2013-2014 IEP COMPLIANCE ASSESSMENT
(for use with Districts, Support Services Only, and Separate Facilities)
Special Education Record and File Review
Purpose: To support Iowa’s educational agencies in their effort to assure: (1) All children with disabilities receive a Free Appropriate Public
Education (FAPE) in the Least Restrictive Environment (LRE) that promotes a high quality education and prepares them for higher education,
employment, and living after they exit school and (2) Provision of a free appropriate public education (FAPE) to children and youth with
disabilities is facilitated through parent involvement in special education services.
Evidence-based decision-making: The review process involves a review of records to determine, with clear evidence, that the responses are
justified. Written documentation from school files is the most convincing evidence.
Directions for completing record review: In reviewing records select the most current IEP and data.
IMPORTANT: ANSWER EVERY QUESTION. Apply the criteria for judging the appropriate response. There must be documentation to
support your response. A gray area is shown in the table where a response is not an option.
Demographic Information
1. Student name:
4. Type of IEP (see top line of IEP)
(circle one)
•
•
•
•
•
•
Initial
Review
Reevaluation
Amendment with a meeting
Amendment without a meeting
Interim
2. Student Date of Birth (mm/dd/yyyy):
5a. On the date of this IEP file review,
the student is in which age group?
(circle one)
A) Early Childhood
B) K through age 13
C) Secondary Transition (14 years of
age or older)
3. Date of last IEP (mm/dd/yyyy):
5b. File Review Type
(circle one)
• Complete Review
• Transition Only
• Support Services Only
• Separate Facilities
5c. Date of File Review (mm/dd/yyyy):
6a. Attending District:
6b. Attending Building (for this IEP):
6c. AEA:
7. Special Education Teacher/Support
Service Provider (for IEP being
reviewed) name:
8. Collaborative Reviewer (AEA
Partner) name:
9. Transition Reviewer (certified to review
Transition content) name:
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Information on PAGE A of the IEP: Participation in the IEP Process
Item No.
Review Questions
Yes No NA
Criteria for Response
P12.
NOTE: When reviewing an IEP that is an amendment without a
Were the following persons in
§300.321(a)
meeting, this section will not be completed. There MUST be
attendance at the most recent
documentation of invitation.
IEP
meeting?
Indicators B5, B6
P12a.
Yes = General education teacher was in attendance at the IEP meeting
• General education
§300.321(a)(2)
or there is written agreement (signed by parent and LEA
teacher
Also §300.324(a)(3)
representative) indicating excusal with input provided as appropriate.
Indicators B5, B6
No = General education teacher was not in attendance at the IEP
meeting and there is not written agreement indicating excusal.
NA = There is no possibility that the student will be in the regular
education environment during the term of the IEP.
Age Group A, B, C
P12d.
•
§300.321(a)(4)
Indicators B5, B6
(designee means: a
representative of the LEA who is
qualified to provide, or supervise
the provision of, specially
designed instruction to meet the
unique needs of children with
disabilities; is knowledgeable
about the general education
curriculum; and is
knowledgeable about the
availability of resources of the
LEA)
Age Group A, B,
C
P12e.
§300.321(a)(1)
Also §300.501(b)
Indicators B5, B6
Yes = LEA designee was in attendance at the IEP meeting or there is
written agreement (signed by parent and LEA representative) indicating
excusal with input provided as appropriate.
No = LEA designee was not in attendance at the IEP meeting and
there is NOT written agreement indicating excusal.
LEA designee (for Support
Services
Only, LEA means AEA)
•
Yes = Parent was in attendance (in person or by other means, e.g.
conference call) or there was evidence of two (2) or more attempts
(e.g., meeting notice, records of telephone calls and the results of
those calls, copies of correspondence sent and responses received,
records of visits made to parent’s home or place of employment and
the results of those visits) to schedule the IEP meeting at a time when
parent could attend.
No = Parent was not in attendance and no evidence of two (2) or more
attempts to schedule the IEP meeting could be found.
NA = Student has reached age of majority; therefore, parent
attendance not required.
Parent
(Parent means: a biological or
adoptive parent, a foster parent, a
guardian authorized to act as the
child’s parent, an individual acting
in the place of a biological or
adoptive parent with whom the
child lives or a surrogate parent)
Age Group A, B, C
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9/11/13 updated
Information on PAGE B of the IEP: Appropriate Services in the Least Restrictive Environment
Item No.
Review Questions
Yes No NA
Criteria for response
AS16.
