Purpose of the Special Education Self-review
California Department of Education
Special Education Division
Special Education Self-review
Instructions and Forms Manual
(Revised: October 14, 2013)
Special Education Self -re view
Table of Conte nts
PURPOSE OF THE SPECIAL EDUCATION SELF-REVIEW .................................................... 1
OVERVIEW OF THE SPECIAL EDUCATION SELF-REVIEW PROCESS ................................ 2
SPECIAL EDUCATION SELF-REVIEW ACTIVITY ONE: DEVELOPING THE MONITORING
Completing the Monitoring Plan and Sending to SELPA (Steps 4, 5, 6, 7, 8) ........................11
Special Education Self-review Electronic Monitoring Plan and Final Monitoring Plan
SPECIAL EDUCATION SELF-REVIEW ACTIVITY TWO: COMPLETING THE REVIEWS ......14
Special Education Local Plan Area Governance Review (Steps 15c –16c) ............................17
Conducting the Individualized Education Program Implementation Review ...........................26
Conducting the Special Education Local Plan Area Governance Review (Step 16b.) ............31
Entering Review Findings into the Special Education Self-review Software (Step 20) ...........34
SPECIAL EDUCATION SELF-REVIEW ACTIVITY THREE: CORRECTIVE ACTIONS &
COMPLETING THE SPECIAL EDUCATION SELF-REVIEW ...................................................34
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Table of Conte nts
APPENDIX I: DOCUMENTS AND FORMS REQUIREMENTS .................................................40
APPENDIX III: SELF-REVIEW SCHEDULE BY YEAR BY COUNTY ......................................46
APPENDIX IV: REQUIRED ACTIONS BY CDE CONSULTANTS ............................................47
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Purpose of the Special Education Self-review
Special Education Self-review Purpose
The purpose of the Special Education Self-review (SESR) is:
To ensure that the local educational agencies (LEAs), including county offices of education (COE),and Special Education Local Plan Areas (SELPAs) are providing appropriate supervision and monitoring for special education programs and services
To provide information to the California Department of Education (CDE) regarding key compliance questions
To provide effective general supervision to LEAs in accordance with the obligations imposed on the State Education Agency under the Individuals with
Disabilities Education Act
Special Education Self-review Questions
The SESR process is designed to answer six broad questions:
1. Does the LEA comply with procedural requirements required in federal and state law?
2. Does the LEA comply with procedural requirements that are known to be frequently noncompliant?
3. Does the LEA fulfill its responsibilities as the LEA of residence when students are served by other LEAs and programs?
4. Does the SELPA fulfill its responsibilities for monitoring the procedural elements of the local plan?
5. Does the LEA allocate federal Individuals with Disabilities Education Act (IDEA) resources appropriately to meet the needs of special education students?
6. Does CDE provide effective general supervision in accordance with federal and state law?
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Overview of the Special Education Self-review Process
The SESR closely follows the processes and procedures used in the CDE on-site verification review. A major difference is that the LEA staff is responsible for conducting self-reviews, rather than CDE staff completing the reviews. The SESR provides an opportunity for LEAs to objectively review the special education programs and services with respect to compliance with statutes and regulations. There are three major activities in the SESR process:
Activity One –The Monitoring Plan (Steps 1–13) ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Final Activity One 12-13 SESR.pptx
Preparation and approval of the LEA Monitoring Plan includes the following actions:
Obtain parent input
Obtain SPP data reports from the CDE Web site and complete data analysis
Obtain compliance history and other data
Complete an analysis of parent meetings, parent survey data, and other sources of information including compliance history and due process hearing decisions
Complete the Monitoring Plan and submit the hard copy and electronic plan to
SELPA and CDE by November 20, 2013
Activity Two –Completing the Reviews (Steps14–22)
To be posted at a later date.
Conduct SESR review activities including the following actions:
Gather student records for review
Complete the student record reviews and specialized records reviews for individualized education program (IEP) implementation and educational benefit
Complete a policy and procedure review
Complete a SELPA governance review
Complete a fiscal review
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Complete data validation review
Submit electronic data files to the CDE
Activity Three
–Corrective Actions
(Steps 23
–29)
To be posted at a later date.
Complete the required corrective actions including the following:
Complete an analysis of the SESR results
Identify and complete all required corrective actions
Perform a root cause analysis to isolate and remedy identified noncompliance, as needed
Submit electronic data files and hard copy materials to the CDE
Roles and Responsibilities
CDE and SELPA Training (Step 1)
The SELPA and CDE are available to provide training for LEAs at critical intervals throughout the SESR process. Initial training will include an overview of the entire process from developing the Monitoring Plan to conducting corrective actions. Training will address software installation and navigation, generating reports, SESR protocols, and evaluating overall performance. Training is scheduled at the beginning of each activity of the SESR, and consultation is available from SELPA and CDE, Special
Education Division, Focused Monitoring and Technical Assistance (FMTA) consultants during the SESR process. All training is accompanied by slide presentations and documentation that assists with conducting the various activities. On-site training is initially provided for overview purposes and to instruct on the specific details of the
Monitoring Plan activities. A second on-site training may be provided by the SELPA and
CDE after approval of the LEA Monitoring Plan and before the review of student, LEA,
SELPA, and fiscal records. This second training covers printing and reviewing protocols, identifying documents needed for review, conducting document reviews, evaluating evidence, and submitting data for review. A third on-site training may be provided after the review process for the purpose of addressing corrective action. Instruction is
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Special Education Self -re view provided during the third training on using the SESR software corrective action components, including recording evidence of correction into the SESR software, submitting corrective actions to CDE electronically, addressing timelines for correction, and repeated selection of student files to verify correction at the 100 percent level.
Again, training is available to LEAs by SELPA staff and FMTA consultants on any aspect of the SESR.
Local Educational Agency
All LEAs, including charter schools that are their own LEA, are required to complete a
SESR and report findings using SESR software. A LEA with one or more students with current IEPs must complete all components of the SESR. Occasionally, a LEA has no current students with an IEP. In that case the LEA must complete the Monitoring Plan, but will complete only the district level reviews.
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LEA Size
Figure 1
SESR Participation Requirements
Monitoring
SESR
Plan SESR Components
Software
Required
One or more current students with an IEP
Yes All components
No students with a current
IEP
Yes
District level components only
(Fiscal, Policy and
Procedure, SELPA governance)
Additional Documentation and Support Materials
Yes
Yes
LEA SESR
Assurance
Form
Yes
Yes
The Detailed Software Manual located at ftp://ftp.cde.ca.gov/sp/se/ds/2012-13
SESR/SESR Detailed Software Manual 12-13.doc
should be consulted for additional instructions regarding the SESR process and use of the software. The manual contains screen shots and step-by-step data entry instructions. All other SESR forms and materials may be accessed through the File Transfer Protocol (FTP) site. The electronic version of this manual also contains links to all materials, forms, and other support documents. The links to these materials are found at the beginning of each activity under the “Resources and Links” heading, imbedded in the text, and at the end of the
Manual in Appendix II.
