1. Planning, Preparing,
& Participating in a
facilitated IEP/ARD
Meeting ©
Lana L. Traynor, Esq.
2012 COPAA Conference, Hilton Miami Downtown
March 8 – 11, 2012

2. ACRONYMS
ARD: Admission, Review, and IEP: Individualized Education
Dismissal (IEP) Program
CADRE: The National Center on Dispute IFSP: Individualized Family Services Plan
Resolution in Special Education
LEA: Local Educational Agency
CFR: Code of Federal Regulations
LRE: Least Restrictive Environment
FAPE: Free Appropriate Public
Education OCR: Office for Civil Rights
FPCO: Family Policy Compliance OSEP: Office of Special Education
Office (of FERPA) Programs
FERPA: Family Education Rights and USC: United States Code
Privacy Act
USDOE: U.S. Department of Education
IDEA: Individuals with Disabilities
Education Act
§: Section, as in a particular section of
the CFR or USC

3. What is (and is not) a
facilitated Meeting?
BACKGROUND INFORMATION: IS…
•The IDEA does not require facilitated IEP •Voluntary – Both the Parent and the
meetings. District must agree to participate.
•States are not required to offer facilitated •At no cost to the Parent.
meetings.
•Focused on a specific goal, such as
•According to a presentation delivered during completing a comprehensive, agreed-upon
the 2011 OSEP Megaconference, the first IEP for the Student.
facilitated IEP meeting (with use of an
external facilitator) occurred in Michigan. In IS NOT…
2000, the CADRE held its “First National
Symposium on Dispute Resolution.” •Binding, as in arbitration.
•Confidential, as is mediation under the
IDEA.
•Meant to preclude other possible avenues
to resolve disputes, such as mediation,
Complaint, or a Due Process Complaint.

4. When & Why
PARTIES SHOULD
USE
FACILITATION: • Positive alternative to costly and
divisive IDEA alternatives (e.g.,
Complaint Investigation or a
• Student-focused meeting. Due Process Hearing).
• Collaborative process. • Creative, “outside-the-box”
• Forum for all team members to thinking and problem-solving in
an effort to reach a common
participate in a less stressful, goal – a comprehensive,
positive meeting. appropriate IEP for the Student.
• Can begin to rebuild trust and • Participants can reach
repair communication agreements that are outside the
scope/authority of a Complaint
breakdowns between Parent and Investigator or a Hearing
District personnel. Officer’s authority.

5. A Facilitator….
IS… IS NOT…
• Neutral, impartial person.* • A team member.
• Preferably, specially trained in the • A decision-maker or “stakeholder.”
IDEA & applicable state laws.
• A mediator.
• Present to assist the team
participants in developing an • A judge or an arbitrator.
appropriate IFSP/IEP for the
Student. • An advocate for either the Parent or
• Positive communicator who the District.
clarifies and summarizes.
• Held to the same confidentiality
• Timekeeper/Parking Lot. requirements as a mediator.
* “External” vs. “Internal” Facilitator.

6. PLANNING AND PREPARING FOR A
FACILITATED MEETING
• What is the purpose of the meeting (e.g., • Draft a list of questions, concerns, and desired
evaluation planning, 3-year reevaluation, outcomes to discuss with the facilitator.
annual IEP review)?
• Set-up pre-meeting telephone conference or a
• What is the desired outcome of the meeting? meeting with the facilitator to discus questions,
concerns, desired outcomes, previous barriers to
• Identify previous barriers (e.g., interpersonal success, and the “positives” (what has worked
conflict between team members, refusal to successfully in the past).
consent to evaluation, communication, trust).
• Request any accommodations you may need
• Ascertain what has worked in the past, and/or accessibility issues with the facilitator –
program-wise or personnel-wise. be very specific.
• • Organize your records – many ways to do this,
Whom is a required meeting participant? such as by subject matter (e.g., evaluations, IEP)
Additional attendees expected? or chronologically. May want to consider color-
coding key documents with ”tabs.” See next
• Determine if the Student will attend the slide.
meeting.
• If the Student will not attend the meeting, bring
• Positive mindset – What are the alternatives to a picture, Person Centered Plan brochure, or
a facilitated meeting? None of the alternatives, prepare a short (2 to 3 minute) video of the
are as Student-focused or as collaborative as a Student to share with the meeting participants. A
facilitated meeting. sample Person Centered Plan brochure will be
provided during the presentation.

