§ 1413. — Local educational agency eligibility.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 20USC1413]
TITLE 20--EDUCATION
CHAPTER 33--EDUCATION OF INDIVIDUALS WITH DISABILITIES
SUBCHAPTER II--ASSISTANCE FOR EDUCATION OF ALL CHILDREN WITH
DISABILITIES
Sec. 1413. Local educational agency eligibility
(a) In general
A local educational agency is eligible for assistance under this
subchapter for a fiscal year if such agency demonstrates to the
satisfaction of the State educational agency that it meets each of the
following conditions:
(1) Consistency with State policies
The local educational agency, in providing for the education of
children with disabilities within its jurisdiction, has in effect
policies, procedures, and programs that are consistent with the
State policies and procedures established under section 1412 of this
title.
(2) Use of amounts
(A) In general
Amounts provided to the local educational agency under this
subchapter shall be expended in accordance with the applicable
provisions of this subchapter and--
(i) shall be used only to pay the excess costs of
providing special education and related services to children
with disabilities;
(ii) shall be used to supplement State, local, and other
Federal funds and not to supplant such funds; and
(iii) shall not be used, except as provided in
subparagraphs (B) and (C), to reduce the level of
expenditures for the education of children with disabilities
made by the local educational agency from local funds below
the level of those expenditures for the preceding fiscal
year.
(B) Exception
Notwithstanding the restriction in subparagraph (A)(iii), a
local educational agency may reduce the level of expenditures
where such reduction is attributable to--
(i) the voluntary departure, by retirement or otherwise,
or departure for just cause, of special education personnel;
(ii) a decrease in the enrollment of children with
disabilities;
(iii) the termination of the obligation of the agency,
consistent with this subchapter, to provide a program of
special education to a particular child with a disability
that is an exceptionally costly program, as determined by
the State educational agency, because the child--
(I) has left the jurisdiction of the agency;
(II) has reached the age at which the obligation of
the agency to provide a free appropriate public
education to the child has terminated; or
(III) no longer needs such program of special
education; or
(iv) the termination of costly expenditures for long-
term purchases, such as the acquisition of equipment or the
construction of school facilities.
(C) Treatment of Federal funds in certain fiscal years
(i) Notwithstanding clauses (ii) and (iii) of subparagraph
(A), for any fiscal year for which amounts appropriated to carry
out section 1411 of this title exceeds $4,100,000,000, a local
educational agency may treat as local funds, for the purpose of
such clauses, up to 20 percent of the amount of funds it
receives under this subchapter that exceeds the amount it
received under this subchapter for the previous fiscal year.
(ii) Notwithstanding clause (i), if a State educational
agency determines that a local educational agency is not meeting
the requirements of this subchapter, the State educational
agency may prohibit the local educational agency from treating
funds received under this subchapter as local funds under clause
(i) for any fiscal year, only if it is authorized to do so by
the State constitution or a State statute.
(D) Schoolwide programs under title I of the ESEA
Notwithstanding subparagraph (A) or any other provision of
this subchapter, a local educational agency may use funds
received under this subchapter for any fiscal year to carry out
a schoolwide program under section 1114 of the Elementary and
Secondary Education Act of 1965 [20 U.S.C. 6314], except that
the amount so used in any such program shall not exceed--
(i) the number of children with disabilities
participating in the schoolwide program; multiplied by
(ii)(I) the amount received by the local educational
agency under this subchapter for that fiscal year; divided
by
(II) the number of children with disabilities in the
jurisdiction of that agency.
(3) Personnel development
The local educational agency--
(A) shall ensure that all personnel necessary to carry out
this subchapter are appropriately and adequately prepared,
consistent with the requirements of section 1453(c)(3)(D) of
this title; and
(B) to the extent such agency determines appropriate, shall
contribute to and use the comprehensive system of personnel
development of the State established under section 1412(a)(14)
of this title.
(4) Permissive use of funds
Notwithstanding paragraph (2)(A) or section 1412(a)(18)(B) of
this title (relating to commingled funds), funds provided to the
local educational agency under this subchapter may be used for the
following activities:
(A) Services and aids that also benefit nondisabled children
For the costs of special education and related services and
supplementary aids and services provided in a regular class or
other education-related setting to a child with a disability in
accordance with the individualized education program of the
child, even if one or more nondisabled children benefit from
such services.