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Special Education Self-review Activity One: Developing the
Monitoring Plan
Required Actions
Parent meeting/survey and analysis
Analysis of State Performance Plan (SPPI) data
Analysis of compliance history
SESR software installation
Submission of the Monitoring Plan for SELPA and CDE review
Input and upload of items and information from the approved Monitoring Plan
Resources and Links for Activity One
Flowchart: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Visio-Final All Flowchart 2012-13
SESR Process.pdf
Technical Manual: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Detailed
Software Manual 12-13.doc
Monitoring Plan (Form 1): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/12-13
Monitoring Plan Form 1.doc
Directions for Developing the Monitoring Plan: ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Developing the Monitoring Plan Directions 2012.doc
Item Table: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Item Table 12-13.xls
Parent Input Materials:
Surveys
Invitations
Sign-in Sheets
□ English: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Parent Input
Meeting Sign-in Sheet_English.doc
□ Spanish: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Parent Input Sign-in
Sheet Spanish.doc
Parent Input Manual: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Parent
Input Manual.doc
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Parent Survey Questions Matched to Item Table: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Parent Input- Questions
Matched to Item Table Nos.doc
Supporting Early Education Delivery Systems (SEEDS): http://www.scoe.net/seeds/
State Performance Plan and Annual Performance Measures: http://www.cde.ca.gov/sp/se/qa/documents/spp2010.doc
PowerPoint presentation: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Final Activity One 12-13 SESR.pptx
Purpose
The first activity of the SESR is the development of a Monitoring Plan. This is a hard copy, Word document form, titled Monitoring Plan (SESR Form 1) ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/12-13 Monitoring Plan Form 1.doc
. The
Monitoring Plan provides focus and direction, and acts as a strategic plan for the SESR.
Once approved by SELPA and CDE, LEA staff will enter information from the Monitoring
Plan into the SESR software. The software generates the SESR review forms
(protocols). A LEA team must develop the Monitoring Plan. The LEA must select a parent who is affiliated with a local parent organization and who understands the IEP processes and requirements to review the Monitoring Plan. Examples of local parent organizations include the Community Advisory Council (CAC), the Family
Empowerment Center (FEC), the Parent Training and Information Center (PTIC), and the Family Resource Center (FRC).
The Monitoring Plan includes data from the following three sources:
1. Information received from parents at parent meetings and/or by survey
2. LEA special education data reports developed by the CDE
3. Other compliance information including but not limited to compliance and due process complaint history
Parent Input (Step 2)
This process involves gathering information from parents and guardians of students currently in special education about services and programs and identifies issues that may involve noncompliance. The methods for gathering information are qualitative and designed to allow parents to discuss experiences and provide information about the
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LEA. Each LEA must convene at least one parent meeting. Invitations must be sent to all parents and guardians of students receiving special education services in the LEA. It is strongly encouraged that parent surveys be sent with the meeting invitation. Parents and guardians should be encouraged to complete and return the survey if they are unable to attend the parent input meeting. The survey includes 27 questions. The LEA may add additional questions and discuss other concerns regarding the special education program. The LEA must keep records of the discussion and use the information for completing the Monitoring Plan.
The parent input response rate, through attendance at the meeting or completion of the survey, must total 20 percent of the parents or guardians of students with an IEP in the
LEA. If less than 20 percent of parents attend the parent meeting, a parent survey must be sent to all parents and guardians of students receiving special education services in the LEA. Again, the CDE recommends that the LEA include the survey in a selfaddressed envelope with an invitation to the parent meeting. If the parent input response rate, after the LEA has completed the required parent meeting and sent out the survey, remains at less than the required 20 percent level, the LEA must use alternative methods to contact the parents. These alternative methods may include telephone contact, e-mail, or other options, including gathering input at IEP meetings.
Surveys are attached in hyperlink form in the appendix and available in multiple languages.
Parent Input for the Self-review Process –Non-English Speaking Parents
The LEA shall provide parents with an interpreter during the parent input meeting(s) if home language surveys indicate 25 percent or more of the special education population has a designated language other than English. In addition, the LEA shall provide parents with the survey in their native language as well as a survey in English.
Identifying Parent Input Items for the Monitoring Plan
Information obtained from the parent input meetings and/or surveys related to special education services must be included in the Monitoring Plan if the following applies:
1. The information alleges a violation of state or federal statute or regulation, and;
2. The information is validated by other LEA reports, or; similar information was expressed by several parents, affects a number of students, or occurred at a number of school sites
The Monitoring Plan document requires that the LEA describe the number of parent input meetings held, the numbers of parents invited, the number of parents attending, and/or the number of surveys distributed and returned to the LEA.
Review of Local Educational Agency Data Reports (Step 2)
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The LEA collects data about students receiving special education using the California
Special Education Management Information System (CASEMIS). Some of this data is summarized for the LEA in the form of the special education APR measures. The data is structured to compare the performance of an LEA on a year-to-year basis to the specified SPPI standards. The APR measures are directly connected to the SPPI, the
Quality Assurance Process (QAP), and the focused monitoring of special education programs. The SPPIs are measures of progress toward achieving statewide special education goals and are based on compliance, enrollment, and performance data.
Detailed descriptions of the data elements used to calculate the measures and specific
SPP indicator reports for the 2011 –12 data year can be accessed through the following link on the CDE Web site: http://www.cde.ca.gov/sp/se/ds/leadatarpts.asp
. The 2013
–
14 SESR uses the 2011 –12 data year reports for development of the Monitoring Plans.
Information on the Web site includes an explanation of how the measures are calculated. Small LEAs may not have APR measures posted on the CDE Web site.
State Performance Plan Indicators (Steps 2 –3)
1. Graduation
2. Dropout
3. Assessment
A. Met Adequate Yearly Progress
B. Participation i. English-language arts ii. Mathematics
C. Performance i. English-language arts ii. Mathematics
4. Suspension and Expulsion (not included for SESR 2013 –14)
A. Overall
B. By race/ethnicity
5. Least Restrictive Environment (LRE)
A. Out of general education settings <21 percent of the school day
B. Out of general education settings >60 percent of the school day
C. Separate schools
6. LRE –preschool
7. Assessment –preschool
8. Parent involvement
9. Disproportional representation overall (not included for SESR 2013 –14)
10. Disproportional representation by disability and race/ethnicity (not included for
SESR 2013
–14)
11. Eligibility Evaluation (initial) –determination made within 60 days
12. Transition Part C to Part B not later than third birthday
13. Secondary transition goals and services
14. Post-school outcomes
–competitively employed, enrolled in post-secondary school, or both (not included for SESR 2013 –14)
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An SPP indicator must be included in a LEAs Monitoring Plan when the target is not met.