7. Planning & Preparing for a
facilitated meeting (records)
• Special education records tend to be • Determine which records you currently have
voluminous when, in reality, very few in your possession.
documents are necessary (or referenced) during
a facilitated meeting. • Identify which records, if any, you are missing
from the Student’s file.
• Identify the types of records that should be in
the Student’s educational file: • If necessary, submit a written records request
• Assessments to the District.
• Correspondence
• Disciplinary Records • The FERPA grants “access” to records, not
copies of records, with limited exceptions.
• Eligibility Paperwork
• Emails • A District may charge for copies of education
• Evaluations records with limited exceptions.
• Prior Written Notices
• Current trend among districts is to provide
• Progress Reports education records electronically (or on a CD)
• Report Cards to Parent or Attorney.
See FERPA (20 U.S.C. § 1232g and its
implementing regulations, 34 CFR Part
99).

8. Planning & Preparing for a facilitated meeting
Organize Documents: Additional Tips:
•There are several ways to organize a Student’s •Spend considerable time preparing and asking
education records, such as: chronologically (e.g., yourself, “Which documents do I really need during
oldest to most current documents, or, most current the meeting?” Limit documents to the last two years
documents to oldest documents), or by subject matter unless a document is germane to the discussion,
(e.g., Evaluations, IEPs, Progress Notes), or a such as an initial evaluation or developmental
combination of the those two methods. history summary.
•After 13 years of experimenting (and trying about 30 •Once you have developed a records organization
different records organization systems), my law firm system that works for you, maintain consistency
has developed a system that works for us. I 100% of the time. When you receive a new
emphasize “us” because what works for my document, have established procedures in place and
learning/processing style may not work for you. See follow them without exception.
example file provided during the presentation.
•In the age of “cloud computing,” many people type
•Consider using tabs, color-coded “flags,” and adding notes or upload their handwritten notes to the
dates to the “flags” so that you can quickly identify “cloud.” Don’t forget to print the notes and take
relevant documents with minimal effort. them with you to the facilitated meeting.
•Trial and error – You may need to refine your •Consider investing in a scanner if you prefer to
organization system multiple times. Do what works keep your documents stored electronically.
for you!
•Yellow highlighters versus other colors of
highlighters - photocopying issues.

9. Participation in and follow-up to a
facilitated meeting
• The facilitator will explain the process, his/her • Once agreement is reached on a particular item,
role in that process, the desired outcome of the the facilitator will confirm consensus before
facilitated meeting as expressed by the meeting moving to the next agenda item.
participants, and the time allotted for the
meeting. • In order to memorialize the agreements made,
foster communication, and follow-thru on
• The facilitator will review the previously commitments made during the facilitated IEP
agreed-upon agenda that was developed thru meeting, the participants should develop a specific,
consultation with the Parent and the District. written “Action Plan” that includes the following
items:
• If a meeting participant requests an addition or • Specific item(s) to be accomplished.
revision to the previously agreed-upon agenda, • Identify whom will be responsible for each agreed-
all participants must agree to such addition or upon item.
revision. Otherwise, the original agenda • Provide a “due date” for each agreed-upon item.
remains and should be followed by the
facilitator.
• The participants should agree upon a method of
communication (possibly an email chain) to
• The facilitator may utilize a large poster board, update each other in real-time when an item on
or some other tool to list and track new or the Action Plan has been completed.
unresolved issues. Frequently, this tool is
considered (and called) a “Parking Lot” for
items that will be addressed at a later • Distribute the Action Plan to all participants
date/time. before they leave the meeting.

