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  New York State Education Department  /  University of the State of New York
 Image of Two Children Office of State Review        

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APPEALS PROCESS

  Suggestions for Participation

  Record Keeping Ideas

  Appeals to the State Review Officer

Sample Forms:

Notice of Intention to Seek Review (Form A)
 

    Form A:    HTML     /     PDF

Notice with Petition (Form B)

    Form B:    HTML     /    PDF

Affidavit of Verification (Form C)

    Form C:    HTML     /     PDF

Affidavit of Personal Service (Form D)

    Form D:    HTML     /     PDF

Affidavit of Service by Mail (Form E)

    Form E:    HTML     /     PDF


  Suggestions for Your Participation:

The following suggestions are not needed in every situation and should be carefully considered prior to any action.

  • Attempt to resolve conflicts informally.

  • If you disagree with a proposed action (i.e., evaluation, recommendation, placement), express this disagreement or dissatisfaction. You may  wish to try to resolve your disagreement through mediation.  Contact the Board of Education for information about mediation, which is optional and does not prevent  you from obtaining an impartial hearing .

  • In some situations, you may wish to consider an impartial hearing. Before initiating the formal process, clearly identify the current problem, gather complete information, consider other points of view, consider options for resolving the issue, and plan your approach.

  • If you wish to proceed with a formal process for resolution, a written request for an impartial hearing must be submitted to the Board of Education.

  • If an impartial hearing has been requested, consider the need for representation by an attorney or someone knowledgeable about special education issues.

  • If an impartial hearing does not resolve the issue to your satisfaction, you may wish to consider an appeal to the State Review Officer.

  • Remember that parents and school districts should be working in the interests of the child. This should be the primary focus in resolving any disagreement.

  Record-Keeping Ideas:

  • Maintain copies of all documents (notices, consents, communication from the school, communication to the school).

  • Take notes during information conferences, meetings, and hearing.

  Appeals to the State Review Officer:

If you are dissatisfied with the decision of the impartial hearing officer, you may proceed with an appeal to the State Review Officer. This appeal is a request for review of the impartial hearing officer's decision and is not another hearing. The decision of the State Review Officer will be based on the testimony and exhibits given to the hearing officer at the impartial hearing. Oral arguments before the State Review Officer are not permitted.  In the event that a State Review Officer determines that additional oral evidence is necessary, the State Review Officer shall direct that a hearing be held to receive such additional evidence.  Hearings for the purpose of taking additional oral evidence will be conducted before the State Review Officer at a time and place which is reasonably convenient to the parents and the student involved.  It is very important that the procedures required for appeal are followed exactly. As you proceed with this appeal, it will be helpful to keep the following points in mind:

  • The Petition is a statement of the petitioner's reasons for disagreeing with the hearing officer's decision and a request that the State Review Officer set aside the hearing officer's decision.

  • The Petitioner is the person or party that initiates the appeal (either you or the Board of Education).

  • The Respondent is the party that must answer the issues in the petition (either you or the Board of Education).

  • Parents or legal guardians may initiate an appeal on behalf of the child.

The procedures and timelines described below must be followed carefully. The procedures described here assume that the parent is the petitioner (follow steps 1-12). Your appeal must be based upon the documents presented and the testimony given at the hearing. You should obtain a copy of the electronic or written exact record of the hearing from the Board of Education to help you to prepare your appeal. You may want to get advice or assistance from a lawyer or parent advocate before proceeding with the steps below.

1.  How to Initiate an Appeal

A Notice of Intention to Seek Review (Form A) must be served on the school district not less than 10 days before the petition is served on the school district, and within 25 days from the date of the hearing officer's decision. The petition must be served, by hand-delivery, on the school district within 35 days from the date of the hearing officer's decision. If the hearing officer's decision was served by mail on petitioner, the date of mailing plus the four (4) following days must be excluded in computing the 25 or 35 day period.

After the Notice of Intention to Seek Review is typed, a copy of the notice must be hand-delivered by someone other than the petitioner, who is at least 18 years old, to the school district clerk, any trustee or member of the Board of Education, to the superintendent of schools, or to a person in the superintendent's office who has been designated by the Board to accept service. The original copy of the Notice of Intention and an Affidavit of Service of the copy of the notice upon the Board should be mailed to the Office of State Review of the New York State Education Department, 80 Wolf Road, Suite 203, Albany, NY 12205-2643 within five (5) days after the delivery of the copy to the Board.

2.  Preparing the Appeal

In addition to the Notice of Intention to Seek Review, the petitioner must prepare a Notice with Petition (Form B), the Petition, an Affidavit of Verification (Form C) and an Affidavit of Personal Service (Form D).

