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Solutions: Attorney-Mediators
and the Change in the Method of
Awarding Attorneys Fees to Prevailing Parties

David M. Moore

Table of Contents
I. Inadequate Access: Two Proposals..............................2
II. An Overview of the Individuals with Disabilities Education Act (IDEA).
 A. History and Congressional Findings.......................6
 B. Statutory Framework of the IDEA..........................7
III. Attorneys as Mediators in IDEA Disputes.
 A. What is Mediation?......................................10
 B. Benefits of Attorney-Mediators..........................12
 C. Professional Responsibility.............................17
IV. Attorneys Fees and ÒPrevailing Parties.Ó
 A. Introduction............................................23
 B. Buckhannon v. West Virginia Department of Health and Human Resources.......................................................25
 C. Buckhannon Applied to IDEA..............................27
  1. Lay Advocates and Parent Attorneys.................29
  2. Procedural Injustice: Reaching the Agreement.......32
  3. Procedural Injustice: ÒActions or Proceedings?Ó....36
V. Conclusion
 A. Mediation...............................................40
 B. Attorneys Fees..........................................42

I.  Inadequate Access: Two Proposals.
The schools need to reach children with disabilities as early as possible because, in later life, they experience extremely high levels of unemployment and poverty.   In an often cruel cycle, there is a link between increased poverty creating an even greater risk of disability.   The Individuals with Disabilities Education Act (IDEA)  is a very important Congressional program in the special education context because it directly involves the provision of services in the classroom.  In this program, states that accept federal money must set up procedures to ensure a Òfree and appropriate public educationÓ  (FAPE) in a process filled with too much negotiations, meetings, due process hearings, and litigation.
The purpose of this paper is to discuss two proposals to alleviate the problems in obtaining a proper placement, which directs the educational progress of a disabled child under the IDEA.  The first proposal discusses the voluntary mediation provision of the IDEA and how the process can be expanded and improved through the use of attorney-mediators trained in mediation skills and knowledgeable in special education law to lead the hearings at district cost.   The other discusses the current structure of the attorneys fees provisions and the prevailing party status needed under the law to obtain them.  The proposal is to amend the law, either legislatively or judicially.
The struggle for the proper provision of special education services is a fight for the entitlement mandated by Congress with, and too often against, the limited financial resources of states and school districts.  In the school year 1999-2000, approximately $78.3 billion were spent nationwide for special education services at all levels to educate disabled children covered under the IDEA.   This number is misleading because states and the districts have to pick up the lionÕs share of these expenditures.   It is estimated that educating these children costs about 2.1 times the money it costs to educate a normal child.
 Of particular concern is the legal contentiousness of the whole process, creating a Òculture of complianceÓ where disagreements over proper placements to guide the education of children lead to acrimony, which leads to litigation, and thus reappropriating energy and resources away from providing all children a public education.   Complying with the myriad federal requirements for states and districts is more of a process in following burdensome legal technicalities than it is one of improving student performance.
On the other hand, poorer schools sometimes cannot meet the needs of these children because they are already hard hit by teacher shortages and financial woes, and are thus unable to litigate certain issues fully for resolution.   Worse yet, districts have been criticized across the nation for shirking their responsibilities by throwing children with discipline problems who may have disabilities into the juvenile court system, where the IDEA protections cannot be applied.
In addition, Congress has not fulfilled its own promise to the states.  At the initial passage of the Education for All Handicapped Children Act (EAHCA) in 1975,  Congress pledged 40% of the money needed to support these programs, but, to this date, it is only paying for about 15% of the total cost.   The federal government spent over $33 billion on education in 2000, only $6 billion of which was spent for special education.   It is ironic that while forcing this largely unfunded mandate upon the states, Congress itself has no compunction in limiting the fees it will pay to plaintiffsÕ attorneys when it has to foot the bill.
Families with lower incomes and limited educations have a harder time dealing with legal problems. According to one study, four-fifths of the civil legal needs of the poor, and up two-thirds to three-fifths of middle income persons presently go unmet.   One liberal estimate claims that at least 70% need but are unable to afford or obtain assistance.   With all the lawyers schools graduate every year,  there is only one legal aid lawyer or public defender for every 4,300 persons below the poverty line,  while there is one lawyer for every 380 Americans in the population generally.    This fact is more startling considering the fact that at least 35 million poor persons are eligible for the legal services legal aid offices can provide.   With the extremely limited funds these offices have, the attorneysÕ representations is incomplete because they have to take on many cases that are small in scope, and not cases that require more difficulty.
The serious problem of legal access for poorer families is just as true in the special education context.  Some studies have shown that as the social and economic backgrounds of families of children with disabilities slide down the scale, the more difficult it is to obtain a FAPE.    With over 6.2 million children covered under the IDEA currently,  a growth rate of 30.3% over the last decade,  that means a significant amount of families who have used or are in need of legal services.  The enforcement of the IDEAÕs provisions substantially is related to how willing the education agency is to comply and how willing the parents are to fight them if they do not, which is due in large part to the wealth of the parents.   Because of the great expense in even getting the dispute to the due process hearing stage, most disputes never go to hearing and the parents simply withdraw their complaint or request.
The inadequate access to legal services for lower to middle income families of children with disabilities can be solved by special education attorneys trained in mediation and through a less restrictive definition of Òprevailing partyÓ status.  This is so because these attorneys can use their knowledge of the intricacies of special education law and mediation skills to bring both sides together by eliciting the necessary facts and issues  to ensure a proper placement.  This should result in balancing the bargaining power that was previously tilted to the districtsÕ side.  As for attorneys fees, though addressed in the 1997 amendments to the IDEA, Congress should reexamine the law and amend it to allow the award to all Individual Education Plan (IEP) meetings and mediation proceedings.  Lastly, the current case law on prevailing party status should be reversed if Congress does not make changes on its own.

