Data Identified
Noncompliance
2014
The Technical Assistance Guide for
Monitoring and Reporting the
Corrections of Data Identified
Noncompliance
California
Department
of Education
Special
Education
Division
Documentation and Reporting of Correction of Noncompliant Findings Identified
Through Data Analysis
Table of Contents
Background
2
Overall Process and Timelines
3
General Instructions
3
Contact Information
4
Data Identified Noncompliance Data Collection Web Site
4
Logon
4
Data Collection Menu
7
Data Collection Entry Screen
8
Saving and Submitting
11
Submitting Complete Data
12
Appendix 1: California Special Education Management Information System
Data References for Noncompliant Findings
13
Appendix 2: Overview of Data Identified Noncompliance Process
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1
Documentation and Reporting of Correction of Noncompliant Findings Identified
Through Data Analysis
Background
The Office of Special Education Programs (OSEP) of the U.S. Department of Education
requires that states must examine data it receives through its data collections to
determine if the data demonstrates noncompliance with the requirements of the
Individuals with Disabilities Education Act (IDEA). If noncompliance is identified, the
state must make a finding of noncompliance and require the local educational agency
(LEA) to make corrections using federally specified procedures (OSEP Memorandum
09-02, October 17, 2008).
In order to carry out these requirements, the California Department of Education (CDE)
Special Education Division (SED) reviews and analyzes student level data submitted to
the California Special Education Management Information System (CASEMIS) for
compliance with state and federal requirements. Specifically, the data is analyzed in
relationship to three compliance indicators from the California State Performance Plan
(SPP):

Indicator 11: One hundred percent of children were evaluated within 60 days of
receiving parental consent for initial evaluation.

Indicator 12: One hundred percent of children referred by Part C prior to age
three, who are found eligible for Part B, have an Individualized Education
Program (IEP) developed and implemented by their third birthday.

Indicator 13: One hundred percent of youth aged 16 and above have an IEP that
includes the eight required measurable postsecondary goals.
In addition, the CASEMIS data is analyzed for compliance with the state and federal
timeframe requirements for:

Annual IEP meeting (once a year)