10. Checklist for a successful
facilitated meeting
☐ Follow proper procedures to request a facilitated ☐ Set up a telephone conference or a meting with the
meeting. facilitator to discuss your question, concerns,
previous barriers to success, and the “positives”
(what has worked for the Student).
☐ Agree on a particular facilitator. This is where
“external” versus “internal” facilitator may become ☐ Discuss/request any necessary accommodations
an issue. with the facilitator that you need to ensure a
comfortable meeting.
☐ Ask yourself, “What do I want to accomplish ☐ Determine which records you need to prepare for
during this meeting? How can I help the most the meeting.
important person – the Student?”
☐ Submit a written records request to the
☐ Identify previous barriers to successful meetings. District/ESD, if necessary.
☐ Identify portions of the Student’s IEP, program, ☐ Organize your records – very few records are really
needed (or accessed) during a meeting.
services, or personnel that have worked well for the
Student. ☐ If you intend to discuss a new document (e.g.,
private evaluation report) during the facilitated
☐ Draft a list of questions, concerns, and issues to meeting, provide the document(s) to the facilitator
and the District or Parent as many days in advance
discuss with the facilitator pre-meeting. of the meeting as possible.

11. Checklist for a successful
facilitated meeting
☐ Develop a written timeline of important/key ☐ Make a list of everything you need to take to
events related to the Student’s education, such the meeting, including pens, paper, highlighters
as evaluations, initial eligibility or special copies of new documents that you recently
education services, and IEP dates, for ease of provided to the District or Parent, snacks, pictures
reference during the facilitated meeting. of the Student (or Person Centered Plan or
video), and any necessary equipment needed (if
☐ Create a written “Cast of Characters” (key you intend to show a video of the Student).
people, relationship to the Student, date of
service) and their contact information for ease ☐ At least two days before the facilitated meeting,
of reference during the facilitated meeting. gather all the items on your list and set them
aside. Inevitably, you will remember something
☐ Consider bringing a friend to the meeting that you forgot to add to your list, so give yourself
with you – someone who can offer you moral plenty of time to find the necessary item(s) and
support, take notes, and gently nudge you if get minimize stress.
“stuck in the past.” In addition, a note taker
allows you to stay in the moment and to ☐ If the District and the Parent have agreed to a
participate in the meeting without concerns of facilitated IEP meeting, that typically means that
multi-tasking. previous meeting(s) didn’t go well, or, there may be
conflict/trust issues impeding the participants’ ability
to develop and implement an agreed-upon,
☐ Arrange for child care, if necessary, and appropriate IEP for the Student. Acknowledge the
reschedule other commitments so that you can stress and likely anxiety associated with the
minimize your stress and focus on the facilitated upcoming meeting and take time for self-care.
IEP meeting.

12. checklist for a successful facilitated meeting
☐Attend the meeting with an open mind, ready to
collaborate for the most important person at that
given moment, the Student.
☐ Allow the facilitator to assist the progress of the
sharing of open, honest communication between
all meeting participants.
☐ If an impasse occurs, have confidence that the
facilitator will guide you thru this process.
☐ Upon agreement, create an Action Plan.
☐ It may take two meetings to reach the end goal,
particularly if several issues are placed on the
“Parking Lot” to discuss and resolve at a future
date.
☐ A facilitated IEP meeting is a powerful
mechanism to reach consensus in a collaborative
manner. The alternative options, particularly a
Complaint and a Due Process Complaint are
stressful, costly, and divisive. So, work hard to
reach agreement and stay focused on the Student.

13. ADDITIONAL RESOURCES….
http://www.copaa.org/
(Council of Parent Attorneys and Advocates)
http://www.directionservice.org/cadre/
(Extensive information about collaborative meetings, including facilitated meetings)
http://www.disabilityisnatural.com/explore/pfl
(People First Language resources)
http://www2.ed.gov/policy/gen/guid/fpco/ferpa/index.html
(FERPA/FPCO resources)
http://idea.ed.gov/
(IDEA history and statutes/regulations)
http://nichcy.org/
(National Dissemination Center for Children with Disabilities)

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15. fa·cil·i·tate/fəˈsiliˌtāt/
Verb: Make (an action or process) easy or easier.
Synonyms: relieve - ease - alleviate - simplify – lighten
Source: Merriam Webster Online Dictionary 2012