II.  An Overview of the Individuals with Disabilities Education Act (IDEA).
A.  History and Congressional Findings.
Two significant court cases provided the impetus for legislatures to pay attention to the needs of children with disabilities.  The first was Mills v. Board of Education of D.C.   In that case, a civil action brought on behalf of seven children of school age who were denied a public education in the District of Columbia school system.  The court held that it is a violation of the Equal Protection Clause of the Fourteenth Amendment to not provide the same quality of public education to all other students once it takes on the duty to educate them.
The second was Pennsylvania Association for Retarded Children v. Commonwealth of Pennsylvania, decided the next year.   In that case, the court approved a consent decree entitling disabled children to an education appropriate to their abilities and designed to improve them.   Both of these cases asserted  constitutional grounds for guaranteeing disabled children an education; both drew attention to the plight of children with disabilities.
CongressÕs purpose in the enacting of the IDEA was to ameliorate the conditions of disabled children in public education.  Before the Education for All Handicapped Children Act of 1975,  Congress found that the needs of the handicapped were not being fully met.   More than one-half of the children with disabilities did not receive Òappropriate educational services.Ó   It also found that at least one million children were not getting any public school services with their peers and, even if in public schools, were unable to reach any modicum of success because their disabilities went undetected.   In addition to the poverty of parents of children with disabilities, the families are disproportionately minorities as a share of the total covered under the IDEA.   At great expense, many families leave the public school system altogether to seek more appropriate educational services for their children.
Congress found that through the IDEAÕs provisions the roles of parents would be strengthened by assuring more Òmeaningful opportunities to participate in the education of their children [at school] and at home.Ó

B.  Statutory Framework of the IDEA.
1. The IDEA requires that any state or local education agency that accepts federal dollars must establish procedures that Òensure that children with disabilities and their parents are guaranteed É [a] free appropriate education by such agencies.Ó   A free appropriate public education (FAPE) is self-explanatory. However, there is the additional requirement that it must be Òprovided in conformity with the individualized education program (IEP)É.Ó   An IEP is a written statement for each child with a disability that is Òdeveloped, reviewed, and revisedÓ by the education agency and the parents or guardian of the child.   The two primary purposes of the IEP are to set up a formal written plan that directs the educators in implementation and for assessing the childÕs progress.
2. The IDEA requires education agencies covered under this act to establish certain types of general procedures to carry out this mandate.   These rights include access to all records, to participate in meetings with respect to the placement of their child and the provision of FAPE, and to obtain independent evaluation of the child.
3. The IDEA requires education agencies to establish procedures for settling these disputes.   In the 1997 amendments to the IDEA, Congress added the requirement that mediation be available to all parents.  Mediation, at a minimum, must be available after a hearing is requested by the parents.   The mediation must be voluntary and not used to deny or delay a parentÕs right to the due process hearing.   Mediators must be qualified and impartial, trained in mediation techniques, and not employees of the educational agency.   The state must maintain a list of mediators Òknowledgeable in laws and regulations relating to the provision of special education and related services.Ó   Costs of the mediation are to be paid by the agency.   Any agreement reached by the parties shall be set forth in a written agreement.
4. If no settlement agreement is reached at the mediation session, the parentÕs next step is the impartial due process hearing.   This hearing is much more formal than the mediation hearing because of the introduction of more procedure.  As with mediation, the hearing officer must not be an employee of the local education agency.   However, the right to bring an attorney, conduct trial-type procedures (presenting evidence, subpoena witnesses, cross-examination, etc.), and have it be on the record is protected.   Also, there is the possibility of agency review by the education agency for parties who do not get the desired result.
5. Finally, any losing party from an official hearing has the right to bring a civil action in a state court of competent jurisdiction or in federal district court.   To bring the suit, parents must first have exhausted available administrative remedies.
6. The Handicapped Child Protection Act (HCPA) of 1986  allowed courts to award attorneys fees to the parents of children with disabilities when they are the Òprevailing party.Ó  The fees awarded are to be based on the rates prevailing in the community for the quality of services furnished, but no bonus or multiplier  is allowed in the calculation.   Another restrictive requirement is that they are not awarded for IEP meetings or mediation hearings (unless ordered after the impartial due process hearing or by a court).   Lastly, if there is a written offer of settlement, the parents refuse it, and then they do no better in court, then no attorneys fees may be awarded.   The opposite is true if the parent was substantially justified in rejecting the settlement.  One final safeguard is that attorneys fees can be modified according to whether either side engaged in harassment or dilatory tactics.

III.  Attorneys as Mediators in IDEA Disputes.
A.  What is Mediation?
This section addresses mediation in general and what it can bring to special education.  The general policy argument supporting or criticizing mediation is not under this paperÕs purview, but the criticisms against mediation deal mainly with the lack of formal guidance in the statute.  It allows the parties to rush into mediation and negotiate a settlement, which in and of itself, is not a Òsufficient measureÓ of its success in providing a FAPE.
On the other hand, the benefits of attorney-mediators will be explained, where it will be shown that attorneys can bring to bear their specialized knowledge of the law and their mediation training skills to ensure a better placement.  The attorney-mediator can utilize her knowledge to help poorer families who cannot afford representation while maintaining her neutral role.  This section of the paper also addresses a few of the important ethical concerns confronting the attorney-mediator in this neutral role.  By doing so, these ethical concerns will not hinder the role of the attorney.
Many lawyers make it a major part of their practice to handle mediation and other forms of alternative dispute resolution (ARD).  Common subject areas in which these attorneys offer services are business disputes, divorce proceedings, and probate.  In fact, it is not limited to attorneys, for there are many organizational entities and solo practitioners that perform these functions without the need or benefit (or some may say hindrance) of a law degree.
The general role of the mediator is to listen to the problems of both sides, offer other possible solutions, and try to reach agreement.   Of course, not all disputes should go to mediation.  The purpose of mediation is not necessarily to reach an agreement. Some issues are too important or not factually or legally developed enough to be settled in the less formal context of a mediation hearing.   Mediation does not have the same factual presentations, evidence rules, or cross-examinations.  The only way at getting down to the crux of the matter is for the skilled mediator to facilitate the discussion.
Special education disputes are fact-intensive, and thus the abilities of formal judicial process alone in solving them may not be enough, either.   This bolsters the advantage that mediation has over full litigation.  Mediation has been successful in as high as 60% of states that have used it (that is, if success is defined as reaching an agreement).   The costs associated are much lower if handled through mediation rather than through the due process hearing.   Congress added the mediation option in the 1997 amendments to the IDEA because in the states using the procedure, litigation was reduced, thus providing a more amicable setting for parents and administrators.   The hope of Congress was that mediation would become the ÒnormÓ for resolving disputes under the IDEA.
This is the general format of a mediation, including ones under the IDEA.  1. The mediator explains his/her role and the process that will be used for the mediation.  2. There is usually more than one session to discuss or resolve all the important issues.  So, at the initial joint session, the school and parents get together and seek general information about the issues.  3. The mediator will set up private sessions, if necessary, to discuss these issues.  4. Finally, there will be a meeting to discuss other possible solutions and problems that may or may not lead to an agreement.   If not, then the process shall go on.
When Congress passed the 1997 amendments to the IDEA it did not mandate that the states pick any particular method as the best one to use.   It also did not discuss the uniform training of mediators and the information deficits of the parents in the hearings.   This is how attorney-mediators can help.