(B) Integrated and coordinated services system
To develop and implement a fully integrated and coordinated
services system in accordance with subsection (f) of this
section.
(5) Treatment of charter schools and their students
In carrying out this subchapter with respect to charter schools
that are public schools of the local educational agency, the local
educational agency--
(A) serves children with disabilities attending those
schools in the same manner as it serves children with
disabilities in its other schools; and
(B) provides funds under this subchapter to those schools in
the same manner as it provides those funds to its other schools.
(6) Information for State educational agency
The local educational agency shall provide the State educational
agency with information necessary to enable the State educational
agency to carry out its duties under this subchapter, including,
with respect to paragraphs (16) and (17) of section 1412(a) of this
title, information relating to the performance of children with
disabilities participating in programs carried out under this
subchapter.
(7) Public information
The local educational agency shall make available to parents of
children with disabilities and to the general public all documents
relating to the eligibility of such agency under this subchapter.
(b) Exception for prior local plans
(1) In general
If a local educational agency or State agency has on file with
the State educational agency policies and procedures that
demonstrate that such local educational agency, or such State
agency, as the case may be, meets any requirement of subsection (a)
of this section, including any policies and procedures filed under
this subchapter as in effect before the effective date of the
Individuals with Disabilities Education Act Amendments of 1997, the
State educational agency shall consider such local educational
agency or State agency, as the case may be, to have met such
requirement for purposes of receiving assistance under this
subchapter.
(2) Modification made by local educational agency
Subject to paragraph (3), an application submitted by a local
educational agency in accordance with this section shall remain in
effect until it submits to the State educational agency such
modifications as the local educational agency deems necessary.
(3) Modifications required by State educational agency
If, after the effective date of the Individuals with
Disabilities Education Act Amendments of 1997, the provisions of
this chapter are amended (or the regulations developed to carry out
this chapter are amended), or there is a new interpretation of this
chapter by Federal or State courts, or there is an official finding
of noncompliance with Federal or State law or regulations, the State
educational agency may require a local educational agency to modify
its application only to the extent necessary to ensure the local
educational agency's compliance with this subchapter or State law.
(c) Notification of local educational agency or State agency in case of
ineligibility
If the State educational agency determines that a local educational
agency or State agency is not eligible under this section, the State
educational agency shall notify the local educational agency or State
agency, as the case may be, of that determination and shall provide such
local educational agency or State agency with reasonable notice and an
opportunity for a hearing.
(d) Local educational agency compliance
(1) In general
If the State educational agency, after reasonable notice and an
opportunity for a hearing, finds that a local educational agency or
State agency that has been determined to be eligible under this
section is failing to comply with any requirement described in
subsection (a) of this section, the State educational agency shall
reduce or shall not provide any further payments to the local
educational agency or State agency until the State educational
agency is satisfied that the local educational agency or State
agency, as the case may be, is complying with that requirement.
(2) Additional requirement
Any State agency or local educational agency in receipt of a
notice described in paragraph (1) shall, by means of public notice,
take such measures as may be necessary to bring the pendency of an
action pursuant to this subsection to the attention of the public
within the jurisdiction of such agency.
(3) Consideration
In carrying out its responsibilities under paragraph (1), the
State educational agency shall consider any decision made in a
hearing held under section 1415 of this title that is adverse to the
local educational agency or State agency involved in that decision.
(e) Joint establishment of eligibility
(1) Joint establishment
(A) In general
A State educational agency may require a local educational
agency to establish its eligibility jointly with another local
educational agency if the State educational agency determines
that the local educational agency would be ineligible under this
section because the local educational agency would not be able
to establish and maintain programs of sufficient size and scope
to effectively meet the needs of children with disabilities.
(B) Charter school exception
A State educational agency may not require a charter school
that is a local educational agency to jointly establish its
eligibility under subparagraph (A) unless it is explicitly
permitted to do so under the State's charter school statute.
(2) Amount of payments
If a State educational agency requires the joint establishment
of eligibility under paragraph (1), the total amount of funds made
available to the affected local educational agencies shall be equal
to the sum of the payments that each such local educational agency
would have received under section 1411(g) of this title if such
agencies were eligible for such payments.