Notice with Petition (Form B). This document should have the same heading in the box in the upper left-hand corner as the heading in the upper left-hand corner of the Notice of Intention to Seek Review. The body of the Notice with Petition must contain the words exactly as they appear on Form B, and must be signed by you at the bottom. A copy of the Notice with Petition should be attached to the Petition.  One copy of the Notice with Petition, a copy of the Petition and a copy of the Affidavit of Verification must be delivered to the Board of Education in the same way that the Notice of Intention to Seek Review was delivered to the Board.

Petition. There is no standard form for the Petition.  However, the Petition should be prepared in accordance with the following directions.

  • The Petition should be typewritten using standard double-spacing, in 12-point Times NewRoman font, on standard 8 1/2 by 11 inch white paper, and no longer than 20 pages. Top and bottom margins should be no smaller than 1 inch and left and right margins should be no smaller than 1 inch.

  • A caption or heading should appear in the upper left hand corner in the same manner as it appears on the Notice of Intention to Seek Review and the Notice with Petition.

  • Begin the Petition by identifying yourself as the parent or person in parental relationship to the child.

  • State the child's age, and the name of the school, if any, which the child is attending.

  • If you have met with the School District Committee on Special Education, state whether the Committee decided that the child has an educational  disability and the name of that disability, for example:  learning disabled.

  • If the Committee on Special Education decided that your child should receive special help, describe what the Committee advised you that your child should receive, such as a special class or special services.

  • State the date when you requested a hearing, and when you received a copy of the hearing officer's decision.

  • See section 3.  Serving the Petition for information on timelines for your appeal.  If you fail to initiate a timely appeal, clearly state your reason for such failure within the petition.  Please note that the State Review Officer has the discretion to excuse a failure to commence a timely appeal if good cause is shown within the petition.  The State Review Officer may dismiss any appeals that are not filed in a timely manner.

  • Explain to the State Review Officer what part(s) of the hearing officer's decision you disagree with, and why you disagree with the hearing officer's decision. If possible, you should refer to the evidence in the record, such as pages in the written transcript of the hearing or written documents which were presented at the hearing, to support your argument.

  • If you object to the way in which the hearing was conducted, you should state your objection, and if possible, you should refer to pages of the written record of the hearing which relate to your objection.

  • If you object to the way in which your meeting with the Committee on Special Education was conducted, state the date of the meeting and why you believe it was conducted improperly.

  • While you are not required to refer to portions of Federal or State laws or regulations to support your argument that the decision of the hearing officer should be overturned or amended, you may do so in the Petition.  You may also submit a separate document detailing your legal arguments.  The separate document is a Memorandum of Law.  Your Memorandum of Law should be typewritten, standard double-spacing, in 12-point Times New Roman font, on standard 8 1/2 by 11 inch white paper, and no longer than 20 pages. Top and bottom margins should be no smaller than 1 inch and left and right margins should be no smaller than 1 inch.

  • At the end of the Petition, you should explain to the State Review Officer what you would like to see happen. For example, your child's classification should be changed or not be changed, and/or your child's class should be changed or not be changed.

  • Affidavit of Verification (Form C). In this form the petitioner makes an oath in front of a Notary Public or Commissioner of Deeds that the statements in the petition are true to the best of the petitioner's knowledge. You will usually find a Notary Public or a Commissioner of Deeds in a government office, or a bank, or by looking in the yellow pages of your telephone directory.

3.  Serving the Petition

The petitioner must have a copy of the Notice with Petition, a copy of the Petition and a copy of the Affidavit of Verification hand-delivered to the Board of Education by someone over the age of 18 who is not a party to the appeal (not you or the child involved).  These documents must be served, by hand-delivery, on the school district within 35 days from the date of the hearing officer's decision. If the hearing officer's decision was served by mail on petitioner, the date of mailing plus the four (4) following days must be excluded in computing the 25 or 35 day period.

Two photocopies of all the papers should be made. One photocopy must be delivered to the Board and you should keep the other photocopy. The original of the notice with Petition, the Petition and the Affidavit of Verification and an Affidavit of Service of a copy of the Petition upon the Board are filed with the State Review Officer (see Step 5).

4.  Notarizing the Affidavit of Personal Service

The Affidavit of Personal Service, (Form D) must be signed in the presence of a Notary Public or a Commissioner of Deeds by the person who delivered the documents described in Step 3 to the Board of Education. The original of the Affidavit should be attached to the original Petition. You should keep a copy of the Affidavit.

5.  Filing the Appeal with the State Review Officer

The petitioner must file the following items with the Office of State Review of the New York State Education Department, 80 Wolf Road, Suite 203, Albany, NY 12205-2643. All papers sent must be the original.

