 200 is unconstitutionally vague, in violation of the Fourteenth Amendment and IDEA. SAC ¶¶ 153-84. Plaintiffs point to a handful a phrases that they find impermissibly vague. Plaintiffs complain that § 200.4(v)(b) directs that the "recommended program and services shall, to the extent practicable, be based on peer-reviewed research," but does not define "to the extent practicable" and "peer-reviewed research." SAC ¶¶ 165-66. Likewise, according to Plaintiffs, § 200.1 (cc) fails to sufficiently define "LRE." SAC ¶¶ 167-184. Plaintiffs also suggest that the regulations' failure to specify ABA as the one proper methodology for instruction of students with autism makes the regulations void for vagueness. SAC ¶¶ 180-82.
Void for vagueness challenges "are usually directed at criminal statutes and civil provisions which prohibit future individual conduct, particularly conduct protected by the First Amendment."
In any case, the phrases complained of are not vague. To the extent that the phrases are not defined by the regulations themselves, they are to be read according to plain-language meaning.
Plaintiffs' vagueness claim therefore fails as a matter of law and must be dismissed.
Plaintiffs argue in their fifteenth cause of action that § 200 violates IDEA by failing to include "reducing prompt dependence" and "increasing conversation ability with neurotypical peers" as guaranteed goals on IEPs. SAC ¶¶ 189-192. In other words, Plaintiffs claim that § 200 does not comply with IDEA's legislative purpose of "ensur[ing] that all children with disabilities have available to them a free public education that emphasizes special education and related services designed to meet their unique needs and prepare them for further education, employment, and independent living." § 1400(d)(1)(A).
"IDEA's statutory scheme requires substantial deference to state administrative bodies on matters of educational policy" and "the judiciary generally lacks the specialized knowledge and experience necessary to resolve [such] persistent and difficult [issues]."
Again, New York "has set forth regulations to implement the goals of IDEA, which `appear to track the IDEA closely.'"
The regulations represent a permissible educational policy choice by Defendants. They do not detail cookie-cutter goals for each type of disability, but instead reflect a more flexible standard for schools to work from, in keeping with IDEA's emphasis on "tailor[ing]" special education "to the unique needs of a particular child."
Only after exhausting IDEA claims via due process complaint, the impartial hearing, and
SRO appeal can an aggrieved party seek independent judicial review.
There are, though, three exceptions to the exhaustion requirement: "Congress specified that exhaustion is not necessary if (1) it would be futile to resort to the IDEA's due process procedures; (2) an agency has adopted a policy or pursued a practice of general applicability that is contrary to the law; or (3) it is improbable that adequate relief can be obtained by pursuing administrative remedies."
Plaintiffs' eighth and eleventh through fourteenth "causes of action" were not raised in their initial due process complaint. IHO Ex. 1. The Eighth cause of action raises procedural issues not included in the due process complaint. SAC ¶¶ 134-37; SRO Decision at 17. The eleventh through fourteenth causes of action relate to A.S.'s placement during periods of time other than the 2016-17 school year at issue here: the 2017-18 school year (eleventh cause of action, which Plaintiffs also frame as a Rehabilitation Act claim); the 2014-15 school year (twelfth cause of action); and the 2017 summer (fourteenth cause of action).
Plaintiffs further allege a generalized ADA claim, though they do not link it to any of their specific "causes of action." SAC ¶ 1.
Even if the Court were to find a violation of IDEA, "such a violation, without more, would be insufficient to support a claim of disability-based discrimination under the ADA or Section 504 of the Rehabilitation Act."
Accordingly, it is hereby: