An Overview of Changes in
Special Education Service Provision
Resulting from the Passage of AB 114
California Department of Education
Special Education Division
January 2014
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Overview of Contents
• Changes to Law
• Statutory Transition from AB 3632 to AB 114
• New Responsibilities for LEAs and IEP Teams
• The Critical Role of the IEP and the IEP Team
• Funding
• How funding for IEP Mental Health Services Flows
• Recent and Current Funding Levels and Sources
• Medi-Cal and Private Insurance
• Options for Service Provision Available to LEAs
• Who May Provide Services
• Data on the Provision of Services in Recent Years
• Sources of Additional Information
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Legislation
• The 2011-12 Budget Act and AB 114 significantly
changed the way related services are delivered to
students with emotional and behavioral needs:
– AB 114 (a trailer bill to the 2011-12 Budget Act
signed June 30, 2011) eliminated the state
statutory structure for mental health service
delivery to students with IEPs through CMH
– By removing this structure, California returned
responsibility for the provision of all IEP-based
related services to LEAs, as established in
federal law (Individuals with Disabilities Ed. Act)
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Individuals with Disabilities
Education Act (IDEA)
AB 3632
34 CFR
300 et seq
30 EC 56000 et seq
Chapter 26.5 of Govt.
5 CCRCode
3000 et seq
Title 2 Regulations
AB 114
AB 114 did away with
the changes made by
AB 3632 (GC 26.5),
returning mental
health services to the
requirements of the
IDEA.
Special Education Local
Plan Area (SELPA)
TOM TORLAKSON
State Superintendent
of Public Instruction
• A single LEA or group of LEAs that are
of sufficient size and scope to ensure
FAPE for all students within the area.
• Responsible for
–
–
–
–
developing a local plan
receiving and disbursing funds
coordinating services across the region
monitoring implementation of local plan
and correction of problems
• District of residence (DOR) is always
responsible for students served by
other districts (DOS)
Comparing the Assessment Process
Based on GC 26.5
(AB 3632)
Based on IDEA
LEA identified student with a
disability suspected of needing
Mental Health services.
LEA identifies student suspected
of having a disability and
requiring special education and
related services.
LEA conducted pre-referral
activities & referred student to
CMH. CMH developed an
assessment plan (for MH related
services), obtained parental
consent, and conducted
assessment(s).
LEA develops an assessment
plan, obtains parental consent,
and conducts the agreed-upon
assessment(s).
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Comparing IEP Development
Based on GC 26.5
(AB 3632)
Based on IDEA
CMH conducted assessment, provided
an assessment report, & determined
related services to address mental
health needs.
LEA conducts the required
assessment(s) and provides an
assessment report to the IEP team prior
to the IEP meeting.
IEP meeting was held (with an
expanded IEP team for residential
placement).
IEP team meeting is scheduled at a
mutually agreeable time and place. IEP
team members may include, at the
discretion of the parent or agency, other
individuals who have knowledge
regarding the child, including related
services personnel.
CMH recommendations & treatment
plan were incorporated in the IEP as
related services.
IEP team, utilizing assessment data,
determines the appropriate related
services for the student.
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Role of the IEP Team (Per IDEA)
1. An IEP must be in effect for each child with a
disability at the start of each school year.
(20 USC 1414 (d)(2)(A)
2. If an IEP is needed, the IEP Team develops it, and in
doing so considers the student’s strengths, parents’
concerns, assessment results, and the student’s
academic, developmental, and functional needs.
(20 USC 1414(d)(3)(A))
3. The IEP Team must review the IEP at least annually,
and revises the IEP as needed to ensure that the
student is making appropriate progress.
(20 USC 1414 (d)(4)(A))
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
IEP Team Meeting Activities
The IEP team:
TOM TORLAKSON
State Superintendent
of Public Instruction
• reviews assessment results to determine whether the
student is eligible for special education and needs
related services.
• develops (or revises) and adopts an IEP for the student,
if it determines that the student is eligible for special
education
The contents of the IEP have great importance,
because they establish the services to which the
student is entitled. IEP contents include:
• Student needs, goals, and placement options; and,
• SPED and related services the student will receive,
including:
 Initiation date
 Frequency
 Duration
 Location
9
IEP Team Meeting Activities,
cont’d.
TOM TORLAKSON
State Superintendent
of Public Instruction
IEP services are to be
provided based on students’
needs, and not limited due
to funding considerations.
The Importance of Clarity in the IEP
Because the IEP establishes the services to which
the student is entitled, each service must be clearly
described. Traditionally “bundled” services, such
as Day Treatment and Wraparound must be
“unbundled” into each discrete service so that
individual services can be identified and their
specific duration and frequency can be described.
The following slides demonstrate how Day
Treatment and Wraparound may be unbundled to
allow for an IDEA-compliant IEP.
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Day Treatment Services
Related Services
Community Meetings
Therapeutic Milieu*


Counseling services
Rehabilitation Counseling Services
Process
Groups**
TOM TORLAKSON



Parent Counseling and Training
Psychological Services
Social Work Services
Skill Building Groups***



Parent Counseling and Training
Psychological Services
Social Work Services
Adjunctive Therapies

Recreation Services
Psychotherapy

Psychological Services
State Superintendent
of Public Instruction
*Therapeutic
milieu means a therapeutic program structured by process and skill building groups involving
activities performed by identified staff; taking place for the continuous scheduled hours of program
operation; includes staff and activities that teach, model, and reinforce constructive interactions; and
include peer and staff feedback on strategies for symptom reduction, increasing adaptive behaviors, and
reducing subjective distress.
** May include psychotherapy
12
***Related to psychiatric and psychological experiences
Wraparound Services
Related Services



Counseling Services
Psychological Services
Social Work Services



Counseling Services
Psychological Services
Social Work Services
Intensive Behavioral Support




Counseling Services
Psychological Services
Social Work Services
Parent Counseling and Training
Counseling/Therapy/Treatment




Counseling Services
Psychological Services
Social Work Services
Parent Counseling and Training
Medical-psychiatry

Psychological Services
Direct 1:1 Emotional Support
TOM TORLAKSON
Direct
1:1 Coaching
State Superintendent
of Public Instruction
13
IEP Team Participation
The IEP team shall include all of the following:
TOM TORLAKSON
State Superintendent
of Public Instruction
•One or both parents, a parent representative
selected by the parent(s), or both
•At least one general education teacher of the
student, if the pupil participates (or may participate) in
general education activities with non-disabled peers.
•At least one special education teacher of the student
and, if appropriate, a related service provider.
•An LEA administrator, or their designee, who is
qualified to provide or supervise special education
and knows about resources available in the LEA.
(Continued on next slide)
•See EC 56341
14
IEP Team Participation (Continued)
• An individual qualified to conduct diagnostic
examinations, such as a school psychologist.
TOM TORLAKSON
State Superintendent
of Public Instruction
• At least one IEP team member who has observed
the student’s academic performance and
behavior in the learning environment, including in
the regular classroom.
• The parent and/or the LEA may invite other
individuals who have knowledge or special
expertise regarding the student.
• For meetings addressing postsecondary goals
and transition services, the LEA shall invite the
student to participate.
See EC 56341
15
Procedural Safeguards
TOM TORLAKSON
State Superintendent
of Public Instruction
• These safeguards are designed to protect the rights of
parents and students with disabilities
– Confidentiality
– Independent evaluation
– Stay-put
• They also give families and public agencies a
mechanism for resolving disputes
–
–
–
–
–
Formal compliant procedure
Alternative dispute resolution
Mediation
Resolution session
Due process
Complaints and Due Process
TOM TORLAKSON
State Superintendent
of Public Instruction
Procedural Safeguards and Referral Services
Provides technical assistance information and resources for parents, school districts, advocates,
agencies and others of procedural safeguards regarding students between ages 3 and 21 with
disabilities and their educational rights.
Toll-free Help Line: 800-926-0648; Weekdays, 9:00 a.m. to 4:00 p.m.
Videophone Line: 916-374-7182 (deaf/hard of hearing); Weekdays, 9:00 a.m. to 4:00 p.m.
E-mail: speceducation@cde.ca.gov
FAX: 916-327-3704
Mediation and Due Process
To file for mediation or a due process hearing, contact:
