121
‘‘(3) a description of any other options that the
agency considered and the reasons why those options
were rejected;
‘‘(4) a description of each evaluation procedure,
test, record, or report the agency used as a basis for
the proposed or refused action;
‘‘(5) a description of any other factors that are
relevant to the agency’s proposal or refusal; and
‘‘(6) a statement that the parents of a child with
a disability have protection under the procedural
safeguards of this title and, if this notice is not an
initial referral for evaluation, the means by which a
copy of a description of the procedural safeguards can
be obtained.
‘‘(d) PROCEDURAL SAFEGUARDS NOTICE.—
‘‘(1) IN
GENERAL.—A copy of the procedural
safeguards available to the parents of a child with a
disability shall be given to the parents, at a mini-
mum—
‘‘(A) upon initial referral for evaluation;
‘‘(B) upon each notification of an individ-
ualized education program meeting and upon re-
evaluation of the child; and
‘‘(C) upon registration of a complaint
under subsection (b)(6).
122
‘‘(2) CONTENTS.—The procedural safeguards no-
tice shall include a full explanation of the procedural
safeguards written in the native language of the par-
ents, unless not feasible to do so, and written in an
easily understandable manner, available under this
section and under regulations promulgated by the
Secretary relating to—
‘‘(A) independent educational evaluation;
‘‘(B) prior written notice;
‘‘(C) parental consent;
‘‘(D) access to educational records;
‘‘(E) opportunity to present complaints;
‘‘(F) the child’s placement during pendency
of due process proceedings;
‘‘(G) procedures for students who are subject
to placement in an interim alternative edu-
cational setting;
‘‘(H) requirements for unilateral placement
by parents of children in private schools at pub-
lic expense;
‘‘(I) mediation;
‘‘(J) due process hearings, including re-
quirements for disclosure of evaluation results
and recommendations;
123
‘‘(K) State-level appeals (if applicable in
that State);
‘‘(L) civil actions; and
‘‘(M) attorney’s fees.
‘‘(e) MEDIATION.—
‘‘(1) IN GENERAL.—Any State educational agen-
cy or local educational agency that receives assistance
under this part shall ensure that procedures are estab-
lished and implemented to allow parties to disputes
involving the provision of free appropriate public
education to children with disabilities by any such
State educational agency or local educational agency
to resolve such disputes through a mediation process.
‘‘(2) REQUIREMENTS.—Such procedures shall
meet the following requirements:
‘‘(A) The procedures shall ensure that the
mediation process—
‘‘(i) is voluntary on the part of the
parents and may be terminated by either
party after a good faith effort has been
made by the party terminating the medi-
ation process; and
‘‘(ii) is conducted by a qualified and
impartial mediator who is trained in effec-
tive mediation techniques.
124
‘‘(B) The State shall maintain a list of in-
dividuals who are qualified mediators and
knowledgeable in laws and regulations relating
to the provision of special education and related
services.
‘‘(C) The State shall bear the cost of the me-
diation process.
‘‘(D) Each session in the mediation process
shall be scheduled in a timely manner and shall
be held in a location that is convenient to the
parties to the dispute.
‘‘(E) An agreement reached by the parties
to the dispute in the mediation process shall be
set forth in a written mediation agreement.
‘‘(F) Discussions that occur during the me-
diation process shall be confidential and may
not be used as evidence in any subsequent due
process hearings or civil proceedings, and the
parties to the mediation process may be required
to sign a confidentiality pledge prior to the com-
mencement of such process.
‘‘(G) The State shall determine whether or
not attorneys may attend or otherwise partici-
pate in the mediation process after offering the
opportunity for parents and representatives of
125
school districts to participate in the mediation
process prior to any due process filing without
attorneys present.
‘‘(f) IMPARTIAL DUE PROCESS HEARING.—
‘‘(1) IN GENERAL.—Whenever a complaint has
been received under section 614(d)(3)(B), or sub-
section (b)(6) or (k) of this section, the parents in-
volved in such complaint shall have an opportunity
for an impartial due process hearing which shall be
conducted by the State educational agency or by the
local educational agency, as determined by State law
or by the State educational agency.
‘‘(2) DISCLOSURE
OF
EVALUATIONS
AND
REC-
OMMENDATIONS.—
‘‘(A) IN GENERAL.—At least 10 school days
prior to a hearing conducted pursuant to para-
graph (1), each party shall disclose to all other
parties all evaluations and recommendations
based on the offering party’s evaluations which
the party intends to use at the hearing.
‘‘(B) PROHIBITION.—Any party which fails
to meet the requirement of subparagraph (A)
shall be barred from introducing such evalua-
tions and recommendations at such hearing.
126
‘‘(3) LIMITATION ON CONDUCT OF HEARING.—A
hearing conducted pursuant to paragraph (1) may
not be conducted by an employee of the State edu-
cational agency or the local educational agency in-
volved in the education or care of the child.
‘‘(4) ADDITIONAL REQUIREMENTS WITH RESPECT
TO HEARINGS FOR CERTAIN CHILDREN WITH DISABIL-
ITIES.—A hearing conducted pursuant to paragraph
(1) that is based upon a complaint received under
section 614(d)(3)(B) shall, in addition to the require-
ments contained in this subsection, comply with the
following additional requirements:
‘‘(A) In determining whether or not the de-
cision by the IEP Team to change the placement
of the child is justified and appropriate, the
hearing officer shall, at a minimum, review the
information under clause (iii) of such section.
‘‘(B) The child shall remain in the current
educational placement of the child until the hear-
ing officer reaches a final decision under this
subsection.
‘‘(C) The hearing officer shall make a deter-
mination of findings and reach a final decision
not later than 20 days after the first day of the
hearing, or, at the discretion of the hearing offi-
128
‘‘(2) the right to present evidence and confront,
cross-examine, and compel the attendance of wit-
nesses;
‘‘(3) the right to a written, or, at the option of
the parents, electronic verbatim record of such hear-
ing; and
‘‘(4) the right to written, or, at the option of the
parents, electronic findings of fact and decisions
(which findings and decisions shall be made available
to the public consistent with the requirements of sec-
tion 617(c) (relating to the confidentiality of data, in-
formation, and records) and shall also be transmitted
to the advisory panel established pursuant to section
612(a)(18)).
‘‘(i) ADMINISTRATIVE PROCEDURES.—
‘‘(1) IN GENERAL.—A decision made in a hear-
ing conducted pursuant to subsection (f) shall be
final, except that any party involved in such hearing
may appeal such decision under the provisions of sub-
section (g) and paragraph (2) of this subsection.
‘‘(2) RIGHT TO BRING CIVIL ACTION.—
‘‘(A) IN GENERAL.—Any party aggrieved by
the findings and decision made under subsection
(f) who does not have the right to an appeal
under subsection (g), and any party aggrieved
129
by the findings and decision under this sub-
section, shall have the right to bring a civil ac-
tion with respect to the complaint presented pur-
suant to this section, which action may be
brought in any State court of competent jurisdic-
tion or in a district court of the United States
without regard to the amount in controversy.
‘‘(B) ADDITIONAL REQUIREMENTS.—In any
action brought under this paragraph the court—
‘‘(i) shall receive the records of the ad-
ministrative proceedings;
‘‘(ii) may hear additional evidence at
the request of a party; and
‘‘(iii) basing its decision on the pre-
ponderance of the evidence, shall grant such
relief as the court determines is appro-
priate.
‘‘(3) JURISDICTION OF DISTRICT COURTS; ATTOR-
NEYS’ FEES.—
‘‘(A) IN GENERAL.—The district courts of
the United States shall have jurisdiction of ac-
tions brought under this section without regard
to the amount in controversy.
‘‘(B) AWARD
OF
ATTORNEYS’ FEES.—In
any action or proceeding brought under this sec-
130
tion, the court, in its discretion, may award rea-
sonable attorneys’ fees as part of the costs to the
parents of a child or youth with a disability who
is the prevailing party.
‘‘(C) DETERMINATION OF AMOUNT OF AT-
TORNEYS’ FEES.—Fees awarded under this para-
graph shall be based on rates prevailing in the
community in which the action or proceeding
arose for the kind and quality of services fur-
nished. No bonus or multiplier may be used in
calculating the fees awarded under this sub-
section.
‘‘(D) PROHIBITION
OF
ATTORNEYS’ FEES
AND RELATED COSTS FOR CERTAIN SERVICES.—
(i) Attorneys’ fees may not be awarded and re-
lated costs may not be reimbursed in any action
or proceeding under this subsection for services
performed subsequent to the time of a written
offer of settlement to a parent if—
‘‘(I) the offer is made within the time
prescribed by Rule 68 of the Federal Rules
of Civil Procedure or, in the case of an ad-
ministrative proceeding, at any time more
than ten days before the proceeding begins;
131
‘‘(II) the offer is not accepted within
10 days; and
‘‘(III) the court or administrative offi-
cer finds that the relief finally obtained by
the parents is not more favorable to the par-
ents than the offer of settlement.
‘‘(ii) Attorneys’ fees may not be awarded re-
lating to any meeting of the IEP Team unless
such meeting is convened as a result of a judicial
action or proceeding.
‘‘(E) EXCEPTION TO PROHIBITION ON AT-
TORNEYS’ FEES AND RELATED COSTS.—Notwith-
standing subparagraph (D), an award of attor-
neys’ fees and related costs may be made to a
parent who is the prevailing party and who was
substantially justified in rejecting the settlement
offer.
‘‘(F) REDUCTION
IN
AMOUNT
OF
ATTOR-
NEYS’ FEES.—Except as provided in subpara-
graph (G), whenever the court finds that—
‘‘(i) the parent, during the course of
the action or proceeding, unreasonably pro-
tracted the final resolution of the con-
troversy;
132
‘‘(ii) the amount of the attorneys’ fees
otherwise authorized to be awarded unrea-
sonably exceeds the hourly rate prevailing
in the community for similar services by at-
torneys of reasonably comparable skill and
experience;
‘‘(iii) the time spent and legal services
furnished were excessive considering the na-
ture of the action or proceeding;
‘‘(iv) the attorney representing the par-
ent did not provide to the school district the
appropriate information in the due process
complaint in accordance with subsection
(b)(7); or
‘‘(v) the amount of attorneys’ fees re-
quested is not consistent with the extent of
the success of the parents;
the court shall reduce, accordingly, the amount of
the attorneys’ fees awarded under this subsection.
‘‘(G) EXCEPTION TO REDUCTION IN AMOUNT
OF ATTORNEYS’ FEES.—The provisions of sub-
paragraph (F) shall not apply in any action or
proceeding if the court finds that the State or
local educational agency unreasonably protracted
133
the final resolution of the action or proceeding
or there was a violation of this section.
‘‘(j) 
MAINTENANCE
OF
CURRENT
EDUCATIONAL
PLACEMENT.—Except as provided in subsection (k), during
the pendency of any proceedings conducted pursuant to this
section, unless the State or local educational agency and
the parents otherwise agree, the child shall remain in the
then current educational placement of such child, or, if ap-
plying for initial admission to a public school, shall, with
the consent of the parents, be placed in the public school
program until all such proceedings have been completed.
‘‘(k) PLACEMENT IN ALTERNATIVE EDUCATIONAL SET-
TING.—
‘‘(1) AUTHORITY
OF
SCHOOL
PERSONNEL.—
School personnel under this section may, to the same
extent as a court, order a change in the placement of
a child with a disability—
‘‘(A) to an appropriate interim alternative
educational setting, another setting, or suspen-
sion, for not more than 10 school days (to the ex-
tent such alternatives would be applied to chil-
dren without disabilities); and
‘‘(B) to an appropriate interim alternative
educational setting for the same amount of time
that a child without a disability would be subject
134
to discipline, but for not more than an addi-
tional 45 school days if—
‘‘(i) the child carries a weapon to
school or to a school function under the ju-
risdiction of a State or a local educational
agency;
‘‘(ii) the child possesses or uses illegal
drugs or sells or solicits the sale of medica-
tions or illegal drugs while at school or a
school function under the jurisdiction of a
State or local educational agency; or
‘‘(iii) the child causes serious injury
while at school or at a school function under
the jurisdiction of a State or a local edu-
cational agency.
