Surrogate Parent Training
KYCASE
July 2013
Amanda Dennis
Karen H. Frohoff, Ed.D
Fayette County Public Schools
Special Education Administrators
Legal Background
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Individuals with Disabilities Education Act (IDEA)
Family Educational Rights and Privacy Act
(FERPA)
No Child Left Behind Act (NCLB)
Americans with Disabilities Act
Section 504 of the Rehabilitation Act
McKinney Vento Homeless Assistance Act
(42USC Sec. 11434a(6))
Legal Definition of Parent
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A biological or adoptive parent of a child;
A guardian generally authorized to act as the child’s
parent, or authorized to make educational decisions for
the child, but not the state if the child is a ward of the
state;
A person acting in the place of a biological or adoptive
parent such as a grandparent, stepparent, or other
relative with whom the child lives, or a person who is
legally responsible for the child’s welfare;
Legal Definition of Parent – cont.
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A foster parent if the biological or adoptive
parents’ authority to make educational
decisions on the child’s behalf has been
extinguished and the foster parent has an
ongoing, long-term parental relationship with
the child, is willing to make the educational
decisions required of parents under 707 KAR
Chapter 1, and has no interest that would
conflict with the interests of the child;
Legal Definition of Parent – cont.
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A foster parent if the biological or adoptive
parents grant authority in writing for the foster
parent to make educational decisions on the
child’s behalf, and the foster parent is willing to
make educational decisions required of parents
under 707 KAR Chapter 1, and has no interest
that would conflict with the interests of the child.
A surrogate parent who has been appointed in
accordance with 707 KAR 1:340, Section 6.
Determination of Educational
Representative Form
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http://education.ky.gov/specialed/excep/Pages/S
pecial-Education-Forms---Due-Process.aspx
Consult legal advisor when in doubt regarding
determining who can represent the child and
give consent.
Assignment of a Surrogate Parent
Part B Regulations
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No parents can be identified
The school district cannot determine the
whereabouts of a parent after reasonable
attempts to do so
The child is a ward of the state, or
The child is an unaccompanied homeless
youth (McKinney-Vento Homeless Assistance
Act)
Documentation when parent
cannot be located
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Multiple attempts through multiple
means should be well documented over
multiple dates by multiple personnel to
substantiate the claim that parents cannot
be located.
Recommendation: Log all attempts in IC
for consistency.
Surrogate Parent – KARs Sp Ed
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Shall not be an employee of the Kentucky
Department of Education, the LEA, or any other
agency that is involved in the education or care
of the child:
Shall not have any personal or professional
interest that conflicts with the interests of the
child; and
Shall have knowledge and skills that ensure
adequate representation of the child.
Students Over the Age of 18
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Students between the ages of 18 and 21 who
have been declared incompetent in court are
assigned a surrogate parent who has all the
rights and responsibilities of any surrogate
parent.
For students who have not been declared
incompetent, the services of a surrogate parent
“advisor” can be offered to assist the student in
making decisions. All decisions rest with the
student and the student is in control of all his/her
educational records.
Assignment of a Surrogate Parent
Part C Regulations
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If a surrogate parent is appointed for an
infant or toddler, the parent has all the
rights that a parent has under Part C. 34
CFR 303.422(f).
A foster parent may act as a child’s
“parent” if permitted by state law.
A guardian may serve as a parent but
NOT if the state is the guardian for a child.
Assignment of a Surrogate Parent
Part C Regulations (continued)
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LEA cannot name as a surrogate any
person who provides early intervention
services to the child or to any family
member. 34 CFR 303.422(d)(2)(i).
Employees of state agencies are ineligible
to serve as surrogate parents. 34 CFR
303.422(d)(2)(i).
Disinterested Parents
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LEA cannot appoint a surrogate parent in
situations where otherwise available
parents refuse to participate in the
educational planning process.
A district cannot obtain an injunction
against parental participation in IDEA
eligible student’s educational
programming.