Figure 2
LEA Annual
Performance Report Measures
The LEA is responsible for obtaining a copy of the special education data report from the CDE Web site and analyzing the information, http://www.cde.ca.gov/sp/se/ds/leadatarpts.asp
. Based on the data reviewed, the LEA must make a determination about which issues warrant further investigation and include those indicators in the Monitoring Plan. The LEA’s CDE consultant can assist in accessing the data reports if necessary.
Review of Local Educational Agency Compliance History (Step 2)
The LEA is responsible for obtaining a copy of the following documents:
Compliance complaint history
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Due process decisions
The LEA must review information and include in the Monitoring Plan any identified ongoing pattern of noncompliance. The LEA identifies if a trend is present by reviewing the list of compliance complaint findings and due process findings and determining if a pattern emerges. Patterns may include, but are not limited to, such occurrences as failure to provide adequate notice, failure to provide assessment plans in a timely manner, failure to have a general education teacher present at the IEP, failure to conduct transition plan meetings that identify goals, and failure to provide services that contribute to post school transition. LEAs must review the last three years of compliance complaint and due process data, not including the current year, to determine if a trend or pattern exists. The LEA must use the item table to identify the item number that most closely matches the compliance history issue for investigation. The LEA must enter the item numbers, a title for the trend, and a description of the trend into the Monitoring Plan where indicated on the document. Training will occur to assist the LEA when navigating the item table to discern the particular item that warrants further review. The item table is accessed by following the link: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Item Table
12-13.xls
. Use relevant key words and conventional search functions in the Excel application such as “procedural safeguards”, “assessment”, “sixty days”, “suspension” to search the item table to identify the item number and compliance test the LEA wishes to further investigate. Once selected, the LEA should document the items in the monitoring plan for entry into the software to include the issue in the protocols generated for record reviews.
The District of Residence (DoR) is responsible for students residing in the district, but served by other LEAs or agencies. The Monitoring Plan also requires the LEA to describe how it will include records of students served in:
Nonpublic schools
Juvenile court schools
County jails serving students with special needs
Alternative schools
Charter schools
COE programs
Private schools
State or head start preschools
Other LEAs
District community schools
Completing the Monitoring Plan and Sending to SELPA (Steps 4, 5, 6, 7, 8)
The LEA must complete the Monitoring Plan and ensure that all elements are carried out as instructed above. LEAs will submit a completed Monitoring Plan for approval to the SELPA. After the SELPA has reviewed and approved the Plan, it is sent to the assigned regional FMTA consultant. The Monitoring Plan is submitted to the CDE
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Special Education Self -re view before the LEA loads the SESR software into a computer or enters the items and information from the Monitoring Plan into the SESR software.
Loading SESR Software (Step 9)
The process for submitting the Monitoring Plan requires that the district load the SESR software onto a local computer by following the directions contained in the Software
Installation Manual found at ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Software
Installation Instructions.doc
.
CDE provides instructions and assistance with installation and operation of the SESR software. The SESR software is located on the following FTP site at the following location: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/sesr_12_13v1.exe.exe . An icon will appear on the computer desktop when the software is successfully installed. Refer to the
Software Installation Manual for the exact steps to initiate the software and prepare it for loading the Monitoring Plan: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Detailed
Software Manual 12-13.doc.
FMTA consultants are available for telephone consultation and may conduct on-site local training regarding the functions and operation of the
SESR software. The FMTA consultant and designated SELPA staff assigned to the LEA are the primary contacts for training and technical assistance.
Entering the Monitoring Plan (Step 10)
Once the SESR software is installed and operational, the LEA will enter the items and information from the Monitoring Plan into the software. These entries are made at the traffic light symbol. Enter the areas for investigation that are specified in the Monitoring
Plan, including parent input, SPP\APR indicators, and compliance history. These elements, when entered into the software, result in SESR student level and LEA level monitoring review forms that are unique to the LEA.
Special Education Self-review Electronic Monitoring Plan and Final Monitoring
Plan Submission (Steps 9 and 10)
Upon completion of entering the Monitoring Plan items and information into the SESR software and no later than November 20, 2013, the LEA staff must upload/submit electronically to CDE for review and approval. The FMTA consultant will review the
Monitoring Plan items and information in the software and via hard copy and resolve any outstanding Monitoring Plan concerns. The FMTA consultant must approve both the electronic submission and the signed written copy of the Monitoring Plan (Form 1). The
LEA should refer to instructions for data submission in the SESR Detailed Software
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Manual: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Detailed Software Manual
12-13.doc
. The FMTA consultant must approve the electronic submission of the
Monitoring Plan items and information before LEA staff may proceed with the next phase of SESR activities.
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Special Education Self-review Activity Two: Completing the Reviews
Required Actions
Print the SESR protocols for the file review
Train teams for the file review
Select the student files to be reviewed
Complete the file review
Complete District-level reviews
Upload findings to CDE
Review corrective actions
Resources and Links for Activity Two
Flowchart: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Visio-Final All Flowchart 2012-13
SESR Process.pdf
Educational Benefit Materials:
Legal Basis: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed Benefit Legal Basis.doc
Ed Benefit Chart Page 1: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed Ben
Chart Page 1 w Calculation Questions.doc
Ed Benefit Chart Page 2: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed Ben
Chart Page 2 w Calculation Questions.doc
SESR Worksheet 2a ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/MH Ed Ben Protocol V2.doc
IEP Implementation Materials:
IEP Implementation Worksheet 3a: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13
SESR/IEP Implementation Summary Worksheet 3a.doc
Interview Questions for IEP Implementation, Worksheet 3b: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/IEP Implementation Interview
Worksheet 3b.doc
Noncompliant Summary Forms:
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School age and Infant-Toddler Worksheets 1a and 1b: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Summary of Noncompliant Findings
1a and 1b.doc
District Level Worksheet 1c: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13
SESR/Summary of Noncompliant Findings 1c.doc
PowerPoint presentation:
Activity Two PowerPoint: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Final
Activity Two 12-13 SESR.pptx
The assigned FMTA consultant and SELPA staff may provide training to the LEA on
Activity Two of the SESR process. (Step 14)
Printing the Special Education Self-review Forms (Step 15)
After the LEA has completed the electronic submission of the Monitoring Plan items and information, and received approval from the assigned FMTA consultant, the LEA may now print the applicable record review forms for each component of the SESR activities which may include:
School Age student record review
Preschool student record review (if applicable)
Infant and toddler record review (if applicable)
LEA policy and procedure review
SELPA governance review
Fiscal review
All elements of the special education program will be reviewed, analyzed, and recorded using the SESR software. The SESR process relies on a set of self-review protocols that focus on specific areas of the special education program. The SESR software generates specific protocols that contain questions about the special education program that the reviewer can answer from a variety of sources. Those sources include student records, policy and procedure documents, SELPA documents, and fiscal documents.
Forms are printed from the software and are accessed when the user has logged into the system. The user then selects the
“Print Monitoring Forms” radio button to display the various forms needed to complete the review. See the SESR Detailed software
Manual at ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Detailed Software Manual
12-13.doc.