Office of Administrative Hearings
Special Education Division
2349 Gateway Oaks, Suite 200
Sacramento, CA 95833-4231
Telephone: 916-263-0880 Fax: 916-263-0890
Funding
In an effort to support a smooth transition
from the AB 3632-based system to the
IDEA-based system, the Legislature
designated funding for the specific purpose
of providing mental health related services
required by students’ IEPs.
The specific funding models for this
purpose varied from FY 2011-12 to FY
2012-13 in response to the transition.
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Funding FY 2011-12
The 2011-12 Budget Act Provided funding for
“educationally related mental health services”*
Department of Education
– $31 million (Item 6110-161-0001 – Provision 18)
– $218.8 million (Item 6110-161-0001 – Provision 26)
– $3 million (Item 6110-161-0001 – Provision 27)
– $69 million (Item 6110-161-0890 – Provision 9)
Department of Mental Health
– $98.5 million (Item 4440-295-3085)
*
The term “Educationally related mental health services” is not found in
IDEA or state special education laws.
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Funding FY 2012-13
The 2012-13 Budget Act also provided funding
for “educationally related mental health
services”, but distributed all of these funds to
SELPAs:
Department of Education
– $348.19 million (Item 6110-161-0001 – Provision 22)*
– $3 million (Item 6110-161-0001- Provision 23)
– $51.75 million (Item 6110-161-0890 – Provision 7.5)**
– $17.25 million (Item 6110-161-0890 – Provision 8)*
*Allocated on an equal rate per pupil basis
** Allocated on a prior service data basis
Department of Mental Health
– No funding specifically for IEP-based related services
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Funding FY 2013-14
The 2013-14 Budget Bill continues to provide
funding to SELPAs for “educationally related
mental health services”:
Department of Education
– $354.3 million (Item 6110-161-0001 – Provision 16)*
– $3.0 million (Item 6110-161-0001- Provision 21)**
– $69.0 million (Item 6110-161-0890 – Provision 7)*
*Allocated on an equal rate per pupil basis
** Funds only available to necessary small SELPAs for extraordinary costs
associated with educationally related mental health services
Department of Mental Health
– No funding specifically for IEP-based related services
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Multi Year Total
For IEP-based Mental Health Services
Funding
Source
TOM TORLAKSON
State Superintendent
of Public Instruction
State
Education
Funding
Fiscal Year
2011-2012
$252.8 Million
Fiscal Year
2012-2013
$351.19 Million
Fiscal Year
2013-2014
$357.3 Million
(Proposition 98)
Federal
Special
Education
Funding
$69 Million
$69 Million
$69 Million
(IDEA)
State Mental
Health
Funding
$98.6 Million
$0
$0
$420.19 Million
$426.3 Million
(Proposition 63)
TOTAL
$420.4 Million
* 2010-11 Total State and Federal Funding to SELPAs and COEs = $107 million.
Services primarily paid by MHAs.
How the Funding Flows
( Based on the Proposed 2013-14
Proposed State Budget )
• Federal (IDEA) and State (Proposition 98) funds are
distributed to SELPAs per an ADA-based formula.
(Proposition 98: $351 million; IDEA: $69.0 million)
• SELPAs distribute funds to their participant LEAs
based on a local agreement.
• LEAs use their funds to pay for special education
services, and report their expenditures to the CDE.
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Fiscal and Administrative Relationships for Special
Education Programs in California
TOM TORLAKSON
State Superintendent
of Public Instruction
United States Department of Education
Office of Special Education Programs
Individuals with Disabilities Education Act (IDEA)
California Department of Education
Special Education Division
Part B of IDEA
Preschool and School Age (3-22 years)
Special Education
Local Plan Areas
