A Review of the Special Education
Integrated Monitoring Process
BIE Special Education Academy
September 12-15, 2011
Tampa, Florida
Overview
• The BIE must:
– monitor the school’s implementation of Part B,
– enforce Part in accordance with the provisions of
34 CFR 300.604(a)(1), and (a)(3), (b)(2)(i) and
(b)(2)(v), and (c)(2)
– Annually report on performance under Part B.
Authority to Monitor
• IDEA, 20 U.S.C. 1400 (d)(1)—provides federal
funds to help states in educating children with
disabilities and requires states to comply with
IDEA requirements
• Section 616—provides focus
– Improving education results/functional outcomes
– Ensures that state meet program requirements
Purpose of Monitoring
• Improve educational results and functional
outcomes for all children with disabilities
• Ensure that program requirements under Part
B, with a particular emphasis on those
requirements that are most closely related to
improving educational results for children
with disabilities are met
Monitoring Priorities
• Provision of FAPE in the least restrictive
environment
• General supervision (including child find,
effective monitoring, use of resolution
sessions, mediation, and a system of transition
services)
Monitoring Schedule
• September to October 2011—58 on-site visits
• November 2011—Desk Audit (Indicator 11 &
13)
• December 2011—Written notification of
finding(s)
• January 2012—School implements required
action plan prescribed by the BIE/DPA to
correct finding(s) within required timelines
3 Components
1. Desk Audit
 Indicator 11—timely initial evaluations
 Indicator 13—secondary transition
2. Focused Monitoring
3. Other
 ISEP
 Dispute Resolution
 Parent Concerns
DESK AUDIT—Indicator 11
(timely initial evaluations)
• Part B Requirements:
– Initial evaluation must be conducted within 60days of receiving parent consent
• Indicator 11 target is 100% compliance
Data
• Data will be reviewed through an annual desk
audit in NASIS:
– Signed parent consent form to evaluate
was received by the school
– Signed determination of eligibility form
within 60-calendar day timeline
Selection Criteria
• All BIE-funded schools with an academic
program will be monitored through NASIS
every November
Process—School responsibility
1. upload two signature documents for each
initial evaluation into the NASIS Special
Education Module
– Signed Parent Consent form
– Signed Determination of Eligibility
Process
2. DPA responsibility
• Written notification to all schools—September of each year.
• WebEx training on October 18, 2011
• Electronic desk audit form will be posted on BIE
website/Special Education.
3. Schools complete the electronic desk audit form with
the following information:
• School Name
• Number of Parent Consent received for initial
evaluations
• School Contact Person
Process
4. Schools to submit desk audit form to
BIE/DPA by November of each year.
5. DPA conducts desk audit and verifies
documents uploaded in NASIS.
Tips for Desk Audit Form
• Enter the NASIS number
• Enter Zero or 0 if the school had no initial
evaluations on the Desk Audit form.
DESK AUDIT—Indicator 13
(secondary transition)
• Purpose to ensure students
• Files reviewed in NASIS
• Indicator 13 target is 100% compliance for all
high schools
Data
• Part B requirements:
 For students 16 and older, or will turn 16 during the duration of this
IEP, there are appropriate measurable post-secondary goals that
cover education, training, employment, and, as needed independent
living skills. CFR300.320(b)(1)
 Post-secondary goals updated annually. CFR300.320(b)
 Evidence that post-secondary goals were based on age appropriate
transition assessments (CFR300.320(b)(1)
– Transition services that will reasonably enable the student to meet
his/her post-secondary goals. CFR300.320(b)(2)
– Course of study that will reasonably enable the student to meet
his/her post-secondary goals. CFR300.321(b)(2)
Data
• Evidence that student was invited to the IEP meeting when
transition services were discussed. CFR300.321(b)(1)
• If appropriate, evidence that a representative of any
participating agency was invited to the IEP meeting with prior
consent of the parent(s) or student who has reached the age
of majority. CFR300.321(321)(b)(3)
