BIE’s Special Education Integrated
Monitoring Process (SEIMP)
SY 2012-2013
Building a Brighter Tomorrow through Positive and
Progressive Leadership
2012 BIE Summer Learning Institute
July 12 & 14, 2012
Denver, Colorado
General Supervision Responsibility—
the BIE is required to . . .
 Monitor the school’s implementation of Part B (20
U.S.C. 1400(c)(1))
 Enforce the requirements in accordance with the
provisions of 34 CFR 300.604(a)(1) and (a) (3),
(b)(i), and (b)(2)(v), and (c)(2)
 Annually report on BIE’s progress on the State
Performance Plan (SPP) Indicators
Monitoring Activities Focus on:
• Improving educational results and functional
outcomes for all children with disabilities
• Ensuring compliance with Part B of IDEA, with
a particular emphasis on those requirements
that are most closely related to improving
educational results for children with
disabilities
SEIMP Monitoring Components
I. Focused Monitoring (on-site)
II. Desk Audit
A. SPP Indicator 11—timely initial evaluations
B. SPP Indicator 13—secondary transition
III. Other
A. Indian Student Equalization Program (ISEP)
B. Dispute Resolution (State Complaints & Due Process
Hearings
C. Parent Concerns
D. Suspension/Expulsion (SPP 4a)
E. Fiscal Management
I. Focused Monitoring
Focused Monitoring is a proactive approach,
which includes a purposeful selection of priority
areas to examine for compliance/results while
not specifically examining other areas in order
to maximize limited resources, emphasize
important requirements, and increase the
probability of results.
Focused Monitoring for SY 2012-2013
•
•
•
•
Written Notification sent to schools April 23, 2012
Selection - 59 schools selected (2nd year of 3-year cycle)
On-Site Monitoring Dates-August 6 to November 30, 2012
Purpose - to improve education results for students with
disabilities
• On-site Activities—entrance conference, special education
student file reviews, classroom observations, interviews,
technical assistance as needed, and exit conference
• Preparation—monitor(s) contact schools to schedule dates
and provide further information; and conduct pre-audit of
IEP files prior to visit
How Were 59 Schools Selected?
• Based on SY 2010-2011 data:
– Top 10 reading/math proficiency scores
– Low 48 reading/math proficiency scores
• Not on current corrective action plan
• Once every 3-years
Associate Deputy Director—East
Education Line
Office
School
Education Line
Office
School
Cheyenne River
Tiospaye Topa School
South & Eastern
Choctaw Central HS
Crow Creek/Lower
Brule
Crow Creek
Reservation HS
Choctaw Central MS
Minneapolis
Circle of Life School
Conehatta Elem Sch
Lac Courte Oreilles
Ojibwa School
Miccosukee Indian
School
Menominee Tribal
Pearl River Elem Sch
American Horse Sch
Red Water Elem Sch
Crazy Horse School
Standing Pine ES
Little Wound School
Tucker Elem School
Pine Ridge
Wounded Knee Dist
Rosebud
St. Francis Indian Sch
Standing Rock
Sitting Bull School
Associate Deputy Director—Navajo
Education Line Office
Schools
Education Line Office
Schools
AZ Navajo Central
Many Farms CS
NM Navajo Central
Pueblo Pintado CS
AZ Navajo North
Pinon Comm Sch
T’iists’ozi bi’olta
Naa Tsis’aan CS
Tse’ii’ahi Comm Sch
Rocky Ridge BS
AZ Navajo South
Aneth Comm School
Tuba City BS
Cove Day School
Crystal Boarding Sch
Sanostee Day School
Hunters Point BS
Shiprock NW HS
Pine Springs Day Sch
NM Navajo Central
NM Navajo North
NM Navajo South
Alamo Navajo School
Seba Dalkai BS
Baca/Dlo’ayazhi
Dibe Yazhi Habitiin
Chi chil tah CS
Hanadlii Comm Sch
Ch’oosgai Comm Sch
Lake Valley Navajo Sch
Tohaali Comm Sch
Mariano Lake CS
To’hajiileeh CS
Na’neelzhiin Ji Olta
Wingate Elem School
Ojo Encino Comm Sch
Associate Deputy Director—West
Education Line
Office
School
Education Line School
Office
Arizona North
Hopi Day School
Sacramento
Moencopi Day School
Arizona South
Tohono O’odham HS
Billings
Two Eagle River School
New Mexico North
Santa Clara Day School
New Mexico South
San Felipe Pueblo Elem
Ts’iya Elem/Mid School
Duckwater Shoshone
Pyramid Lake HS
Seattle
Muckleshoot Tribal
Quileute Tribal Sch
On-Site Activities
•
•
•
•
•
•
•
•
Entrance Conference
Special Education student file reviews
Classroom Observations
Interviews
Review of school special education documents
Technical Assistance as needed
Exit conference
Follow-up activities
II. Desk Audits
A. Desk Audit—Indicator 11 (timely initial
evaluations)
– Conducted annually (November 15) by DPA
utilizing the NASIS special education module
– Purpose—to determine compliance of the 60-day
timeline to complete initial evaluations for the
period July 1, 2011 through June 30, 2012.