(3) Requirements
Local educational agencies that establish joint eligibility
under this subsection shall--
(A) adopt policies and procedures that are consistent with
the State's policies and procedures under section 1412(a) of
this title; and
(B) be jointly responsible for implementing programs that
receive assistance under this subchapter.
(4) Requirements for educational service agencies
(A) In general
If an educational service agency is required by State law to
carry out programs under this subchapter, the joint
responsibilities given to local educational agencies under this
subsection shall--
(i) not apply to the administration and disbursement of
any payments received by that educational service agency;
and
(ii) be carried out only by that educational service
agency.
(B) Additional requirement
Notwithstanding any other provision of this subsection, an
educational service agency shall provide for the education of
children with disabilities in the least restrictive environment,
as required by section 1412(a)(5) of this title.
(f) Coordinated services system
(1) In general
A local educational agency may not use more than 5 percent of
the amount such agency receives under this subchapter for any fiscal
year, in combination with other amounts (which shall include amounts
other than education funds), to develop and implement a coordinated
services system designed to improve results for children and
families, including children with disabilities and their families.
(2) Activities
In implementing a coordinated services system under this
subsection, a local educational agency may carry out activities that
include--
(A) improving the effectiveness and efficiency of service
delivery, including developing strategies that promote
accountability for results;
(B) service coordination and case management that
facilitates the linkage of individualized education programs
under this subchapter and individualized family service plans
under subchapter III of this chapter with individualized service
plans under multiple Federal and State programs, such as title I
of the Rehabilitation Act of 1973 [29 U.S.C. 720 et seq.]
(vocational rehabilitation), title XIX of the Social Security
Act [42 U.S.C. 1396 et seq.] (Medicaid), and title XVI of the
Social Security Act [42 U.S.C. 1381 et seq.] (supplemental
security income);
(C) developing and implementing interagency financing
strategies for the provision of education, health, mental
health, and social services, including transition services and
related services under this chapter; and
(D) interagency personnel development for individuals
working on coordinated services.
(g) School-based improvement plan
(1) In general
Each local educational agency may, in accordance with paragraph
(2), use funds made available under this subchapter to permit a
public school within the jurisdiction of the local educational
agency to design, implement, and evaluate a school-based improvement
plan that is consistent with the purposes described in section
1451(b) of this title and that is designed to improve educational
and transitional results for all children with disabilities and, as
appropriate, for other children consistent with subparagraphs (A)
and (B) of subsection (a)(4) of this section in that public school.
(2) Authority
(A) In general
A State educational agency may grant authority to a local
educational agency to permit a public school described in
paragraph (1) (through a school-based standing panel established
under paragraph (4)(B)) to design, implement, and evaluate a
school-based improvement plan described in paragraph (1) for a
period not to exceed 3 years.
(B) Responsibility of local educational agency
If a State educational agency grants the authority described
in subparagraph (A), a local educational agency that is granted
such authority shall have the sole responsibility of oversight
of all activities relating to the design, implementation, and
evaluation of any school-based improvement plan that a public
school is permitted to design under this subsection.
(3) Plan requirements
A school-based improvement plan described in paragraph (1)
shall--
(A) be designed to be consistent with the purposes described
in section 1451(b) of this title and to improve educational and
transitional results for all children with disabilities and, as
appropriate, for other children consistent with subparagraphs
(A) and (B) of subsection (a)(4) of this section, who attend the
school for which the plan is designed and implemented;
(B) be designed, evaluated, and, as appropriate, implemented
by a school-based standing panel established in accordance with
paragraph (4)(B);
(C) include goals and measurable indicators to assess the
progress of the public school in meeting such goals; and
(D) ensure that all children with disabilities receive the
services described in the individualized education programs of
such children.
