Lead Opinion
Reversed and remanded by published opinion. Chief Judge WILKINS wrote the majority opinion, in which Judge WILLIAMS joined. Judge GREGORY wrote a dissenting opinion.
OPINION
The parents of A.K., a minor child with disabilities, brought this action on his behalf against the Alexandria City School Board, alleging that Alexandria City Public Schools (“ACPS”) violated the Individuals with Disabilities Education Act (IDEA), see 20 U.S.C.A. §§ 1400-1487 (West Supp.2006). The parents appeal an order granting summary judgment against them. We reverse and remand for further proceedings.
I.
A.
The IDEA provides every disabled child with the right to a “free appropriate public education” (FAPE) designed to meet his
special education and related services that ... (A) have been provided at public expense, under public supervision and direction, and without charge; (B) meet the standards of the State educational agency; (C) include an appropriate ... education in the State involved; and (D) are provided in conformity with the individualized education program required under section 1414(d) of this title.
Id. § 1401(9).
A school provides a FAPE by creating an “individualized education program” (“IEP”) for each child. See id. § 1414(d)(1)(A); County Sch. Bd. v. Z.P. ex rel. R.P.,
The IDEA also provides “procedural safeguards to insure the full participation of the parents and proper resolution of substantive disagreements.” Sch. Comm. of Burlington v. Dep’t of Educ. of Mass.,
B.
A.K. was first found eligible to receive special education services under the IDEA at age two and one-half. At that time, A.K. was diagnosed with Semantic Pragmatic Language Disorder with characteristics of nonverbal learning disability. A.K. has since been diagnosed as well with numerous other disorders, including Asper-gers Syndrome and obsessive compulsive disorder. A.K. was educated in the ACPS school system through the seventh grade
For the 2003-04 school year, when A.K. was in the eighth grade, the parents enrolled A.K. in the Riverview School, a residential school in Massachusetts, pursuant to a settlement between the parents and ACPS. ACPS had proposed local private day school but agreed to fund the portion of Riverview tuition that was equivalent to private day school placement. The parents were very happy with A.K’s progress at Riverview.
In preparation for the 2004-05 school year, A.K.’s IEP team, which included ACPS personnel, Riverview personnel, and the parents, met on May 21 and 28, 2004, and June 9, 2004 for a total of eight to ten hours. Until the last half hour of the final meeting, the team spent its time defining A.K.’s level of performance and setting goals and objectives for the upcoming year. With only a few minutes of discussion regarding placement, ACPS announced that A.K. should be placed at an unspecified private day school.
The resulting IEP contained a detailed discussion of A.K.’s then-current level of performance. It also set forth goals and objectives, along with a plan to aid A.K. in the transition from Riverview to a private day school. However, it did not identify any particular school but simply listed A.K.’s placement as “Level II — Private Day School placement.” J.A. 379. Based on their objection to that placement, the parents refused to sign the IEP.
In July 2004, ACPS sent out applications on A.K.’s behalf to five area private day schools: The Lab School, The Ivymount School, Oakmont School, Phillips, and Kel-lar. Based on the applications provided, The Lab School and Oakmont (and perhaps Ivymount) determined that they could not provide A.K. a FAPE due to the complexity of his disabilities.
At the due process hearing, the parents did not challenge the notion that a private day school could theoretically meet A.K.’s needs, but they argued that the IEP failed to identify a particular school in the area that could do so and that they had not been able to find one.
Both sides presented testimony regarding whether Phillips, Kellar, or Riverview was appropriate for A.K.’s individual needs. ACPS’s testimony established that the Phillips School provides individualized educational programs implemented by classroom staff. It also offers small group instruction, one-on-one intervention, speech and language development, and training in social and daily-living skills. The majority of students at Phillips are 14-18 years old, and they have a wide range of disabilities. Students with similar needs are generally grouped together in particular classrooms. Phillips utilizes a progressive level system, in which students are given more freedom and responsibility as their behavior and academic motivation improve. Laura Heyer, a program supervisor at Phillips who had previously taught at the school for 10 years, testified that she did not know of any reason why Phillips could not provide an appropriate program for A.K. Susan Sullivan expressed the same opinion.