Triennial re-evaluation to determine the student’s continued eligibility (every
three years)
The specific CASEMIS data reporting elements for each of the five areas identified
above are located in Appendix 1.
2
Overall Process and Timelines
Appendix 2 depicts all of the steps in the annual Data Identified Noncompliance (DINC)
process. The following is a description of the major steps that will be followed each
year:
August: June 30 CASEMIS data is analyzed to determine noncompliance.
September to November: Districts are notified of noncompliance findings. The DINC
Web site is made available for LEAs to examine noncompliance and to record
corrections.
December to February: December CASEMIS data is used to verify correction of
previous noncompliance and to retest for new noncompliance in the same areas found
noncompliant in the June 30 submission. Federal procedures require the CDE to
evaluate a subsequent data set to determine if there is continuing noncompliance in the
same areas. This is called a Prong II test.
March: LEAs are notified if they have successfully completed a Prong II evaluation. If
the LEA does not meet the requirements of Prong II, they must correct any new student
findings of noncompliance and submit a revised CASEMIS Table A by March 31.
Specific instructions for this submission will be sent at this time.
April: The March 31 Table A submission will be evaluated to verify correction of
previous noncompliance; and to retest for any new noncompliance in the areas found
noncompliant again in the December 1 submission. LEAs that do not pass this second
Prong II evaluation will be required to conduct a CDE guided root cause analysis and
submit a compliance plan for CDE approval. In addition, the LEA will be given an overall
compliance determination of “needs assistance.” Two consecutive years of a “needs
assistance” determination requires the CDE to take certain actions that will affect the
use of IDEA funds (see 34 CFR 300.600 et seq). Specific instructions will be sent when
this determination is made.
General Instructions
Each LEA that has received a letter from the CDE regarding DINC must correct student
level findings and record the correction on the DINC Web site. For each type of
noncompliance, there are corrective actions specified in the Corrective Actions Table
beginning on Page 9.
3
Contact Information
The SED’s Focused Monitoring and Technical Assistance (FMTA) Units will monitor and
provide technical support to the districts during the correction process. If districts need
assistance or have questions regarding the correction or documentation of corrective
actions, please contact the district’s assigned FMTA consultant. The list of assigned
FMTA consultants can be found at http://www.cde.ca.gov/sp/se/qa/fmtacncnt.asp.
Technical questions should be addressed to CASEMIS via the e-mail link at the bottom
right of the page or via phone at the number listed.
Data Identified Noncompliance Data Collection Web Site
In order to monitor and report the correction of the noncompliant items, the SED created
a Web site. Each identified LEA is required to use this Web site to record correction
information. The Web site address is: https://www2.cde.ca.gov/dinc/logon.aspx.
Logon
The LEA should have both the Web site address and password available when they
wish to logon. For security reasons, the password was sent separately from the
notification letter. The password was included in an e-mail to the district superintendent
or charter school administrator.
If you have questions about your password or the Web site, please contact Steven
Rogers, Education Research Evaluation Assistant in the Assessment, Evaluation, and
Support Unit by e-mail at srogers@cde.ca.gov.
4
When the LEA logs on to the Web site, the following screen appears:
The LEA should select “District” as the Type of Logon and click “Continue.”
SELPA Logon: Special Education Local Plan Area (SELPA) directors may log on to the
Web site to review the progress of member districts by selecting the “SELPA” radio
button instead of the “District” radio button.
5
The next screen will ask you to select your SELPA from a drop down box. After you
select your SELPA, another drop down box appears in which you will select your LEA.
Once you have selected your LEA, you will be prompted for a password. Enter the
password sent to your superintendent or administrator.
6
Data Collection Menu
The Data Collection Menu contains identifying information about the LEA and lists all of
the potential noncompliance areas. Only those areas where the LEA is noncompliant
are available to be used and will have live links. Any other areas will not have a live link
and will have a message that the LEA has “No Noncompliance for This Indicator.” In
order to proceed, the LEA must select one of the live, noncompliant area links. Once
selected, the LEA will enter the Data Collection Entry Screen for that noncompliant area
(e.g. 60 Day Timeline).
7
Data Collection Entry Screen
The top of the screen includes information about the district and the status of data
submission and CDE approvals. It also contains information about each student whose
data was noncompliant. The Web site has been prepopulated with information about
students, including the last name, first name and student identification supplied by the
LEA.
Student List: The LEA may download or view a list of students to facilitate their work by
clicking the “Download List” button at the bottom of the page. The data may be saved in
Comma Separated Value (.csv) format by using the “Save” or “Save as” buttons or be
viewed by using the “Open” button.
Customizing Screen Display: The screen display may be customized to display all
students, only those students whose data has not been saved, or only those students
whose data has been saved. The LEA may customize by using the radio buttons just
above the list of students.
Number of Records per Page: The LEA may select the number of records to be
displayed on a page by using the “Results per Page” pull down list at the bottom of the
page.
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The LEA is responsible for correcting the noncompliance for the student. The Corrective
Actions Table lists the required corrective actions for each type of noncompliance
encountered in the Data Collection Entry screens. Please note that there are individual
corrective actions for each of the transition elements. The LEA must record the following
information to document correction:
Corrected Date: This is the date that the noncompliance was corrected (not the date
the entry was made into the data system).
Evidence of Corrective Action: Enter the evidence that the district has in its
possession that demonstrates that the noncompliance was corrected. For example,
“The student’s new IEP was completed and signed on September 20, 2014.”
Location of Evidence: This is the location at the LEA where a reviewer could locate
and examine the evidence in a follow-up review. For example, “A print copy of the IEP is
located in the student’s file in the Special Education Office.”
Corrective actions for each of the noncompliant indicator findings is specified below:
Corrective Actions Table
CASEMIS
Noncompliance
Name
Student Non-Compliant Finding Corrective Action
60 Day
If the IEP has not yet been completed, the LEA must
convene the IEP team to develop the IEP and update the
student data record. If the IEP was late, but has been