(4) Responsibilities of the local educational agency
A local educational agency that is granted authority under
paragraph (2) to permit a public school to design, implement, and
evaluate a school-based improvement plan shall--
(A) select each school under the jurisdiction of such agency
that is eligible to design, implement, and evaluate such a plan;
(B) require each school selected under subparagraph (A), in
accordance with criteria established by such local educational
agency under subparagraph (C), to establish a school-based
standing panel to carry out the duties described in paragraph
(3)(B);
(C) establish--
(i) criteria that shall be used by such local
educational agency in the selection of an eligible school
under subparagraph (A);
(ii) criteria that shall be used by a public school
selected under subparagraph (A) in the establishment of a
school-based standing panel to carry out the duties
described in paragraph (3)(B) and that shall ensure that the
membership of such panel reflects the diversity of the
community in which the public school is located and
includes, at a minimum--
(I) parents of children with disabilities who attend
such public school, including parents of children with
disabilities from unserved and underserved populations,
as appropriate;
(II) special education and general education
teachers of such public school;
(III) special education and general education
administrators, or the designee of such administrators,
of such public school; and
(IV) related services providers who are responsible
for providing services to the children with disabilities
who attend such public school; and
(iii) criteria that shall be used by such local
educational agency with respect to the distribution of funds
under this subchapter to carry out this subsection;
(D) disseminate the criteria established under subparagraph
(C) to local school district personnel and local parent
organizations within the jurisdiction of such local educational
agency;
(E) require a public school that desires to design,
implement, and evaluate a school-based improvement plan to
submit an application at such time, in such manner, and
accompanied by such information as such local educational agency
shall reasonably require; and
(F) establish procedures for approval by such local
educational agency of a school-based improvement plan designed
under this subsection.
(5) Limitation
A school-based improvement plan described in paragraph (1) may
be submitted to a local educational agency for approval only if a
consensus with respect to any matter relating to the design,
implementation, or evaluation of the goals of such plan is reached
by the school-based standing panel that designed such plan.
(6) Additional requirements
(A) Parental involvement
In carrying out the requirements of this subsection, a local
educational agency shall ensure that the parents of children
with disabilities are involved in the design, evaluation, and,
where appropriate, implementation of school-based improvement
plans in accordance with this subsection.
(B) Plan approval
A local educational agency may approve a school-based
improvement plan of a public school within the jurisdiction of
such agency for a period of 3 years, if--
(i) the approval is consistent with the policies,
procedures, and practices established by such local
educational agency and in accordance with this subsection;
and
(ii) a majority of parents of children who are members
of the school-based standing panel, and a majority of other
members of the school-based standing panel, that designed
such plan agree in writing to such plan.
(7) Extension of plan
If a public school within the jurisdiction of a local
educational agency meets the applicable requirements and criteria
described in paragraphs (3) and (4) at the expiration of the 3-year
approval period described in paragraph (6)(B), such agency may
approve a school-based improvement plan of such school for an
additional 3-year period.
(h) Direct services by State educational agency
(1) In general
A State educational agency shall use the payments that would
otherwise have been available to a local educational agency or to a
State agency to provide special education and related services
directly to children with disabilities residing in the area served
by that local agency, or for whom that State agency is responsible,
if the State educational agency determines that the local education
\1\ agency or State agency, as the case may be--
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\1\ So in original. Probably should be ``educational''.
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(A) has not provided the information needed to establish the
eligibility of such agency under this section;
(B) is unable to establish and maintain programs of free
appropriate public education that meet the requirements of
subsection (a) of this section;
(C) is unable or unwilling to be consolidated with one or
more local educational agencies in order to establish and
maintain such programs; or
(D) has one or more children with disabilities who can best
be served by a regional or State program or service-delivery
system designed to meet the needs of such children.
(2) Manner and location of education and services
The State educational agency may provide special education and
related services under paragraph (1) in such manner and at such
locations (including regional or State centers) as the State agency
considers appropriate. Such education and services shall be provided
in accordance with this subchapter.
(i) State agency eligibility
Any State agency that desires to receive a subgrant for any fiscal
year under section 1411(g) of this title shall demonstrate to the
satisfaction of the State educational agency that--
(1) all children with disabilities who are participating in
programs and projects funded under this subchapter receive a free
appropriate public education, and that those children and their
parents are provided all the rights and procedural safeguards
described in this subchapter; and
(2) the agency meets such other conditions of this section as
the Secretary determines to be appropriate.