Yes = Strengths, interests and preferences are described.
For this student age 13 and
§300.324(a)(1)(i)
No = Comments are absent or do not describe the student’s
younger, did the IEP team
Indicators B5, B6
consider the strengths, interests
strengths, interests and preferences.
Age Group A, B only
and preferences of the student?
AS19.
Yes = Impact of disability on involvement and progress in general
Does the PLAAFP for this student
§300.320(a)(1)(i)
curriculum is documented.
(kindergarten through twelfth
Indicators B5, B6
No = Impact of disability on involvement and progress in general
grade) describe the effect of the
curriculum is not documented.
student’s disability on involvement
NOTE: May be found in the transition assessment section for students 14
and progress in the general
and up.
Age Group B, C only
education curriculum?
Information on PAGE B, GOAL PAGE and PAGE F of the IEP: Secondary Transition
Item No.
Review Questions
Yes No NA
Criteria for response
T20.
Yes = Preferences or interests of the student are listed.
Does the IEP include the student’s
§300.43(a)(2)
No = No interests or preferences are listed OR items listed are not the
preferences or interests?
Also §300.321(b)(2)
student’s.
Indicator B13
NOTE: Preferences = things chosen over others. Interests = things that evoke
curiosity.
Age Group C only
T21a.
§300.320(b)(1)
Indicator B13
Yes = Specific data related to the student’s living skills and the method
of collection or source of the data are listed. Data are sufficient to
determine that an assessment of the postsecondary area of living as it
relates to student’s postsecondary expectations for living was done.
(Look at data collected during RIOT)
No = No specific data are listed OR the source or method of data
collection is missing OR data are insufficient to determine that the postsecondary area of living has been assessed OR source was limited to
student interview.
Yes = Specific data related to the student’s learning skills and the
method of collection or source of the data are listed. Data are sufficient
to determine that an assessment of the postsecondary area of learning
as it relates to student’s postsecondary expectations for learning was
done.
No = No specific data are listed OR the source or method of data
collection is missing OR data are insufficient to determine that the
postsecondary area of learning has been assessed OR source
was limited to student interview.
Does the IEP document that the
postsecondary area of living has
been sufficiently assessed and
information used as basis of
transition planning?
Age Group C only
T21b.
§300.320(b)(1)
Indicator B13
Does the IEP document that the
postsecondary area of learning
has been sufficiently assessed
and information used as basis of
transition planning?
Age Group C only
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Item No.
T21c.
§300.320(b)(1)
Indicator B13
Review Questions
Does the IEP document that the
postsecondary area of working
has been sufficiently assessed
and information used as basis of
transition planning?
Yes
No
NA
Criteria for response
Yes = Specific data related to the student’s working skills and the
method of collection or source of the data are listed. Data are sufficient
to determine that an assessment of the postsecondary area of working
as it relates to student’s postsecondary expectations for working was
done.
No = No specific data are listed OR the source or method of data
collection is missing OR data are insufficient to determine that the
post-secondary area of working has been assessed OR source
was limited to student interview.
Yes = Postsecondary expectations statement incorporates observable
post school outcomes in the area of living that are consistent with
available transition assessment data.
No = Area is not stated as an observable behavior OR is not
addressed or addressed vaguely OR is inconsistent with available
transition assessment data.
Yes = Postsecondary expectations statement incorporates observable
post school outcomes in the area of learning that are consistent with
available transition assessment data.
No = Area is not stated as an observable behavior OR is not
addressed or addressed vaguely OR is inconsistent with available
transition assessment data.
Yes = Postsecondary expectations/vision statement incorporates
observable post school outcomes in the area of working that are
consistent with available transition assessment data.
No = Area is not stated as an observable behavior OR is not addressed
or addressed vaguely OR is inconsistent with available transition
assessment data.
Age Group C only
T22a.
§300.320(b)(1)
Also §300.43(a)(1)
Indicator B13
Is there a postsecondary
expectation of living that projects
beyond high school, is consistent
with available assessment
information and is observable?
Age Group C only
T22b.
§300.321(b)(1)
Also §300.43(a)(1)
Indicator B13
Age Group C only
T22c.
§300.321(b)(1)
Also §300.43(a)(1)
Indicator B13
Age Group C only
T23a.
§300.320(b)(2)
Indicator B13
Is there a post-secondary
expectation of learning that
projects beyond high
school, is consistent with
available assessment
information and is
observable?
Is
there a postsecondary
expectation of working that
projects beyond high
school, is consistent with
available assessment
information and is
observable?