Notice of Intention to Seek Review  /    Form A

Notice with Petition   /    Form B

Petition

Affidavit of Verification   /   Form C

Affidavit of Personal Service   /   Form D

6.  Improper Filing of an Appeal (Effective October 1, 2003)

In the past, the Office of State Review/Office of Counsel has facilitated the filing of petitions by identifying those that were improperly verified, noticed, and or served, and returning them to petitioners with explanations regarding the manner in which to correct deficiencies.  A new submission deadline allowing 14 days from the date of the Office of State Review response letter within which to correct deficiencies was then extended to the petitioner.

Given the rising number of cases on appeal and the need to devote all of our personnel to assist State Review Officers issuing timely decisions, this office will discontinue providing notice of improperly filed, served or drafted petitions at the time of filing.  Petitions not filed in compliance with the requirements of Part 279 are subject to dismissal sua sponte, at the discretion of the State Review Officer.

7.  Answer (Response to the Petition)

Within 10 days after receiving the Petition, the respondent must serve an Answer to the Petition in the format outlined below*. The Answer may be served by personal delivery to the petitioner or by mailing a copy of the Answer to the petitioner. If the petitioner is represented by an attorney, the Answer should be served on the petitioner's attorney. Written argument, in the form of a Memorandum of Law, may also be submitted by the respondent.

*The Answer and Memorandum of Law should be typewritten using standard double-spacing, in 12-point Times New Roman font, on standard 8 1/2 by 11 inch white paper, and no longer than 20 pages. Top and bottom margins should be no smaller than 1 inch and left and right margins should be no smaller than 1 inch.

If the Board of Education is the petitioner, you should prepare an Answer to the Petition. After reading the Petition, you should decide whether you disagree with any of the statements in the separately numbered paragraphs of the Petition. In your Answer, you should respond to each paragraph of the Petition, by admitting or denying the truth of the statements in each paragraph. After making admissions and denials in your Answer, you should briefly explain to the State Review Officer why you believe that the decision of the hearing officer should not be changed. A photocopy of the Answer should be served upon the petitioner, as described in Step 6.

If the Answer is hand-delivered to the Board of Education, the person who delivered the Answer must sign an affidavit of personal service (Form D). If the Answer was served by mail, the person who mailed the Answer must sign an affidavit of service by mail (Form E). The person must sign either Affidavit in the presence of a Notary Public or Commissioner of Deeds. The original of the Answer and of the Affidavit of Service must be sent to the Office of State Review of the New York State Education Department, 80 Wolf Road, Suite 203, Albany, NY 12205-2643 within two calendar days of the date that the Answer was served on the petitioner.

8.  Petitioner's Reply to Answer

The petitioner may reply to the Answer of the respondent only with respect to any procedural defenses asserted in the Answer or with respect to any additional documentary evidence filed with the Answer. The Reply should be typewritten using standard double-spacing, in 12-point Times New Roman font, on standard 8 1/2 by 11 inch white paper, and no longer than 10 pages. Top and bottom margins should be no smaller than 1 inch and left and right margins should be no smaller than 1 inch.

No other Reply will be accepted by the State Review Officer. The Reply must be served on the respondent and filed, together with an Affidavit of Service (Form D or E), with the Office of State Review of the New York State Education Department, 80 Wolf Road, Suite 203, Albany, NY 12205-2643 within three (3) calendar days after the service of the answer.

9.  Filing Responsibility

In each appeal, it is the Board of Education's responsibility, whether it is the petitioner or the respondent, to file with the Office of State Review of the State Education Department, 80 Wolf Road, Suite 203, Albany, NY 12205-2643, the decision of the impartial hearing officer, a bound copy of the written transcript(s) before the impartial hearing officer, including a corresponding word index for the written transcript(s), as well as an electronic transcript(s), and a copy of the original exhibits accepted into evidence at the hearing and a corresponding index to the exhibits.  Additionally, the Board of Education shall submit a Certification with the record, that the record submitted is the complete hearing record. 

10.  Challenging the Impartiality of the State Review Officer

Any party to an appeal may challenge the impartiality of the State Review Officer, who may not have any personal, economic or professional interest in the hearing to be reviewed. The State Review Officer may not have been employed at any time by a party to the appeal, and may not, in any way, have been substantially involved in the development of any State or local policy or procedure challenged at the hearing.

        11.  Decision of the State Review Officer

The State Review Officer must make a decision on your appeal within 30 calendar days after the State Education Department receives your request for review of the impartial hearing officer's decision. Copies of the State Review Officer's decision will be mailed to you, or your attorney, if you are represented by an attorney, and to the attorney for the Board of Education.

        12.  Judicial Review of the State Review Officer's Decision

If you are dissatisfied with the State Review Officer's final determination, you may obtain judicial review of such determination in either State Supreme Court or Federal District Court. A lawsuit to review the State Review Officer's decision must be commenced within four months after the decision is rendered.


10/01/2006