B.  Benefits of Attorney Mediators
The mediation process can take out much of the contentious qualities of the dispute between the district and parents because they are not in the same adversarial process; it is definitely less formal.   According to one survey, wealthier parents tended to perceive the mediation process outcome as fair while the poorer families did not.   The need for a fair process and outcome is essential considering that the parents and the schools must continue to work together over the years while the child is in the public school system.
Attorneys trained in special education law as mediators can break down some of the barriers of access to legal services to lower income families.  The districts are not doing the same job of that as they are in teaching the administration and the teachers the law of special education.   It has been estimated that as many as 10% of students nationwide may qualify for some set of special education services.   More than one-third of mothers of disabled children do not have a high school diploma.   An attorney can apprise the parents of the IDEA and close the gap in information that may exist.
The structural inequities in the system need to be broken down to ensure effectiveness.  There is an attempt in the IDEA for the parents to have a great deal of participation in the process, but not enough of the substance is within its provisions as to what is an appropriate placement.   The Supreme Court did not take its opportunity either in Rowley, where the Supreme Court merely set a vague minimum standard on districts to provide an education Òsufficient to confer some educational benefitÉ.Ó    The IDEA creates a system where the parents are the Òprincipal agentsÓ of the childÕs progress in meandering through the maze of provisions, in which they may lack the ability to be the Òeffective advocatesÓ in articulating the proper placement and services the child may need.   Unfortunately, this may result in a situation where parents accept compromises in the education of their child.
As a result of the parents having a lack of information in the substantive provisions of the IDEA, they seek overly restrictive placements out of fear that their children may get troubled too much by the process.   Even worse, the parents in the lower scale in the balance of power and resources may be forced into a settlement that is totally inappropriate for their disabled children.   Parents of children with disabilities may not have the educational or presentational skills to address these very specialized needs.
A diverse background of the attorney can bring much to the mediation, especially if it came through many trials in special education disputes.  This experience should be the norm to be in mediation practice.  The attorney should have a great deal of trial experience such that she can understand the roles of both sides in the mediation, i.e. the roles of advocacy and representation.   Because the mediator must help drive the determination of interests and explore possible settlement options, this is done to find possible trial outcomes.  These outcomes are the ÒBATNA,Ó or the best alternative to a negotiated agreement.   In this role, she is not the judge, but rather a counselor.   The counselor's role is not what could be termed a representation, but that of an experienced attorney engaged in the resolution of disputes in this alternative and less adversarial format.
The neutral role of the mediator will not be compromised if she is also an attorney.  According to a Michigan Ethics opinion discussing some of the ethical problems for attorney-mediators, the authors relied on the presumption that throughout the whole process the constraints of the ethics rules would be on them, and the resulting limited experience the Bar had had in disciplining them. This presumption in turn expected the attorneys dealing with unrepresented parties to have the necessary discretion to bring about a fair disposition of the issues, with no overreaching in that role.
The presence of an attorney representing both sides at the hearing does increase the perception of fairness to the parties.   Of course this perception may change if the parent is unrepresented and the only attorney in the room is the mediator.  But, that same attorney in the role of the neutral intermediary, who can utilize her knowledge in that field to maximize the negotiationÕs benefit, will appear to both sides as being able to hammer these issues out in a constructive way.  One stumbling block, however, that same survey concluded was that the presence of an attorney or lay advocate representing the parent did not increase the satisfaction with the process, agreement, or implementation.   This may be due to the added contentiousness of the mediation when a party is represented.  This situation lends credence to the purpose of this paper in that an unrepresented party in the mediation will find fairness in having the attorney-mediator move along the negotiation without the same contentiousness in having an army of attorneys gathered on both sides.
The specialized knowledge by the attorney-mediator in the law will help the quality of the final written agreement between the parties.  Christopher Moore stresses three characteristics of the written agreement that are essential for its later enforceability.   The first is the Òclarity of clauses,Ó which refers to precluding Òdiverse interpretations or misinterpretations.Ó   This entails clarifying the intentions of the parties.  The second is the degree of detail so as to make the agreement more precise.   Thirdly, there will be a clear Òbalance of concessionsÓ made in exchange so as not to appear one-sided.   Lawyers are trained to do this on a daily basis.  This makes the use of attorney-mediators more desirable than ones who do not have legal training.
As Moore has suggested, success depends on the proper balancing of power.   The parties need to have the power to influence the other side in the negotiations.  If not, then the end results will not be satisfactory, the agreement will not stand up and more conflict will result.   The various mediation schools differ as to how to enable the weaker party to influence the other party.  Nevertheless, he believes that the mediator must assist in Òrecognizing, organizing, and marshaling the existing powerÓ of the parties, especially the weaker ones.
Bush and Folger propose a transformative mediation that, they claim, provides a more concrete definition of success.
ÒA mediation is successful (1) if the parties have been made aware of the opportunities presented during the mediation for both empowerment and recognition; (2) if the parties have been helped to clarify goals, options, and resources, and then to make informed, deliberate, and free choices regarding how to proceed at every decision point; and (3) if the parties have been helped to give recognition wherever it was their decision to do so.Ó
They proposed this different philosophical approach to mediation while criticizing the Òproblem solvingÓ method and its limitations.   Some of the problems they identified are that the history and background of the mediator, who carries her interests always, necessarily influences the terms of the settlement.   Noting the Òparadox of neutrality,Ó where mediators who are there to solve problems but refrain from providing the necessary elements,  the change to the transformative approach would help define the objectives so as to improve the parties themselves from where they were at the start.   Thus, to Bush and Folger, the mediation is only successful if the parties are strengthened in Òempowerment and recognition,Ó  with no use for the mediator to influence the outcome of the mediation because it was put into the partiesÕ hands.   No matter the mediation technique or approach, the attorney-mediator can use her expert knowledge in bringing these issues to the fore.