Testimony showed that the Kellar School is a smaller school for middle and high school students. At Kellar, the students work in teams with a counselor in each classroom to help the students. Like Phillips, Kellar employs a level system, under which students gain independence as their work habits, academic work, and behavior improve. Sullivan testified that she believed Kellar would have been able to provide A.K. with a beneficial education.
The parents, on the other hand, presented testimony from two experts that neither Phillips nor Kellar could meet A.K.’s specialized needs. They first presented the testimony of Cheryl Weitz, a licensed social worker in the practice of child psychotherapy who frequently works in IEP development. She testified that many of the students at Phillips were aggressive, disruptive, and occasionally violent. She testified that she would expect that A.K., if placed at Phillips, would “regress into that
Dr. William Stixrud, a neuropsychologist in private practice, expressed similar reservations about A.K.’s prospects in schools having a significant number of students with psychiatric and behavior problems. Dr. Stixrud opined that such a setting would be “counter-productive in terms of [A.K.’s] availability for learning and his ability to benefit from education that focuses on academics or adaptive behavior.” Id. at 1006. Like Weitz, Dr. Stixrud did not testify that no private day school could meet A.K.’s needs. Rather, he testified that A.K.’s multiple disabilities overlapped, providing a complex set of challenges requiring a very specific type of learning environment in order for A.K. to make academic progress. He testified that he was not aware of any private day school geographically accessible to A.K. that could meet A.K.’s specialized needs.
The hearing officer denied the parents’ claim. He concluded that ACPS did offer A.K. a FAPE by offering him education at “private day school.” Although the hearing officer did not specifically resolve the parents’ contentions that Phillips and Kel-lar could not offer A.K. a FAPE, he did discuss ACPS’s failure to identify a particular school that could meet A.K.’s specialized needs:
The fact that ACPS did not specify a particular private day program suggests to me that ACPS wanted to give the parents as much flexibility as possible on this issue. Several private day possibilities were suggested, and the parents [were] given the option of choosing the one which was most attractive to them. The fact that they found none of the possibilities attractive does not mean that the ACPS approach was not in accordance with the FAPE mandates. Thus I conclude that private day placement does provide FAPE.
Id. at 1305.
Dissatisfied with this result, the parents brought the present civil action in federal district court, again seeking reimbursement for their Riverview tuition. They alleged not only that the IEP failed to offer a FAPE, but also, as is relevant here, that ACPS had failed to notify the parents before the IEP meetings that private day placements in their area would be considered. The district court granted summary judgment against the parents. See A.K. ex rel. J.K. v. Alexandria City Sch. Bd.,
II.
The parents argue that the district court erred in determining that the school district complied with the substantive components of the IDEA. In particular, they maintain that ACPS failed to offer a FAPE because its IEP did not identify a particular school at which it anticipated that A.K. would be educated.
“When a state receiving IDEA funding fails to provide a FAPE, the child’s parent may remove the child to a private school and then seek tuition reimbursement from the state.” A.B. ex rel. D.B. v. Lawson,
The parents bore the burden here of proving that the IEP was substantively deficient. See Spielberg ex rel. Spielberg v. Henrico County Pub. Sch.,
The IDEA provides that an IEP must state “the projected date for the beginning of the services and modifications ..., and the anticipated frequency, location, and duration of those services and modifications.” 20 U.S.C.A. § 1414(d)(l)(A)(i)(VTI) (emphasis added). The Senate Report concerning the 1997 amendments to the IDEA, which added the requirement that the location be identified, noted that the new requirement reflects the fact that the location “influences decisions about the nature and amount of these services and when they should be provided.” S.Rep. No. 105-17, at 21 (1997), U.S.Code Cong. & AdmimNews 1997, 78, 99. Indeed, we have previously discussed the potential importance of the particular location at which special educational services are provided. See AW ex rel. Wilson v. Fairfax County Sch. Bd.,
In light of the fact that the school at which special education services are expected to be provided can determine the appropriateness of an education plan, it stands to reason that it can be a critical element for the IEP to address. See Paolo Annino, The 1997 Amendments to the IDEA: Improving the Quality of Special Education for Children with Disabilities, 23 Mental & Physical Disability L. Rep. 125, 126 (Jan./Feb.1999) (noting that requirement that IEP identify location at which special education is expected to be provided reflects the fact that “[a]ll schools and classes are not uniform”). But see White ex rel. White v. Ascension Parish Sch. Bd.,
Here, we hold as a matter of law that because it failed to identify a particular school, the IEP was not reasonably calculated to enable A.K. to receive educational benefits. See Rowley,
That ACPS proceeded to submit applications on A.K.’s behalf to five different private day schools, at least two of which indicated, without even meeting A.K., that they could not satisfy his specialized needs, only highlights the need for the IEP team and the IEP to identify a particular school. With the IEP not identifying any particular school (because the IEP team had not discussed the issue), the parents were left to fend for themselves to determine whether any private day school in their area — including the five ACPS applied to — would be a satisfactory fit. This is not how the IDEA was designed to work. See Glendale,
In finding that ACPS offered A.K. a FAPE, the district court erroneously relied on the premise that “ACPS made a placement offer both at the Phillips School
We emphasize that we do not hold today that a school district could never offer a FAPE without identifying a particular location at which the special education services are expected to be provided. There is no reason for us to frame the issue so broadly.