• NO later than one year before the students reaches the age of
majority under State law, a Statement that the child has been
informed of his/her rights on reaching the age of majority is
included. CFR300.3219321
Process
1. March—all high schools receive written communication
from BIE/DPA for Indicator 13 desk audit
2. WebEx training—October 18, 2011
3. BIE/DPA will post desk audit form on BIE website.
4. DPA will conduct the desk audit of 8 items
FOCUSED MONITORING
Data Presentation
• Indicator 15—timely correction of
noncompliance
• Schools must meet target at 100%
• Noncompliance must be corrected as soon as
possible and no later than one-year of written
notification
• Noncompliance not corrected within one-year,
enforcement action is applied
Selection Criteria
•
•
•
•
58 schools selected each year
Top 10 reading/math proficiency scores
Low 48 reading/math proficiency scores
Not on a corrective action plan
Process
• Desk Audit—Special Education Data Summit
– Review of special education data
– Identifies regulatory requirements in need of
improvement
• Data Analysis
– Focus of monitoring activities identified
• xx
Targeted Technical Assistance
• Helps schools to correct noncompliance,
improve results, provide promising practices,
and dissemination information
– National Level
– Regional or ELO level
– School level
– Individual students with disabilities
– Other resources
Roles and Responsibilities
• Schools—correct noncompliance; correctly implement
specific regulatory requirements; provide special
education/related services
• Education Line Officer—knowledge of school
noncompliance; provide guidance to schools; follow
through on correction process
• Grantee/School Board—knowledge of school
noncompliance; knowledge of enforcement action;
provide support and direction for school
• BIE/DPA—verify schools correct and implement
specific regulatory requirements; report continuing
noncompliance in annual APR and PIAP quarter reports
Identifying Noncompliance by Other
Activities
•
•
Indian Student Equalization Program (ISEP) 25CFR Subpart D - Accountability
Special Education - Education Line Officer (ELO) Responsibility
• Each school must maintain and individual file on each student receiving
basic educational and supplemental services.
• ELO is responsible to conduct an on-site ISEP Special Education
Certification file review.
• The ELO verifies and certifies that the students with disabilities attending
the school are receiving special education services as indicated on the
student’s Individualized Education Program (IEP).
• School is required to have 100% compliance on the ISEP special
education certification roster. If ELO identifies noncompliance items,
must inform the school that they have 30 calendar days from the date of
the review to correct noncompliance item(s).
Identifying Noncompliance by Other
Activities
• Verification of Correction
• School required to correct noncompliance and submit the
revised certification roster to their line officer.
• ELO verifies that individual correction(s) have been
completed. The ELO signs and dates a statement verifying
that corrections of special education noncompliance
findings have been corrected.
• ELO submits the ISEP Special Education Certification roster
with or without the signed statement to the Division of
Performance and Accountability (DPA) on or before
December 31 of each year.
Identifying Noncompliance by Other
Activities
• Special Education—Division of Performance and Accountability
(DPA) Responsibility
• Written Notification of Noncompliance
• DPA will review the submitted rosters to determine if there
are noncompliance items that the ELO was unable to verify
as corrected within the 30-day timeline.
• DPA will send a notification letter of noncompliance to the
school, Education Line officer, and the Associate Deputy
Director for that region no later than January 31.
Identifying Noncompliance by Other
Activities
• Corrective Action Plan (CAP)
– The school will have one year from the date of the notification letter
to correct ISEP noncompliance item(s) and complete a Corrective
Action Plan. The school will submit the completed CAP to DPA.
– Upon receipt of the CAP the DPA will utilized the Native American
Student Information System (NASIS) to verify that the individual
findings of noncompliance have been corrected. Utilizing the
submitted CAP the DPA will notify the school of close out(s) of
noncompliance item(s).
– DPA will review updated (NASIS) to ensure that the school is correctly
implementing the specific IDEA regulatory requirements.
Corrective Action
Verification of Correction
OTHER—DISPUTE RESOLUTION
• Dispute resolution findings are findings of
noncompliance
• Parent or school can file due process
OTHER—PARENT CONCERNS
• Parent reports dissatisfaction with their child’s
special education program, investigation is
completed. As a result of the investigation,
findings of noncompliance may be identified
CORRECTION OF NONCOMPLIANCE
OSEP Standard
• One-year to correct noncompliance identified
• Correct at 100%
• Principle: students with disabilities are
entitled to receive special education and
related services in a timely manner
Written Notification
• Timeline to correct noncompliance begins the
date DPA informs school that they are in
noncompliance
School Responsibility
• Correct student-specific finding at 100% as
soon as possible
• Correctly implement the specific regulatory
requirements of IDEA
Verification of Correction
• BIE/DPA responsibility:
– Ensure school corrects at 100%
– Ensure school correctly implements the specific
regulatory requirements of IDEA based on the
review of updated data and other documents
– Timeline: within one-year of identification
Updated Data
• Updated data examined in NASIS to determine
if school had correctly previously identified
noncompliance and was correctly
implementing the specific regulatory
requirements of IDEA
Summary
• Findings of noncompliance must be corrected
as soon as possible and have systems in place
at the school level to sustain compliance with
all special education laws and regulations
ENFORCEMENT
2 Enforcement Actions
1. Intensive Targeted Technical Assistance
2. Enforcement Action
Intensive Technical Assistance
• 3 webinars:
– Enforcement actions for not correcting
noncompliance
– Root cause analysis
– Specific data analysis
Enforcement Action
• Written notification
• Incremental distribution of special education
Part B funds
• School noncompliance reported to OSEP in
Annual Performance Report (APR) and
Program Improvement Accountability Plan
(PIAP)
• Continued noncompliance affects the school’s
and BIEs level of determination by OSEP
Thank You
• Dr. Eugene Thompson
• Dr. Fern Diamond