‘‘(2) AUTHORITY
OF
HEARING
OFFICER.—A
hearing officer under this section may, to the same ex-
tent as a court, order a change in the placement of
a child with a disability to an appropriate interim
alternative educational setting for not more than 45
school days if—
‘‘(A) the maintenance of the current place-
ment of such child is substantially likely to re-
sult in injury to the child or to others; and
‘‘(B) the hearing officer—
135
‘‘(i) determines that the public agency
has demonstrated by substantial evidence
that the requirement of subparagraph (A)
has been met;
‘‘(ii) considers the appropriateness of
the child’s current placement; and
‘‘(iii) considers whether the public
agency has made reasonable efforts to mini-
mize the risk of harm including the use of
supplementary aids and services.
‘‘(3) DETERMINATION OF SETTING.—The alter-
native educational setting described in paragraph (1)
or paragraph (2) shall be determined by the individ-
ualized education program team.
‘‘(4) 
MANIFESTATION
DETERMINATION
RE-
VIEW.—
‘‘(A) IN GENERAL.—If a change in place-
ment or disciplinary proceeding, including ex-
pulsion, is contemplated as a result of an action
described in paragraph (1) or paragraph (2)—
‘‘(i) not later than 3 school days after
the date on which such action has been
taken the parents shall be notified of such
action; and
136
‘‘(ii) not later than 15 school days
after the date on which such action has been
taken a review shall be conducted of the re-
lationship between the child’s disability and
the behavior described in paragraph (1).
‘‘(B) INDIVIDUALS
TO
CARRY
OUT
RE-
VIEW.—A review described in subparagraph (A)
shall be conducted by the IEP Team and other
qualified personnel.
‘‘(C) CONDUCT
OF
REVIEW.—In carrying
out a review described in subparagraph (A), the
individuals described in subparagraph (B) shall
consider appropriate factors, including—
‘‘(i) the appropriateness of the child’s
placement;
‘‘(ii) the consistency of the implemen-
tation of the child’s entire IEP, including
the technical soundness of the behavior
strategies used;
‘‘(iii) evaluation and diagnostic re-
sults, which may include any such results
supplied by the parents or guardian of the
child; and
‘‘(iv) observations of the child.
137
‘‘(5) DETERMINATION THAT BEHAVIOR WAS MAN-
IFESTATION OF DISABILITY.—If the result of the re-
view described in paragraph (4) is a determination
that the behavior of the child with a disability was
a manifestation of such child’s disability and the par-
ents of such child agree with such determination, the
educational placement of such child may be changed.
If the parents do not agree with such determination
or with such changed educational placement, an im-
mediate appeal may be made to a hearing officer to
determine whether the child’s placement should be
changed. Any party aggrieved by the determination of
the hearing officer may initiate a due process hearing
as described in subsection (f).
‘‘(6) DETERMINATION THAT BEHAVIOR WAS NOT
MANIFESTATION OF DISABILITY.—
‘‘(A) IN GENERAL.—
‘‘(i) 
INITIAL
DETERMINATION
RE-
QUIREMENT.—The IEP Team may deter-
mine that the behavior of the child was not
a manifestation of such child’s disability
only if the IEP Team first determines that
the disability—
138
‘‘(I) did not impair the ability of
the child to understand the impact and
consequences of the behavior; and
‘‘(II) did not impair the ability of
the child to control the behavior.
‘‘(ii) OTHER
REQUIREMENTS.—If the
result of the review described in paragraph
(4) is a determination that the behavior of
the child with a disability was not a mani-
festation of such child’s disability, the rel-
evant disciplinary procedures applicable to
children without disabilities may be applied
in the same manner in which they would be
applied to children without disabilities. If
the parents do not agree with such applica-
tion, a due process hearing, as described in
subsection (f), may be initiated. Any deter-
mination under paragraph (4) that a
child’s behavior was not a manifestation of
a disability shall be reviewed by a hearing
officer under subsection (f), whether or not
the child’s parents request a hearing, before
educational services to the child may be ter-
minated under this paragraph. During the
pendency of such due process procedures, the
139
child shall continue to receive educational
services in the alternative educational set-
ting.
‘‘(B) SPECIAL RULE.—Where application of
the relevant disciplinary procedures in subpara-
graph (A) would result in the expulsion of the
child without the receipt of educational services,
the child may be expelled only if—
‘‘(i) the child carries a weapon to
school or to a school function under the ju-
risdiction of a State or local educational
agency; or
‘‘(ii) the child possesses or uses illegal
drugs or sells or solicits the sale of medica-
tions or illegal drugs while at school or a
school function under the jurisdiction of a
State or local educational agency.
‘‘(7) EXPEDITED HEARING.—The State or local
educational agency shall arrange for an expedited
hearing in any case described in this subsection when
requested by the parent.
‘‘(8) ADDITIONAL REQUIREMENTS.—
‘‘(A) MAINTENANCE OF ALTERNATIVE EDU-
CATIONAL SETTING.— If the parent of a child de-
scribed in this section requests a hearing pursu-
140
ant to subsection (f), the child shall remain in
the alternative educational setting in which such
child was placed during the pendency of any
proceedings under this section, unless the parents
and the State or local educational agency agree
otherwise.
‘‘(B) PROTECTIONS FOR CHILDREN NOT YET
ELIGIBLE FOR SPECIAL EDUCATION AND RELAT-
ED SERVICES.—
‘‘(i) IN
GENERAL.—A child who has
not been determined to be eligible for special
education and related services under this
part and who has engaged in behavior that
violated any rule or code of conduct of the
local educational agency, including any be-
havior described in paragraph (1), may as-
sert any of the protections provided for in
this part if the local educational agency had
knowledge (as determined in accordance
with this subparagraph) that the child was
a child with a disability before the behavior
that precipitated the disciplinary action oc-
curred.
‘‘(ii) BASIS OF KNOWLEDGE.—A local
educational agency shall be deemed to have
141
knowledge that a child is a child with a dis-
ability if—
‘‘(I) the parent of the child has ex-
pressed concern in writing (unless the
parent is illiterate or has a disability
that prevents compliance with the re-
quirements contained in this subclause)
to personnel of the appropriate edu-
cational agency that the child is in
need of special education and related
services;
‘‘(II) the behavior of the child
demonstrates the need for such services;
‘‘(III) the parent of the child has
requested an evaluation of the child
pursuant to section 614; or
‘‘(IV) the teacher of the child, or
other personnel of the local educational
agency, has expressed concern about
the behavior of the child to the director
of special education of such agency or
to other personnel of the agency.
‘‘(iii) CONDITIONS THAT APPLY IF NO
BASIS OF KNOWLEDGE.—
142
‘‘(I) IN GENERAL.—If a local edu-
cational agency does not have knowl-
edge that a child is a child with a dis-
ability (in accordance with clause (ii))
prior to taking disciplinary measures
against the child, the child may be sub-
jected to the same disciplinary meas-
ures as measures applied to children
without disabilities, who engaged in
comparable behaviors consistent with
paragraph (2).
‘‘(II) LIMITATIONS.—If a request
is made for an evaluation of a child
during the time period in which the
child is subjected to disciplinary meas-
ures under paragraph (1), the evalua-
tion shall be conducted in an expedited
manner. If the child is determined to
be a child with a disability, taking
into consideration information from
the evaluation conducted by the agency
and information provided by the par-
ents, the agency shall provide special
education and related services in ac-
cordance with the provisions of this
143
part, except that, pending the results of
the evaluation, the child shall remain
in the educational placement deter-
mined by school authorities.
‘‘(C) REFERRAL TO AND ACTION BY LAW
ENFORCEMENT
AND
JUDICIAL
AUTHORITIES.—
Nothing in this part shall be construed to pro-
hibit an agency from reporting a crime commit-
ted by a child with a disability to appropriate
authorities or to prevent State law enforcement
and judicial authorities from exercising their re-
sponsibilities with regard to the application of
Federal and State law to crimes committed by a
child with a disability.
‘‘(9) DEFINITIONS.—For purposes of this sub-
section, the following definitions apply:
‘‘(A) ILLEGAL
DRUG.—The term ‘illegal
drug’—
‘‘(i) means a controlled substance with-
in the meaning of any of paragraphs (1)
through (5) of section 202 of the Controlled
Substances Act (21 U.S.C 812); but
‘‘(ii) does not include a controlled sub-
stance within the meaning of paragraphs
144
(1) through (5) of section 202 of such Act
if—
‘‘(I) such controlled substance is
legally possessed or used under the su-
pervision of a licensed health care pro-
fessional; or
‘‘(II) such controlled substance is
legally possessed or used under any
other authority under such Act or
under any other provision of Federal
law.
‘‘(B) SERIOUS INJURY.—The term ‘serious
injury’ means an injury that involves substan-
tial risk of death, extreme physical pain, obvious
or protracted disfigurement, loss of the use of
bodily members or organs, broken bones, or sig-
nificant endangerment to an individual’s emo-
tional health or safety that is the result of a
physical or verbal assault.
‘‘(C) WEAPON.—The term ‘weapon’ has the
meaning given the term ‘dangerous weapon’
under paragraph (2) of the first subsection (g) of
section 930 of title 18, United States Code.
‘‘(l) RULE OF CONSTRUCTION.—Nothing in this part
shall be construed to restrict or limit the rights, procedures,
145
and remedies available under the Constitution, the Ameri-
cans with Disabilities Act, title V of the Rehabilitation Act
of 1973, or other Federal laws protecting the rights of chil-
dren with disabilities, except that before the filing of a civil
action under such laws seeking relief that is also available
under this part, the procedures under subsections (f) and
(g) shall be exhausted to the same extent as would be re-
quired had the action been brought under this part.
‘‘(m) TRANSFER OF PARENTAL RIGHTS AT AGE OF
MAJORITY.—
‘‘(1) IN
GENERAL.—A State that receives
amounts from a grant under this part may provide
that, when a child with a disability reaches the age
of majority under State law (except for a child with
a disability who has been determined to be incom-
petent under State law)—
‘‘(A) the public agency shall provide any
notice required by this section to both the indi-
vidual and the parents;
‘‘(B) all other rights accorded to parents
under this part transfer to the child;
‘‘(C) the agency shall notify the individual
and the parents of the transfer of rights; and
‘‘(D) all rights accorded to parents under
this part transfer to children who are incarcer-
146
ated in an adult or juvenile Federal, State, or
local correctional institution.
‘‘(2) SPECIAL
RULE.—If, under State law, a
child with a disability who has reached the age of
majority under State law is determined not to have
the ability to provide informed consent with respect
to the educational program of the child, the State
shall establish procedures for appointing the parent of
the child, or another appropriate individual, to rep-
resent the educational interests of the child throughout
the period of eligibility of the child under this part.
‘‘SEC. 616. WITHHOLDING AND JUDICIAL REVIEW.
‘‘(a) WITHHOLDING OF PAYMENTS.—
‘‘(1) IN
GENERAL.—Whenever the Secretary,
after reasonable notice and opportunity for hearing to
the State educational agency involved (and to any
local educational agency or State agency affected by
any failure described in subparagraph (B)), finds—
‘‘(A) that there has been a failure by the
State to comply substantially with any provision
of this part; or
‘‘(B) that there is a failure to comply with
any condition of a local educational agency’s or
State agency’s eligibility under this part;
147
the Secretary shall, after notifying the State edu-
cational agency, withhold any further payments to
the State under this part.
‘‘(2) NATURE
OF
WITHHOLDING.—If the Sec-
retary withholds further payments under paragraph
(1), the Secretary may determine that such withhold-
ing will be limited to programs or projects, or por-
tions thereof, affected by the failure, or that the State
educational agency shall not make further payments
under this part to specified local educational agencies
or State agencies affected by the failure. Until the
Secretary is satisfied that there is no longer any fail-
ure to comply with the provisions of this part, as
specified in subparagraph (A) or (B) of paragraph
(1), no further payments shall be made to the State
under this part, or payments by the State educational
agency under this part shall be limited to local edu-
cational agencies and State agencies whose actions
did not cause or were not involved in the failure, as
the case may be. Any State educational agency, State
agency, or local educational agency that has received
notice under paragraph (1) shall, by means of a pub-
lic notice, take such measures as may be necessary to
bring the pendency of an action pursuant to this sub-
148
section to the attention of the public within the juris-
diction of such agency.