Our determination that the school district failed to offer a FAPE does not resolve the parents’ reimbursement claim, however. The claim remains unresolved because the district court has not made findings regarding the appropriateness of A.K.’s placement at Riverview. See Z.P.,
III.
In sum, we reverse the grant of summary judgment against the parents and remand for further proceedings consistent with this opinion.
REVERSED AND REMANDED
Notes
.The district court found that ''[p]rivate day school placement is a term of art describing an educational program which includes several characteristics such as a small overall student body size, small classes, small facility, extensive clinical support, the ability to work individually with a student, extensive behavioral management, and parental involvement.” A.K. ex rel. J.K. v. Alexandria City Sch. Bd.,
. On July 2, the parents signed the IEP only as it related to the extended school year (ESY) services to be provided for A.K. in the summer of 2004 but continued to refuse to accept the plan with regard to the 2004-05 school year.
. An Ivymount representative informed Sullivan that the school did not have space available for A.K. A.K.’s mother testified, however, that the same representative also told her that Ivymount's program would not have been appropriate for A.K. in any event.
. She had toured both previously in her attempts to find an appropriate local private day school for A.K.
. The parents also challenged the adequacy of the services described in the IEP, contending that A.K. needed more than one hour of private counseling per week, that needed transition services were not adequately specified, and that certain supplemental services were not properly described. The parents further argued that ESY services included in the IEP for July 1, 2004 to August 1, 2004 were never provided. These claims were also raised before the district court; however, they are not germane to this appeal.
. On the issue of placement with violent students, Sullivan testified that she believed Phillips would be able to group students to accommodate their varying needs.
. The parents actually characterize this as both a procedural and a substantive violation of the IDEA. However, because we view this claim as an alleged deficiency in what ACPS was offering rather than in the procedure by which the offer was developed or conveyed, we consider the alleged violation to be substantive. See Knable ex rel. Knable v. Bexley City Sch. Dist.,
The parents also contend that the district court erred in granting judgment against them because ACPS failed to meet the procedural requirements of the IDEA. In particular, they argue that ACPS failed to provide them with a description of the proposed change — from Riverview to a private day school — prior to the IEP meetings. Regardless of whether the district court addressed this issue, because the issue was apparently never raised to the hearing officer, we do not address it. See David D. v. Dartmouth Sch. Comm.,
. That the order on review here is nominally one for summary judgment does not preclude our application of the clear error standard to what are essentially factual findings following a bench trial. See Z.P.,
. We note that in MM, the school district had agreed to provide special education services at either of two different schools and we nonetheless held that the district had offered a FAPE. See MM,
. That is not to say that a change in the school where services were to be provided would constitute a change in placement. Rather, a change in school constitutes a change in placement only if the change "result[ed] in a dilution of the quality of [the] student's education or a departure from the student’s LRE-compliant setting.” AW,
We emphasize that the IEP-development process is a cooperative one. Thus, if the school district identifies several schools during that process that it believes would serve the needs of the child, parents will have the opportunity to voice their preference before the IEP is finalized.