Surrogate Parent Criteria
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Be an adult 18 or over;
Commit to personally and thoroughly
acquaint themselves with the student’s
educational needs;
Possess the necessary knowledge and
skills to effectively represent the student;
Be familiar with the educational system;
Surrogate Parent Criteria
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Be readily accessible to the student;
Have no conflicting or vested interest.
Potential Surrogate Parent
Candidates
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Foster Parents: if a child lives in a foster home,
foster parents can be appointed as educational
surrogate parents as long as they meet the
qualifications and are willing to serve in that role.
Community Volunteers: University personnel,
retired teachers from other districts, etc.
Legal Guardians or Other Family Members:
Potential Surrogate Parent
Candidates
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If possible, a surrogate parent should be
of the same racial, cultural and linguistic
background as the student.
They should be able to communicate with
the student in his/her primary language
and share some of the same cultural
values in order to fully understand the
child.
Recommendation/Consideration
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Consult with board attorney to consider
requiring criminal background check and
child abuse/neglect check, particularly if
the Surrogate will have direct contact with
the student.
Timeline for Assignment of a
Surrogate
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The LEA must make “reasonable efforts to
ensure the assignment of a surrogate
parent not more than 30 days after a
public agency determines that the child
needs a surrogate parent”. 34 CFR
300.519 (h).
Personal and District Liability
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There is no guarantee that attempts to hold a
surrogate parent liable for their actions will not
be made.
Ensure they can demonstrate their knowledge
and skills and acted in good faith.
District’s have greater liability if they fail to
implement a sound surrogate parent training
program and fail to assign a surrogate for an
eligible student in need.
Both parties need to demonstrate they “acted in
good faith” for the benefit of the student.
Limitations of the Surrogate
Parent
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A surrogate parent has no authority or
responsibility for the care, maintenance, or
financial support of the student.
Surrogate parent has no authority or
responsibility to participate or approve a foster
or group home placement for a child.
Surrogate parent is only responsible for making
decisions regarding the provisions of a free,
appropriate program for the student.
Termination of Surrogate Parent
Assignment
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Schools may discontinue a surrogate
assignment for the following reasons:
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Student changes schools
Student changes districts
Student reaches the age of 18
Child’s status changes and he no longer is
eligible for a surrogate parent
The district does not believe the surrogate
has done an adequate job in his/her role.
Sample form for documentation
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Surrogate Parent Determination Form
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Used for appointment
Surrogate Parent Termination Form
Sample Guidance Document
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Surrogate Parent Guidance Document
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Use as a review of rights and expectations
when training Surrogate Parents.
Questions
?
Acknowledgements
Materials developed by CKSEC, Marti Ginter
“Your Child’s Education,” a document prepared
by KDE
Materials developed by Upper Cumberland
Educational Cooperative
Training for Surrogate Parents
Responsibilities
Surrogate Parent
Responsibilities
Surrogate Parent Responsibilities
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Have all the rights afforded to parents.
Represent the child in all matters relating to the
identification, evaluation, and educational
placement of the child and the provision of
services to the child.
Make decisions about educational issues for the
child.
Receive notice of proposed or refused actions.
Provide or deny consent in writing.
Surrogate Parent Responsibilities
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Participate in the Admission and Release
Committee (ARC) meeting acting as the parent
of the student.
Maintain confidentiality of information about the
student.
Request an independent educational evaluation
for the student, if necessary.
Request mediation and/or impartial due process
hearing on any matter
Surrogate Parent Criteria
Surrogate Parent Criteria
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Be an adult 18 or over;
Commit to personally and thoroughly
acquaint themselves with the student’s
educational needs;
Possess the necessary knowledge and
skills to effectively represent the student;
Be familiar with the educational system;
Surrogate Parent Criteria
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Be readily accessible to the student;
Have no conflicting or vested interest.
Key Words and Phrases
Key words and Phrases
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Admissions and Release Committee
(ARC) –means a group of individuals, that
is responsible for developing, reviewing, or
revising an Individual Education Program
for a child with a disability.