‘‘(b) JUDICIAL REVIEW.—
‘‘(1) IN GENERAL.—If any State is dissatisfied
with the Secretary’s final action with respect to the
eligibility of the State under section 612, such State
may, not later than 60 days after notice of such ac-
tion, file with the United States court of appeals for
the circuit in which such State is located a petition
for review of that action. A copy of the petition shall
be forthwith transmitted by the clerk of the court to
the Secretary. The Secretary thereupon shall file in
the court the record of the proceedings upon which the
Secretary’s action was based, as provided in section
2112 of title 28, United States Code.
‘‘(2) JURISDICTION; REVIEW BY UNITED STATES
SUPREME COURT.—Upon the filing of such petition,
the court shall have jurisdiction to affirm the action
of the Secretary or to set it aside, in whole or in part.
The judgment of the court shall be subject to review
by the Supreme Court of the United States upon cer-
tiorari or certification as provided in section 1254 of
title 28, United States Code.
‘‘(3) STANDARD
OF
REVIEW.—The findings of
fact by the Secretary, if supported by substantial evi-
149
dence, shall be conclusive, but the court, for good
cause shown, may remand the case to the Secretary
to take further evidence, and the Secretary may there-
upon make new or modified findings of fact and may
modify the Secretary’s previous action, and shall file
in the court the record of the further proceedings.
Such new or modified findings of fact shall likewise
be conclusive if supported by substantial evidence.
‘‘SEC. 617. ADMINISTRATION.
‘‘(a) RESPONSIBILITIES OF SECRETARY.—In carrying
out this part, the Secretary shall—
‘‘(1) cooperate with, and (directly or by grant or
contract) furnish technical assistance necessary to, the
State in matters relating to—
‘‘(A) the education of children with disabil-
ities; and
‘‘(B) carrying out this part; and
‘‘(2) provide short-term training programs and
institutes.
‘‘(b) RULES AND REGULATIONS.—In carrying out the
provisions of this part, the Secretary shall issue regulations
under this Act only to the extent that such regulations are
necessary to ensure that there is compliance with the spe-
cific requirements of this Act.
150
‘‘(c) CONFIDENTIALITY.—The Secretary shall take ap-
propriate action, in accordance with the provisions of sec-
tion 444 of the General Education Provisions Act (20
U.S.C. 1232g), to assure the protection of the confidentiality
of any personally identifiable data, information, and
records collected or maintained by the Secretary and by
State and local educational agencies pursuant to the provi-
sions of this part.
‘‘(d) PERSONNEL.—The Secretary is authorized to hire
qualified personnel necessary to conduct data collection and
evaluation activities authorized by subsection (a) and sec-
tion 618 without regard to the provisions of title 5, United
States Code, relating to appointments in the competitive
service and without regard to chapter 51 and subchapter
III of chapter 53 of such title relating to classification and
general schedule pay rates, except that no more than twenty
such personnel shall be employed at any time.
‘‘SEC. 618. PROGRAM INFORMATION.
‘‘(a) IN GENERAL.—Each State that receives assist-
ance under this part, and the Secretary of the Interior, shall
provide data, which may be based on a sampling of data,
each year to the Secretary on—
‘‘(1) the number of children, categorized by race,
ethnicity, gender, and disability, who are receiving—
‘‘(A) a free appropriate public education; or
151
‘‘(B) early intervention services because—
‘‘(i) such children have developmental
delays; or
‘‘(ii) such children have a diagnosed
physical or mental condition that has a
high probability of resulting in developmen-
tal delay;
‘‘(2) the progress of the State, and of the children
with disabilities in the State, toward meeting the
goals established under section 612(14);
‘‘(3) the types of early intervention services pro-
vided to such children;
‘‘(4) the number of children with disabilities,
categorized by race, ethnicity, gender, and disabil-
ity—
‘‘(A) participating in regular education
programs;
‘‘(B) in separate classes, separate schools or
facilities, or public or private residential facili-
ties;
‘‘(C) who have been otherwise removed from
the regular education environment; and
‘‘(D) in various early intervention settings;
‘‘(5) for each year of age from age 14 to 21, the
number of children with disabilities, categorized by
152
race, ethnicity, gender, and disability, who, because of
program completion or for other reasons, stopped re-
ceiving special education, and the reasons why such
children stopped receiving such special education;
‘‘(6)(A) the number of children with disabilities,
categorized by race, ethnicity, gender, and disability,
who, under section 615(k), are removed to an interim
alternative educational setting;
‘‘(B) the acts or items precipitating such remov-
als; and
‘‘(C) the number of children with disabilities who
are expelled from school without receiving services;
and
‘‘(7) any other information required by the Sec-
retary.
‘‘(b) DISPROPORTIONALITY.—
‘‘(1) IN GENERAL.—Each State that receives as-
sistance under this part, and the Secretary of the In-
terior, shall provide for the collection and examina-
tion 
of 
data 
to 
determine 
if 
significant
disproportionality based on race is occurring in the
State with respect to—
‘‘(A) the identification of children as chil-
dren with disabilities, including the identifica-
tion of children as children with disabilities in
153
accordance with a particular impairment de-
scribed in section 602(3); and
‘‘(B) the placement in particular edu-
cational settings of such children.
‘‘(2) REVIEW AND REVISION OF POLICIES, PRAC-
TICES, AND PROCEDURES.—In the case of a deter-
mination of significant disproportionality with re-
spect to the identification of children as children with
disabilities, or the placement in particular edu-
cational settings of such children, in accordance with
paragraph (1), the State or the Secretary of the Inte-
rior, as the case may be, shall provide for the review
and, if appropriate, revision of the policies, proce-
dures, and practices used in such identification or
placement to ensure that such policies, procedures,
and practices comply with the requirements of this
Act.
‘‘SEC. 619. PRESCHOOL GRANTS.
‘‘(a) IN GENERAL.—The Secretary shall provide grants
under this section to assist States to provide special edu-
cation and related services, in accordance with this part—
‘‘(1) to children with disabilities aged 3 to 5, in-
clusive; and
154
‘‘(2) at the State’s discretion, to 2-year-old chil-
dren with disabilities who will turn 3 during the
school year.
‘‘(b) ELIGIBILITY.—A State shall be eligible for a grant
under this section if such State—
‘‘(1) is eligible under section 612 to receive a
grant under this part; and
‘‘(2) makes a free appropriate public education
available to all children with disabilities, aged 3 to
5, inclusive, residing in the State.
‘‘(c) AMOUNT.—
‘‘(1) IN
GENERAL.—From the amount appro-
priated for any fiscal year pursuant to the authoriza-
tion of appropriations under subsection (m), the Sec-
retary shall allot to each eligible State the amount it
received for fiscal year 1996 under this section (as
this section was in effect on the day before the date
of the enactment of the IDEA Improvement Act of
1996).
‘‘(2) INSUFFICIENT FUNDS.—
‘‘(A) IN GENERAL.—If the amount appro-
priated under subsection (m) for a fiscal year is
insufficient to make the full allotments described
in paragraph (1), the Secretary shall—
155
‘‘(i) first, reduce the allocation to any
State whose number of children aged 3 to 5,
inclusive, is less than the number of such
children in such State in fiscal year 1995
by the same percentage by which such num-
ber of children declined from the number of
children in fiscal year 1995; and
‘‘(ii) second, if necessary, ratably re-
duce the allocations of all States, including
those allocations reduced under clause (i).
‘‘(B) 
AVAILABILITY
OF
ADDITIONAL
FUNDS.—If additional funds become available to
make allocations under this section, the alloca-
tions that were reduced under subparagraph (A)
shall be increased on the same basis as such allo-
cations were reduced.
‘‘(d) ALLOTMENT OF REMAINING FUNDS.—After mak-
ing allotments under subsection (c), the Secretary shall allot
any remaining funds to eligible States on the basis of their
relative population of children aged 3 to 5, inclusive.
‘‘(e) SPECIAL RULE WITH RESPECT
TO PUERTO
RICO.—Notwithstanding any other provision of this sub-
section, the amount allotted to Puerto Rico for a fiscal year
shall bear the same or lower proportion to the amount ap-
propriated pursuant to subsection (m) as the amount re-
156
ceived by Puerto Rico under this section for fiscal year 1996
bears to the aggregate of the amounts received by all States
under this section for fiscal year 1996.
‘‘(f) DETERMINATION OF POPULATION FIGURES.—For
the purpose of providing grants under this section, the Sec-
retary shall use the most recent population data that are
available and satisfactory to the Secretary.
‘‘(g) RESERVATION FOR STATE ACTIVITIES.—A State
may reserve not more than 25 percent of the amount allot-
ted to the State under this section for a fiscal year for ad-
ministration and other State-level activities in accordance
with subsections (h) and (i).
‘‘(h) STATE ADMINISTRATION.—
‘‘(1) IN GENERAL.—A State may use up to 3
percent of the amount allotted to the State under this
section for a fiscal year for the purpose of administer-
ing this section, including the coordination of activi-
ties under this part with, and providing technical as-
sistance to, other programs that provide services to
children with disabilities.
‘‘(2) USE OF AMOUNTS FOR ADMINISTRATION OF
PART C.—If the State educational agency is the lead
agency for the State under part C, amounts described
in paragraph (1) may also be used for the adminis-
tration of such part C.
157
‘‘(i) OTHER STATE-LEVEL ACTIVITIES.—Each State
shall use any funds it retains under subsection (g) and does
not use for administration under subsection (h)—
‘‘(1) for support services (including establishing
and implementing the mediation process required by
section 615(d)), which may benefit children with dis-
abilities younger than 3 or older than 5 as long as
those services also benefit children with disabilities
aged 3 to 5, inclusive;
‘‘(2) for direct services for children eligible for
services under this section;
‘‘(3) to develop a State improvement plan under
part D;
‘‘(4) for activities at the State and local levels to
meet the performance goals established by the State
under section 612(a)(14) and to support implementa-
tion of the State improvement plan under part D if
the State receives funds under that part; or
‘‘(5) to supplement other funds used to develop
and implement a Statewide coordinated services sys-
tem designed to improve results for children and fam-
ilies, including children with disabilities and their
families, but not to exceed one percent of the amount
received by the State under this section for a fiscal
year.
158
‘‘(j) SUBGRANTS
TO LOCAL EDUCATIONAL AGEN-
CIES.—
‘‘(1) REQUIREMENT
TO
MAKE
SUBGRANTS.—
Each State that receives a grant under this section for
any fiscal year shall distribute at least 75 percent of
the grant funds to local educational agencies in the
State, and to State agencies that received funds under
section 614A(a) (as such section was in effect on the
day before the date of the enactment of the IDEA Im-
provement Act of 1996) for fiscal year 1996, that have
established their eligibility under section 613.
‘‘(2) METHODS OF DISTRIBUTION.—A State may
distribute funds under paragraph (1) on the basis
of—
‘‘(A) total school age population;
‘‘(B) school enrollment;
‘‘(C) numbers of children with disabilities
aged 3 to 5, inclusive, receiving a free appro-
priate public education;
‘‘(D) allocations for previous fiscal years;
‘‘(E) any two or more of the factors de-
scribed in subparagraphs (A) through (D); or
‘‘(F) poverty, in combination with one or
more of the factors described in subparagraphs
(A) through (D).
159
‘‘(k) PART C INAPPLICABLE.—Part C of this Act does
not apply to any child with a disability receiving a free
appropriate public education, in accordance with this part,
with funds received under this section.
‘‘(l) PROHIBITION ON CONSOLIDATION OF GRANTS FOR
TERRITORIES.—The provisions of section 501 of Public
Law 95–134 (48 U.S.C. 1469a; relating to the consolidation
of one or more grants provided to certain territories) shall
not apply with respect to amounts provided to a territory
under a grant under this section.
‘‘(m) AUTHORIZATION OF APPROPRIATIONS.—For the
purpose of carrying out this section, there are authorized
to be appropriated to the Secretary such sums as may be
necessary.
‘‘PART C—INFANTS AND TODDLERS WITH
DISABILITIES
‘‘SEC. 631. FINDINGS AND POLICY.