C.  Professional Responsibility.
Lawyers have been able to control the business of law with statutes proscribing the extent to which other persons provide certain services.  The mediation practice has been regulated in the unauthorized practice of law (UPL) region through Òturf battles,Ó but the business of mediation is becoming a significant aspect of the justice system.   It is the contention of this paper that if the use of attorney-mediators can withstand the ethical concerns of not establishing an improper attorney/client relationship, this provides the strongest support that they can be useful in the special education field.
The major problem with UPL and improper attorney/client relationships in the mediation context is that the definitions vary widely across the nation.   Added to this problem is the fact that nearly all mediations involve legal issues where one or more of the parties ask questions about their legal rights and the evaluation of their respective positions.   The even bigger question is whether it is a violation of professional ethics to provide a discussion of the facts to the legal principles, and not evaluating them in the same sense as that in an attorney/client relationship.
To clarify, UPL and the establishment of an improper attorney/client relationship are separate issues.  An attorney already admitted to a jurisdiction who engages in mediation is not subject to UPL statutes, but is subject to discipline by the proper bar authority and to civil liability if during the mediation she violates the neutral role of the mediator.
The five tests commonly used by courts across the nation to find an improper attorney/client relationship in mediation are: 1. Is it Òcommonly understoodÓ that mediation is the practice in a particular community?  2. Does the client believe he/she is getting legal advice? or, Òclient relianceÓ test.  3. Is the mediator Òrelating law to specific facts?Ó  4. Is the mediation affecting legal rights?  5. Is the mediation tantamount to an attorney/client relationship?   If any of these tests are answered in the affirmative, the attorney is subject to discipline under the rules of ethics for violation and may be civilly liable for malpractice.
The ABA Section of Dispute Resolution has worked on this issue, as have many state bar associations.  The ABA has attempted to clarify some of the questions of mediation practice for attorney-mediators.  In the ABAÕs Model Standards of Conduct for Mediators,  the Comments say that the mediatorÕs role is different than that of a professional and must refrain from providing legal advice, and where appropriate tell the parties to seek it from an independent source.  It stated that mediation is not the practice of law.  In its Resolution the ABA has tried to avoid much of the problems and consequences for the attorney-mediator with respect to the phrasing of sentences that touch on legal issues.
However, the ABA is not the only entity attempting to provide uniformity to the practice of mediation.  The Department of Dispute Resolution Services of the Supreme Court of Virginia has also proposed a resolution that attempts to draw the line between a proper and improper attorney/client relationship for the attorney-mediator.   This proposal provides valuable instruction to the mediator and, if adopted by many of the states, would strengthen the argument for the use of attorney-mediators because there would be less worry of disciplinary action or civil liability.
Law schools teach future lawyers that they apply the law to the facts, but mediation practice has the differing role in that it attempts to elicit the information without finding one set to be dispositive.  The Virginia Committee recognized this role of the attorney in the mediation process, so it makes it permissible in the mediation context to evaluate broad legal principles, assess the strengths and weaknesses of the positions, or discover the barriers to settlement.
The Virginia Committee did draw the line at certain points where the neutral role of the attorney-mediator would be crossed.  It resolved that the mediator could not, when asked these questions in the mediation, predict specific resolution of legal issues, because this is the function of a partyÕs attorney.  Doing so might give rise to an attorney/client relationship and break the neutrality of the proceedings.
According to one survey, the problem of UPL by mediators is not so widespread as to question the practice altogether.  42 state bar associations reported that the mediators licensed in their states do not have to be attorneys or even in the legal field.   It also reported that only four states responded that they had known of instances in which a mediator was accused of UPL.   Though this is not the most scientific survey, it speaks to the fact that attorneys who practice mediation can distinguish the differences between an attorney/client relationship and violating the neutral aspect of the mediation.
Attorney-mediators can utilize their knowledge of special education law in a way that does not violate their professional ethics.  The Virginia Committee has come to the conclusion that the attorney can be a legal resource to the parties and give procedural information.   They can also provide declarative statements of established law.   Also, the mediator can recall past experiences in a particular type of case as an illustration, as long as not it is not stated to be a prediction of future results.   The limits are that the attorney must avoid being too specific and crossing the line into providing advice in these statements.
As an example, one of the techniques of mediators is to ask reality-testing questions to the parties.   In this ÒindirectÓ procedure for discovering interest, hypothetical possibilities presented to the party can help the mediator gain an indication as to whether the proposal is more satisfactory than other proposals and outcomes.   If the mediator does so in a way that only raises these legal issues and not predicting the legal resolution of said issues, the open-endedness will also not violate ethics rules.   It gets the metaphorical ball rolling in the discussion because the important legal aspects will be drawn out for the parties to know, giving them the opportunity to evaluate for themselves their respective positions.
The importance of the written settlement agreement is that it is enforceable as between the parties.  When the mediator memorializes the agreement in a writing, she must write down the terms that the parties have used to make up the agreement; the mediator cannot add terms that are not consistent with the partiesÕ agreement or add substance that could break the neutral role of the mediator.   As discussed earlier,  the attorney-mediatorÕs knowledge of both special education law and the general law of contract will structure, as opposed to composing, the contract in such a way to make it more enforceable.
However, the ethical question, then, is how the mediator speaks about the contract.  The mediator will not be subject to any discipline if she does not guarantee or predict its enforceability in a court of law.  The mediator can say that the particular stateÕs contract law will apply.   In dealing with unrepresented parties, it is ÒcommonplaceÓ for the attorney-mediator to make sure that both sides know what is in the agreement and what they are gaining and relinquishing.   If the parents challenge the agreement or how the district is complying (or not complying) with the agreement, they do Òface high hurdles,Ó which they need to understand from the outset; the parties need to understand the stakes.   This is consistent with the ability of the mediator to be a legal resource.   The ABA is in agreement with the Virginia Committee on this point.
The ABA is rightfully concerned with the phrasing elements that are inherent in the mediator role when discussing legal issues, however.  Its resolution states in the comments that it was written so as to avoid all these problems of phrasing because they add a significant burden to the mediator in that one phrase in a certain context is correct, but not in another.   The ABA believes that this would be harmful the parties.   However, a trained attorney-mediator will know the limits to the discussion of these issues and adjust accordingly.  Also, the fact that there are so few cases on the subject lends support to the fact that it may not be such a problem, even for mediators who are not attorneys.
One such qualification that already exists to prevent this possibility is the mediatorÕs discussion of her role in the process.  The mediator is responsible to inform the parties her role in the process and the limits.  Namely, this is that she is not there to provide legal representation, the agreement may affect the partiesÕ legal rights, and the right to seek legal counsel is always present.   As long as the ÒadviceÓ is in the context of the intermediary role, assisting the negotiations, and providing feedback, it should not be UPL.