Selecting Records and Gathering Documents (Step 16a –d)
The LEA must select the appropriate records to complete the review including student records, policy and procedure documents, SELPA governance documents, and fiscal
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Special Education Self -re view documents. Selecting student records should be done thoughtfully and reflect a reasonable cross section of students. Infants, toddlers and preschoolers should be reviewed when the LEA has an infant, toddler and preschool program. Likewise, if students from the LEA are served in county programs, nonpublic schools, charter schools, court schools, county jails, or alternative schools, those students must be considered in the course of student record selection. The LEA should contact each of the above school types to inform them about the record review process and initiate discussions about the record review. Students receiving services by other agencies or
LEAs must be reviewed in proportion to the number of students in those settings, with a minimum of one student per setting.
Selection of Student Records (Step 16a)
LEA staff must determine the number of records to be reviewed (see figure 3).The number of student records the LEA must review is entered into the Monitoring Plan
(SESR Form 1). The chart below divides LEAs into six groups based on size. The number of student records to be reviewed is based on the LEA
’s total number of students receiving special education services enrollment. LEAs with 1,000 or more students will review a percentage of special education student files up to the maximum number, according to the chart, again, based on the number of students receiving special education.
Please note that the number of infant/toddler and preschool files to be reviewed is in addition to the number of school age records.
Figure 3
Special Education Self-reviews: Selection of Student Records
Number of
Number of Number of
Number of Infant
Special Preschool
Group LEA Size School Age Toddler
Education Files
Files Files
Students in LEA (additional)
(additional)
1
2
3
4
5
150,000 +
30,000 –149,999
15,000 –29,999
5,000 –14,999
1,000 –4,999
4,158 –19,950
2,055 –16,438
975 –3,498
400 –1,830
60 –682
.5% up to 80
2% up to 70
3% up to 60
8% up to 50
30% up to 40
8
7
6
5
4
8
7
6
5
4
6 1
–999
1
–129
Policy and Procedure Review (Steps 15b
–16b)
50% up to
30
3 3
Additional information must be gathered for the policy and procedure review. Most LEAs adopt policies and procedures approved by the SELPA and may also create additional
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Special Education Self -re view policies and procedures of their own. All LEA board approved policy and procedure documents should be gathered for review of policies and procedures.
Special Education Local Plan Area Governance Review (Steps 15c –16c)
The SELPA governance self-review document should be completed by the SELPA office for the entire region and reported by one of the LEAs in the self-review within that
SELPA.
Fiscal Review (Steps 15d –16d)
The Fiscal Review should be carried out by knowledgeable persons associated with the
LEA, such as, but not limited to, a director of finance, business manager, chief fiscal officer or other person knowledgeable about the budget. Program and instructional personnel are often unfamiliar with topics such as audit requirements, excess cost matters, record keeping requirements for purchased equipment, excess cost calculation or proportionate share calculations for parentally placed private school special education students. LEA experts such as chief financial officers or business managers should be included in the SESR for purposes of completing the fiscal review.
Documents and materials needed to conduct the fiscal review include:
Staff assignment lists, LEA timesheets, and payroll records
Lists and locations of equipment used by students with low incidence disabilities purchased with special education funds
Records for nonpublic agencies to determine if special education services are properly accounted for by nonpublic agencies. The confirmation of use of funds will require records of allocations from the LEA, documentation of expenditure by the nonpublic agency, and comparison to services documented on the IEP
Evidence that professional development funds were expended and for what purpose
The LEA
’s Office of Management and Budget (OMB) circular A–133 independent audit to determine if generally acceptable accounting practices are followed and that audit exceptions were remedied within a reasonable time
Evidence that a proportionate share of IDEA funding is calculated for parentally placed private school special education students
Excess cost worksheets and reports
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Documentation of the distribution of funds to charter schools that are public schools of the LEA
As appropriate, records related to the expenditure of Coordinated Early
Intervening Services funds
Training Special Education Self-review Teams (Steps 17a and b)
The LEA should select reviewers for the student and LEA level document reviews from staff that have the best background for the subject matter. For example, the LEA may wish to have teachers and clinical personnel review the student records and have administrators review the fiscal documentation. The LEA should use the actual review protocols during training activities so that a common understanding is established about what each item requires and what constitutes adequate evidence.
Conducting Student Record Review (Step 18a.A)
Process
The SESR software will generate the review forms based on the Monitoring Plan. The same process must be used for review of school age, preschool, and infant and toddler records. See the Detailed Software Manual for specific directions on printing review protocols, ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Detailed Software Manual
12-13.doc
. The LEA will use the most recent and complete student records for review and should obtain all pertinent records. Some records may be retained in different locations such as the classroom, administrative office, or as part of a cumulative record maintained elsewhere. Review forms are wide ranging and the most accurate information can be compiled only if reviewers have access to all records. The record review forms generated by the SESR software includes several types of information to assist the LEA in making a determination of compliance or noncompliance. The form includes the item number, a compliance test drawn from federal or state statute and regulation, a compliance standard, guidance about where the information might be found, and legal references if there are questions about meaning, authority, or interpretation.
Required Materials
Each school age student record must be reviewed using a unique form that is separated into sections including: School Age; Identification and Triennial Assessment; Low
Incidence; English Learner; African American; Behavior, Suspension and Expulsion;
Transition; IEP Implementation; Educational Benefit; California Alternate Performance
Assessment (CAPA)/California Modified Assessment (CMA); and Other Health
Impairment with Diabetes. The School Age section must be completed for each school age student record selected; the other sections will be completed only if applicable to the student. For example, if a student record is one of the ten that has been selected for
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Special Education Self -re view the IEP Implementation component, the findings for that component must be entered on the student form. As a further example, if a student has a low incidence disability and a behavior plan, those two components would apply and must be completed in addition to the school age section. The Diabetes section is only completed if the student selected for a record review has an IEP and also has a diagnosis OHI with chronic or acute conditions arising from diabetes.
Findings
There are three ways to evaluate each item:
1. Compliant (C): If after reviewing the student file, documentation is found to demonstrate the conditions of the compliance test were met
2. Noncompliant (NC): If after reviewing the file, documentation cannot be found to demonstrate the conditions of the compliance test were met
3. Nonapplicable (NA): T he item’s legal requirement does not pertain to the student
LEA staff will complete the Summary of Noncompliant Findings Worksheet 1a, for each record reviewed. The LEA will record only those items found either noncompliant or not applicable for each file by writing the reason on Worksheet 1a. ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Summary of Noncompliant Findings 1a and
1b.doc
. The LEA staff responsible for the SESR should review all noncompliant and nonapplicable findings to ensure that there is direct relationship between the noncompliant finding and the compliance test prior to submitting the data electronically to the CDE.
Any noncompliant finding must:
Directly relate to the legal requirement of the test item. The finding statement must match the question asked in the compliance test.
Demonstrate through the evidence reviewed, why the legal requirement was not met , e.g. “The IEP was held 13 days past the annual due date.”