School’s Responsibility:
• All schools submit Desk Audit School Performance (SPP
Indicator 11) to compliance.monitoring@bie.edu by
September 14, 2012
– If school has no initial evaluations for the year, submit the
required form check box as indicated on the desk audit form
• Scan and upload documents into NASIS:
– Parent Consent to Evaluate with signature and date
– Determination of Eligibility with signature and date
•
Electronic desk audit forms available at:
http://www.bie.edu/ProgramsSpecialEd/SEIMP/index.htm
DPA Responsibility
• Review the following documents utilizing the
NASIS special education module:
– Parent Consent to Evaluate with signature and
date
– Determination of Eligibility with signatures and
date
• If evaluation exceeds timeline, note # of days
and review the reasons for delay
II. Desk Audits
B. Desk Audit—Indicator 13 (post-secondary
transition)
•
Conducted annually (November 12) by DPA
utilizing the NASIS special education module
•
Documents
–
–
–
Individualized Education Program with Transition
IEP Team Meeting Invitation
Consent to invite agencies to transition meeting
8 Question Protocol
1. Post-Secondary Goals
2. Goals Update
3. Transition Assessment
4. Transition Services Needs
5. Annual Transition Services IEP Goals**
6. Course of Study
7. Student Invitation
8. Representation of Participating Agency
1—Post-Secondary Goals
• For students 16 and older, or will turn 16 during
the duration of the IEP year, there are
appropriate measureable post-secondary goals
that cover education, training, employment, and
as needed, independent living skills
– Each postsecondary goal is written for student’s wants
and needs after high school graduation or when
student ages out
– Each postsecondary goal is measurable (e.g., can be
counted)
Measureable Post-Secondary Goals
Must be Written in Following Areas:
• Education and/or training
– Education—community college, university,
technical/trade/vocational school
– Training—vocational or career field, independent living skills,
apprenticeship, on-the-job , job corps, etc.
• Employment
– Paid employment (competitive, supported, sheltered)
– Non-paid (volunteer, training capacity)
– Military
• Adult Living (if needed)
– Independent living skills, health/safety, financial income,
transportation/mobility, social relationships, recreation/leisure,
self advocacy/future planning
2—Goals update
• The post-secondary goals are updated
annually
– For each postsecondary goal, was the goal
addressed and/or updated in conjunction with the
development of the current IEP?
• Education and/or Training
• Employment
• If appropriate, Independent Living
3—Transition Assessment
Requirement
• There is evidence that the post-secondary goals were based
on age appropriate transition assessments.
– Did the transition assessments provide information on “the
student’s needs, taking into account strengths, preferences, and
interests” regarding postsecondary goals?
Transition assessment “is the ongoing process of collecting data on
the individual’s needs, preferences, and interests as they relate to the
demands of current and future working, educational, living, and
personal and social environments. Assessment data serve as the
common thread in the transition process and form the basis for
defining goals and services to be included in the Individualized
Education Program.”
4—Identify Transition Services Needs
• There are transition services that will reasonably enable
the student to meet his/her post-secondary goals.
Consider what services, supports or programs does this
student…
– currently
need?
