Walczak v. Florida Union Free School Dist.

• Decision Date: 16 April 1998
• Docket Number: No. 97-7155,97-7155
• Citation: 142 F.3d 119
• Parties: 126 Ed. Law Rep. 54 Robert WALCZAK and Karen Walczak, Plaintiffs-Appellees, v. FLORIDA UNION FREE SCHOOL DISTRICT and Maureen Flaherty, Defendants-Appellants.
• Court: U.S. Court of Appeals — Second Circuit

Page 119

142 F.3d 119

126 Ed. Law Rep. 54

Robert WALCZAK and Karen Walczak, Plaintiffs-Appellees, v. FLORIDA UNION FREE SCHOOL DISTRICT and Maureen Flaherty,

Defendants-Appellants.

No. 97-7155.

United States Court of Appeals, Second Circuit.

Argued Nov. 3, 1997.

Decided April 16, 1998.

Michael H. Sussman (Sussman, Bergstein & Wotorson, Goshen, NY), for Plaintiffs-Appellees.

Frederick B. Simpson, (Ahmuty, Demers & McManus, Albertson, NY, Frederick B. Simpson, Janice Berkowitz, and Brendan T. Fitzpatrick on briefs), for Defendants-Appellants.

Before: OAKES, PARKER, Circuit Judges, RAGGI, District Judge. ¹

RAGGI, District Judge:

At issue in this case is the 1995-96 educational plan and placement proposed for B.W., a learning disabled child. The Florida Union Free School District, located in Orange County, New York, and Maureen Flaherty, its Superintendent of Schools (hereafter collectively referred to as "the School District"), proposed to educate B.W. in a day program for the developmentally disabled at the Orange and Ulster Counties Board of Cooperative Education Services ("BOCES"). The child's parents, Robert and Karen Walczak, disagreed with this placement and independently enrolled their then twelve-year old daughter in a full-time residential program at Maplebrook, a nearby private school for the learning disabled. After unsuccessfully challenging the School District's proposed placement in two administrative proceedings, the Walczaks filed suit in the Southern District of New York pursuant to the Individuals with Disabilities Education Act ("IDEA"), 20 U.S.C. §§ 1401 et seq. (1990 & Supp. 1998), seeking (1) a declaration that the BOCES program was inadequate to provide their child with an appropriate education, (2) a declaration that Maplebrook was an appropriate placement, and (3) reimbursement of expenses incurred at Maplebrook.

The School District now appeals from an order of Judge Charles L. Brieant denying its motion for summary judgment and entering judgment in favor of the Walczaks. It contends that the district court's finding that the BOCES program was inadequate to permit B.W. to make meaningful educational progress is not supported by the extensive record of administrative proceedings in this case. This court agrees. Because a preponderance of the evidence establishes the adequacy of the proposed placement, we reverse the judgment of the district court and remand the case.

Background

To resolve the issue presented on this appeal, the court must first review (1) the basic requirements of IDEA, (2) the means by which New York State endeavors to comply with these requirements, (3) the individualized education program ("IEP") for B.W. that is challenged in this case, and (4) the record of proceedings before the district court.

1. IDEA

IDEA is the most recent Congressional enactment in "an ambitious federal effort to promote the education of handicapped children." Board of Educ. v. Rowley, 458 U.S. 176, 179, 102 S.Ct. 3034, 73 L.Ed.2d 690 (1982) (interpreting the Education for All Handicapped Children Act, subsequently amended and renamed IDEA). Toward that end, Congress provides federal funds to those states that develop plans to assure "all children with disabilities the right to a free appropriate public education." 20 U.S.C. § 1412(1); see Board of Educ. v. Rowley, 458 U.S. at 181, 102 S.Ct. at 3037-38. The "free appropriate public education" mandated by federal law must include "special education and related services" tailored to meet the unique needs of a particular child, 20 U.S.C. § 1401(a)(18), and be "reasonably calculated to enable the child to receive educational benefits," Board of Educ. v. Rowley, 458 U.S. at 207, 102 S.Ct. at 3051.

Because the law expresses a strong preference for children with disabilities to be educated, "to the maximum extent appropriate," together with their non-disabled peers, 20 U.S.C. § 1412(5), special education and related services must be provided in the least restrictive setting consistent with a child's needs. Only "when the nature or severity" of a child's disability is such "that education in regular classes with the use of supplementary aids and services cannot be achieved satisfactorily" should a child be segregated. Id. In such cases, instruction may be provided not only in special classrooms but also "in the home, in hospitals and institutions, and in other settings." 20 U.S.C. § 1401(a)(16). Indeed, a school board may be required to place a child in a residential institution if such a placement is necessary to provide an appropriate education. See 34 C.F.R. § 300.302 (1998); Mrs. B. v. Milford Bd. Of Educ., 103 F.3d 1114, 1122 (2d Cir.1997).