Does the course of study (COS)
identify the overall number of
credits, class subject areas and
other requirements for general
graduation?
Yes = COS identifies: (1) the overall number of credits the student
needs to graduate, and (2) overall subject areas and required number
of credits (e.g., 4 credits of English) and (3) other district graduation
requirements, if appropriate OR if student is to graduate by other
means, requirements specific to the student.
No = One or more of the following are missing and/or are unclear: (1)
the overall number of credits the student needs to graduate, 2) overall
subject areas and required number of credits (e.g., 4 credits of English)
and (3) other district requirements, if appropriate OR if student is going
to graduate by other means, requirements specific to the student.
Age Group C only
4
9/11/13 updated
Item No.
T23b.
§300.320(b)(2)
Indicator B13
Review Questions
Does the COS identify the
student’s current status with
regards to the graduation
requirements and what is
needed to graduate?
Yes
No
NA
Criteria for response
Yes = COS identifies (1) a targeted graduation date,(2) the required
courses yet to be completed, (3) the number of credits yet to be
completed, (4) any other accomplishments required for graduation and
(5) targeted graduation date is feasible for the student.
No = Targeted graduation date, required courses yet to be taken, the
number of credits yet to be completed, and/or additional requirements
are not documented OR targeted date is not feasible for the student.
Yes = Other courses/activities, including linkages (when needed to
pursue PSEs) are listed and project to the targeted graduation date.
No = Other courses/activities, including linkages needed to pursue
PSEs are not listed or are vague or do not project to targeted
graduation date.
Age Group C only
T23c.
§300.320(b)(2)
Indicator B13
Age Group C only
T24.
§300.320(b)(2)
Also §300.43(a)(2)
Indicator B13
Age Group C only
T25a.
§300.320(b)(2)
Also §300.43(a)(2)
Indicator B13
Does the COS project other
courses (in addition to those
listed in T23a) and activities,
including linkages specific
for the student to pursue the
postsecondary
expectations?
Do the annual goals represent
relevant skills/behaviors, which
are well-aligned with the
transition assessment
information and are
priorities/essential for the
student’s post-secondary
expectations (PLAAFP)?
Yes = Each goal listed addresses a need identified in the PLAAFP and
is a priority/essential skill for the student to pursue targeted postsecondary expectations.
No = One or more goals do not reflect a need listed in the PLAAFP OR
is not a priority skill essential for the student to pursue targeted
postsecondary expectations.
Yes = Every need identified in the PLAAFP as a priority for this year is
addressed through supports, services or activities. (NOTE: Although
needs for future years can be documented here, they are better placed
in the COS.) OR Specific skill information or detailed explanation for
not providing needed services, supports or activities is listed in the
PLAAFP for each missing prioritized area.
No = One or more needs identified in the PLAAFP as a priority for this
year does not have a support, service or activity OR explanation for
not providing is not detailed or is missing.
Yes = Each postsecondary area of Living, Learning, and Working is
addressed through goals, services or activities OR detailed
explanation supports there are no needs in the missing
postsecondary areas.
No = One or more area does not have a goal, service or activity OR
detailed explanation that no need exists is missing.
Are there supports, services or
activities for every NEED identified
in the PLAAPF as a priority for this
year?
Age Group C only
T25b.
§300.320(b)(2)
Also §300.43(a)(2)
Indicator B13
Are there goals, services or
activities for every postsecondary
area (Living, Learning, and
Working)?
Age Group C only
5
9/11/13 updated
Information on GOAL PAGES of the IEP: Student Results
Instructions for the following section:
1. Identify ONE goal from this student’s IEP. When possible, choose an instructional goal.
2. Record the goal in the box. Then record the appropriate response option for the decision making practice for this goal as supported by the
evidence at hand for Questions SR28-SR35.
Item No.
GOAL
STATEMENT
Review Questions
Write the exact wording of the
goal in the box at the right.
Goal
§300.320(a)(2)(i)
Age Group A, B, C
Rate the following questions using the response options below.
Item No.
Review Questions
Yes No NA
Criteria for Response
SR28.
Yes
=
Baseline
data
are
numerically aligned with the goal
Does the annual goal contain
§300.320(a)(3)(i)
measurement (e.g. number of correct words per minute and number of
the same numeric measure of
Indicators B3, B7
correct words per minutes or percent accuracy to percent accuracy).
performance as the baseline?
No = Baseline data were collected but are not numerically aligned with
Age Group A, B, C
the goal measurement.