Family Empowerment
Centers
School Districts, Charter
County Offices
LEAs, County
of Education,
Offices
of Education,
Nonpublic
and Agencies
Nonpublic
Schools Schools
and Agencies
Medi-Cal as a Means of Supplementing
Funding
• Regardless of the funding source utilized, LEAs are to
provide the Special Education and Related Services to
their students as provided for in their IEPs
• Outside of the funds provided to LEAs to provide special
education and related services described in the previous
slide, when appropriate, LEAs may utilize Medi-Cal to
provide and pay for related services on a student’s IEP.
• Federal statutes and regulations provide for this
authority. See:
• Section 1903(c) of the Social Security Act
• 34 CFR 300.154
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Options that LEAs have in utilizing Medi-Cal for the
provision of related services through a student’s IEP
include:
• Provide mental health related services through a
contract/agreement with the county mental health
agency via the county mental health plan (MHP)
• The LEA applies and becomes a Medi-Cal provider
through the Local Educational Agency Medi-Cal
Billing Option program administered by the
Department of Health Care Services (does not
include Specialty Mental Health Services)
• Approach the MHP to see if the LEA meets the
requirements of the MHP to become a provider of
Specialty Mental Health Services under the MHP
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
LEA Requirements for the Use of Medi-Cal
Prior to accessing a child’s or parents Medi-Cal benefits
a LEA must:
• Obtain written parental consent meeting the
requirements of 34 CFR 300.154(d)(2)(iv)
• For the first time and annually thereafter; the LEA
must provide written notification to the parents and
the written notification must meet the requirements
of 34 CFR 300.154(d)(2)(v)
CALIFORNIA DEPARTMENT OF EDUCATION
Tom Torlakson, State Superintendent of Public Instruction
Service Provision Options For LEAs
TOM TORLAKSON
State Superintendent
of Public Instruction
While LEAs are now fully responsible for ensuring
that their students receive the services to which
they are entitled, the LEAs have three options for
how they provide these services
(5 CCR 3051(a)(4)):
• Employ qualified staff to provide services
directly;
• Contract with a CDE-certified Nonpublic School
(NPS) or Nonpublic Agency (NPA); and/or,
• Contract with DHCS or its designee (e.g., MHP),
or a vendor or contractor of such agency.
School District
(LEA) Employees
LEAs may directly employ individuals to provide related services…
•Staff must hold the appropriate license or credential for their assignments;
•NPA or NPS certification not required.
TOM TORLAKSON
State Superintendent
of Public Instruction
NPAs or
NPSs
LEAs may contract directly with a certified NPA
or NPS to provide related services.
Employees,
Contractors,
or Vendors of
DMH or County
Mental Health Plan
LEAs may contract with a state or local public mental health agency.
•Service may be provided by:
-- a direct employee of the agency, or
-- a contractor, or vendor of that agency.
•NPA or NPS certification is not required (either case)
For monitoring purposes, the LEA must maintain documentation verifying
that:
•Contractors or vendors are current contractors or vendors of a state or
local mental health agency;
•The entities providing related services are qualified pursuant to Section
3065 of Title 5 of the CCR.
Recent Data on Special Education
Services Related to Mental Health
Service
TOM TORLAKSON
State Superintendent
of Public Instruction
Individual
Counseling
Counseling &
Guidance
Parent
Counseling
Social
Work
Psychological
Services
Behavior
Intervention
Day
Treatment
Residential
Treatment
Total
Services
Total
Students
2009 - 10
#
%
#
2010 - 11
%
+/-
2012 - 2013
#
2011 - 12
%
+/-
#
%
+/-
35,380
26.47