State the source of the evidence for noncompliance, i.e. the IEP, the assessment, plan, the meeting notification, or the assessment report
Be written in a complete sentence
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Example:
Test Item 2-2-1:
Do all students evaluated for initial and three year reviews have a hearing and vision screening unless parental permission is denied?
Sample Noncompliant Finding:
The review of the student’s health report, the IEP, and the assessment report demonstrated that a hearing and vision screening was not completed prior to the initial IEP and evidence was not present that the parent withheld consent for the screening.
Considerations When Reviewing Student Records
On June 30, 2011, Assembly Bill 114, Chapter 43, Statutes of 2011, was signed into law. Under AB 114, several sections of Chapter 26.5 of the California Government Code
( GC ) were amended or rendered inoperative, ending the state mandate on county mental health agencies to provide mental health services to students with disabilities.
LEAs are now solely responsible for ensuring that students with disabilities receive special education and related services, including some services previously arranged for or provided by county mental health agencies.
In some cases, IEP teams have documented related services as a "bundled" service in the IEP. As a reviewer of the student record, ensure the IEP team has un-bundled the individual services that are to be provided, and documented each related service to be provided in accordance with 34 CFR 300.320(a)(7). It should be noted that both "Day
Treatment" (as defined in Medi-Cal) and "California Wraparound" (as defined in statutes) contain services that may not be required under Part B of the IDEA. The table below provides an example of how a bundled service such as "Day Treatment" could be expressed as individual related services in an IEP. Day Treatment services are described in Title 9 of the California Code of Regulations , while Related Services are described in Title 34 of the Code of Federal Regulations .
Day Treatment Services
Therapeutic Milieu
Process Groups
Related Services
Counseling Services
Rehabilitation Counseling Services
Behavioral Intervention Strategies*
Counseling and Guidance Services
Parent Counseling and Training
Psychological Services
Social Work Services
Behavioral Intervention Strategies*
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Skill Building Groups
Adjunctive Therapies
Psychotherapy
Community Meetings
Special Education Self -re view
Counseling and Guidance Services
Parent Counseling and Training
Psychological Services
Social Work Services
Behavioral Intervention Strategies*
Counseling and Guidance Services
Recreation Services
Psychological Services
Social Work Services
The next table provides an example of how a bundled service such as "California Wraparound" could be expressed as individual related services in an IEP.
Wraparound Services
Direct 1:1 Emotional Support
Direct 1:1 Coaching
Intensive Behavioral Support
Counseling/Therapy/Treatment
Related Services from 34 CFR 300.34
Counseling Services
Psychological Services
Social Work Services
Behavioral Intervention Strategies*
Counseling and Guidance Services
Counseling Services
Psychological Services
Social Work Services
Behavioral Intervention Strategies*
Counseling and Guidance Services
Counseling Services
Psychological Services
Social Work Services
Parent Counseling and Training
Behavioral Intervention Strategies*
Counseling and Guidance Services
Counseling Services
Psychological Services
Social Work Services
Parent Counseling and Training
Behavioral Intervention Strategies*
Counseling and Guidance Services
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Items for review include 3-2-3, 3-2-4, 3-2-5, 4-1-3, 4-1-4, and 7-6-2.7.
* It should be noted that while "Behavioral Intervention Strategies" are not mentioned as a specific related service in 34 CFR 300.34, which does not provide an exhaustive list, the term does appear in the IDEA. See 20 U.S.C.
1414(d)(3)(B)(i) and 34 CFR 300.34(c)(10)(vi).
Conducting the Educational Benefit Review (Step 18a.B.)
Purpose
The Educational Benefit Review determines if special education services result in educational benefit that is adequate to satisfy the Rowley standard. The Rowley standard considers if personalized instruction is provided with sufficient supportive services to permit the student to benefit from the instruction. Such instruction must be reasonably calculated to enable the student to benefit from the individualized program.
In the Educational Benefit Review process, the LEA conducts the Educational Benefit
Review to determine whether or not the IEP is reasonably calculated to result in educational benefit through comprehensive analysis of assessments and three years of student records/IEPs over time. The specific questions answered during the Educational
Benefit Review include, but are not limited to, the following:
Is the assessment complete and does it identify all student needs?
Does the statement of present performance include all of the areas identified in the assessment report?
Are all of the student’s educational needs identified and are they addressed by appropriate goals?
Do the services support goals and benchmarks (if needed)?
Were the goals and benchmarks changed in the IEP from year to year, based or progress or lack thereof?
Were the services changed in subsequent IEPs to assist the student to make progress?
To assess for overall compliance, considering the answers to each of the above questions, was the IEP reasonably calculated to result in educational benefit?
Process
There are four broad steps in the Educational Benefit Review process:
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1. Review, analyze, and chart the contents of the initial or triennial assessment report.
2.
Identify and chart information from the student’s first or earliest IEP after the initial or triennial assessment about the student’s, present level of performance, needs, goals, services, placement, and supports, and progress and compare the first IEP to the associated assessment report.
3. Analyze and determine if information about needs, goals and services is complete, assessment based, and reflects the areas of suspected disability.
4. Compare the first year analysis to the second year analysis and the second year analysis to the third year in order to determine if modifications to goals and services were made based on progress or lack of progress.
Noncompliance should only be determined when there are clear IEP process failures or planning flaws that require correction at the student level. Evidence for a noncompliance finding must be present if assessment(s), planning, review(s), and/or re-evaluation(s) were inadequate and were not appropriately calculated to enable the student to benefit from special education.
Reasonable Calculation of Educational Benefit
The IEP was reasonably calculated to result in educational benefit if the activities below were conducted throughout the IEP process:
The assessment(s) were complete and identified all student needs.
The present levels of performance included all of the needs identified in the assessments.
The IEP Team identified needs that were related to the student’s disability, and the student’s involvement and progress in the general curriculum.
Goals were established in each area of need.
Services were planned to support progress toward all goals, progress in the general curriculum, participation in extracurricular and other non-academic activities, and education with typically developing students.
The IEP Team reviewed the student’s progress and changed or adjusted the goals, objectives, and services to assist the student to make progress.
Sufficient services were provided to enable the student to make progress.
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Selecting Records for the Review
Select five students who have been in special education for at least three years in the LEA. The LEA must select five students from the same sample used for the student record review.
Select students that have three recent IEPs. The first (earliest) IEP should be associated with an initial assessment or recent triennial assessment and, two subsequent IEPs.
Select students who are representative of the special education student enrollment.
If the LEA does not have five students that meet all of the criteria listed above, then review all files in the LEA that meet the criteria. If the LEA does not have five files that meet all of the criteria then first select those that do meet the criteria and then fill in with additional files that are the closest, until there is a total of five files for review.
Completing the Review
1. Participants should include individuals familiar with the IEP process such as special education teachers, related service providers, and assessment staff
2. Divide staff into teams of two or more
LEA staff may organize the teams in any way that works best for their review. Staff may want to identify one or two team members to review the record while the other team member records information on the Educational Benefit Chart specifying areas of assessment, present levels of performance, areas of need, goals, services, and year-toyear progress.