(j) Disciplinary information
The State may require that a local educational agency include in the
records of a child with a disability a statement of any current or
previous disciplinary action that has been taken against the child and
transmit such statement to the same extent that such disciplinary
information is included in, and transmitted with, the student records of
nondisabled children. The statement may include a description of any
behavior engaged in by the child that required disciplinary action, a
description of the disciplinary action taken, and any other information
that is relevant to the safety of the child and other individuals
involved with the child. If the State adopts such a policy, and the
child transfers from one school to another, the transmission of any of
the child's records must include both the child's current individualized
education program and any such statement of current or previous
disciplinary action that has been taken against the child.
(Pub. L. 91-230, title VI, Sec. 613, as added Pub. L. 105-17, title I,
Sec. 101, June 4, 1997, 111 Stat. 73; amended Pub. L. 107-110, title X,
Sec. 1076(i), Jan. 8, 2002, 115 Stat. 2091.)
References in Text
For the effective date of the Individuals with Disabilities
Education Act Amendments of 1997, referred to in subsec. (b)(1), (3),
see section 201 of Pub. L. 105-17, set out as an Effective Date note
under section 1400 of this title.
The Rehabilitation Act of 1973, referred to in subsec. (f)(2)(B), is
Pub. L. 93-112, Sept. 26, 1973, 87 Stat. 355, as amended. Title I of the
Rehabilitation Act of 1973 is classified generally to subchapter I
(Sec. 720 et seq.) of chapter 16 of Title 29, Labor. For complete
classification of this Act to the Code, see Short Title note set out
under section 701 of Title 29 and Tables.
The Social Security Act, referred to in subsec. (f)(2)(B), is act
Aug. 14, 1935, ch. 531, 49 Stat. 620, as amended. Titles XVI and XIX of
the Act are classified generally to subchapters XVI (Sec. 1381 et seq.)
and XIX (Sec. 1396 et seq.), respectively, of chapter 7 of Title 42, The
Public Health and Welfare. For complete classification of this Act to
the Code, see section 1305 of Title 42 and Tables.
Prior Provisions
A prior section 1413, Pub. L. 91-230, title VI, Sec. 613, Apr. 13,
1970, 84 Stat. 179; Pub. L. 93-380, title VI, Secs. 614(c), (d), 615(b),
(c), title VIII, Sec. 843(b)(2), Aug. 21, 1974, 88 Stat. 581, 583, 611;
Pub. L. 94-142, Sec. 5(a), Nov. 29, 1975, 89 Stat. 782; Pub. L. 98-199,
Secs. 3(b), 7, Dec. 2, 1983, 97 Stat. 1358, 1359; Pub. L. 99-457, title
II, Sec. 203(b), title IV, Sec. 405, Oct. 8, 1986, 100 Stat. 1159, 1174;
Pub. L. 100-630, title I, Sec. 102(c), Nov. 7, 1988, 102 Stat. 3291;
Pub. L. 101-476, title II, Sec. 202, title IX, Sec. 901(b)(47)-(58),
Oct. 30, 1990, 104 Stat. 1111, 1144; Pub. L. 102-119, Secs. 5, 25(a)(6),
(b), Oct. 7, 1991, 105 Stat. 591, 606, 607; Pub. L. 103-382, title III,
Sec. 391(f)(2), Oct. 20, 1994, 108 Stat. 4023, related to requisite
features of a State plan, approval of State plan by Secretary, and
participation of children with disabilities enrolled in private schools,
prior to the general amendment of subchapters I to IV of this chapter by
Pub. L. 105-17.
Amendments
2002--Subsec. (f)(3). Pub. L. 107-110 struck out heading and text of
par. (3). Text read as follows: ``If a local educational agency is
carrying out a coordinated services project under title XI of the
Elementary and Secondary Education Act of 1965 and a coordinated
services project under this subchapter in the same schools, such agency
shall use amounts under this subsection in accordance with the
requirements of that title.''
Effective Date of 2002 Amendment
Amendment by Pub. L. 107-110 effective Jan. 8, 2002, except with
respect to certain noncompetitive programs and competitive programs, see
section 5 of Pub. L. 107-110, set out as an Effective Date note under
section 6301 of this title.
Section Referred to in Other Sections
This section is referred to in sections 1411, 1412, 1419, 6314,
7221b of this title.