completed, the LEA must update the student data record.
Part C to B
If the IEP has not yet been completed, the LEA must
convene the IEP team to ensure that the student
transitioning from early intervention services under Part C
has an IEP developed and implemented, and update the
student data record. If the IEP was late, but has been
completed, the LEA must update the student data record.
For the student whose annual review was late and has still
not been completed, the LEA must convene the IEP team
to review and revise the IEP and update the student data
record. If the IEP was late, but has been completed, the
LEA must update the student data record.
IEP
9
3 Year Evals
Tran_Reg1
Tran_Reg2
Tran_Reg3
Tran_Reg4
Tran_Reg5
Tran_Reg6
Tran_Reg7
Tran_Reg8
For the student whose triennial review was late and has
still not been completed, the LEA must convene the IEP
team to review and revise the IEP and update the student
data record. If the triennial review was late, but has been
completed, the LEA must update the student data record.
The LEA must provide evidence that the IEP contains
measurable postsecondary goals for education or training,
employment and, as needed, independent living. In
addition, the LEA must update the student data record.
The LEA must provide evidence that the IEP contains
measurable postsecondary goals that are updated
annually and must update the student data record.
The LEA must provide evidence that the IEP contains
measurable postsecondary goals based on age
appropriate transition assessments related to training
or education, employment, and where appropriate,
independent living. The LEA must also update the student
data record.
The LEA must provide evidence that the IEP contains
transition services that will reasonably enable the student
to complete the annual goals. The LEA must also must
update the student data record.
The LEA must provide evidence that the IEP includes a
course of study with focus on improving the academic and
functional achievements of the student to facilitate
movement from school to post school. The LEA must also
update the student data record.
The LEA must provide evidence that the current IEP
includes annual goal(s) that match transition services
identified on the IEP. The LEA must also update the
student data record.
The LEA must send a notice of the meeting inviting the
student to the IEP meeting to discuss transition services,
and must reconvene the IEP team for the purpose of
transition planning. The LEA must also update the student
data record.
The LEA must send a notice of the meeting inviting a
representative of any agency that is likely to be
responsible for providing or paying for transition services,
and must reconvene the IEP team for the purpose of
transition planning. If no other agencies are involved in the
payment or provision of transition services, the LEA must
submit a statement to that effect. The LEA must also
update the student data record.
10
Saving and Submitting
At the far right of the individual student listing, there is a “Date Saved” and a “Save”
column. The “Date Saved” column is updated automatically. The LEA can save student
records individually or in bulk. To save individually, the LEA clicks the “Save” link on the
far right of the student listing. This will save that individual student’s information only. At
the bottom of the page there is a button labeled, “Save Data on this Page.” Clicking on
this button will save all of the data.
The Corrected Date, Evidence of Corrective Action and the Location of Evidence boxes
must be filled out before attempting to save the data or an error will occur.
Once the data is saved, it is stored on the CDE’s secure servers allowing the LEAs to
complete the data entry over the course of more than one session if need be. When the
LEA logs on again, the data from the previous session is saved and can be edited and
resaved as needed until the LEA submits the data.
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Submitting complete data
Once the LEA has entered information in all of the correction fields, the data can be
submitted to the CDE by returning to the Data Collection Menu page and clicking the
“Submit” button. The “Submit” button will only appear if there are entries in every box in
every noncompliance area. Also, once the information is submitted, it cannot be edited.
This process will submit the correction information to the FTMA consultant for review. If
the corrections are acceptable, the FMTA consultant will approve the final version and
the district will have completed the necessary elements for DINC.
To adhere to federal and state confidentiality regulations, districts should never
submit student level data via unsecured e-mail or fax.
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Appendix 1: California Special Education Management Information System (CASEMIS)
Data References for Noncompliant Findings
The list below identifies the CASEMIS data fields used to identify noncompliance:
 IEP-Identified students whose last IEP date was older than one year. (CASEMIS
A-36 LAST_IEP)
 60 day-Identified students whose initial evaluation to determine eligibility did not
occur within 60 days of parent consent and no reason was reported (CASEMIS
A-28 PRNT_CSNT, A29 INIT_EVAL, and A-30 EVALDLAY)
 Part C to B-Identified students who were in Part C of IDEA prior to age three but
did not have an IEP by their third birthday.
 3yr Eval-Identified students whose triennial review was older than three years
(CASEMIS A-37 LAST_EVAL)
 Tran_Reg1-Identified students who are 16 years or older and the student’s IEP
does not include an appropriate measurable postsecondary goal or goals that
cover education or training, employment, and independent living. (CASEMIS A47 TRAN_REG1)
 Tran_Reg2-Identified students who are 16 years or older and the student’s IEP
secondary transition service goal(s) are not updated annually. (CASEMIS A-48
TRAN_REG2)
 Tran_Reg3-Identified students who are 16 years or older and the student’s IEP
does not have evidence that the measurable postsecondary goal(s) were based
on age appropriate transition assessment. (CASEMIS A-49 TRAN_REG3)
 Tran_Reg4-Identified students who are 16 years or older and the student’s IEP
does not contain transition services that will reasonably enable the student to
meet his or her postsecondary goal(s). (CASEMIS A-50 TRAN_REG4)
 Tran_Reg5-Identified students who are 16 years or older and the student’s IEP
does not identify transition services that include courses of study that will
reasonably enable the student to meet his or her postsecondary goal(s).
(CASEMIS A-51 TRAN_REG5)
 Tran_Reg6-Identified students who are 16 years or older and the student’s IEP
does not contain annual IEP goal(s) related to the student’s transition service
needs. (CASEMIS A-52 TRAN_REG6)
13
 Tran_Reg7-Identified students who are 16 years or older and the student’s IEP
does not contain evidence that the student was invited to the IEP team meeting
where transition services were discussed. (CASEMIS A-53 TRAN_REG7)

Tran_Reg8-Identified students who are 16 years or older and the student’s IEP
does not indicate, if appropriate, that a representative of any participating agency
was invited to the IEP Team meeting with the prior consent of the parent or
student who has reached the age of majority. (CASEMIS A-54 TRAN_REG8)
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Appendix 2: Overview of Data Identified Noncompliance Process
15