‘‘(a) FINDINGS.—The Congress finds that there is an
urgent and substantial need—
‘‘(1) to enhance the development of infants and
toddlers with disabilities and to minimize their po-
tential for developmental delay;
‘‘(2) to reduce the educational costs to our soci-
ety, including our Nation’s schools, by minimizing
the need for special education and related services
160
after infants and toddlers with disabilities reach
school age;
‘‘(3) to minimize the likelihood of institutional-
ization of individuals with disabilities and maximize
the potential for their independently living in society;
‘‘(4) to enhance the capacity of families to meet
the special needs of their infants and toddlers with
disabilities; and
‘‘(5) to enhance the capacity of State and local
agencies and service providers to identify, evaluate,
and meet the needs of historically underrepresented
populations, 
particularly 
minority, 
low-income,
inner-city, and rural populations.
‘‘(b) POLICY.—It is therefore the policy of the United
States to provide financial assistance to States—
‘‘(1) to develop and implement a statewide, com-
prehensive, coordinated, multidisciplinary, inter-
agency system of early intervention services for in-
fants and toddlers with disabilities and their families;
‘‘(2) to facilitate the coordination of payment for
early intervention services from Federal, State, local,
and private sources (including public and private in-
surance coverage); and
‘‘(3) to enhance their capacity to provide quality
early intervention services and expand and improve
161
existing early intervention services being provided to
infants and toddlers with disabilities and their fami-
lies.
‘‘SEC. 632. DEFINITIONS.
‘‘As used in this part:
‘‘(1) AT-RISK INFANT OR TODDLER.—The term
‘at-risk infant or toddler’ means an individual under
3 years of age who would be at risk of experiencing
a substantial developmental delay if early interven-
tion services were not provided to the individual.
‘‘(2) COUNCIL.—The term ‘council’ means a
State interagency coordinating council established
under section 641.
‘‘(3) DEVELOPMENTAL DELAY.—The term ‘devel-
opmental delay’, when used with respect to an indi-
vidual residing in a State, has the meaning given
such term by the State under section 635(a)(1).
‘‘(4) EARLY INTERVENTION SERVICES.—The term
‘early intervention services’ means developmental
services which—
‘‘(A) are provided under public supervision;
‘‘(B) are provided at no cost except where
Federal or State law provides for a system of
payments by families, including a schedule of
sliding fees;
162
‘‘(C) are designed to meet the developmental
needs of an infant or toddler with a disability
in any one or more of the following areas—
‘‘(i) physical development;
‘‘(ii) cognitive development;
‘‘(iii) communication development;
‘‘(iv) social or emotional development;
or
‘‘(v) adaptive development;
‘‘(D) meet the standards of the State in
which they are provided, including the require-
ments of this part;
‘‘(E) include—
‘‘(i) family training, counseling, and
home visits;
‘‘(ii) special instruction;
‘‘(iii) speech-language pathology and
audiology services;
‘‘(iv) occupational therapy;
‘‘(v) physical therapy;
‘‘(vi) psychological services;
‘‘(vii) service coordination services;
‘‘(viii) medical services only for diag-
nostic or evaluation purposes;
163
‘‘(ix) early identification, screening,
and assessment services;
‘‘(x) health services necessary to enable
the infant or toddler to benefit from the
other early intervention services;
‘‘(xi) social work services;
‘‘(xii) vision services;
‘‘(xiii) assistive technology devices and
assistive technology services; and
‘‘(xiv) transportation and related costs
that are necessary to enable an infant or
toddler and the infant’s or toddler’s family
to receive another service described in this
paragraph;
‘‘(F) are provided by qualified personnel,
including—
‘‘(i) special educators;
‘‘(ii) speech-language pathologists and
audiologists;
‘‘(iii) occupational therapists;
‘‘(iv) physical therapists;
‘‘(v) psychologists;
‘‘(vi) social workers;
‘‘(vii) nurses;
‘‘(viii) nutritionists;
164
‘‘(ix) family therapists;
‘‘(x) orientation and mobility special-
ists; and
‘‘(xi) pediatricians and other physi-
cians;
‘‘(G) to the maximum extent appropriate,
are provided in natural environments, including
the home, and community settings in which chil-
dren without disabilities participate; and
‘‘(H) are provided in conformity with an
individualized family service plan adopted in
accordance with section 636.
‘‘(5) INFANT OR TODDLER WITH A DISABILITY.—
The term ‘infant or toddler with a disability’—
‘‘(A) means an individual under 3 years of
age who needs early intervention services because
the individual—
‘‘(i) 
is 
experiencing 
developmental
delays, as measured by appropriate diag-
nostic instruments and procedures in one or
more of the areas of cognitive development,
physical development, communication devel-
opment, social or emotional development,
and adaptive development; or
165
‘‘(ii) has a diagnosed physical or men-
tal condition which has a high probability
of resulting in developmental delay; and
‘‘(B) may also include, at a State’s discre-
tion, at-risk infants and toddlers.
‘‘SEC. 633. GENERAL AUTHORITY.
‘‘The Secretary shall, in accordance with this part,
make grants to States (from their allocations under section
643) to assist each State to maintain and implement a
statewide, comprehensive, coordinated, multidisciplinary,
interagency system to provide early intervention services for
infants and toddlers with disabilities and their families.
‘‘SEC. 634. ELIGIBILITY.
‘‘In order to be eligible for a grant under section 633,
a State shall demonstrate to the Secretary that the State—
‘‘(1) has adopted a policy that appropriate early
intervention services are available to all infants and
toddlers with disabilities in the State and their fami-
lies, including Indian infants and toddlers with dis-
abilities and their families residing on a reservation
geographically located in the State; and
‘‘(2) has in effect a statewide system that meets
the requirements of section 635.
166
‘‘SEC. 635. REQUIREMENTS FOR STATEWIDE SYSTEM.
‘‘(a) IN GENERAL.—A statewide system described in
section 633 shall include, at a minimum, the following com-
ponents:
‘‘(1) A definition of the term ‘developmental
delay’ that will be used by the State in carrying out
programs under this part.
‘‘(2) A timely, comprehensive, multidisciplinary
evaluation of the functioning of each infant or toddler
with a disability in the State, and a family-
directed identification of the needs of each family of
such an infant or toddler, to appropriately assist in
the development of the infant or toddler.
‘‘(3) For each infant or toddler with a disability
in the State, an individualized family service plan in
accordance with section 636, including service coordi-
nation services in accordance with such service plan.
‘‘(4) A comprehensive child find system, consist-
ent with part B, including a system for making refer-
rals to service providers that includes timelines and
provides for participation by primary referral
sources.
‘‘(5) A public awareness program focusing on
early identification of infants and toddlers with dis-
abilities, including the preparation and dissemina-
tion by the lead agency designated or established
167
under paragraph (8) to all primary referral sources,
especially hospitals and physicians, of information
for parents on the availability of early intervention
services, and procedures for determining the extent to
which such sources disseminate such information to
parents of infants and toddlers.
‘‘(6) A central directory which includes informa-
tion on early intervention services, resources, and ex-
perts available in the State and research and dem-
onstration projects being conducted in the State.
‘‘(7) A comprehensive system of personnel devel-
opment, including the training of paraprofessionals
and the training of primary referral sources respect-
ing the basic components of early intervention serv-
ices available in the State, that is consistent with the
comprehensive system of personnel development de-
scribed in section 612(a)(13) (or with the personnel
development requirements for State improvement
plans under section 683) and may include—
‘‘(A) implementing innovative strategies
and activities for the recruitment and retention
of early education service providers;
‘‘(B) promoting the preparation of early
intervention providers who are fully and appro-
168
priately qualified to provide early intervention
services under this part;
‘‘(C) training personnel to work in rural
and inner city areas; and
‘‘(D) training personnel to coordinate tran-
sition services for infants and toddlers served
under this part from an early intervention pro-
gram under this part to preschool or other ap-
propriate services.
‘‘(8) Policies and procedures relating to the es-
tablishment and maintenance of standards to ensure
that personnel necessary to carry out this part are
appropriately and adequately prepared and trained,
including—
‘‘(A) the establishment and maintenance of
standards which are consistent with any State
approved or recognized certification, licensing,
registration, or other comparable requirements
which apply to the area in which such personnel
are providing early intervention services; and
‘‘(B) subject to subsection (b), to the extent
such standards are not based on the highest re-
quirements in the State applicable to a specific
profession or discipline, the steps the State is
taking to require the retraining or hiring of per-
169
sonnel that meet appropriate professional re-
quirements in the State;
except that nothing in this part, including this para-
graph, prohibits the use of paraprofessionals and as-
sistants who are appropriately trained and super-
vised, in accordance with State law, regulations, or
written policy, to assist in the provision of early
intervention services to infants and toddlers with dis-
abilities under this part.
‘‘(9) A single line of responsibility in a lead
agency designated or established by the Governor for
carrying out—
‘‘(A) the general administration and super-
vision of programs and activities receiving as-
sistance under section 633, and the monitoring
of programs and activities used by the State to
carry out this part, whether or not such pro-
grams or activities are receiving assistance made
available under section 633, to ensure that the
State complies with this part;
‘‘(B) the identification and coordination of
all available resources within the State from
Federal, State, local and private sources;
170
‘‘(C) the assignment of financial respon-
sibility in accordance with section 637(a)(1) to
the appropriate agencies;
‘‘(D) the development of procedures to en-
sure that services are provided to infants and
toddlers and their families under this part in a
timely manner pending the resolution of any
disputes among public agencies or service pro-
viders;
‘‘(E) the resolution of intra- and inter-
agency disputes; and
‘‘(F) the entry into formal interagency
agreements that define the financial responsibil-
ity of each agency for paying for early interven-
tion services (consistent with State law) and pro-
cedures for resolving disputes and that include
all additional components necessary to ensure
meaningful cooperation and coordination.
‘‘(10) A policy pertaining to the contracting or
making of other arrangements with service providers
to provide early intervention services in the State,
consistent with the provisions of this part, including
the contents of the application used and the condi-
tions of the contract or other arrangements.
171
‘‘(11) A procedure for securing timely reimburse-
ment of funds used under this part in accordance
with section 640(a).
‘‘(12) Procedural safeguards with respect to pro-
grams under this part, as required by section 639.
‘‘(13) A system for compiling data requested by
the Secretary under section 618 that relates to this
part.
‘‘(14) A State interagency coordinating council
that meets the requirements of section 641.
‘‘(b) MODIFICATION OF PERSONNEL REQUIREMENT.—
If a State determines that the requirement of subsection
(a)(7)(B) would significantly inhibit the ability of the State
to contract with, or employ, an appropriate number and
types of personnel to provide early intervention services to
infants and toddlers with disabilities in a geographic re-
gion, the State may, subject to public notice and comment,
temporarily suspend the requirement for the region, in a
manner consistent with State law and for a period not ex-
ceeding 3 years, with respect to the most qualified available
individuals in shortage areas who are making annual
progress in applicable coursework.
‘‘SEC. 636. INDIVIDUALIZED FAMILY SERVICE PLAN.
‘‘(a) ASSESSMENT AND PROGRAM DEVELOPMENT.—A
statewide system described in section 633 shall provide, at
172
a minimum, for each infant or toddler with a disability,
and the infant’s or toddler’s family, to receive—
‘‘(1) a multidisciplinary assessment of the
unique strengths and needs of the infant or toddler
and the identification of services appropriate to meet
such needs;
‘‘(2) a family-directed assessment of the re-
sources, priorities, and concerns of the family and the
identification of the supports and services necessary
to enhance the family’s capacity to meet the devel-
opmental needs of the infant or toddler; and
‘‘(3) a written individualized family service plan
developed by a multidisciplinary team, including the
parents, as required by subsection (e).
‘‘(b) PERIODIC REVIEW.—The individualized family
service plan shall be evaluated once a year and the family
shall be provided a review of the plan at 6-month intervals
(or more often where appropriate based on infant or toddler
and family needs).
‘‘(c) PROMPTNESS AFTER ASSESSMENT.—The individ-
ualized family service plan shall be developed within a rea-
sonable time after the assessment required by subsection
(a)(1) is completed. With the parents’ consent, early inter-
vention services may commence prior to the completion of
such assessment.