IV. Attorneys Fees and ÒPrevailing Parties.Ó

A. Introduction.
ÒIt was never Congressional intent that taxpayer dollars be spent on hiring attorneys to fight parents in long and expensive court battles that will keep children from getting services.Ó   There are number of possible ways to solve this problem.  It has been suggested that states should adopt legislative exceptions authorizing non-attorneys to represent parents at due process hearings under the IDEA.   Or, the Supreme Court should redefine what section 1415(h)(1) really means with respect to the role of the lay advocate at the hearings.   However, Congress did in fact authorize the award of attorneys fees and must, therefore, seek to discover ways to strike the proper balance.
There needs to be a balance in their award because sometimes seeking a proper placement requires representation by attorneys.  If attorneys cannot make it a profitable part of their practice, there is not the incentive to take on special education cases. The need for some sort of fee shifting is apparent in the fact that monetary damages can only be awarded in very special circumstances at the moment, such as extreme danger to the child or bad faith dealings.   They are, as yet, not available directly under the IDEA.
In Smith v. Robinson,  the Court held that attorneys fees were not recoverable under the IDEA.  It also held that it was the exclusive source of remedy for parents in the special education context, unless the provisions did not fit the situation and another statute provided relief, such as the Rehabilitation Act of  1973.   Thus, litigants cannot use ¤ 1983 actions for damages.   Congress responded to the attorneys fees provision with the enactment of the Handicapped Children Protection Act of 1986.
The purpose of this section is to illustrate the procedural problems under the current structure of the IDEA.  This concerns how the Supreme Court has altered the process in ways that makes it more difficult for attorneys to get paid, but more importantly harms substantive rights through too much process and procedure.  The cases illustrate the problems, giving the conclusion that either the Congress should amend the IDEA or the courts should redefine the common law with respect to prevailing party status.

B. Buckhannon v. West Virginia Department of Health and Human Resources.
This recently decided case has already significantly altered the field of civil rights law.  Buckhannon Board and Care Home, Inc. operated assisted living residences for senior citizens and the disabled.  It failed an inspection by the West Virginia fire marshalÕs office.  The rule at issue required that all residents be capable of Òself-preservation,Ó which is the ability to move themselves from dangers such as fire.   The facility was ordered to close down within 30 days.  Buckhannon brought suit in federal court against the State, two of its agencies, and 18 individuals seeking declaratory and injunctive relief under the Fair Housing Amendments Act of 1988 (FHAA), and the Americans with Disabilities Act of 1990 (ADA).   The State and its agencies had agreed to stay enforcement of the cease and desist orders pending resolution of the case, at which time discovery began.
However, in 1998 the West Virginia Legislature enacted two bills eliminating the Òself-preservationÓ requirement and the defendants moved to dismiss the case for mootness.   The motion was granted because it found that the 1998 legislation had eliminated the provision at issue, leaving no sign that the legislature would repeal the laws.   Buckhannon requested its attorneys fees as the prevailing party under the FHAA because it had achieved the desired result in that the lawsuit brought about a voluntary change in the defendantÕs conduct.   The Court took the issue because of the splits in the Circuits as to the proper definition of Òprevailing parties.Ó
Noting the ÒAmerican Rule,Ó where parties are required to bear their own costs of the litigation, unless a statute authorizes the shifting of attorneys fees, the Court viewed Congressional intent of ¤ 1988  only to permit the award when a party has prevailed on the merits of at least some of their claims.   The former method of conferring prevailing party status was known as the Òcatalyst theory,Ó where the plaintiff could get attorneys fees if she instituted an action which eventually led to the desired result.   The Court also cited its case law as requiring settlement agreements enforced through consent decrees as the basis for an award of attorneys fees.   Therefore, the Court held Òthat enforceable judgments on the merits and court-ordered consent decrees create the Ômaterial alteration of the legal relationship of the partiesÕ necessary to permit an award of attorneys fees.Ó   Future cases, though accomplishing what the plaintiff may have wanted, need to have the Òjudicial imprimaturÓ on the settlement, verdict, or ruling.

C. Buckhannon Applied to IDEA.
There is still some disagreement whether the decision in Buckhannon even applies to the IDEA.  The La Grange court held that it does not because of Òcritical distinctions in the text and structure of the IDEA.Ó   Noting that the Seventh Circuit has yet to say whether Buckhannon applies to the IDEA, the court found that because, unlike the ADA or the FHAA, the IDEA specifies many different ways to get attorneys fees. This garners the conclusion that prevailing party status should be determined a different way.   The Second Circuit ruled the opposite way, reasoning that since the decision in Buckhannon was construing ¤ 1988,  and the IDEA was written to conform with the decision in Hensley v. Eckerhart,  Congress intended Òprevailing partyÓ to have the same meaning.
The E.M. v. Millville Board of Education  decision contains reasoning that the courts should consider.  In that case, L.M., an autistic student, attended kindergarten and first grade classes in the Millville School District.  At the IEP meeting, the District proposed transferring L.M. to another school to attend it in a regular classroom setting with some resource center support.  E.M. wanted the child to remain at the school in the regular classroom setting, which was denied by the district.  E.M. requested mediation.  The parties agreed to continue L.M. in the same school and the district was to provide L.M. with a personal aide and additional support from the districtÕs in-house program to develop L.M.Õs communication skills.  E.M. thus received nearly all of the demands requested.
Considering that settlement conferences and mediation hearings are similar, it reasoned that to allow attorneys fees for one but not the other is inconsistent with the overall purpose of the IDEA.   Say, for instance, the parents engage in mediation hearings with the district, do not reach a settlement, and win at the impartial due process hearing.  The attorney can collect fees, including the representation at the mediation hearing.  If there is a settlement, the attorney gets nothing, unless by prior agreement.  The district judge disliked the idea that it would become a mechanical exercise to request a due process hearing during the pendency of the mediation.
This is also true because in many states parents can engage in mediation hearings with the districts without first requesting a due process hearing.  If they request a due process hearing, the attorneys can usually get their fees for the work performed in mediation.  The parents would only request the mediation without the due process hearing because they could not afford it.  Thus, the parents would have to request the due process hearing and prepare to incur those costs first.   Lastly, the judge in E.M. worried about the prolonging of litigation in order to get the fees from the representation.   If they were recoverable from the earlier stages as well, both sides would have an incentive to settle at this time.   However, Congress spoke directly to this issue in the 1997 Amendments to the IDEA and decided not to allow the award.