Special Education
Due Process Procedures
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Key Words and Phrases
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ARC Membership includes:
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Parent
Child or youth when appropriate
Regular education teacher of the child or youth
Special education teacher who is knowledgeable of the
disability
District representative
Related service personnel as appropriate
Others as requested by members of the ARC
Key Words and Phrases
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Procedural Safeguards (Parents’ Rights) A
copy of the procedural safeguards notice shall
be given to the parents of a child with a disability
one (1) time a school year. A copy shall also be
provided:
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Upon initial referral or parent request for evaluation;
Upon the receipt of the first written complaint or filing
of due process hearing in a school year;
In accordance with discipline procedures when
change of placement occurs;
Upon request by a parent.
Key Words and Phrases
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Procedural Safeguards (Parents’ Rights)
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The procedural safeguards notice shall
include a full explanation of all the procedural
safeguards available under the IDEA and
Kentucky Administrative Regulations for
Special Education.
Key Words and Phrases
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ARC Member Excusal
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A member of the ARC may be dismissed from
attendance, in whole or in part, if the parents
and the district agree in writing prior to the
ARC meeting if:
That member is not necessary because the
member’s area of curriculum or related service is
not being modified or discussed in the meeting, or
 If their area is being discussed but the member
submits in writing to the parent and ARC input into
the development of the IEP prior to the meeting.
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Key Words and Phrases
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Assistive Technology Services – means
any service that directly assists a child
with a disability in the selection,
acquisition, or use of an assistive
technology device.
Key Words and Phrases
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Special Education – means specially
designed instruction, at no cost to the
parents, to meet the unique needs of the
child with a disability including instruction
in the classroom, in the home, in hospitals
and institutions, and in other settings.
Key Words and Phrases
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Collaboration – means a teacher of
exceptional children works with children
with disabilities in the regular classroom to
provide specially designed instruction and
related services.
Key Words and Phrases
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Free Appropriate Public Education (FAPE)
–special education and related services
that are provided at public expenses,
under public supervision and direction,
and without charge.
Key Words and Phrases
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Specially-Designed Instruction (SDI) –
means adapting as appropriate the
content, methodology, or delivery of
instruction to address the unique needs of
the child with a disability and to ensure
access of the child to the general
curriculum.
Key Words and Phrases
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Related Services – means transportation
and such developmental, corrective, or
supportive services as are required to
assist a child with a disability to benefit
from special education.
Key Words and Phrases
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Least Restrictive Environment (LRE) –
means the educational setting in which the
student with a disability can learn
effectively, based upon unique needs and
capabilities, and interact with similar age
peers who are not disabled.
Key Words and Phrases
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Individual Education Program (IEP) –
means a written plan of action developed
by an Admission and Release Committee
(ARC) to meet the specially designed
instruction and related service needs of
the student with a disability.
Notice
A written notice will be given to you as the
surrogate parent:
1. When the child has been referred for
special education services
2. Each time the ARC meets
3. Anytime the school plans to evaluate
the student
Notice
4.
Anytime the school wants to initiate,
continue or change the special education
services for the student.
Special Education
Due Process Procedures
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Key Words and Phrases
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Child with a Disability – means a child
evaluated in accordance with state
regulations and as meeting the criteria stated
in state regulations for:
Special Education IDEIA
Eligibility Categories
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Autism
Deaf-Blindness
Developmental Delay
Emotional-Behavior
Disability
Hearing impairment
Mental Disability
(mild, moderate)
Multiple Disabilities
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Orthopedic
Impairment
Other Health
Impairment
Specific Learning
Disability
Speech or Language
Impairment
Traumatic Brain Injury
Visual Impairment
The Process
The Process
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Step 1: Referral
Step 2: Evaluation
Step 3: Eligibility
Step 4: Individual Education Program Planning
Step 5: Placement
Step 6: Implementation and Progress Monitoring
Step 7: Review
Step 8: Re-evaluation
Before Attending the First
Meeting
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Surrogate parents should request and be given
copies of all assessments, integrated reports
and a full explanation to understand the child’s
current needs, functioning levels, strengths and
areas of concern.
Attend academic conferences etc.
Receive on-going communication about the
child’s progress and placement.
Act as an equal partner with school personnel in
planning the IEP and during all ARCs.