. For this reason, the dissent's contention that despite the fact that no location was included in the IEP, the parents knew "with a reasonable degree of certainty” where ACPS proposed to educate A.K. is not dispositive. Post, at 684-85. The contention is also factually suspect considering that although Sullivan mentioned that Kellar and Phillips would be possibilities for A.K., she never indicated that the district would not consider other schools as well (as it did when it sent applications to three other schools).
. The dissent's characterization notwithstanding, we do not "acknowledge[ ] that the failure to identify the location of the provision of special education services on a student's IEP need not always result in the denial of a FAPE.” Post, at 684. We merely note that we need not decide that issue today.
Dissenting Opinion
dissenting:
Today the majority mistakenly concludes that an inconsequential procedural error denied a disabled student of the opportunity for a FAPE. Of equal concern, the majority blurs the already indistinct line between procedural and substantive errors in the preparation of IEPs, documents that are of singular importance to the proper operation of the IDEA. The IEP that ACPS prepared for A.K. was flawed — it did not include the location at which A.K. would receive special educational services — but the flaw was merely
I.
In cases in which a student claims he was denied a FAPE, we first inquire into whether the school district complied with the procedural requirements of the IDEA. See Bd. of Educ. v. Rowley,
The majority is correct that A.K.’s IEP did not meet the IDEA’S requirements. Specifically, the IEP did not specify the anticipated location at which the school district would provide special education services to A.K. The IDEA requires that an IEP include “the projected date for the beginning of the services and modifications described in subclause (IV), and the anticipated frequency, location, and duration of those services and modifications.... ” 20 U.S.C. § 1414(d)(l)(A)(i)(VII) (Supp.2004). The statute does not define location as it is used in § 1414(d)(l)(A)(i)(VII), but the term must refer to something other than an educational placement, something more akin to a particular geographic locale. Section 1414(d)(l)(A)(i)(VII) concerns itself with some of the logistical considerations parents might have when making a decision regarding their • child’s education. The projected starting date, frequency, location, and duration of the child’s educational sessions are relevant to practical concerns like scheduling the child’s day and arranging for the child’s transportation. See White v. Ascension Parish Sch. Bd.,
This understanding of location is consistent with our precedent. When defining educational placement as it is used in the IDEA’S “stay put” provision, we repeatedly distinguished educational placement from location. See A.W. v. Fairfax County Sch. Bd.,
A.K.’s 2004-2005 IEP contains a chart with a column labeled “LOCATION OF SERVICES.” That column bears the solitary entry “SpeEd [illegible],” in reference to the type of education A.K. would receive, not the location at which he would receive it. Thus, A.K.’s IEP was flawed.
II.
ACPS’s error did not deny A.K. a FAPE. In DiBuo, this Court asked “[w]hether a procedural violation of the IDEA can support a finding that a school district failed to provide a disabled child with a FAPE when the procedural violation did not actually interfere with the provision of a FAPE to that child.”
As the district court pointed out, ACPS recommended both the Phillips and Kellar schools as options for A.K. during the June 9 IEP meeting. A.K. ex rel. J.K. v. Alexandria City Sch. Bd.,
The majority discounts the mention of these two schools because, it says, the IEP team had never considered whether those particular schools would be able to satisfy A.K.’s needs. See ante 681-82. This objection has no bearing on the question whether ACPS’s failure to specify a location on the IEP harmed A.K. The majority’s principal concern is that A.K.’s parents had no idea where them child was likely to receive special education services, placing upon them the “undue burden” of investigating any number of potential placements. See ante at 681. But A.K.’s parents did know where he would likely receive special education services: the Phillips School or the Kellar School.
Even if the decision-making process was relevant to the question of notice, there was no defect in the manner in which ACPS selected the Phillips and Kellar schools as possibilities. Sullivan, who suggested the schools at the June 9 meeting, was ACPS’s private placement specialist and had nearly thirty years of experience in the special education field. It was her job to place needy students in private day or residential schools. She visited schools (including Phillips and Kellar) and worked with teachers and parents to ensure successful placements. She knew A.K.’s case well and had placed other students in both the Phillips and Kellar schools before. Her recommendations for A.K. were of precisely the sort it was her job to make. The IDEA does not govern the process by which she must arrive at her recommendations, and I find no problem with either her reliance upon her expertise or her ultimate suggestions. Cf. § 1414(d)(3)(B) (listing factors IEP team must consider while developing IEP).