1. Lay Advocates and Parent Attorneys.
Neither Congress nor the Supreme Court have spoken to the issue of the extent to which advocates for parents who are not attorneys are allowed to play in the mediation or due process hearing.   Section 1415(h)(1) of the IDEA grants the party to a due process hearing Òthe right to be accompanied and advised by counsel and by individuals with special knowledge or training with respect to the problems of children with disabilitiesÓ (emphasis added).  The question is important because it can significantly alter the representation for lower income families of children with disabilities.
One significant case dealt with a non-attorney who possessed special knowledge and training in special education law who was brought before the Board on the Unauthorized Practice of Law for her representation of families of children with disabilities in due process hearings convened by the Delaware Department of Public Instruction.   Marilyn Arons and Ruth Watson are the founder and Executive Director of Parent Information Center of New Jersey, Inc., a non-profit organization that provides advice and counsel to families in the special education arena.   The Court held that section 1415(h)(1) could not be interpreted as granting a right to lay representation.   The lay advocates argued, unsuccessfully, that the IDEA permits their representations because it preempts any state law proscription.   The Court reasoned that the legislative history suggested that the lay advocates role was to be more advisory than representational.   This means that the lay advocates do not get to, say, cross-examine witnesses, present evidence, etc.
Arons had fought for her fees as that an attorney would get for a previous ÒrepresentationÓ of families.   The result was successful for the parents in New Jersey, where the law allowed non-attorneys to represent parents in the due process hearings.  That court held, however, that the payment of legal fees to attorneys and not those of the lay advocate were intended by Congress.
Seven and Zirkel point out that limited data exists to show how often attorneys represent parents at the due process hearings; there is even less for the use of lay advocates.   In addition, the law of special education is more difficult for the general practitioner due to its Ònuances,Ó and surely nearly impossible for parents to conduct these processes pro se.   They rightly believe that the attorneys fees provision of the IDEA weakens the financial incentive for attorneys to take the cases, especially the ÒborderlineÓ cases, where the facts and law are such that the lawyer is not willing to risk it.
Yet another blow to the advocacy of disabled children is when the parents take on more responsibility for their childÕs education.  As a matter of first impression, the Third Circuit held that parents, one of whom was an attorney, could not collect attorneys fees for the representation of their own child at impartial due process hearings.   In Doe, the parents had to appeal an adverse decision from the hearing office, win at the Maryland Office of Administrative Hearings, and collect the expenses they incurred providing services elsewhere.  The Board of Education did not comply with that order, so the parents filed suit in court, whereupon the Board agreed that it would reimburse for the alternate program and pay expert fees.  This amounted to over $12,000.  The parents were not awarded the attorneys fees for the services Mr. Doe incurred.
In upholding the denial of attorneys fees, the court of appeals reasoned that fee-shifting statutes are meant to Òencourage the effective prosecution of meritorious claims, and that they seek to achieve this purpose by encouraging parties to obtain independent representation.   It felt that there was an absence of independent judgment with respect to his own child out of fear that the case would be litigated by Òan irrationally emotional attorney-parentÓ who would ÒbungleÓ the proceedings.
The court was correct in suggesting that an independent voice should be heard by parents so that they are not driven by their own emotions, but a problem may exist in future cases where no other attorney is willing to fight it out in the more borderline case.  The Court borrowed much of the reasoning of Kay v. Ehrler,  where the plaintiff-attorney acting pro se was denied fees under the Civil Rights AttorneyÕs Fees Award Act.  Doe has been followed as well.   Though Doe was not acting pro se, the analogy to parents was extended to the IDEA in the narrow Òspecial circumstancesÓ doctrine.   This judicially-created doctrine is used by courts to vary the statutory language where the result may not be in accord with legislative intent.   Perhaps what is troubling is that Congress did not speak to the possibility of attorney-parents.  The court then wrote new law where the existing language did not suggest one way or the other that the omission was intentional.