173
‘‘(d) CONTENT OF PLAN.—The individualized family
service plan shall be in writing and contain—
‘‘(1) a statement of the infant’s or toddler’s
present levels of physical development, cognitive devel-
opment, communication development, social or emo-
tional development, and adaptive development, based
on objective criteria;
‘‘(2) a statement of the family’s resources, prior-
ities, and concerns relating to enhancing the develop-
ment of the family’s infant or toddler with a disabil-
ity;
‘‘(3) a statement of the major outcomes expected
to be achieved for the infant or toddler and the fam-
ily, and the criteria, procedures, and timelines used
to determine the degree to which progress toward
achieving the outcomes is being made and whether
modifications or revisions of the outcomes or services
are necessary;
‘‘(4) a statement of specific early intervention
services necessary to meet the unique needs of the in-
fant or toddler and the family, including the fre-
quency, intensity, and method of delivering services;
‘‘(5) a statement of the natural environments in
which early intervention services shall appropriately
be provided;
174
‘‘(6) the projected dates for initiation of services
and the anticipated duration of such services;
‘‘(7) the identification of the service coordinator
from the profession most immediately relevant to the
infant’s or toddler’s or family’s needs (or who is oth-
erwise qualified to carry out all applicable respon-
sibilities under this part) who will be responsible for
the implementation of the plan and coordination with
other agencies and persons; and
‘‘(8) the steps to be taken to support the transi-
tion of the toddler with a disability to preschool or
other appropriate services.
‘‘(e) PARENTAL CONSENT.—The contents of the indi-
vidualized family service plan shall be fully explained to
the parents and informed written consent from such parents
shall be obtained prior to the provision of early intervention
services described in such plan. If such parents do not pro-
vide such consent with respect to a particular early inter-
vention service, then the early intervention services to which
such consent is obtained shall be provided.
‘‘SEC. 637. STATE APPLICATION AND ASSURANCES.
‘‘(a) APPLICATION.—A State desiring to receive a
grant under section 633 shall submit an application to the
Secretary at such time and in such manner as the Secretary
may reasonably require. Such application shall contain—
175
‘‘(1) a designation of the lead agency in the
State that will be responsible for the administration
of funds provided under section 633;
‘‘(2) a designation of a person responsible for as-
signing financial responsibility among appropriate
agencies;
‘‘(3) information demonstrating eligibility of the
State under section 634, including—
‘‘(A) information demonstrating to the Sec-
retary’s satisfaction that the State has in effect
the statewide system required by section 633;
and
‘‘(B) a description of services to be provided
to infants and toddlers with disabilities and
their families through the system;
‘‘(4) a description of the uses for which funds
will be expended in accordance with this part;
‘‘(5) a description of the procedure used to en-
sure that resources are made available under this part
for all geographic areas within the State;
‘‘(6) a description of State policies and proce-
dures that ensure that, prior to the adoption by the
State of any other policy or procedure necessary to
meet the requirements of this part, there are public
hearings, adequate notice of the hearings, and an op-
176
portunity for comment available to the general public,
including individuals with disabilities and parents of
infants and toddlers with disabilities;
‘‘(7) a description of the policies and procedures
to be used—
‘‘(A) to ensure a smooth transition for tod-
dlers receiving early intervention services under
this part to preschool or other appropriate serv-
ices, including a description of how—
‘‘(i) the families of such toddlers will
be included in the transition plans required
by subparagraph (C); and
‘‘(ii) the lead agency designated or es-
tablished under section 635(a) will—
‘‘(I) notify the local educational
agency for the area in which such a
child resides that the child will shortly
reach the age of eligibility for preschool
services under part B, as determined
in accordance with State law;
‘‘(II) in the case of such a child
who may be eligible for such preschool
services, with the approval of the fam-
ily of the child, convene a conference
among the lead agency, the family, and
177
the local educational agency at least 90
days (and at the discretion of all such
parties, up to 6 months) before the
child is eligible for the preschool serv-
ices, to discuss any such services that
the child may receive; and
‘‘(III) in the case of such a child
who may not be eligible for such pre-
school services, with the approval of the
family, make reasonable efforts to con-
vene a conference among the lead agen-
cy, the family, and providers of other
appropriate services for children who
are not eligible for preschool services
under part B, to discuss the appro-
priate services that the child may re-
ceive;
‘‘(B) to review the child’s program options
for the period from the child’s third birthday
through the remainder of the school year; and
‘‘(C) to establish a transition plan; and
‘‘(8) such other information and assurances as
the Secretary may reasonably require.
‘‘(b) ASSURANCES.—The application described in sub-
section (a) shall contain the following:
178
‘‘(1) A satisfactory assurance that the State
will—
‘‘(A) make such reports in such form and
containing such information as the Secretary
may require to carry out the Secretary’s func-
tions under this part; and
‘‘(B) keep such records and afford such ac-
cess thereto as the Secretary may find necessary
to assure the correctness and verification of such
reports and proper disbursement of Federal
funds under this part.
‘‘(2) A satisfactory assurance that Federal funds
made available under section 633 will be used to sup-
plement and increase the level of State and local
funds expended for infants and toddlers with disabil-
ities and their families under this part and in no
case to supplant such State and local funds.
‘‘(3) Such other information and assurances as
the Secretary may reasonably require by regulation.
‘‘(c) STANDARD FOR DISAPPROVAL OF APPLICATION.—
The Secretary may not disapprove such an application un-
less the Secretary determines, after notice and opportunity
for a hearing, that the application fails to comply with the
requirements of this section.
179
‘‘(d) SUBSEQUENT STATE APPLICATION.—If a State
has on file with the Secretary a policy, procedure, or assur-
ance that demonstrates that the State meets a requirement
of this section, including any policy or procedure filed
under part H (as in effect before the date of the enactment
of the IDEA Improvement Act of 1996), the Secretary shall
consider the State to have met the requirement for purposes
of receiving a grant under this part.
‘‘(e) MODIFICATION OF APPLICATION.—An application
submitted by a State in accordance with this section shall
remain in effect until the State submits to the Secretary
such modifications as the State determines necessary. This
section shall apply to a modification of an application to
the same extent and in the same manner as this section
applies to the original application.
‘‘SEC. 638. USES OF FUNDS.
‘‘In addition to using funds provided under section
633 to maintain and implement the statewide system re-
quired by such section, a State may use such funds—
‘‘(1) for direct early intervention services for in-
fants and toddlers with disabilities, and their fami-
lies, under this part that are not otherwise funded
through other public or private sources;
180
‘‘(2) to expand and improve on services for in-
fants and toddlers and their families under this part
that are otherwise available; and
‘‘(3) to provide a free appropriate public edu-
cation, in accordance with part B, to children with
disabilities from their third birthday to the beginning
of the following school year.
‘‘SEC. 639. PROCEDURAL SAFEGUARDS.
‘‘(a) MINIMUM PROCEDURES.—The procedural safe-
guards required to be included in a statewide system under
section 635(a)(10) shall provide, at a minimum, the follow-
ing:
‘‘(1) The timely administrative resolution of
complaints by parents. Any party aggrieved by the
findings and decision regarding an administrative
complaint shall have the right to bring a civil action
with respect to the complaint in any State court of
competent jurisdiction or in a district court of the
United States without regard to the amount in con-
troversy. In any action brought under this paragraph,
the court shall receive the records of the administra-
tive 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.
181
‘‘(2) The right to confidentiality of personally
identifiable information, including the right of par-
ents to written notice of and written consent to the
exchange of such information among agencies consist-
ent with Federal and State law.
‘‘(3) The right of the parents to determine wheth-
er they, their infant or toddler, or other family mem-
bers will accept or decline any early intervention
service under this part in accordance with State law
without jeopardizing other early intervention services
under this part.
‘‘(4) The opportunity for parents to examine
records relating to assessment, screening, eligibility
determinations, and the development and implemen-
tation of the individualized family service plan.
‘‘(5) Procedures to protect the rights of the infant
or toddler whenever the parents of the child are not
known or cannot be found or the child is a ward of
the State, including the assignment of an individual
(who shall not be an employee of the State or any
person, or any employee of a person, providing early
intervention services to the infant or toddler or any
family member of the infant or toddler) to act as a
surrogate for the parents.
182
‘‘(6) Written prior notice to the parents of the
infant or toddler with a disability whenever the State
agency or service provider proposes to initiate or
change or refuses to initiate or change the identifica-
tion, evaluation, placement, or the provision of appro-
priate early intervention services to the infant or tod-
dler with a disability.
‘‘(7) Procedures designed to assure that the no-
tice required by paragraph (6) fully informs the par-
ents, in the parents’ native language, unless it clearly
is not feasible to do so, of all procedures available
pursuant to this section.
‘‘(8) The right of parents to use mediation in ac-
cordance with section 615(e), except that—
‘‘(A) any reference in such section to a
State educational agency shall be considered to
be a reference to a State’s lead agency established
or designated under section 635(a)(8);
‘‘(B) any reference in such section to a local
educational agency shall be considered to be a
reference to a local service provider or the State’s
lead agency under this part, as the case may be;
and
‘‘(C) any reference in such section to the
provision of free appropriate public education to
183
children with disabilities shall be considered to
be a reference to the provision of appropriate
early intervention services to infants and tod-
dlers with disabilities.
‘‘(b) SERVICES DURING PENDENCY
OF PROCEED-
INGS.—During the pendency of any proceeding or action
involving a complaint by the parents of an infant or toddler
with a disability, unless the State agency and the parents
otherwise agree, the infant or toddler shall continue to re-
ceive the appropriate early intervention services currently
being provided or, if applying for initial services, shall re-
ceive the services not in dispute.
‘‘SEC. 640. PAYOR OF LAST RESORT.
‘‘(a) NONSUBSTITUTION.—Funds provided under sec-
tion 643 may not be used to satisfy a financial commitment
for services which would have been paid for from another
public or private source but for the enactment of this part,
except that whenever considered necessary to prevent a
delay in the receipt of appropriate early intervention serv-
ices by an infant, toddler, or family in a timely fashion,
funds provided under section 643 may be used to pay the
provider of services pending reimbursement from the agency
which has ultimate responsibility for the payment.
‘‘(b) REDUCTION OF OTHER BENEFITS.—Nothing in
this part shall be construed to permit the State to reduce
184
medical or other assistance available or to alter eligibility
under title V of the Social Security Act (relating to mater-
nal and child health) or title XIX of the Social Security
Act (relating to medicaid for infants or toddlers with dis-
abilities) within the State.
‘‘SEC. 641. STATE INTERAGENCY COORDINATING COUNCIL.
‘‘(a) ESTABLISHMENT.—
‘‘(1) IN GENERAL.—A State that desires to re-
ceive financial assistance under this part shall estab-
lish a State interagency coordinating council.
‘‘(2) APPOINTMENT.—The council shall be ap-
pointed by the Governor. In making appointments to
the council, the Governor shall ensure that the mem-
bership of the council reasonably represents the popu-
lation of the State.
‘‘(3) CHAIRPERSON.—The Governor shall des-
ignate a member of the council to serve as the chair-
person of the Council, or shall require the council to
so designate such a member. Any member of the coun-
cil who is a representative of the lead agency des-
ignated under section 635(b)(8) may not serve as the
chairperson of the council.
‘‘(b) COMPOSITION.—
‘‘(1) IN GENERAL.—The council shall be com-
posed as follows:
185
‘‘(A) PARENTS.—At least 20 percent of the
members shall be parents of infants or toddlers
with disabilities or children with disabilities
aged 12 or younger, with knowledge of, or experi-
ence with, programs for infants and toddlers
with disabilities. At least one such member shall
be a parent of an infant or toddler with a dis-
ability or a child with a disability aged 6 or
younger.
‘‘(B) SERVICE
PROVIDERS.—At least 20
percent of the members shall be public or private
providers of early intervention services.
‘‘(C) STATE
LEGISLATURE.—At least one
member shall be from the State legislature.
‘‘(D) PERSONNEL PREPARATION.—At least
one member shall be involved in personnel prepa-
ration.
‘‘(E) AGENCY
FOR
EARLY
INTERVENTION
SERVICES.—At least one member shall be from
each of the State agencies involved in the provi-
sion of, or payment for, early intervention serv-
ices to infants and toddlers with disabilities and
their families and shall have sufficient authority
to engage in policy planning and implementa-
tion on behalf of such agencies.