The IDEA does not require that an IEP identify the definitive location for the provision of a child’s special education services; the IEP need only supply the anticipated location. § 1414(d)(l)(A)(i)(VII). In A.K.’s case, the IEP did not, but ACPS suggested two potential locations during the June 9 meeting.
Finally, the Hearing Officer’s decision indicates that the parents had no objections to the notice the IEP provided at the time of A.K.’s due process hearing. Any procedural violations pertaining to the IEP’s notice function, then, were considered harmless by the parents (or at least, harmless enough that the parents chose not to raise the issue before the Hearing Officer). In short, A.K. was denied no educational opportunity as a result of ACPS’s failure to list an anticipated location for his education on his 2004-2005 IEP. Without a denial of an educational opportunity, A.K. could not have been denied a FAPE by the error. See DiBuo,
III.
The second component of the reviewing court’s inquiry regards substantive compliance with the IDEA. It is intended to ensure that the IEP developed is “reasonably calculated to enable the child to receive educational benefits.” Rowley,
Before reaching this conclusion, the Hearing Officer heard the testimony of educational experts presented by both parties on topics including the appropriateness of the Phillips and Kellar schools for A.K. See A.K.,
The Hearing Officer’s findings, including the finding that the Phillips or Kellar school were sufficient to meet A.K.’s needs, are entitled to a presumption of correctness. A.B. ex rel. D.B. v. Lawson,
IV.
Despite committing a procedural error in the preparation of his IEP, ACPS provided A.K. with the opportunity for a FAPE. Consequently, he is not entitled to reimbursement of his Riverview tuition or the remand granted by the majority. I am disappointed that my colleagues today punish a school district for a harmless oversight. Had ACPS simply written the names of the candidate schools on A.K.’s IEP there would be no basis for complaint. In this case, A.K. has a legitimate complaint, but because he lost no educational opportunity as a result of ACPS’s oversight, the IDEA affords him no remedy. The district court’s decision should be affirmed.
. I note that in IEPs developed for A.K. in previous years, the “LOCATION OF SERVICES” column contained such entries as "Special Edu,” "General Edu,” "Consult,” and "regular.” These descriptions, whatever their value, do not satisfy the IDEA’S requirement that the school district list the anticipated location of services in the IEP. They did,
A.K.'s mother signed the 2003-2004 IEP as part of a settlement agreement between the parents and ACPS. Under the terms- of the agreement, the parents consented to the "private day school placement” designated in the IEP in exchange for ACPS's partial funding of A.K.'s education at Riverview that year. Then, as now, the parents' true complaint was that A.K. should be at Riverview and not in private day placement at all. Unfortunately, ACPS refused to subsidize A.K.'s Riverview education for the 2004-2005 school year and presented ample evidence during the 2004 due process hearing to justify its choice of private day placement for A.K. To obtain funding for their preferred school a second time, the parents are left with a claim that a procedural oversight denied A.K. some educational opportunity.
. Although 20 U.S.C. § 1415 addresses itself specifically to procedural safeguards, we have found several of the requirements listed in § 1414 to be procedural as well. See, e.g., DiBuo,
. As the majority acknowledges, see ante 681 n. 9, this Court has upheld the validity of an IEP in which a school district promised to provide special education services at one of two different locations, see MM,
. A.K.'s father pointed out that the deposit was to reserve A.K.'s spot at Riverview and that the parents had not yet given any "substantive funding” to Riverview at the time of the IEP meetings. The $5,700 deposit accompanied a document entitled "Reservation and Enrollment Agreement,” signed April 8, 2004, by A.K.’s parents that set out the terms and conditions of A.K.'s education at Riverview for the 2004-2005 school year. Such a deposit might have served only as a safety net intended to catch A.K. should negotiations with ACPS fall through or lead to the conclusion that Riverview was the appropriate placement. On the other hand, the deposit and enrollment agreement are also consistent with an intent to keep A.K. at Riverview no matter the outcome of the IEP proceedings.
