Overview
During the audit period, DESE did not complete all investigations and issue written decisions resolving special education complaints within the federally mandated 60-day timeframe. Specifically, 24 of the 60 special education complaints from our sample exceeded the required timeframe. The delays ranged from 1 day to 325 days beyond the 60-day limit, with an average delay of 111 days. We projected these exceptions onto the entire special education complaint population of 1,877 using a 95% confidence level, which suggested that the true proportions of noncompliance with the 60-day timeframe equated to at least 521 (28%) special education complaints.
Delays in investigating and resolving special education complaints prevent students from receiving the timely support and services that they are entitled to under federal law, which may negatively impact their educational progress. These delays can also leave caregivers feeling frustrated and unheard, eroding trust in DESE’s complaint resolution process.
Authoritative Guidance
According to Section 300.152 of Title 34 of the Code of Federal Regulations (CFR),
(a) Time limit; minimum procedures. Each [State Educational Agency (SEA)] must include in its complaint procedures a time limit of 60 days after a complaint is filed under [34 CFR 300.153] to—
(1) Carry out an independent on-site investigation, if the SEA determines that an investigation is necessary;
(2) Give the complainant the opportunity to submit additional information, either orally or in writing, about the allegations in the complaint;
(3) Provide the public agency with the opportunity to respond to the complaint, including, at a minimum—
(i) At the discretion of the public agency, a proposal to resolve the complaint; and
(ii) An opportunity for a parent who has filed a complaint and the public agency to voluntarily engage in mediation consistent with [34 CFR 300.506];
(4) Review all relevant information and make an independent determination as to whether the public agency is violating a requirement of Part B of the [Individuals with Disabilities Education Act] or of this part [of 34 CFR 300]; and
(5) Issue a written decision to the complainant that addresses each allegation in the complaint and contains—
(i) Findings of fact and conclusions; and
(ii) The reasons for the SEA’s final decision.
(b) Time extension; final decision; implementation. The SEA’s procedures described in paragraph (a) of [34 CFR 300.152] also must—
(1) Permit an extension of the time limit under paragraph (a) of [34 CFR 300.152] only if—
(i) Exceptional circumstances exist with respect to a particular complaint; or
(ii) The parent (or individual or organization, if mediation or other alternative means of dispute resolution is available to the individual or organization under State procedures) and the public agency involved agree to extend the time to engage in mediation pursuant to paragraph (a)(3)(ii) of [34 CFR 300.152], or to engage in other alternative means of dispute resolution, if available in the State; and
(2) Include procedures for effective implementation of the SEA’s final decision, if needed, including—
(i) Technical assistance activities;
(ii) Negotiations; and
(iii) Corrective actions to achieve compliance.
Reasons for Issue
DESE did not have formal policies and procedures, including monitoring controls, to ensure that special education complaints were investigated and resolved within the federally required 60-day timeframe. According to DESE officials, DESE did not investigate and resolve complaints within the required timeframe because of a significant increase in the volume of complaints, documentation, and time needed for review and determination from 2017 to the conclusion of our audit work. DESE officials further explained that this rise in filings was driven by three converging factors: (1) increased public awareness of the complaint process as information became more accessible through online guidance and community outreach; (2) lingering instructional disruptions and service gaps following the COVID-19 pandemic, which prompted more caregivers to pursue formal remedies; and (3) the growing complexity of individual complaints, with multiple issues frequently combined in a single submission, thereby requiring additional investigative effort.
Recommendations
- DESE should develop and implement written policies and procedures, including effective monitoring controls, to ensure that special education complaint investigations and resolutions are completed within the federally required 60-day timeframe.
- DESE should assess its current personnel levels, resources, and processes to ensure that they are adequate to manage the increased volume of special education complaints.
- DESE should clearly communicate its expressed needs to the Massachusetts Legislature and the Office of the Governor to help ensure that it can fully comply with federal regulations governing the investigation of special education complaints.
Auditee’s Response
DESE recognizes the importance of investigating and resolving special education complaints on time. Since the audit period, DESE has made significant improvements to its system for processing special education complaints to help increase the timeliness of its decisions. DESE has also been continuously engaged with experienced technical assistance providers to further enhance its practices in this area. As a result of these efforts, there has been a substantial reduction in the number of special education complaints pending over the 60-day deadline—with a reduction in backlog by almost 40% in the four months preceding the Auditor’s Report.
Under the Individuals with Disabilities Education Act (IDEA), state educational agencies must have a state complaint system to resolve complaints raising allegations of violations of the IDEA Part B, which in Massachusetts is DESE’s Problem Resolution System (PRS). Starting on or about 2017, before the audit period, PRS began to experience a significant increase in the number of complaints filed because of several factors, including increased public awareness and ease of access to the complaint process. This increase continued because of instructional disruptions and service gaps related to the COVID-19 pandemic.