186
‘‘(F) AGENCY FOR PRESCHOOL SERVICES.—
At least one member shall be from the State edu-
cational agency responsible for preschool services
to children with disabilities and shall have suffi-
cient authority to engage in policy planning and
implementation on behalf of such agency.
‘‘(G) AGENCY
FOR
INSURANCE.—At least
one member shall be from the agency responsible
for the State governance of insurance, especially
in the area of health insurance.
‘‘(H) HEAD START AGENCY.—A representa-
tive from a Head Start agency or program in
the State.
‘‘(I) A representative from a State agency
responsible for child care.
‘‘(2) OTHER MEMBERS.—The council may in-
clude other members selected by the Governor, includ-
ing a representative from the Bureau of Indian Af-
fairs, or where there is no BIA operated or funded
school, from the Indian Health Service or the tribe/
tribal council.
‘‘(c) MEETINGS.—The council shall meet at least quar-
terly and in such places as it deems necessary. The meetings
shall be publicly announced, and, to the extent appropriate,
open and accessible to the general public.
187
‘‘(d) MANAGEMENT AUTHORITY.—Subject to the ap-
proval of the Governor, the council may prepare and ap-
prove a budget using funds under this part to conduct hear-
ings and forums, to reimburse members of the council for
reasonable and necessary expenses for attending council
meetings and performing council duties (including child
care for parent representatives), to pay compensation to a
member of the council if such member is not employed or
must forfeit wages from other employment when performing
official council business, to hire staff, and to obtain the serv-
ices of such professional, technical, and clerical personnel
as may be necessary to carry out its functions under this
part.
‘‘(e) FUNCTIONS OF COUNCIL.—
‘‘(1) DUTIES.—The council shall—
‘‘(A) advise and assist the lead agency des-
ignated or established under section 635(b)(8) in
the performance of the responsibilities set out in
such section, particularly the identification of
the sources of fiscal and other support for serv-
ices for early intervention programs, assignment
of financial responsibility to the appropriate
agency, and the promotion of the interagency
agreements;
188
‘‘(B) advise and assist the lead agency in
the preparation of applications and amendments
thereto;
‘‘(C) advise and assist the State educational
agency regarding the transition of toddlers with
disabilities to preschool and other appropriate
services; and
‘‘(D) prepare and submit an annual report
to the Governor and to the Secretary on the sta-
tus of early intervention programs for infants
and toddlers with disabilities and their families
operated within the State.
‘‘(2) AUTHORIZED ACTIVITY.—The council may
advise and assist the lead agency and the State edu-
cational agency regarding the provision of appro-
priate services for children aged birth to 5, inclusive.
‘‘(f) CONFLICT OF INTEREST.—No member of the coun-
cil shall cast a vote on any matter which would provide
direct financial benefit to that member or otherwise give
the appearance of a conflict of interest under State law.
‘‘SEC. 642. FEDERAL ADMINISTRATION.
‘‘Sections 616, 617, 618, and 620 shall, to the extent
not inconsistent with this part, apply to the program au-
thorized by this part, except that—
189
‘‘(1) any reference in such sections to a State
educational agency shall be considered to be a ref-
erence to a State’s lead agency established or des-
ignated under section 635(a)(8);
‘‘(2) any reference in such sections to a local
educational agency, educational service agency, or a
State agency shall be considered to be a reference to
an early intervention service provider under this
part; and
‘‘(3) any reference to the education of children
with disabilities or the education of all children with
disabilities shall be considered to be a reference to the
provision of appropriate early intervention services to
infants and toddlers with disabilities.
‘‘SEC. 643. ALLOCATION OF FUNDS.
‘‘(a) RESERVATION OF FUNDS FOR TERRITORIES.—
‘‘(1) IN GENERAL.—From the sums appropriated
to carry out this part for any fiscal year, the Sec-
retary may reserve up to one percent for payments to
Guam, American Samoa, the Virgin Islands, and the
Commonwealth of the Northern Mariana Islands in
accordance with their respective needs.
‘‘(2) CONSOLIDATION OF FUNDS.—The provisions
of Public Law 95–134, permitting the consolidation of
190
grants to the territories, shall not apply to funds those
areas receive under this part.
‘‘(b) PAYMENTS TO INDIANS.—
‘‘(1) IN GENERAL.—The Secretary shall, subject
to this subsection, make payments to the Secretary of
the Interior to be distributed to tribes, tribal organi-
zations (as defined under section 4 of the Indian Self-
Determination and Education Assistance Act), or
consortia of the above entities for the coordination of
assistance in the provision of early intervention serv-
ices by the States to infants and toddlers with disabil-
ities and their families on reservations served by ele-
mentary and secondary schools for Indian children
operated or funded by the Department of the Interior.
The amount of such payment for any fiscal year shall
be 1.25 percent of the aggregate of the amount avail-
able to all States under this part for such fiscal year.
‘‘(2) ALLOCATION.—For each fiscal year, the Sec-
retary of the Interior shall distribute the entire pay-
ment received under paragraph (1) by providing to
each tribe, tribal organization, or consortium an
amount based on the number of infants and toddlers
residing on the reservation as determined annually
divided by the total of such children served by all
tribes, tribal organizations, or consortia.
191
‘‘(3) INFORMATION.—To receive a payment
under this paragraph, the tribe, tribal organization,
or consortia shall submit such information to the Sec-
retary of the Interior as is needed to determine the
amounts to be allocated under paragraph (2).
‘‘(4) USE OF FUNDS.—The funds received by a
tribe, tribal organization, or consortia shall be used
to assist States in child find, screening, and other
procedures for the early identification of Indian chil-
dren under 3 years of age and for parent training.
Such funds may also be used to provide early inter-
vention services in accordance with this part. Such
activities may be carried out directly or through con-
tracts or cooperative agreements with the BIA, local
educational agencies, and other public or private non-
profit organizations. The tribe, tribal organization, or
consortia is encouraged to involve Indian parents in
the development and implementation of these activi-
ties. The above entities shall, as appropriate, make
referrals to local, State, or Federal entities for the
provision of services or further diagnosis.
‘‘(5) REPORTS.—To be eligible to receive a grant
under paragraph (2), a tribe, tribal organization, or
consortia shall make a biennial report to the Sec-
retary of the Interior of activities undertaken under
192
this subsection, including the number of contracts and
cooperative agreements entered into, the number of
children contacted and receiving services for each
year, and the estimated number of children needing
services during the 2 years following the year in
which the report is made. The Secretary of the Inte-
rior shall include a summary of this information on
a biennial basis to the Secretary of Education along
with such other information as required under section
611(f)(3)(D). The Secretary of Education may require
any additional information from the Secretary of the
Interior.
‘‘(6) PROHIBITED USES OF FUNDS.—None of the
funds under this subsection may be used by the Sec-
retary of the Interior for administrative purposes, in-
cluding child count, and the provision of technical as-
sistance.
‘‘(c) STATE ALLOTMENTS.—
‘‘(1) IN GENERAL.—Except as provided in para-
graphs (2), (3), and (4), from the funds remaining for
each fiscal year after the reservation and payments
under subsections (a) and (b), the Secretary shall first
allot to each State an amount that bears the same
ratio to the amount of such remainder as the number
193
of infants and toddlers in the State bears to the num-
ber of infants and toddlers in all States.
‘‘(2) MINIMUM
ALLOTMENTS.—Except as pro-
vided in paragraphs (3) and (4), no State shall re-
ceive an amount under this section for any fiscal year
that is less than the greatest of—
‘‘(A) one-half of one percent of the remain-
ing amount described in paragraph (1); or
‘‘(B) $500,000.
‘‘(3) SPECIAL RULE FOR 1997 THROUGH 1999.—
‘‘(A) IN GENERAL.—Except as provided in
paragraph (4), no State may receive an amount
under this section for any of the fiscal years
1997 through 1999 that is less than the sum of
the amount such State received for fiscal year
1994 under—
‘‘(i) part H (as in effect on the day be-
fore the date of the enactment of the IDEA
Improvement Act of 1996); and
‘‘(ii) subpart 2 of part D of chapter 1
of title I of the Elementary and Secondary
Education Act of 1965 (as in effect on the
day before the date of the enactment of the
Improving America’s Schools Act of 1994)
194
for children with disabilities under 3 years
of age.
‘‘(B) EXCEPTION.—If, for fiscal year 1998
or 1999, the number of infants and toddlers in
a State, as determined under paragraph (1), is
less than the number of infants and toddlers so
determined for fiscal year 1994, the amount de-
termined under subparagraph (A) for the State
shall be reduced by the same percentage by which
the number of such infants and toddlers so de-
clined.
‘‘(4) RATABLE REDUCTION.—
‘‘(A) IN GENERAL.—If the sums made avail-
able under this part for any fiscal year are in-
sufficient to pay the full amounts that all States
are eligible to receive under this subsection for
such year, the Secretary shall ratably reduce the
allocations to such States for such year.
‘‘(B) ADDITIONAL
FUNDS.—If additional
funds become available for making payments
under this subsection for a fiscal year, alloca-
tions that were reduced under subparagraph (A)
shall be increased on the same basis as such allo-
cations were reduced.
195
‘‘(5) DEFINITIONS.—For the purpose of this sub-
section—
‘‘(A) the terms ‘infants’ and ‘toddlers’ mean
children under 3 years of age; and
‘‘(B) the term ‘State’ means each of the 50
States, the District of Columbia, and the Com-
monwealth of Puerto Rico.
‘‘(d) REALLOTMENT OF FUNDS.—If a State elects not
to receive its allotment under subsection (c), the Secretary
shall reallot, among the remaining States, amounts from
such State in accordance with such subsection.
‘‘SEC. 644. AUTHORIZATION OF APPROPRIATIONS.
‘‘For the purpose of carrying out this part, there are
authorized to be appropriated such sums as may be nec-
essary for each of the fiscal years 1997 through 2001.
‘‘PART D—NATIONAL ACTIVITIES TO IMPROVE
EDUCATION OF CHILDREN WITH DISABILITIES
‘‘SEC. 651. PURPOSE OF PART.
‘‘The purpose of this part is to support national, State,
and local activities aimed at improving educational, early
intervention, and transitional services and opportunities
for children with disabilities.
‘‘SEC. 652. ELIGIBILITY FOR FINANCIAL ASSISTANCE.
‘‘No State, State educational agency, local educational
agency, educational service agency, or other public institu-
196
tion or agency may receive a grant, contract, or cooperative
agreement under this part which relates exclusively to pro-
grams, projects, and activities for children aged 3 to 5, in-
clusive, unless the State, or, in the case of an agency or
institution, the State in which the agency or institution is
located, is eligible to receive a grant under section 619.
‘‘Subpart 1—General Provisions and National
Research and Improvement Activities
‘‘SEC. 661. COMPREHENSIVE PLAN.
‘‘(a) IN GENERAL.—The Secretary shall develop and
implement a comprehensive plan for ongoing activities con-
ducted by the Secretary under this part.
‘‘(b) USE OF KNOWLEDGE IN DEVELOPING PLAN.—To
the maximum extent appropriate, the Secretary shall ensure
that the plan is based upon the knowledge gained from re-
search on practices that have been proven effective in im-
proving the achievement of children with disabilities.
‘‘(c) CONSULTATION.—In developing the plan, the Sec-
retary shall consult the following persons:
‘‘(1) Individuals with disabilities.
‘‘(2) Parents of children with disabilities.
‘‘(3) Representatives of State and local edu-
cational agencies and educational service agencies.
‘‘(4) Private schools.
‘‘(5) Institutions of higher education.
197
‘‘(6) Other Federal agencies.
‘‘(7) The National Council on Disability.
‘‘(8) National organizations with an interest in,
and expertise in, providing services to children with
disabilities and their families.
‘‘(9) Any other professionals determined appro-
priate by the Secretary.
‘‘(d) DEADLINE.—The plan shall be developed not later
than the date that is 12 months after the date of the enact-
ment of the IDEA Improvement Act of 1996.
‘‘SEC. 662. PRIORITIES.
