Section 511 IAC 7-45-1 - ComplaintsAuthority: IC 20-19-2-8; IC 20-19-2-16
Affected: IC 20-19-2; IC 20-35
Sec. 1.
(a) Any individual, group of individuals, agency, or organization may file a complaint alleging violations of federal or state laws that apply to special education programs. The complaint must:(2) include a statement alleging that the public agency has violated a requirement of: (B) the Individuals with Disabilities Education Act, 20 U.S.C. 1400 et seq.; or(C) the federal regulations implementing the Individuals with Disabilities Education Act;(3) include the facts on which the alleged violation is based;(4) be signed by the complainant or complainants and include contact information of the complainant or complainants; and(5) be submitted to the: (A) division of special education; and(B) public agency serving the student.(b) If the complaint alleges violations with respect to a specific student, the complaint must also include the following:(1) The:(A) name and address of the residence of the student; or(B) in the case of a homeless student as defined at 511 IAC 7-32-46, name of the student and available contact information for the student.(2) The name of the school the student is attending.(3) A description of the nature of the alleged violations with respect to the student, including facts relating to the alleged violations.(4) A proposed resolution of the problem to the extent known and available to the party at the time the complaint is filed.(c) The complaint must allege a violation that occurred within one (1) year of the date that the complaint is received by the division of special education.(d) The division of special education shall develop and implement written procedures to investigate and resolve complaints, including complaints filed by organizations or individuals from other states when the complaints meet the requirements of this section. These procedures shall be widely disseminated to parents and other interested individuals, including parent training and information centers, protection and advocacy agencies, independent living centers, and other appropriate entities. The procedures shall address the following:(1) Identifying issues in a complaint.(2) Assigning a complaint investigator.(3) Conducting an independent investigation, both on site and off site.(4) Giving the complainant the opportunity to submit additional information, either orally or in writing, about the allegations in the complaint.(5) Providing the public agency the opportunity to respond to the complaint including the following:(A) At the discretion of the public agency, a proposal to resolve the complaint.(B) An opportunity for a parent who has filed a complaint and the public agency to voluntarily engage in mediation under section 2 of this rule.(6) Obtaining an extension of time for the investigation only if:(A) exceptional circumstances exist with respect to a particular complaint; or(B) the complainant and the public agency involved agree to extend the time to engage in mediation under section 2 of this rule.(7) Reviewing all relevant information and making an independent determination as to whether the public agency is violating a requirement of: (B) Part B of the Individuals with Disabilities Education Act; or(C) any other applicable Indiana law.(8) Issuing a written complaint investigation report that addresses each allegation in the complaint, including findings of fact, conclusions, and reasons for the decision.(9) Conducting a reconsideration of the decision.(10) Monitoring compliance with the final decision, including the following: (B) Technical assistance activities.(e) The written procedures shall also include timelines for the following:(2) The issuance of a report.(4) Monitoring compliance.(f) The individuals assigned as complaint investigators shall be trained employees of the department of education or other state agencies, as appropriate.(g) Within ten (10) calendar days of the date the complaint is received by the public agency, the public agency has the discretion to do any of the following:(1) Respond to the complaint in writing and forward the response to the division of special education and the complainant.(2) Resolve the complaint with a written agreement signed by the public agency and the complainant. The agreement must: (A) be forwarded to the division of special education; and(B) specify whether any issues remain that require investigation.(3) Agree with a parent who has filed a complaint to engage in mediation under section 2 of this rule.(4) Notify the division of special education that it should begin investigating the complaint because the public agency will not be exercising the options in subdivision (1), (2), or (3).(h) If the public agency and a parent who has filed a complaint agree to engage in mediation under section 2 of this rule, the mediation must be completed within twenty (20) calendar days from the date the parties agree in writing to engage in mediation. If a mediation agreement is executed by the parent and the public agency, the public agency must forward the mediation agreement to the division of special education.(i) If the public agency under subsection (g)(2) or (g)(3) resolves some but not all of the issues contained in a complaint, the division of special education will investigate the unresolved issues.(j) Nothing in this section precludes a complainant from filing a new complaint to seek enforcement of a written agreement entered into by the complainant and public agency under subsection (g)(2) or (g)(3).(k) If the public agency fails to respond under subsection (g), the division of special education will begin investigating the complaint eleven (11) days after the division of special education receives the complaint.(l) A written complaint report shall be issued by the division of special education within forty (40) calendar days of receiving the complaint, unless an extension has been granted under subsection (d)(6).(m) Either the public agency or the complainant may request reconsideration by the director of the division of special education of any part of a complaint report. A request for reconsideration must be submitted to the division of special education within ten (10) calendar days of the date the complaint report is issued. The request for reconsideration shall:(2) state the specific portion or portions of the report the party believes should be reconsidered with specific facts to support the request; and(3) be sent to the director of the division of special education.(n) If the director of the division of special education revises the written complaint report, the revised report shall be issued within sixty (60) calendar days of the date the written complaint is received by the division of special education, unless an extension has been granted under subsection (d)(6).(o) Corrective action required by the department of education shall be binding on the public agency. The timelines for the public agency to:(1) submit a corrective action plan; and(2) achieve compliance; shall be included in the complaint investigator's report. Compliance with corrective action required by the department of education shall be monitored by the division of special education.(p) Failure of the public agency to achieve compliance with corrective action required by the department of education shall result in the withholding of federal and state funds to the public agency.(q) Complaint investigations conducted under this section are not a substitute for due process procedures in sections 3 through 8 of this rule.(r) If a written complaint is received that is also the subject of a due process hearing or the complaint contains multiple issues, of which one (1) or more are part of that hearing, the department of education shall set aside any part of the complaint that is being addressed in the due process hearing until the conclusion of the hearing. However, any issue in the complaint that is not a part of the due process action shall be resolved using the time limits and procedures described in this section.(s) If an issue raised in a complaint filed under this section has previously been decided in a due process hearing involving the same parties, the:(1) hearing decision is binding on that issue; and(2) department of education shall inform the complainant to that effect.(t) A complaint alleging a public agency's failure to implement a due process decision must be resolved by the department of education through the complaint process set forth in this section. Indiana State Board of Education; 511 IAC 7-45-1; filed Jul 14, 2008, 1:24 p.m.: 20080813-IR-511080112FRAReadopted filed 11/6/2014, 3:23 p.m.: 20141203-IR-511140382RFAFiled 3/18/2019, 2:33 p.m.: 20190417-IR-511180153FRA