SR30.
Goal:
Does the goal state the:
Age Group A, B, C
SR30a.
§300.320(a)(2)(i)
Indicators B3, B7
• Conditions (when and
how the individual will
perform)?
Yes = Goal states the conditions (when and how: e.g. “In 36 weeks,
given a fourth grade level passage…”).
No = Only one (when OR how) or no condition is described in the goal.
• Skill or behavior (what the
individual will do)?
Yes = Goal states the student skill/behavior (e.g. “Maribelle will
read…”).
No = Student skill/behavior is not described in the goal.
Age Group A, B, C
SR30b.
§300.320(a)(2)(i)
Indicators B3, B7
Age Group A, B, C
SR30c.
§300.320(a)(2)(i)
Indicators B3, B7
Age Group A, B, C
SR31.
§300.320(a)(3)(i)
Indicators B3, B7
Age Group A, B, C
• Criterion (the acceptable
level of performance at
the end of the goal
period)?
Does the Progress Monitoring
procedure identify how (a
procedure by which) progress
will be measured?
Yes = Goal states the criterion (e.g. “100 words per minute with 95%
decoding accuracy”).
No = Criterion is not described in the goal.
Yes = Progress Monitoring procedure states how progress will be
measured (e.g. tallies, observations, probe type, test scores, record
books, work samples, type of rubric).
No = Progress Monitoring procedure does not state how progress will
be measured.
NOTE: The “how” should align with the baseline.
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9/11/13 updated
Item No.
SR32.
§300.320(a)(3)(i)
Indicators B3, B7
Review Questions
Does the Progress Monitoring
procedures identify how often
(frequency that) progress will
be measured?
Age Group A, B, C
SR33.
§300.320(a)(3)(i)
Indicators B3, B7
Can the goal be monitored
using the procedures described
in the Progress Monitoring
procedure section of the IEP?
Age Group A, B, C
SR34a.
§300.320(a)(3)(i)
Indicators B3, B7
Is a decision rule and
description of the decision rule
stated that will be used to
consider the need for
instructional changes?
Age Group A, B, C
SR34b.
§300.320(a)(3)(i)
Indicators B3, B7
Age Group A, B, C
Have the data as described in
the Progress Monitoring
procedures section of the IEP
been collected and visually
represented (graphed or
otherwise visually represented)?
Yes
No
NA
Criteria for Response
Yes = Progress Monitoring procedures state how often progress will
be measured (e.g. daily, weekly, etc.) The Statewide Procedures
Manual states that PM must occur at least every two weeks (with
exceptions for some nonacademic goals.)
No = Progress Monitoring procedures do not state how often progress
will be measured or Progress Monitoring is occurring less than every
two weeks (with exceptions for some nonacademic goals).
Yes = Progress Monitoring procedure monitors the same numeric
measure as stated in the goal (e.g. Baseline: Suzy is on-task 62% of the
time. Goal criterion: Suzy will be on-task 90% of the time. Evaluation:
Weekly, structured classroom observations.).
No = Progress Monitoring procedure does not monitor the same
numeric measure as stated in the goal (e.g. for an oral reading fluency
goal, classroom observations of on-task behavior are used to monitor).
Yes = Description of progress monitoring procedure includes a clear
and complete description of the decision-making rule that will be applied
to progress monitoring data to determine the need for changes in
instruction [e.g. 4 Point Decision-Making Rule: After 6 weeks of
instruction, if 4 consecutive data points fall above (or below) the goal
line, the special education teacher, parent and special education
consultant will meet to consider the need for instructional changes. OR
Trendline: One weekly writing sample will be scored using the district’s
writing rubric. Instructional changes will be considered when the
trendline (based on at least seven data points) does not project meeting
the annual goal.]
No = Decision rule is not clearly stated in the description of monitoring
procedures OR the decision rule is stated but not described specifically
(as in the example above).
Yes = Data have been collected and visually represented (e.g. graphed)
at least every two weeks (with exceptions for some nonacademic goals.
No = Data have not been collected as described OR have not been
visually represented (e.g. graphed), at least every two weeks (with
exceptions for some nonacademic goals).
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Item No.
SR35.
§300.320(a)(3)(i)
Indicators B3, B7
Age Group A, B, C
Review Questions
Were decisions to continue or
change instruction made based
on the application of a decision
rule to progress monitoring
data? (These changes are
called phase changes and are
modifications to the
instruction/intervention.)