‘‘(a) IN GENERAL.—In making awards under this
part, the Secretary may, without regard to the rule making
procedures under section 553 of title 5, United States Code,
limit such awards to, or otherwise give priority to—
‘‘(1) projects that address the improvement of the
academic performance of children with disabilities;
‘‘(2) projects that address one or more—
‘‘(A) age ranges;
‘‘(B) disabilities;
‘‘(C) grades in school;
‘‘(D) types of educational placements or
early intervention environments;
‘‘(E) types of services; or
‘‘(F) content areas such as reading;
198
‘‘(3) projects that address the needs of children
based on the severity of their disability;
‘‘(4) projects that address the needs of—
‘‘(A) low-achieving students;
‘‘(B) underserved populations;
‘‘(C) children from low-income families;
‘‘(D) children with limited English pro-
ficiency;
‘‘(E) unserved and underserved areas;
‘‘(F) particular types of geographic areas,
such as inner-city or rural areas; or
‘‘(G) institutionalized children in juvenile
and adult correctional institutions;
‘‘(5) any activity that is expressly authorized in
this title;
‘‘(6) a large-scale longitudinal study designed to
provide information on the long-term impact of edu-
cation agency disciplinary procedures on children
with disabilities;
‘‘(7) research and development projects includ-
ing—
‘‘(A) 
projects 
that 
advance 
knowledge
about—
‘‘(i) teaching and learning practices,
and assessment techniques, instruments,
199
and strategies, including behavioral strate-
gies, that lead to improved results for chil-
dren with disabilities;
‘‘(ii) the developmental and learning
characteristics of children with disabilities
in a manner that will improve the design
and effectiveness of interventions and in-
struction; or
‘‘(iii) the coordination of education
with health and social services;
‘‘(B) large-scale longitudinal studies de-
signed to produce information on the long-term
impact of early intervention and education on
results for individuals with disabilities;
‘‘(C) model demonstration projects to apply
and test research findings in typical service set-
tings to determine the usability, effectiveness,
and general applicability of such research find-
ings in such areas as improving instructional
methods, curricula, and tools such as textbooks,
media, and other materials; and
‘‘(D) projects which apply research and
other knowledge to improve educational results
for children with disabilities by—
200
‘‘(i) synthesizing useful research and
educational products;
‘‘(ii) ensuring that such research and
products are in appropriate formats for dis-
tribution to administrators, teachers, par-
ents, and individuals with disabilities; or
‘‘(iii) making such research and prod-
ucts available through libraries, electronic
networks, parent training projects, and
other information sources, including the Na-
tional Information Dissemination System
under part D of title IX of Public Law
103–227;
‘‘(8) projects which provide technical assistance
to—
‘‘(A) States—
‘‘(i) to link States to other technical
assistance resources, including special and
general education resources; or
‘‘(ii) in gaining access to information,
including information on research and best
practices; or
‘‘(B) State educational agencies, State lead
agencies serving infants and toddlers with dis-
abilities under part C, and other organizations
201
and agencies that play a critical role in provid-
ing for the participation of children with dis-
abilities in State and local assessments;
‘‘(9) activities to produce, and promote the use
of, knowledge to address the special needs of children
who have a high likelihood of needing special edu-
cation and related services in order to reduce, through
early intervention, the need for special education serv-
ices later in life;
‘‘(10) educational media activities including—
‘‘(A) through September 30, 1998, video de-
scription, open captioning, or closed captioning;
‘‘(B) video description, open captioning, or
closed captioning of educational, news, and in-
formational materials;
‘‘(C) through September 30, 1998, distribu-
tion of captioned and described materials and
videos;
‘‘(D) distribution of captioned and de-
scribed educational, news, and informational
materials and videos; and
‘‘(E) recording free educational materials,
including textbooks, for visually impaired and
print-disabled students in elementary, secondary,
post-secondary, and graduate schools; and
202
‘‘(11) projects to assist institutions of higher edu-
cation in appropriately serving students with disabil-
ities, including deaf students.
‘‘(b) DEFINITION.—As used in this section, the term
‘low-incidence disability’ means—
‘‘(1) a visual impairment, a hearing impair-
ment, or simultaneous visual and hearing impair-
ments;
‘‘(2) a significant cognitive impairment; or
‘‘(3) any impairment for which a small number
of personnel, with highly specialized skills and knowl-
edge, are needed nationwide in order for all children
with disabilities who have the impairment to receive
early intervention services or a free appropriate pub-
lic education.
‘‘(c) REPORT.—If the Secretary awards a grant, con-
tract, or cooperative agreement under this part prior to
February 1, 1998 with respect to an educational media ac-
tivity described in subparagraph (A) or (C) of subsection
(a)(10), the Secretary, after consulting with the chairman
of the Federal Communications Commission, shall submit
to the Committee on Economic and Educational Opportu-
nities of the House of Representatives and the Committee
on Labor and Human Resources of the Senate, not later
than April 15, 1998, a report on the progress that the Fed-
203
eral Communications Commission is making towards meet-
ing the requirements imposed on the Commission under sec-
tion 713 of the Communications Act of 1934 (47 U.S.C.
613).
‘‘SEC. 663. PEER REVIEW.
‘‘(a) IN GENERAL.—The Secretary shall use a panel
of experts who are competent, by virtue of their training,
expertise, or experience, to evaluate an application under
this part that requests more than $75,000 in Federal finan-
cial assistance.
‘‘(b) COMPOSITION OF PANEL.—A majority of a panel
described in subsection (a) shall be composed of individuals
who are not employees of the Federal Government.
‘‘(c) PAYMENT OF FEES AND EXPENSES OF CERTAIN
MEMBERS.—The Secretary may use available funds appro-
priated to carry out this part to pay the expenses and fees
of panel members who are not employees of the Federal Gov-
ernment.
‘‘SEC. 664. ELIGIBLE APPLICANTS.
‘‘Except as otherwise provided in this part, the persons
who, and the agencies that, may apply for receipt of grants,
contracts, or cooperative agreements under this part are the
following:
‘‘(1) Institutions of higher education.
‘‘(2) State educational agencies.
204
‘‘(3) Local educational agencies.
‘‘(4) Educational service agencies.
‘‘(5) Other public agencies.
‘‘(6) Private nonprofit organizations.
‘‘(7) Indian tribes and tribal organizations (as
defined under section 4 of the Indian Self-Determina-
tion and Education Assistance Act).
‘‘(8) For-profit organizations.
‘‘SEC. 665. APPLICANT AND RECIPIENT RESPONSIBILITIES.
‘‘(a) GENERAL REQUIREMENTS ON APPLICANTS AND
RECIPIENTS.—The Secretary may not make a grant to, or
enter into a contract or cooperative agreement with, a per-
son or agency under this part unless—
‘‘(1) the person or agency involves individuals
with disabilities, and parents of children with disabil-
ities, in planning, implementing, and evaluating ac-
tivities conducted under the grant, contract, or agree-
ment;
‘‘(2) the person or agency, where appropriate,
evaluates the potential for replication and widespread
adoption of such activities; and
‘‘(3) the person or agency prepares their findings
and work product in a format useful for a specific
audience specified by the Secretary, such as parents,
administrators, teachers, early intervention personnel,
205
related services personnel, or individuals with disabil-
ities.
‘‘(b) ADDITIONAL REQUIREMENTS IMPOSED AT DIS-
CRETION OF SECRETARY.—The Secretary may require that
a person who, or agency that, is awarded a grant, contract,
or cooperative agreement under this part—
‘‘(1) assume a portion of the cost of carrying out
the grant, contract, or agreement;
‘‘(2) disseminate the findings and work product
of the person or agency; and
‘‘(3) collaborate with other such persons and
agencies.
‘‘SEC. 666. INDIRECT COSTS.
‘‘The Secretary—
‘‘(1) may not permit any recipient of Federal
funds under this part to use more than 25 percent of
such funds for indirect costs; and
‘‘(2) may further limit the extent to which any
such recipient may use such funds for such costs.
‘‘SEC. 667. PROGRAM EVALUATION.
‘‘The Secretary may use funds appropriated to carry
out this part to evaluate any activity carried out under
this part.
206
‘‘SEC. 668. NATIONAL ASSESSMENT.
‘‘(a) PURPOSE OF ASSESSMENT.—The Secretary shall
carry out a national assessment of activities carried out
with Federal funds under this title in order—
‘‘(1) to determine the effectiveness of the title in
achieving the purposes of the title;
‘‘(2) to provide information to the President, the
Congress, the States, local educational agencies, and
the public on how to implement the title more effec-
tively; and
‘‘(3) to provide the President and the Congress
with information that will be useful in developing leg-
islation to achieve the purposes of this title more effec-
tively.
‘‘(b) CONSULTATION.—The Secretary shall plan, re-
view, and conduct the national assessment under this sec-
tion in consultation with researchers, State practitioners,
local practitioners, parents of children with disabilities, in-
dividuals with disabilities, and other appropriate individ-
uals.
‘‘(c) SCOPE OF ASSESSMENT.—The national assess-
ment shall examine how well schools, local educational
agencies, States, other recipients of assistance under this
title, and the Secretary are achieving the purposes of this
title, including—
207
‘‘(1) the performance of children with disabilities
in general scholastic activities and assessments as
compared to nondisabled children;
‘‘(2) providing for the participation of children
with disabilities in the general education curriculum;
‘‘(3) helping children with disabilities make suc-
cessful transitions from—
‘‘(A) early intervention services to preschool
education;
‘‘(B) preschool education to elementary
school; and
‘‘(C) secondary school to adult life;
‘‘(4) placing and serving children with disabil-
ities, including children from underserved popu-
lations, in the least restrictive environment appro-
priate;
‘‘(5) preventing children with disabilities, espe-
cially children with emotional disturbances and spe-
cific learning disabilities, from dropping out of
school;
‘‘(6) assessing the use of disciplinary measures,
and the effect of such use, with children with disabil-
ities as compared to nondisabled children;
‘‘(7) coordinating services provided under this
title with each other, with other educational and
208
pupil services (including preschool services), and with
health and social services funded from other sources;
‘‘(8) addressing the participation of parents of
children with disabilities in the education of their
children; and
‘‘(9) resolving disagreements between education
personnel and parents through activities such as me-
diation.
‘‘(d) INTERIM AND FINAL REPORTS.—The Secretary
shall submit to the President and the Congress—
‘‘(1) an interim report that summarizes the pre-
liminary findings of the assessment not later than Oc-
tober 1, 1998; and
‘‘(2) a final report of the findings of the assess-
ment not later than October 1, 2000.
‘‘SEC. 669. AUTHORIZATION OF APPROPRIATIONS.
‘‘(a) IN GENERAL.—There are authorized to be appro-
priated to carry out this subpart such sums as may be nec-
essary for each of the fiscal years 1997 through 2001.
‘‘(b) MINIMUM AMOUNTS.—Subject to subsection (c),
the Secretary shall ensure that, for each fiscal year, at least
the following amounts are provided under this part to ad-
dress the following needs:
209
‘‘(1) $12,832,000 to address the educational, re-
lated services, transitional, and early intervention
needs of children with deaf-blindness.
‘‘(2) $4,000,000 to address the postsecondary, vo-
cational, technical, continuing, and adult education
needs of individuals with deafness.
‘‘(c) RATABLE REDUCTION.—If the total amount ap-
propriated to carry out this part for any fiscal year is less
than $135,600,000, the amounts listed in subsection (b)
shall be ratably reduced.
‘‘Subpart 2—Professional Development
‘‘SEC. 671. PURPOSE.
‘‘The purpose of this subpart is to help ensure that—
‘‘(1) personnel responsible for serving children
with disabilities, including general and special edu-
cation personnel, related services personnel, and early
intervention personnel, have the knowledge and skills
necessary to help such children—
‘‘(A) meet developmental goals and, to the
maximum extent possible, those challenging ex-
pectations that have been established for all chil-
dren; and
‘‘(B) be prepared to lead productive, inde-
pendent adult lives to the maximum extent pos-
sible;
210
‘‘(2) there are adequate numbers of such person-
nel to meet the needs of children with disabilities; and
‘‘(3) the skills and knowledge of personnel re-
sponsible for serving children with disabilities reflect
the best practices, as determined through research and
experience, particularly with respect to the inclusion
of children with disabilities in the regular education
environment.
‘‘SEC. 672. FINDING.
‘‘The Congress finds that the conditions noted in para-
graphs (7) through (10) of section 601(c) can be greatly im-
proved by providing opportunities for the full participation
of minorities through the implementation of the following
recommendations:
‘‘(1) Implementation of a policy to mobilize the
Nation’s resources to prepare minorities for careers in
special education and related services.