As noted above, DESE has undertaken substantial efforts to enhance its state complaint system. Specifically, PRS engaged in ongoing improvement efforts to enhance its capacity and systems needed to timely and appropriately address each state complaint and any corrective action(s) within applicable timelines. PRS’s improvement efforts included the following:
Expanded PRS Unit Capacity
- Starting in August 2022, PRS has approved voluntary staff requests to work for compensatory time or overtime, which allows staff to work beyond their contracted hours in further concerted effort to address the PRS complaint volume.
- Starting in October 2023, DESE increased PRS capacity to timely and completely resolve state complaints through hiring four (4) additional full-time PRS liaison positions. DESE also added an (1) additional full-time PRS supervisor position to increase PRS capacity to conduct efficient reviews of issues and determinations.
- Starting in March 2024, PRS restructured to include distinct Special Education and General Investigation Teams and a separate Corrective Action Team to further increase efficiencies and expertise.
- Starting in June 2024, DESE added an (1) additional full-time PRS supervisor position to further increase PRS capacity to conduct efficient reviews of issues and determinations.
Improved Policies [and] Procedures
- In December 2023, PRS issued written guidance to PRS supervisors and staff reminding them of PRS’s obligations pursuant to [34 CFR 300.152].
- In spring 2024, PRS staff completed a robust training series, which included a discussion of timeline requirements under IDEA Part B.
- Starting in July 2024, PRS launched new letter templates intended to streamline and clarify communications from PRS to Complainants and Districts.
- DESE continues to revise its Problem Resolution System Office Special Education Complaint Procedures Guide, releasing a new 2025 guide, which was reviewed by [U.S. Department of Education’s Office of Special Education Programs (OSEP)], enhanced by public comment, and has since been implemented. PRS’s fully compliant 2025 Special Education Procedures Guide may be found on DESE’s website, which is linked here.
- DESE also updated its official Notice of Procedural Safeguards in May 2025, which is the document that informs parents of students with disabilities about their rights and protections under the IDEA and must be provided to families by their districts at least once a year or in specific circumstances. The updates included a more full and clear explanation of the written state complaint procedures.
- To enhance its existing internal controls, PRS developed a comprehensive internal IDEA Part B State Complaints Investigator Guide, which is set to be implemented in the near future and will be followed by trainings with all PRS supervisors and investigators.
- The internal guide was developed to provide guidance and increase consistency among staff responsible for investigating special education complaints on expectations regarding how to resolve complaints pursuant to IDEA Part B.
- In addition to expectations, the guide also includes practice tips intended to further enhance DESE’s timely and complete resolution of state complaints.
Please note that prior to this Audit, from September 2023 to March 2024, [OSEP], the federal agency responsible for the enforcement of the IDEA, engaged with DESE and PRS through its system for differentiated monitoring and support (DMS). On January 16, 2025, OSEP issued its DMS Report, which identified certain areas of noncompliance, including a finding related to the timely resolution of state complaints. By the time of the January 16, 2025 report, DESE and PRS had already implemented significant improvements, which were highlighted by OSEP in its report.3 As a result of OSEP’s findings, DESE and PRS have complied with all aspects of OSEP’s ordered corrective actions and implemented all feedback provided by OSEP related to the findings on the state complaint system. . . .
[Footnote:]
3. [DESE included the following quotation in this footnote.] “OSEP appreciates the State’s continued efforts to improve the implementation of IDEA Part B and the development and implementation of a reasonably designed general supervision system which ensures compliance and improving results for students with disabilities.”
Auditor’s Reply
In its response, DESE outlined steps it took—such as increasing staffing and revising policies and procedures—to address timeliness issues. We acknowledge these efforts. However, because these actions occurred after the close of the audit period, they do not affect the accuracy of our conclusion that, during the audit period, DESE did not resolve a substantial number of special education complaints within the required 60-day timeframe.
DESE attributes many of the delays to an increase in complaints since 2017, further exacerbated by the COVID-19 pandemic. While our audit report already acknowledges these challenges, it is important to emphasize that the Individuals with Disabilities Education Act does not provide exceptions to the 60-day complaint resolution requirement due to increased workload or staffing constraints. The obligation to investigate and resolve each complaint promptly remained in force during the audit period, regardless of external factors. We also note that these extenuating circumstances do not address the impacts on or needs of caregivers or students who are harmed by these delays.
Additionally, in accordance with generally accepted government auditing standards, we asked DESE about any ongoing or prior audits related to our audit objectives. Through this process, we became aware of the review conducted by the US Department of Education’s Office of Special Education Programs (OSEP), which did not issue a report until January 16, 2025—approximately six months into our audit. OSEP’s review covered a different timeframe and relied primarily on DESE’s self-reported data from earlier years. In contrast, our audit was based on direct testing of complaint files from the PRS online complaint portal for the period July 1, 2021 through June 30, 2023. OSEP’s report does not provide detailed information on the specific nature or the extent of delays in resolving special education complaints. Our detailed analysis offers deeper insight into the timeliness challenges DESE faced during the audit period.
Based on its response, DESE is taking measures to address our concerns regarding this matter. As part of our post-audit review process, we will follow up on this matter in approximately six months.
See Appendix B for more information on program improvements that DESE made and reported to us.
| Date published: | August 26, 2025 |
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