2. Procedural Injustice: Reaching the Agreement.
As stated earlier, the IDEA is heavily loaded with the procedural aspects, but as to substance is severely lacking.    But, even in these codifications, there will exist highly technical irregularities that will provide certain injustices to families of children with disabilities as it relates to being granted attorneys fees.  The irregularities come as the result of the competing goals, unfortunately, in providing a FAPE and getting attorneys fees.
In J.S. & M.S. v. Ramapo Central School District,  Jeffrey, an eighteen year old covered under the IDEA, had been revealed to have had a fifth grade reading level and severe language deficits in his ninth grade IEP.  He did not qualify for remedial reading because he did not read poorly enough (ironically, he would be able to graduate at the current track he was in).   After another couple of years with limited improvement, Mrs. S. requested a due process hearing for reimbursement of the costs of sending Jeffrey to a private school.   Later that year, Mrs. S. and the district had settled during the pendency of the due process hearing but also after the districtÕs Committee on Special Education (CSE), an entity of the district that ensures compliance with special education statutes, finally gave in to the parentÕs demands.   All of this took well over a year to reach this point in the process.
The courtÕs holding illustrates that the true problem with the enforcement of these rights is that the process is overly technical.  It held that private settlement agreements do not confer prevailing party status.   The dispositive technical foible rested upon where the parties read the agreement.  In Jose R. v. Joliet Township H.S. District 204,  a child with learning disabilities and emotional disturbances and his parents engaged in mediation, where an agreement was reached.  The agreement was read into the record before a hearing officer a week later.  The court ruled that the plaintiffs had achieved prevailing status as a result of the mediation, but only because of this single reading.   But in J.S., the hearing officer was not asked to give his opinion or affirm the settlement.
Upon rehearing, however, the same judge in Jose R. changed his mind as to whether the mere reading of the mediation settlement could confer prevailing party status.   Arguably, the differing result came because the prior procedural posture was that for a judgment on the pleadings for the District, whereas this rehearing was for a summary judgment, a higher standard.  The memorandum order and opinion reversed course on the extent to which the hearing officer approved the mediation settlement.
The judge held that that did not make it a consent decree which conferred prevailing party status.   The judgeÕs language tends to show that if the hearing officer did in fact approve the settlement, it may confer status.   In P.O. ex rel. L.T. v. Greenwich Board of Education,  the court stated in dicta that this result should never be reached because of the seemingly small nature of going about it.  The author tends to agree in the sense that mere de minimus procedural changes should not be the deciding factor for the award of attorneys fees.
A district court in the Ninth Circuit used an interesting approach to allow the parents to get their attorneyÕs fees in the private settlement with the district in Ostby v. Oxnard Union High.   The child had a form of autism and serious emotional disturbances, which caused her to be hospitalized numerous times due to violent outbursts at school.  The parents and her attorney filed for a due process hearing pursuant to the IDEA.  At the mediation hearing, the parents and the district reached an agreement under which the parents got much of what they requested.  The agreement was silent as to attorneys fees.  OstbyÕs attorney requested $39,000 in fees, the district offered $15,00 at a later date.  The parents filed suit.
In the order denying the defendantÕs motion to dismiss, the judge considered the OstbyÕs prevailing party status.  Following Ninth Circuit precedent in Barrios v. California Interscholastic Federation,  this court held that since a private settlement agreement could be enforced in a court, they were prevailing parties under the IDEA.   It is unclear whether this holding will stand in the long run, however.  The Ostby judge cited the Barrios case as claiming that BuckhannonÕs language defining prevailing parties as only occurring when he or she receives a favorable judgment on the merits or by a consent decree as Òdictum.Ó   If the Supreme Court did not intend that to be dictum, then the Ninth Circuit is ignoring clear precedent.
An equally troubling example of the overly technical posture of the courts and the high costs associated with the IDEA is present in John T. v. Delaware County Intermediate Unit, No. CIV. A. 98-5781.   In that case, a first-grade student with Down Syndrome left a parochial school to attend public school, but had rough times with the placement.  The parents withdrew him back to the parochial school.
The tortured procedural posture is twofold: the plaintiffs persuaded the court to issue a preliminary injunction against the DCIU, ordering it to provide John T. with special education services; the plaintiffs also pursued administrative review of JohnÕs proposed IEP,  which they initially won, but which was reversed as a lawful IEP.   The preliminary injunction was never converted to a permanent injunction because of the administrative reversal and the aborted appeal of the DCIU from the preliminary injunction.  By September, 2001, John had returned to public school.  A couple days later, the court issued two orders, one which found the DCIU in contempt for failure to comply with the preliminary injunction, the other vacating the preliminary injunction for changed circumstances.
The strategic disaster for the plaintiffs was when they filed for a voluntary dismissal in addition to their attorneys fees.  The court held that all they had won was the preliminary injunction and nothing else on the merits.   The parents obtained much of what they had requested, but had to go through many different stages to get there.   The ultimate problem with the decision is that there had to be an extensive fight in both court and administrative hearings to reach the stalemate, where the parents got much of the relief but no decision on the merits, or even the likelihood of getting one for the change in circumstances.   Since the court dismissed the case with prejudice, the plaintiffs could not be prevailing parties.   In the end, the plaintiffs had to fight extremely hard for their child, but got deep in debt to do it.  The attorneys racked up fees in excess of $136,000.

3. Procedural Injustice: ÒActions or Proceedings?Ó
Another aspect is the split concerning what the meaning of an Òaction or proceedingÓ is under the IDEA.   If the procedure used by the parents as mandated by the state law is not considered one, the prevailing parents may not be able to be awarded attorneys fees.
In Megan C. v. Independent School District No. 625,  the parents and attorneys brought an action in the district court for the award of over $19,000 in fees.  The plaintiffÕs lawyer at the time filed a complaint with the Minnesota Department of Children, Families and Learning (MDCFL).  The complaint was filed pursuant to 34 C.F.R. ¤ 300.662  alleging violations of the law in the childÕs placement.  But, while the MDCFL was considering the matter, an IEP meeting was convened.  Megan C. agreed to the placement a couple of months later.
The MDCFL issued its final determination two days before Megan C. approved the new IEP.  It found for the plaintiffs on many of the violations alleged.  It ordered the district to reconvene another IEP team and an independent evaluative assessment for the new placement.   The independent assessment took over a year to be completed.  Once completed, the new IEP meeting took place, which was then refused by the plaintiffs.  The MDCFL met again and ordered the district to revise the IEP one more time.
The award of attorneys fees hinged on the definition of Òany action or proceedingÓ in section 1415(i)(3)(B).  Noting that there exists two separate enforcement mechanisms under the IDEA, the complaint resolution procedure (CRP) and the impartial due process hearing, the court held that Òany action or proceeding brought under this sectionÓ only applies to impartial due process hearings in subsection (f), the opportunity to appeal to the SEA from a decision of the local agency under subsection (g), and for civil actions.   The clear intent of Congress, it surmised, was due to the deletion of the phrase Òbut shall not be limited toÓ from section 1415(b) with respect to the actions or proceedings covered under the IDEA.   This is so because the implementing regulations for section 1415(f,g,i(2)) are set forth in 34 C.F.R. ¤¤ 300.506-300.515 as an Òexclusive list;Ó the CRP implementing regulations in 34 C.F.R. ¤¤ 300.660-300.662 are separate.   The former section guarantees the right to an attorney, to cross-examine witnesses, and to present evidence, while the latter is silent as to these rights.   The court also found that the CRP procedures, which previously derived its authority from the predecessor of the IDEA, was transferred to the Elementary and Secondary Education Act of 1965 in 1993, thus guaranteeing a different set of rights.
Another court in the Eastern District of New York recently followed much of the reasoning of the Megan C. Court, but also provided more policy reasons for not including CRPs as an Òaction or proceedingÓ under the IDEA.   It held that if the CRP was an action or proceeding for attorneys fees, the implementing regulations would have a similar provision to that of section 1415(i).   ÒBecause the procedures required in the context of a due process hearing are not necessary in a CRP, the CRP is a less formal and less adversarial process.Ó   This is so because the CRP allows for poorer families to have their complaints heard without having to incur the same legal fees, if any, through the administrative review process.
The opposite conclusion was reached in Lucht v. Molalla River School District.   In that case, the parents of an autistic child followed OregonÕs CRP procedures, which resulted in an order for more IEP meetings to address the errors it had found in the childÕs placement.  When the parents sought attorneys fees incident to those IEP meetings, the Court held the CRP was an action or proceeding under the IDEA.
The court of appeals read the language (or lack thereof) differently than the Minnesota and New York District Courts.  It noted that if Congress did not intend for attorneys fees to be available only for cases involving an IEP meeting ordered by an impartial due process hearing under section 1415(f), Òit could have and would have written the statute more narrowly to say so.Ó   The key word was ÒanyÓ under section 1415(i)(3)(B), which is broader language to show that Congress intended more than one proceeding that allows attorneys fees.   Where the Minnesota and New York courts did not find the CRP under section 1415, this court found that the CRP is governed under subsection (b)(6),  which provides the right to an impartial due process hearing under subsection (f)(1) for such complaints.   Parents would have to go through the more litigious avenues of the due process hearing procedure to collect their attorneys fees.   In other words, it would be circuitous to force parents to use the CRP, not find satisfaction, and start again through the due process hearing.
This crucial distinction in what is covered under subsection (b)(6) shows the importance of CongressÕs drafting of the statute.  The Lucht decision found that nothing in the statute or regulations pointed to the allowance of attorneys fees,  while the Megan C. and Vultaggio courts read the text much more narrowly.  A bare reading of the statute shows that both results are possible.  Both opinions are persuasive.  In fact, if both readings are possible, then Congress did a poor job in drafting the statute.  The Supreme Court or Congress must decide this issue.