Please refer to the following documents for a useful illustration and summary of the review process. ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed Ben Chart Pg 1 with instructions.doc
, and ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed Ben Chart Pg 2 with instructions.doc
.
The review team will conclude if educational benefit was provided to the student based on a comparison of year-to-year evaluation of IEPs. Determining educational benefit is an iterative process based on review of student records and evidence of efforts to address the learning needs of students in the special education program. The following is a step by step process:
1. Organize information: The district should prepare for this process by reviewing this manual, the PowerPoint presentation, and hand-outs. Next, select three years of student records, the first (earliest) IEP should be associated with an initial assessment or recent triennial assessment and, two subsequent IEPs.
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Further, the district should have an ample supply of the worksheets and forms needed for the record review.
2. Identify materials for the review: The student records should contain assessments, IEPs, IEP amendments, notes and progress information available for review.
3. Record information from assessment documents: The district should document information from the assessment report(s) that is quantifiable such as measurement instrument scores or narrative specifying areas of need related to the student’s disability. Use forms ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed
Ben Chart Page 1 w Calculation Questions.doc
, and ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Ed Ben Chart Page 2 w Calculation
Questions.doc
.
4. Record Present Performance: Identify present levels of performance listed on the
IEP. Highlight any items related to involvement or progress in the general education curriculum. Look for information included in the assessment that does not appear in the IEP. Present levels of performance should document areas where assessment information details service needs.
5. Record Areas of Need: Identify areas of need that are related to the student’s involvement and progress in the general curriculum.
6. Record Goals: Associate and document goals with identified needs. Look for any evidence that the IEP team discussed a need area but decided not to address it as part of this year’s goals. Start with the first area of need and proceed to each following area in turn.
7. Record Services: Identify the services for this student. Services may include designated instruction services, related services, classroom based support services, extended school year, or transportation services. Record each service in the areas adjacent to and in the same order as assessment, present levels or performance and goals to the extent possible. Draw lines if necessary when a service addresses more than one goal or area of need.
8. Record Progress: Record progress toward each goal. Information may be found in areas of the IEP other than in the “progress notes” section of each goal on the
IEP. This material may be found in IEP discussion notes or in new assessment material. Use the (-), (0), and (+) symbols to represent change in the narrow columns of the review worksheets. These symbols represent a judgment by the reviewer about whether progress was made, not made, or that no change is evident. This measure is important to the determination of whether the IEP was reasonably calculated to result in educational benefit.
9. Record Information for year two and three: Continue to the second year record and the third year record. Follow the same process as described above.
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10. Review all three years of IEPs: Analyze the relationship of assessment to present performance statements, needs, goals, and services. Document circumstances where there are assessment items without present levels of performance, or goals without services. Reviewers should anticipate a match between assessment information, needs, and present levels of performance, goals, and services. There should also be a reasonable progression to the challenging nature of subsequent goals. That is, a somewhat increasing level of difficulty should be observed from year to year in some or all of the goals related to student need. Increased levels of difficulty and performance also contribute to the determination of whether the IEP is reasonably calculated to result in educational benefit. Reviewers can also anticipate that goals would be revised and services adjusted where a student was unable to make progress toward increased skill levels after a year of service and periodic review of the IEP. The record and review forms should reflect these events.
11. In making the final determination of educational benefit, the criteria for each year are conventional ongoing obligations for IEP development found in IDEA and associated requirements from State statutes and regulations. A finding of compliance will document that specific obligations under former requirements were met and that separate but similar current IDEA based requirements are also met. The questions asked relate to the Rowley standard in so far as they help determine whether the current and previous IEPs were reasonably calculated to result in educational benefit for the student. It may be the conclusion of the reviewer that IEPs in one or the other year were or were not written as to produce the desired result. The reviewer should document those types of determinations in the findings section of the educational benefit section of the
SESR protocol in response to the appropriate item. Multiple worksheets are included within this document to assist district staff with organizing and documenting the adequacy of IEPs relative to the Rowley standard.
CDE consultants will provide onsite training related to the educational benefit process and are available by telephone for individual LEA consultation. http://www.cde.ca.gov/sp/se/qa/fmtacncnt.asp
Power Point presentations for the educational benefit review portion of the SESR are available at the following site: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Final Activity Two 12-13 SESR.pptx
.
Conducting the Individualized Education Program Implementation Review
(Step 18a.C)
Purpose
Failure to implement the IEP is the most frequent finding of noncompliance identified through the CDE complaint process. The IEP Implementation Review verifies through
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Special Education Self -re view record reviews and interviews if students have received all of the services that are documented in their IEP.
The LEA must review 10 student files for IEP implementation to satisfy the requirement of the SESR: of those ten, up to five files must be records for students identified as having emotional disturbance or, whose IEPs document they received mental health services. The 10 files may be selected from files that were reviewed during the school age student review. The LEA must verify if all services were provided as specified on the most recent IEP.
Process
To verify implementation of the IEP, the LEA must complete the following steps:
1. Determine the status and completeness of the IEP.
2. Identify the instruction and related services included in the IEP, including the frequency, location, and duration.
3. Secure or arrange to receive any documentation about service delivery since the beginning of the school year or the last IEP including service logs or other evidence (student attendance records, staff attendance records, contractor billing records).
4. Interview the parents of the students using the Interview Worksheet (Worksheet
3b). Parent responses do not verify noncompliance, but must be corroborated by other sources.
5. Summarize the data on the Student IEP Summary Worksheet (Worksheet 3a), ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/IEP Implementation Summary
Worksheet 3a.doc
and enter any noncompliant finding in the Summary of
Noncompliant Findings (Worksheet 1a) in the “IEP Implementation” area.
6. Enter noncompliant findings into the SESR software system to generate corrective actions.
Findings
Information about each individual student should be collected and analyzed. The information is used to determine if each service was provided as identified in the IEP. A service is considered provided as identified in the most recent IEP if the service was delivered exactly as described on the IEP unless the student was absent. If staff were absent, evidence must exist that either a substitute was used or the assigned provider made up the services.
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A service is considered not provided as identified on the most recent IEP if there is evidence the service was not provided on all of the scheduled days and for the amount of time specified in the IEP unless the student was absent.
It is important to note that there is a difference between an allegation and evidence in determining whether a service was provided or not provided. Allegations that a service was not provided must be corroborated through another form of evidence such as attendance records, service logs or billing records. As service logs are not required by law, noncompliance would have to be affirmatively proven or substantiated by multiple sources.
The noncompliant findings from the IEP Implementation Review are recorded on the
Summary of Noncompliant Findings form (SESR Worksheet 1a) for the individual student and entered into the SESR software and must:
Directly relate to legal requirements in the item
Be written to demonstrate, through evidence, how the LEA does not meet the legal requirement
State the source of the evidence
Be written in a complete sentence
Example
Item 4-1-3
Does the LEA provide special education and related services in accordance with the student's IEP?