The particular educational needs of a disabled child and the services required to meet those needs must be set forth at least annually in a written IEP. See 20 U.S.C. § 1414(a)(5). An IEP must state (1) the child's present level of educational performance; (2) the annual goals for the child, including short-term instructional objectives; (3) the specific educational services to be provided to the child, and the extent to which the child will be able to participate in regular educational programs; (4) the transition services needed for a child as he or she begins to leave a school setting; (5) the projected initiation date and duration for proposed services; and (6) objective criteria and evaluation procedures and schedules for determining, on at least an annual basis, whether instructional objectives are being achieved. See 20 U.S.C. § 1401(a)(20). A school official qualified in special education, the child's teacher, the child's parents, and, where appropriate, the child, all participate in the development of an IEP. See id.

Parents who are dissatisfied with a proposed IEP may file a complaint with the state educational agency. See 20 U.S.C. § 1415(b)(1)(E). Complaints are resolved through an "impartial due process hearing," 20 U.S.C. § 1415(b)(2), at which school authorities have the burden of supporting the proposed IEP, see Matter of the Application of a Handicapped Child, 22 Educ. Dep't Rep. 487, 489 (1983) ("It is well established that a board of education has the burden of establishing the appropriateness of the placement recommended by [the school board]"); see also Application of a Child Suspected of Having a Disability, N.Y. State Educ. Dep't Appeal No. 93-9 (Mar. 29, 1993); Application of a Child with a Handicapping Condition, N.Y. State Educ. Dep't Appeal No. 92-7 (Mar. 5, 1992). A local hearing officer's decision may be appealed to the state educational agency, see 20 U.S.C. § 1415(c), after which any party still aggrieved may sue in either state or federal court, see 20 U.S.C. § 1415(e)(2). A court will fashion appropriate relief based on its assessment of a preponderance of the evidence developed at the administrative proceedings and any further evidence presented by the parties. Id.

2. New York's Regulatory Scheme

Since New York State receives federal funds under IDEA, it is obliged to comply with the requirements of this law. To meet these obligations and to implement its own policies regarding the education of disabled children, the State has assigned responsibility for developing appropriate IEPs to local Committees on Special Education ("CSE"), the members of which are appointed by school boards or the trustees of school districts. See N.Y. Educ. Law § 4402(1)(b)(1) (McKinney Supp.1997-98); Heldman v. Sobol, 962 F.2d 148, 152 (2d Cir.1992). In developing a particular child's IEP, a CSE is required to consider four factors: (1) academic achievement and learning characteristics, (2) social development, (3) physical development, and (4) managerial or behavioral needs. See 8 N.Y.C.R.R. § 200.1(kk)(2)(i) (1997).

New York further requires that each child's IEP identify a specific class placement. See 8 N.Y.C.R.R. § 200.4(c)(2)(ix). Children may be grouped together in a special education class if they have "the same disabilities" or if they have "differing disabilities [but] ... similar individual needs for the purpose of being provided a special education program." 8 N.Y.C.R.R. § 200.1(jj); see also 8 N.Y.C.R.R. § 200.6(g)(3). Thus, the students in a class must have sufficiently similar academic levels and learning characteristics that each child will have the opportunity to achieve his or her annual goals. See 8 N.Y.C.R.R. § 200.6(a)(3)(i). A CSE must also strive to "assure that the social interaction within the group is beneficial to each student, contributes to each student's social growth and maturity, and does not consistently interfere with the instruction being provided." 8 N.Y.C.R.R. § 200.6(a)(3)(ii). Nevertheless, the regulation cautions that the "social needs of a student shall not be the sole determinant" of his or her class placement. See id. Similarly, the management needs of the students in a class group may vary, provided that no student unduly interferes with the ability of others to learn. See 8 N.Y.C.R.R. § 200.6(a)(3)(iv). Children whose disabilities do present particular management concerns are grouped in smaller-than-average size classes of six, eight, or twelve students, depending on the degree of intervention required. See 8 N.Y.C.R.R. § 200.6(g)(4).

3. The Challenged 1995-96 IEP

The challenged 1995-96 IEP provided for B.W. to be educated in a year-round BOCES day program for the developmentally disabled. There would be twelve children in her class, taught by one teacher with the assistance of one teacher's aide. In addition, B.W. would receive four 30-minute sessions of speech therapy each week, three times in a group of up to five children and once by herself. She would also participate in a 30-minute group counseling session once per week.

The Walczaks disagreed with this proposal, contending that their daughter's needs could not be met in a day program and that she required a residential placement. Alternatively, they challenged the size and...