FERPA and Confidentiality
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Surrogate parents are not given access to all the
personally identifiable information about the
child’s family or background.
Surrogate parents are required to follow FERPA
regulations to keep confidential any information
they gather from student records and or
participating in the educational processes.
All written copies of documents must be
returned to the LEA if a surrogate chooses to no
longer act in this role or if they are determined to
be ineligible to serve.
Special Education
Due Process Procedures
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Step 1: Referral
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A written request for a child to be individually
tested to determine if the child has an
educational disability and needs specially
designed instruction and related services
Special Education
Due Process Procedures
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Step 2: Evaluation
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A process of gathering information about the
child’s educational needs and abilities through
individual tests, review of school work, and
school records, behavioral observations,
interviews, and rating scales
Special Education
Due Process Procedures
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Step 3: Eligibility
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Reviewing the complete evaluation to
determine if the child has an educational
disability that adversely affects (has a
negative impact on) the educational
performance of the child
Special Education
Due Process Procedures
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Step 4: Individual Education Program
Planning
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Writing an Individual Education Program (IEP)
for the child
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Transition planning for postsecondary
options will begin by eighth grade or age 14
Postsecondary goals and transition
services begin by age 16
At age 18 the student becomes responsible
for making their educational decision
(Emancipated Youth).
Special Education
Due Process Procedures
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Step 5: Placement
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Deciding where the child will receive specially
designed instruction and related services
based on the least restrictive environment
requirements
Special Education
Due Process Procedures
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Step 6: Implementation and Progress
Monitoring
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Carrying out and collecting progress data on
the specially designed instruction and related
services that were designed to meet the IEP
goals and objectives for the child
Special Education
Due Process Procedures
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Step 7: Review
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Reviewing the child’s IEP and the services
being provided; and making needed changes
in the IEP or placement to meet the child’s
identified needs
Special Education
Due Process Procedures
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Step 8: Re-evaluation
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Re-determining eligibility based on a new
evaluation of the child at least every three
years
Special Education
Due Process Procedures
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An ARC shall not have to be convened in order to make
minor, non-programmatic changes to the IEP, such as
typographical errors, incorrect directory information
about the student (birthdate, age, grade, address,
school), and other information required on the IEP that
was agreed upon by the ARC but incorrectly recorded.
If the school makes any changes, all member of the
ARC shall be given a copy of the changes and an
explanation as to why the changes were made.
If any member objects to the changes, an ARC meeting
shall be convened to discuss the changes.
Resolving Disagreements
Resolving Disagreements
1.
2.
3.
4.
Talk with the student’s teacher, principal,
and director of special education.
Request an ARC meeting.
Meet with the superintendent of schools
Request a mediator
Resolving Disagreements
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Formal Complaint
Mediation
Request a due process hearing
Appeal to KDE for a review of the hearing
offices decision.
Prepare a civil suit
Limitations of the Surrogate
Parent
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A surrogate parent has no authority or
responsibility for the care, maintenance, or
financial support of the student.
Surrogate parent has no authority or
responsibility to participate or approve a foster
or group home placement for a child.
Surrogate parent is only responsible for making
decisions regarding the provisions of a free,
appropriate program for the student.
Termination of Surrogate Parent
Assignment

Schools may discontinue a surrogate
assignment for the following reasons:





Student changes schools
Student changes districts
Student reaches the age of 18
Child’s status changes and he no longer is
eligible for a surrogate parent
The district does not believe the surrogate
has done an adequate job in his/her role.
Summary
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Surrogates have the right to attend all
ARC meetings about your student.
Surrogates may request an ARC meeting
about your child more frequently than
once a year.
The school district must have written
permission before a student with an
appointed surrogate can be individually
evaluated.
Summary
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The school district must have your written
permission before your student can begin
a placement to receive specially designed
instruction and related services.
Parent’s signature is not required on the
IEP. However parent input is needed.
Questions
?
Acknowledgements
Materials developed by CKSEC, Marti Ginter
“Your Child’s Education,” a document prepared
by KDE
Materials developed by Upper Cumberland
Educational Cooperative