Noncompliant Finding
During an interview the parent stated that the student does not receive counseling services for 30 minutes, twice a week as required in the IEP and service logs did not confirm service delivery.
The LEA must enter the finding statements for all noncompliant and nonapplicable items from Worksheet 1a into the SESR software.
Conducting the CASEMIS Validation Review (Step 18a.D)
Purpose
The purpose of the CASEMIS validation review is to ensure that information reported by
LEAs through the management information system is accurate and reliable.
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Process
Validation of CASEMIS information is completed through cross checks with other CDE information systems including CALPADS and assessment. The validation review requires a comparison of student information in the SESR software with original LEA source documents including IEPs, referral, assessments, and student placement and service information. LEA staff will complete the CASEMIS Validation Review for each student record reviewed using the document generated from the SESR software. The form addresses the following fields: o LAST_NAME o FIRST_NAME o SSID (Statewide Student Identifier) o REPT_DATE (Reporting date to CASEMIS) o PRIMARY DISABILITY o SELPA_Code o DIST_SERV (District of Service Code) o DIST_RESI (District of Residence Code) o ETHNICITY o RACE1 o RACE2 o RESID_STAT (Student’s living/home status) o LAST_IEP (Date of latest complete IEP) o LAST_EVAL (Date of latest determination of eligibility/continued eligibility) o FEDSET_INF (Program setting for infant services ) o FEDSET_PRS (Program setting for preschool services) o FEDSET_SCH (Program setting for children ages 6 to 22) o In_REGCLS (Percent of time inside general education ages 3 to 22) o TRAN_REG1 (Postsecondary transition regulations 1-8) o TRAN_REG2 o TRAN_REG3 o TRAN_REG4 o TRAN_REG5 o TRAN_REG6 o TRAN_REG7 o TRAN_REG8 o DSPL_DAYS (Number of days of disciplinary action is in effect) o DSPL_STAT (Status of the student as a result of the disciplinary action)
LEA staff must document if the reported data is accurate, not accurate, or not applicable
(e.g. Race2 or TRANS_REG). Inaccurately reported data will result in a finding and a required corrective action to be monitored for completion by the assigned FMTA consultant. The verification of correction to be confirmed in the next submission cycle of
CASEMIS data.
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Conducting the Policy and Procedures Review (Step 18b)
Purpose
Policy and procedures are reviewed to confirm procedural compliance and to investigate issues identified in the Monitoring Plan.
Process
LEA and SELPA staff will review all items on the Policy and Procedure protocol. The protocol is generated by the SESR software. Some counties and SELPAs have countywide or SELPA-wide policy and procedures that are adopted by all LEAs within the county or SELPA. Often a LEA adopts these county or SELPA-wide policies and procedures. At other times, additional policies and procedures are developed to meet the particular needs of the LEA. Because of the variation SELPA to SELPA, county to county, and LEA to LEA, each LEA must conduct a policy and procedure review to ensure that the requirements of state and federal statutes and regulations are met.
Findings
LEA staff will review all items on the Policy and Procedures Review protocol and rate items as compliant or noncompliant. If noncompliant, a statement must be written giving the reason for the finding. The reasons given for findings of noncompliance form the basis for the finding statements that are recorded on the Summary of Noncompliance
Findings, Worksheet 1c, and entered into the SESR software system to generate corrective actions. All findings of noncompliance in the policies and procedures review require corrective actions. The LEA must enter findings into the SESR software.
The findings must:
Directly relate to legal requirements in the item
Be written to demonstrate, through evidence, how the LEA does not meet the legal requirement
State the source of the evidence
Written in a complete sentence
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Example
Test Item: 6-7-1
Does the LEA ensure, and does the LEA's document explaining the procedural safeguards contain information about, access to education records and other rights related to records?
Noncompliant Finding
A review of the LEA's policy and procedures reveals that there is no policy or procedure related to access to education records or other rights related to records.
Conducting the Special Education Local Plan Area Governance Review (Step
16b.)
Purpose
Each SELPA is required to review SELPA governance obligations contained in
California Education Code sections 56195 and 56205, including the Annual Budget
Plan, Annual Service Plan, and local interagency agreements.
Process
SELPA staff will review all items on the SELPA Governance Review Protocol.
Questions address obligations related to local interagency agreements, SELPA policies and procedures, the annual service and budget plan, and ongoing review of programs within the region.
Findings
SELPA staff will review all items on the SESR software generated SELPA Governance
Protocol and document compliance or noncompliance, or items that are nonapplicable.
If noncompliant, a statement must be written that states the reason for the noncompliance. SELPA monitoring activities are reported on Worksheet 1c, ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Summary of Noncompliant Findings 1c.doc
.
All noncompliant and nonapplicable findings must be entered in the SESR software.
The SELPA will identify one LEA within the region. That LEA will submit the SELPA
Governance findings along with the LEA’s findings. For instance, North Coast SELPA will align with Patrick Henry Unified School District for purposes of submitting the
SELPA Governance Findings for the North Coast SELPA. When Patrick Henry Unified
School District submits their SESR findings to the CDE, the North Coast SELPA findings will also be transmitted. Corrective actions associated with the SELPA
Governance review will be the responsibility of the SELPA.
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Example
Item: 11-1-1.1
Does the SELPA have a written procedure for the ongoing review of programs and procedures for correcting any identified problems?
Noncompliant Finding
The review of SELPA policies and procedures, contained in the local plan, demonstrated there is no evidence of written agreement for the ongoing review of programs and procedures for correcting any identified problems.
Conducting the Fiscal Review (Step 18b)
Purpose
Each LEA is required to determine if special education funding has been properly allocated and expended.
Process
The LEA must review all necessary records, including timesheet/payroll records, equipment budgets, contracts with nonpublic agency (NPA) providers, professional development budgets, the LEA independent audit report, and any related sources or documentation to ensure the following activities are carried out:
A comparison of all special education assignments with payroll/timesheet information to confirm that special education funds have been properly spent on assigned staff
A review of the LEA budget to verify correct assignment and usage of purchased equipment
A review of contracted NPA services to confirm appropriate usage of IDEA funds for purchase of services for special education students
A review of the LEA ’s professional development budget to confirm appropriate usage of IDEA funds for special education staff
A review of the LEA ’s budget to determine if a proportionate amount of IDEA funds were properly calculated for private school special education students
A review of the LEA ’s excess cost worksheet related to 34 CFR Section 300.16
It is recommended that staff collaborate with business office staff for completion of the
Fiscal Monitoring component of the SESR. LEA staff will review all items on the Fiscal
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Review protocol and indicate compliance or noncompliance. If an item is determined to be noncompliant, a statement must be written giving the reason for the noncompliance.