– need in order to achieve his/her post-school goals?
– need in order to ensure success as he/she enters the
adult world?
Is the student linked to the needed post-school services,
supports or programs before he/she leaves the secondary
school setting?
5—Annual Transition Services IEP Goals
• There are annual IEP goals related to the student’s
transition services needs.
– For each postsecondary goal is there at least one
annual goal and short-term objective included in
the IEP related to the student’s transition services
needs?
• Education and/or training
• Employment
• If appropriate, independent living
6—Identify Course of Study to Meet
Post-secondary Goals
• There is a course of study that will reasonably
enable the student to meet his/her postsecondary goals.
– Are the courses of study a multi-year description
of coursework from the student’s current to
anticipated exit year that is designed to help
achieve the student’s post-school goals?
– Do the courses of study align with the student’s
identified post-secondary goals?
7—Student Invitation to Transition
Planning Meetings
• There is evidence that the student was invited
to the IEP Team meeting when transition
services were discussed.
– IEP Team Meeting Invitation
8—Representation of Participating
Agency
• If appropriate, there is evidence that a
representative of any participating agency was
invited to the IEP Team meeting with prior
consent of the parent(s) or student who has
reached the age of majority.
– IEP Team Meeting Invitation
– Permission for Consent Prior to Inviting Agencies
Related to Transition
Critical Interrelationships
Quality IEP’s &
Implementation
Positive Post-School
Outcomes
Staying in School
Graduating
III. Identifying Noncompliance
through Other Activities
A. ISEP
B. Dispute Resolution (State Complaints and
Due Process Hearings)
C. Parent Concerns
D. Suspension/Expulsion
E. Fiscal Management
A. ISEP (25 CFR Subpart D—Accountability)
1. Special Education
•
To ensure special education and related services are
made available to the child in accordance with the
child’s IEP (34 CFR §300.323(c)(2)), each school must
maintain on each student with disabilities receiving
special education a current IEP and documentation
of services (attendance roster for academic services,
service log for related services)
ISEP continued
2. Findings of Noncompliance
• A finding may be identified when the Education Line
Officer (ELO) conducts an ISEP (special education) audit
3. Correction of Noncompliance
• The school is instructed by the ELO to correct any
noncompliance that is identified within 30 calendar
days of certification
• If correction of noncompliance are not made, the ELO
submits the Special Education Certification Roster form
to compliance.monitoring@bie.edu by December 1,
2012
III. Other (con’t)
B. Dispute Resolution
Findings of Noncompliance
1. State Complaints
a. Date of report is written notification to school
2. Due Process Hearings
a. Findings are identified from fully adjudicated
hearing decision
Correction of Noncompliance
1. Timelines stated in report
2. If not stated, one-year timeline is applied
III. Other (con’t)
C. Parent Concerns
– When parents report dissatisfaction with their
child’s special education program, parents are
requested to put their concerns in writing
– A review of the concerns will be conducted;
findings of noncompliance may be identified
Correction of Noncompliance
• Timeline stated in report
• If not stated, one-year timeline is applied
D. Suspension/Expulsion
• Notification to schools with suspension/expulsion
rates two times the BIE average (ELO and ADD copied)
and require the school to sent the following to DPA:
– BIE Student File Review for Students with Disabilities Having
Suspension and/or Expulsions Greater than 10 days in a School Year
– Policies/procedures/practices to development and implementation of
IEPs
– Use of positive behavioral interventions and supports
– Procedural safeguards to ensure compliance with the IDEA
• Review of documents to determine compliance/noncompliance
E. Fiscal Management
• On-site fiscal reviews are conducted
• Findings of Noncompliance
• On-site review report is written notification
• Correction of Noncompliance
• Timeline stated in report
• If not stated, one-year timeline is applied
SEIMP Written Notification of
Finding(s)
• Written notification of finding(s) issued to school by
December 1, 2012
–
–
–
–
Focused Monitoring
Indicator 11 desk audit
Indicator 13 desk audit
Other—ISEP and Suspension/Expulsion
• Written Notification is the date of the report for State
Complaint, Due Process Hearing, Parent Concern, Fiscal
Management (On-Site Review)
• One-year timeline starts for school to correct
noncompliance from date of written notification issued
to school.