V.  Conclusion.
A.  It is not the intention of this paper to sound the horns for more and more government intervention in the field of special education so as to wrestle control from the local and state education providers.  Rather, the purpose is quite narrow: to fill in a few holes that Congress and the Supreme Court left in drafting and interpreting these statutes.  If the government is going to involve itself in these matters and make it an entitlement, it should make sure that the program is carried forward in a responsible way in both cost-effectiveness and the most important issue of all, a free and appropriate public education.
The role of mediation may play an even bigger role in special education disputes.   However, if Congress is so impressed with the results of mediation as a cost-saver, it should be more concerned with ensuring that it is used properly in all states for a proper placement.  Maybe Congress does need to bring more uniformity to the process.   This paperÕs main focus as to mediation was to get attorneys involved in the process, and is thus a part of that movement.
One worry is that the increased role of mediation will not bring better services and make the process a whole lot slower in resolving disputes.   Perhaps the process will always be fraught with problems because both sides are naturally at odds.   This does not mean, though, that making calculated changes in certain substantive and procedural areas could not increase the effectiveness of the mediation.
The law of contract should not be the decider; the IDEA should be.  The author agrees with MarcheseÕs proposal.  He says that the courts should have more scrutiny over the settlement agreements in mediation, because judicial deference makes no sense Òwhere statutory goals of appropriateness and restrictiveness are at stake.Ó   Even though the agreements reached in mediation hearings are enforceable contracts, they come as the result of a federal entitlement.  Some new substantive law needs to address this concern.  For the time being, attorney-mediators can solve this problem.
Attorney-mediators knowledgeable in special education law and trained in mediation skills can play an extremely important role in fulfilling this purpose.  As stated earlier,  mediation is not for every case.  The rush to mediation may not be effective or even possible in the hardest disputes.   The role of the attorney-mediator is not the stop gap solution for IDEA disputes.  It can, however, be instrumental in settling the problems discussed in this paper.  While not going so far as to suggest that attorneys be provided to all parents at the mediation and due process hearing stage at district cost, the responsible method would be to improve the process Congress set out in the IDEA.
Trained attorneys bring to the mediation table their skills in assessing legal points, both factually and legally.  They can craft better settlements, which is essential considering that state contract law applies to the written agreements.  Finally, their knowledge in the law can inform all parties what is necessary to craft a good agreement for a better FAPE.
Trained mediators bring to the IDEA dispute the chance to address issues and concerns that the parties have.  There will not  be the same adversarial nature that plagues many proceedings.  Finally, there will be better agreements because the parties, especially the parents who lack other legal services, will be involved in a process that encourages strengthening positions and bringing the best out of all sides.

B.  There remains many unsettled issues as to attorneys fees.  BuckhannonÕs true significance has yet to be seen.  Will it have a devastating effect on the enforcement of civil rights?  For IDEA disputes, what effects, if any, will it bring to prevailing party status?  The likely result will be that it will apply to the IDEA.  What occurs with respect to lay advocates is unclear.  How the courts deal with the issue of CRPs and mediated settlement agreements is also unclear.
Certain procedural postures should not have to be taken in order to get the award of attorneys fees.  The result, whatever Jose R. tells us, should not be according to a mere reading of an agreement into the record.  This result will cause there to be the initiation and the convening of impartial due process hearings at a heavy cost, but only to read a prior mediated settlement.  One commentator has worried that this process will also cause an even bigger backlog in the courts, where attorneys will go to them seeking judicial approval of every negotiated settlement agreement.
The Supreme Court or Congress needs to decide what the function of the CRP is as it relates to attorneys fees.  Congress can do this by tightening its language to either include or exclude the CRP as an action or proceeding.  Alternatively, the Supreme Court can divine Congressional intent from the current form of the statute.  Then, Congress can leave the decision as is, or amend the statute to overrule the Supreme Court.  If it does not, the split in the Circuits will continue to yield different results.  If the attorneys can collect their fees incident to the CRP, it could resolve the dispute in a less costly fashion.  By clarifying these statutes and common law, there will be improved services to children with disabilities and their parents.