Yes
No
NA
Criteria for response
Yes = A phase change occurred based on the individual’s progress
monitoring data using the stated decision rule and its description OR
data were collected and no phase change was needed according to the
application of the decision rule and its description.
No = Progress monitoring data were collected but no phase changes
occurred when needed according to the decision rule and its description
OR phase changes occurred but data were not collected to support the
change.
Information on PAGES B & F of the IEP: Appropriate Services in the Least Restrictive Environment
Yes No NA
Item No.
Review Questions
Criteria for response
AS49c
Yes = Student requires AIM.
Does this student require
§300.210
No = Student does not require AIM. (If No, skip to AS44)
Accessible Instructional
Indicators B5, B6
Materials (AIM) (e.g. specialized
format versions of printed
textbooks and printed core
related instructional materials,
such as Braille, large print,
Age Group A, B, C
audio, digital text)?
AS49d
§300.210
Indicators B5, B6
Age Group A, B, C
Were the AIM described on Page
F received in a timely manner (at
the same time as nondisabled
peers received their materials)?
Yes = Student’s AIM described on Page F were received in a timely
manner (when other students received their materials).
No = Student did not receive AIM in a timely manner OR the need for
AIM was not described on Page F.
NOTE: Requires checking to see when materials for other students available.
Information on PAGE G of the IEP: Appropriate Services in the Least Restrictive Environment
Yes No NA
Item No.
Review Questions
Criteria for response
AS44.
Yes = Student participates in nonacademic activities with nondisabled
Does this student participate in
§300.117
peers and has the same opportunity to participate in extracurricular
nonacademic activities with
Indicators B5, B6
activities as nondisabled peers. (If Yes, Skip to AS46)
nondisabled peers and have the
No = Student does not participate in nonacademic activities with
same opportunity to participate in
extracurricular activities as
nondisabled peers and does not have the same opportunity to participate
Age Group A, B, C
nondisabled peers?
in extracurricular activities as nondisabled peers.
AS45.
Yes = An explanation why student does not participate in nonacademic
Since this student does not
§300.320(a)(5)
activities with nondisabled peers is provided.
participate in nonacademic
Indicators B5, B6
activities with nondisabled peers,
No = An explanation why student does not participate in nonacademic
is an explanation provided?
activities with nondisabled peers is not provided.
Age Group A, B, C
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9/11/13 updated
Item No.
AS48.
§300.116(b) & (c)
Indicators B5, B6
Age Group A, B, C
AS49.
§300.116(b) & (c)
Indicators B5, B6
Review Questions
Does this student attend a
special school?
Yes
No
NA
Criteria for response
Yes = Student attends a special school.
No = Student does not attend a special school. (If No, skip to SS51)
Yes = Responses to the special school questions for the current IEP are
documented on the Justification for Special School Placement Form.
No = Responses to the special school questions for the current IEP are
not documented on the Justification for Special School Placement
Form.
Have the special school
questions been answered in the
development of this IEP?
Age Group A, B, C
Information found in MEETING NOTICE and CONSENT forms
Item No.
SS51.
§300.321(a)
Indicators B5, B6
Review Questions
Were the following required
participants invited to the
meeting:
• The parents of the eligible
individual,
• At least one general
education teacher*,
• At least one special
education teacher OR
support service provider
for support service only
review,
• A representative of the
LEA** who is qualified to
provide or supervise the
provision of specially
designed instruction (for
Support Services Only
review, may be the
support service provider if
qualified), AND
• An individual who can
interpret the instructional
implications of evaluation
results (for Support
Services Only review,
may be the support
Yes
No NA
Criteria for response
Yes = All participants required to attend the meeting were listed on the
Meeting Notice form (or included in the other appropriate documentation
of meeting notification) or excusal form.
No = All participants required to attend the meeting were not listed on
the Meeting Notice form (or included in the other appropriate
documentation of meeting notification) or excusal form.
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9/11/13 updated
service provider if
qualified)?
* The general education teacher is
Age Group A, B, C
SS52.
§300.321(a)(7)
Indicator B13
Age Group C only
not a required member of the IEP
team ONLY if there is no possibility
that the student will be in the
general education environment at
any time during the term of the
IEP.
** For Support Services Only, LEA
means AEA
Was the student invited to
attend the IEP meeting? (age 14
and above)
Yes = Student's name is listed on the completed Meeting Notice OR the
student’s meeting notification is otherwise appropriately documented
(may include student’s noted attendance).
No = Student’s name is NOT listed on the completed Meeting Notice or
documentation of student’s meeting notification is absent.
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