Correction of Noncompliance
• Correct student-specific finding(s) of
noncompliance for the applicable monitoring
activity as soon as possible—within 30-days
– Not required for students that have exited,
transferred, or graduated
– Notify DPA when noncompliance corrected
• Conduct root cause analysis to determine actions
to meet specific regulatory requirements
– Develop action plan with tasks/deadlines
– Implement action plan
– Notify DPA and request verification of correction
How will DPA Verify Correction of
Noncompliance?
• Ensure school has corrected each individual
case of noncompliance (student-specific)
• Ensure school is correctly implementing the
specific regulatory requirements of IDEA (at
100%) based on the DPA’s review of updated
data and other documentation
Note--both steps apply to verify correction of all findings of
noncompliance
What is Updated Data?
• The DPA utilizes NASIS to review updated data to
verify the school has corrected noncompliance
and are correctly implementing the specific
regulatory requirements
• Examples of updated data:
–
–
–
–
–
Student’s current IEP
Signature/date documents
Consent forms
IEP amendments
Enrollment status
If a school does not correct findings of
noncompliance within the required one-year
timeline, enforcement actions are implemented.
Enforcement Actions
1. Intensive Targeted Technical Assistance via
3 webinars on the following topics:
– enforcement actions,
– root cause analysis,
– correction of specific areas of noncompliance
identified during: focused monitoring, desk
audits, ISEP, dispute resolution, parent
concerns, suspension/expulsion, fiscal
management (on-site reviews)
2. Special Conditions—required action with
timelines to correct noncompliance
3.
No correction—any or all of the following may
apply:
•
•
•
•
Written Notification to School, ELO, ADD, Grantee
Incremental distribution of Part B funds
Fiscal Accountability On-Site Review
DPA staff assigned to school to provide TA and monitor
progress
Note—School status reported in Annual Performance Report (APR)
and quarterly Program Improvement Accountability Plan (PIAP)
impacts BIE’s level of determination and special conditions on Grant
(funds) made by Office of Special Education Program (OSEP)
Timelines for SY 2012-2013
• April 2012—written notice sent to schools for SY 2012-2013
monitoring activities
• August-October 2012—DPA conducts 59 on-site focused
monitoring visits
• November 12-15, 2012—DPA conducts Desk Audit for
Indicator 11 (all schools) and Indicator 13 (HSs only)
• December 1, 2012—DPA provides written notification to
school
• January 2013—school implements corrective action plan
provided by the DPA
• November 31, 2013—1-year timeline ends for school to
correct noncompliance including DPA’s verification of
correction
Roles and Responsibilities for
Correction of Noncompliance
• Schools—correct noncompliance & correctly implement
specific regulatory requirements within required timeline
• Education Line Officer—ensure correction of
noncompliance within required timeline; knowledge of
enforcement action; provide guidance to schools
• Grantee/School Board—ensure correction of
noncompliance within required timeline; knowledge of
enforcement action; provide support and direction to
school
• DPA—verify correction of noncompliance based on review
of updated data; implement enforcement actions
Summary
Have a system in place to sustain compliance
with all special education laws and regulations
– School shall correct finding(s) of noncompliance
as soon as possible and no later than one-year of
identification
– School shall correctly implement the specific
regulatory requirements
Further Information
SEIMP
Component
Name
E-mail
Telephone
Focused
Monitoring
Dr. Eugene Thompson
eugene.thompson@bie.edu 505-563-5394
Desk Audit I-11 Connie Albert
connie.albert@bie.edu
505-563-5180
Desk Audit I-13 Donald Griffin
& Suspension, Marcy Oliver
Expulsion
donald.griffin@bie.edu
marcy.oliver@bie.edu
505-563-5394
Other—ISEP
Dr. Fern Diamond
fern.diamond@bie.edu
505-563-5396
Other—
Dispute
Resolution &
Parent
Concerns
Narcy Kawon
narcy.kawon@bie.edu
505-563-5257
Fiscal On-Site
Reviews
Laura Tsosie
Connie Albert
laura.tsosie@bie.edu
connie.albert@bie.edu
505-563-5275