‘‘(2) Focusing such policy on—
‘‘(A) the recruitment of minorities into
teaching; and
‘‘(B) 
financially 
assisting 
Historically
Black Colleges and Universities and other insti-
tutions of higher education (whose minority stu-
dent enrollment is at least 25 percent) to prepare
211
students for special education and related service
careers.
‘‘SEC. 673. NATIONAL ACTIVITIES.
‘‘(a) PROGRAM AUTHORIZED.—The Secretary may
make grants to, and enter into contracts and cooperative
agreements with, eligible entities to support activities of na-
tional significance that—
‘‘(1) have broad applicability; and
‘‘(2) will help ensure that the purpose of this
subpart is met.
‘‘(b) AUTHORIZED ACTIVITIES.—In carrying out this
section, the Secretary may support any activity that is con-
sistent with subsection (a), including—
‘‘(1) the development, evaluation, demonstration,
or dissemination of effective personnel preparation
practices for personnel to work with children with
disabilities;
‘‘(2) promoting the transferability of licensure
and certification of teachers and administrators
among State and local jurisdictions;
‘‘(3) developing and disseminating models that
prepare teachers with strategies, including behavioral
management techniques, for addressing the conduct of
children with disabilities that impedes their learning
and that of others in the classroom; and
212
‘‘(4) supporting Historically Black Colleges and
Universities and institutions of higher education with
minority enrollments of at least 25 percent for the
purpose of preparing personnel.
‘‘SEC. 674. PROFESSIONAL DEVELOPMENT FOR PERSONNEL
SERVING LOW-INCIDENCE POPULATIONS.
‘‘(a) PROGRAM AUTHORIZED.—The Secretary may
make grants to, and enter into contracts and cooperative
agreements with, eligible entities to meet the purpose of this
subpart by supporting preparation for personnel who will
provide educational and related services to children with
low-incidence disabilities and personnel who will provide
early intervention services to infants and toddlers with dis-
abilities.
‘‘(b) AUTHORIZED ACTIVITIES.—
‘‘(1) IN GENERAL.—Individuals who may be pre-
pared pursuant to this section include personnel
who—
‘‘(A) are currently prepared in the fields of
educational, related, or early intervention serv-
ices; and
‘‘(B) are studying—
‘‘(i) to obtain degrees, certification, li-
censure, or endorsements in one or more of
such fields; or
213
‘‘(ii) to meet competency requirements
in one or more of such fields.
‘‘(2) SCHOLARSHIPS.—The Secretary may in-
clude funds for scholarships, with necessary stipends
and allowances, in awards under this section.
‘‘(c) APPLICATIONS.—Any application for assistance
under this section shall propose to provide preparation that
addresses a significant need, as shown by letters from one
or more States stating that the State—
‘‘(1) intends to accept successful completion of
the proposed personnel preparation as meeting State
personnel standards for serving children with low-in-
cidence disabilities, or for serving infants and tod-
dlers with disabilities; and
‘‘(2) needs personnel in the area or areas in
which the applicant proposes to provide preparation,
as identified in the State’s comprehensive system of
personnel development under part B or C, or in the
State’s State improvement plan under subpart 3.
‘‘(d) DEFINITION.—For purposes of this section, the
term ‘low-incidence disability’ has the meaning given such
term in section 662(b).
‘‘SEC. 675. LEADERSHIP PERSONNEL.
‘‘(a) PROGRAM AUTHORIZED.—The Secretary may
make grants to, and enter into contracts and cooperative
214
agreements with, eligible entities to meet the purpose of this
subpart by preparing educational, related service, and early
intervention leadership personnel (including teacher-prepa-
ration faculty, administrators, researchers, supervisors, and
principals) so that they are prepared to help children with
disabilities—
‘‘(1) meet developmental goals and, to the maxi-
mum extent possible, those challenging expectations
that have been established for all children; and
‘‘(2) be prepared to lead productive, independent
adult lives to the maximum extent possible.
‘‘(b) AUTHORIZED ACTIVITIES.—
‘‘(1) IN GENERAL.—In carrying out this section,
the Secretary may support any activity that is con-
sistent with subsection (a), including—
‘‘(A) preparation of personnel at the ad-
vanced graduate, doctoral, or post-doctoral levels;
and
‘‘(B) professional development of leadership
personnel.
‘‘(2) SCHOLARSHIPS.—The Secretary may in-
clude funds for scholarships, with necessary stipends
and allowances, in awards under this section.
‘‘(c) PREFERENCES.—In making awards under this
section, the Secretary shall give preference to projects at in-
215
stitutions of higher education that have successfully inte-
grated the professional development of general and special
education personnel.
‘‘SEC. 676. SERVICE OBLIGATION.
‘‘Each application for funds under section 674 or 675
shall include an assurance that the applicant will ensure
that individuals who are prepared under the proposed
project will subsequently perform work related to their prep-
aration or repay all or part of the cost of such preparation.
‘‘SEC. 677. OUTREACH.
‘‘(a) PLAN FOR OUTREACH SERVICES.—The Secretary
shall develop a plan for providing outreach services to the
entities and populations described in subsection (b) in order
to increase the participation of such entities and popu-
lations in competitions for grants, contracts, and coopera-
tive agreements under this subpart.
‘‘(b) ENTITIES AND POPULATIONS DESCRIBED.—The
entities and populations referred to in subsection (a) are—
‘‘(1) Historically Black Colleges and Universities
and other institutions of higher education whose mi-
nority student enrollment is at least 25 percent;
‘‘(2) eligible institutions, as defined in section
312 of the Higher Education Act of 1965;
216
‘‘(3) nonprofit and for-profit agencies at least 51
percent owned or controlled by one or more minority
individuals; and
‘‘(4) underrepresented populations.
‘‘(c) FUNDING.—For the purpose of implementing the
plan required under subsection (a), the Secretary shall, for
each of the fiscal years 1997 through 2002, expend 1 percent
of the funds appropriated for the fiscal year involved for
carrying out this subpart.
‘‘(d) DILIGENCE.—The Secretary shall exercise the ut-
most authority, resourcefulness, and diligence of the Sec-
retary to meet the requirements of this section.
‘‘(e) REPORT.—Not later than January 31 of each
year, beginning with fiscal year 1997 and ending with fis-
cal year 2002, the Secretary shall submit to the Congress
a final report on the progress toward meeting the goals of
this section during the preceding fiscal year. The report
shall include—
‘‘(1) a full explanation of any progress toward
meeting the goals of this section; and
‘‘(2) a plan to meet the goals, if necessary.
‘‘(f) UNDERREPRESENTED POPULATIONS DEFINED.—
For purposes of this section, the term ‘underrepresented
populations’ means populations such as minorities, the
217
poor, individuals with limited English proficiency, and in-
dividuals with disabilities.
‘‘Subpart 3—State Program Improvement Grants for
Children with Disabilities
‘‘SEC. 681. PURPOSE.
‘‘The purpose of this subpart is to assist States in re-
forming and improving their systems for providing edu-
cational and early intervention services, particularly their
systems for professional development, to improve the
achievement of children with disabilities.
‘‘SEC. 682. ELIGIBILITY AND COLLABORATIVE PROCESS.
‘‘(a) ELIGIBLE APPLICANTS.—A State may apply for
a grant under this subpart for a grant period that is not
less than one year, but is not greater than 4 years.
‘‘(b) CERTIFICATION THAT COLLABORATIVE PROCESS
HAS BEEN USED.—A State that desires to receive a grant
under this subpart shall certify to the Secretary that a col-
laborative process with persons described in subsection (c)
has been used in developing the State improvement plan
described in section 683.
‘‘(c) COLLABORATIVE PROCESS PARTICIPANTS.—
‘‘(1) REQUIRED
PARTICIPANTS.—The collabo-
rative process referred to in subsection (b) is a State
process for making decisions which includes as par-
218
ticipants, at a minimum, the Governor of the State
and representatives, appointed by such Governor, of—
‘‘(A) parents of children with disabilities;
‘‘(B) parents of nondisabled children;
‘‘(C) individuals with disabilities;
‘‘(D) organizations representing individuals
with disabilities and their parents;
‘‘(E) community-based and other nonprofit
organizations related to the education and em-
ployment of individuals with disabilities;
‘‘(F) the lead State agency official or offi-
cials for part C;
‘‘(G) local educational agencies;
‘‘(H) general and special education teach-
ers;
‘‘(I) the State educational agency;
‘‘(J) the State advisory panel established
under part B; and
‘‘(K) the State interagency coordinating
council established under part C.
‘‘(2) OPTIONAL
PARTICIPANTS.—The collabo-
rative process may include, at the Governor’s discre-
tion, representatives, appointed by the Governor, of—
‘‘(A) individuals knowledgeable about voca-
tional education;
219
‘‘(B) the State agency for higher education;
‘‘(C) institutions of higher education;
‘‘(D) schools of education;
‘‘(E) the State vocational rehabilitation
agency;
‘‘(F) public agencies with jurisdiction in the
areas of health, mental health, social services,
and juvenile justice; and
‘‘(G) any other individuals designated by
the Governor.
‘‘SEC. 683. STATE IMPROVEMENT PLANS.
‘‘(a) IN GENERAL.—A State that desires to receive a
grant under this subpart shall submit to the Secretary a
State improvement plan that is integrated, to the maximum
extent possible, with State plans under the Elementary and
Secondary Education Act of 1965 and the Rehabilitation
Act of 1973, as appropriate.
‘‘(b) DETERMINING CHILD AND PROGRAM NEEDS.—
‘‘(1) IN
GENERAL.—Each State improvement
plan shall identify those critical aspects of early
intervention, general education, and special education
programs (including professional development, based
on an assessment of State and local needs) that must
be improved to enable children with disabilities to
220
meet the goals established by the State under section
612(a)(14).
‘‘(2) REQUIRED
ANALYSES.—To meet the re-
quirement of paragraph (1), the State improvement
plan shall include at least—
‘‘(A) an analysis of all information, reason-
ably available to the State, on the performance
of children with disabilities in the State, includ-
ing—
‘‘(i) their performance on State assess-
ments and other performance indicators es-
tablished for all children, including drop-
out rates and graduation rates;
‘‘(ii) their participation in postsecond-
ary education and employment; and
‘‘(iii) how their performance on the as-
sessments and indicators described in clause
(i) compares to that of non-disabled chil-
dren;
‘‘(B) an analysis of State and local needs
for professional development for personnel to
serve children with disabilities that includes, at
a minimum, relevant information on current
and anticipated personnel shortages, and on the
extent of certification or retraining necessary to
221
eliminate such shortages, that is based, to the
maximum extent possible, on existing assess-
ments of personnel needs; and
‘‘(C) a summary of the information and
analysis provided by the State to the Secretary
under parts B and C on the effectiveness of the
State’s systems of early intervention, special edu-
cation, and general education in meeting the
needs of children with disabilities.
‘‘(c) IMPROVEMENT STRATEGIES.—Each State im-
provement plan shall—
‘‘(1) describe the strategies the State will use to
address the needs identified under subsection (b)(1),
including—
‘‘(A) how it will hold school districts and
schools accountable for educational progress of
children with disabilities;
‘‘(B) how it will provide technical assist-
ance to school districts and schools to improve
results for children with disabilities;
‘‘(C) how it will address the identified needs
for in-service and pre-service preparation to en-
sure that all personnel who work with children
with disabilities (including both professional and
paraprofessional personnel who provide early
222
intervention services, special education, general
education, or related services) have the skills and
knowledge necessary to meet the needs of children
with disabilities, including a description of
how—
‘‘(i) the State will prepare general edu-
cation and special education personnel with
the content knowledge and collaborative
skills needed to meet the needs of children
with disabilities, including how the State
will work with other States on common cer-
tification criteria;
‘‘(ii) the State will prepare profes-
sionals and paraprofessionals in the area of
early intervention with the content knowl-
edge and collaborative skills needed to meet
the needs of infants and toddlers with dis-
abilities;
‘‘(iii) the State will work with institu-
tions of higher education and other entities
that prepare (on both a pre-service and an
in-service basis) personnel who work with
children with disabilities to ensure that
such institutions and entities develop the
capacity to support professional develop-