35,271
25.91
-0.56
35,576
25.38
-0.53
40,074
27.06
1.68
19,282
14.43
21,434
15.75
1.32
24,435
17.43
1.69
28,761
19.42
1.99
5,101
3.82
5,855
4.30
0.48
7,693
5.49
1.19
9,520
6.43
0.94
3,348
2.51
3,253
2.39
-0.12
3,874
2.76
0.37
5,082
3.43
0.67
28,891
21.62
28,285
20.78
-0.84
28,475
20.32
-0.46
25,675
17.34
-2.98
39,056
29.22
39,012
28.66
-0.56
37,094
26.47
-2.19
36,227
24.46
-2.01
1,477
1.11
1,746
1.28
0.18
1,714
1.22
-0.06
1,665
1.12
-0.10
1,116
0.84
1,265
0.93
0.09
1,296
0.92
-0.01
1,078
0.73
-0.19
133,651
136,121 (+ 1.8%)
140,157 (+ 2.9%)
148,082 (+ 5.7%)
104,772
106,333 (+1.5%)
107,885 (+ 1.5%)
110,438 (+2.3%)
Notes: All data are derived from annual reporting obtained in June of each year.
All data are based on the number of students receiving the service. Many students receive multiple services,
therefore number of services > number of students.
CDE AB114 Resources Website
http://www.cde.ca.gov/sp/se/ac/ab114twg.asp
Documents Available on the AB 114 Web Page
Document Name
Date Published
Assembly Bill 114: Local Educational Agencies’ Responsibility For Providing Related Services To Students
With Disabilities
July 26, 2011
Mental Health Services FAQ
July 30, 2012
Assembly Bill 114: Available Funding Sources And Spending Parameters
September 13, 2011
Assembly Bill 114: Medication Monitoring
September 13, 2011
Assembly Bill 114: Nonpublic Agency Certification
September 13, 2011
Assembly Bill 114: Related Services Under The Individuals With Disabilities Education Act
September 13, 2011
Requirements For Securing The Services Of Mental Health Professionals To Provide Related Services To
Special Education Students
September 13, 2011
Assembly Bill 114: Residential Care For Students With Disabilities
September 13, 2011
Assembly Bill 114: Options For Providing Related Services For Medi-cal Eligible Students
October 6, 2011
Assembly Bill 114: Developing A System For The Provision Of Related Services
December 27, 2011
Assembly Bill 114: Use Of Mental Health Funds In The Budget Act Of 2011–12
January 5, 2012
Documents Available on the AB 114 Web Page (Continued)
Document Name
Date Published
Assembly Bill 114: Day Treatment
September 21, 2012 (Revised)
Assembly Bill 114: Assessment Summary
September 12, 2012 (Revised)
Assembly Bill 114: Parent Survey Results
July 16, 2012
Assembly Bill 114: Providing Coordinated Intensive Services Through An Individual
With Disabilities Education Act Compliant Individualized Education Program
September 20, 2012 (Revised)
Assembly Bill 114: Individuals With Disabilities Education Act And The Use Of
Insurance For Related Services — Revised
March 13, 2013
Assembly Bill 114: Documenting Coordinated Services (Bundled Services) In
Individualized Education Programs To Comply With The Individuals With Disabilities
Education Act Requirements
March 13, 2013
Work Group Presentations Posted on
the AB 114 TWG Web Page
TOM TORLAKSON
State Superintendent
of Public Instruction
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
Medi-Cal Billing Options (August 2011)
Residential Care Assessment (September 2011)
Contracts/MOUs Between SELPAs and CMH (September 2011)
Contracts/Agreements Between SELPAs and County Mental
Health Agencies (November 2011)
Desert Mountain SELPA and San Diego Unified Service Delivery
Models (October 2011)
Assessment and Service Determination (October 2011)
Promising/Replicable Practices (October 2011)
Mental Health IEP Services Transition: Santa Barbara & North
Region SELPAs (November 2011)
Wraparound Services (November 2011)
Promising National Models Update (January 2012)
Contra Costa County Service Delivery Model (January 2012)
Parent Survey Information (February 2012)
Overview of the Child and Adolescent Needs Survey & How
CANS is Used in One SELPA (November 2012)
AB114 Website
http://www.cde.ca.gov/sp/se/
AB 114 email
AB114TWG@cde.ca.gov
35