The finding must:
Directly relate to legal requirements in the item
Be written to demonstrate, through evidence, how the LEA does not meet the legal requirement
State the source of the evidence
Be written in a complete sentence
Example
Item: 30-1-2
Does the District identify and appropriately assign equipment used for students with a disability?
Noncompliant Finding
Documentation does not demonstrate that equipment paid for IDEA funds are used solely for students with a disability.
Findings (Steps 19a and b)
The SESR Summary of Noncompliant Findings, Worksheet 1a, is a summary form for recording findings of noncompliance and for those items that were determined not applicable. LEAs may find these forms convenient as they locate all findings in one place on one form and make data entry into the SESR software easier and less error prone. The cover sheet records information about the student and contains spaces to summarize the number of items in each category that were noncompliant or not applicable. Subsequent pages contain spaces to record the item number, the rating, and to write a coherent and complete finding statement that reflects the actual details of the finding. Findings should be written on the pages that contain the subsection from the protocol. For example, findings related to SESR review protocol section
“Identification and Initial Assessment” should be written on the Summary of Noncompliant Findings, under the section, “Identification and Initial Assessment Student Review Items.”
Similarly, findings related to the
“Transition” section of the protocol should be written under the
“Transition Student Review Items” on the Summary of Noncompliant findings.
There are also summary sheets to record findings for the review of infant and toddler and preschool records (Worksheet 1b) and district level findings, including Policy and
Procedures, SELPA governance, and Fiscal (Worksheet 1c).
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Entering Review Findings into the Special Education Self-review Software (Step
20)
The LEA must enter the finding statements for all noncompliant items and nonapplicable items from the SESR Worksheets 1a, 1b, and 1c into the SESR software.
All noncompliant and nonapplicable findings must be entered into the SESR software, saved, and uploaded electronically to CDE. After launching the SESR software, district level and student level findings are entered by selecting the “Enter Findings” icon on the main menu. Enter all required findings from the summary worksheets here. Assistance can be obtained from the local SELPA office, the Detailed Software Manual, or from the
FMTA regional consultant. Findings of compliance are not entered into the software, however, in circumstances where an entire section of the record review form is compliant, such as the transition section, LEA staff must document that the section was reviewed. Instructions for this documentation are contained in the Software Manual.
Submitting Findings to CDE for Review and Approval (Step 21)
The LEA will submit findings to the CDE for review and approval when all findings are entered. The LEA submits the findings electronically through a secure portal accessed through the SESR software. Specific instructions for uploading SESR findings are found at ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SESR Detailed Software Manual 12-
13.doc
. LEAs are encouraged to both upload and back up files frequently. This helps ensure the most recent data submissions are available in case of computer malfunctions.
FMTA consultants will review all of the
LEA’s SESR findings. Finding statements must be consistent with the SESR instructions and training. The LEA will be contacted by a
FMTA consultant if any findings are not accurately reported, or if any aspect of the submission is unclear and in need of revision. The LEA must electronically resubmit the required revisions. Once it is determined that the finding statements meet the requirements of the SESR, a written approval will be sent to the LEA, stating that the findings identification portion of the SESR is complete. The LEA may then begin working on the corrective actions generated by the SESR software. This may include, but is not limited to, holding IEP meetings to address the noncompliant finding or revising procedural documents.
Special Education Self-review Activity Three: Corrective Actions &
Completing the Special Education Self-review (Steps 23 –29)
Required Actions
CDE and SELPA training
Print Corrective Action Report
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Complete corrective actions including additional record reviews as indicated
Complete second review
Submit statements of corrective action to the CDE
Resources and Links for Activity Three
Flowchart: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Visio-Final All Flowchart 2012-13
SESR Process.pdf
Assurances Form: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SELPA and LEA Assurances Form
2.doc
PowerPoint presentation: To be posted at a later date
Worksheet 4: SESR Follow-up Review Protocol: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Follow-up Review Protocol
WorkSheet 4.doc
List of Students for Additional 100 Percent Review (SESR Form 4): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/List of Students for 100 Percent
Review SESR Form 4.doc
Corrective Action Purpose
Each finding of noncompliance must be corrected and student level findings and some
LEA level findings must be tested with a follow-up review of records to ensure compliance at 100 percent.
Corrective Actions (Step 24-25c)
The FMTA consultant assigned to the county is available to provide training for each activity of the SESR process. Attendance and participation in the training is strongly encouraged.
The corrective actions for student and district level noncompliance are generated by the
SESR software. Print the Corrective Action Report for student and district level findings.
Complete the corrective actions as required in the reports by the due date.
Documentation of correction must be entered into the SESR software. District staff should not edit or modify the prescribed corrective actions without first contacting their assigned CDE consultant. The software will prompt the user for the date correction was completed, evidence of correction, and the location of the evidence. Corrective actions
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Special Education Self -re view must be completed within 45 school days for student level findings and within 90 calendar days of the receipt of an approved submission letter from the CDE for district level findings. Formal notification by mail to the LEA will occur when the CDE accepts the findings from the LEA.
This letter is often referred to as the “successful submission” letter. There may be some discussion between the LEA and the CDE about parts of the findings submission. The successful submission letter will be mailed from the CDE when the submission is approved. The date on the successful submission letter constitutes the beginning of a 45 school day time frame for completing student corrective action. The LEA is expected to complete the district level findings within 90 calendar days of the successful submission letter stating that the CDE has accepted the findings identified by the LEA.
Root Cause Analysis (25d)
The purpose of the Root Cause Analysis (RCA) is to ensure that corrective actions have a meaningful and lasting effect. RCA is a process to determine the causes for noncompliance and helps direct LEA actions to resolve causes. Understanding the specifics of a noncompliant practice can prevent future occurrences of the practice.
Occasionally LEAs may correct individual instances of noncompliant practices without investigating the causes of the event, and therefore, allow future occurrences without taking action on a systemic or in depth level. Failure to carry out well defined district policies or practices can be traced to defined causes that are detectable through relatively simple analysis or investigation. Once discovered and located, the situation can be permanently remedied. RCA is a mechanism for carrying out lasting and effective problem resolution. RCA varies in the level of complexity. For LEA purposes, the usual cause for a single or recurring event of noncompliance can be identified and remedied by following some basic steps.
Data collection
Causal factor identification
Root cause identification
Recommendation generation and implementation 1
An example of missed timelines for meeting 60 day requirements for IEP development may be illustrative. Some causes for noncompliance found over time are failure to have accurate or tracked timelines from the dates of referral and timely completion of assessment reports. Such reasons are not legitimate for missing required timelines and are not identified as acceptable in statute or regulation. Noncompliance in this area lends itself to review using RCA. Often the results of a review of records, interviews with staff, or trend analysis leads to the identification of a specific set of circumstances, or a location where the failure is more frequent. Administrators can take steps such as; data tracking through management information system improvements, more frequent inservice training, focusing on timeline compliance or clear and specific service contracts for assessors stating expectations for report writing and IEP team participation. An RCA
1 Root Cause Analysis , Quality Basics in Quality Progress, James J. Rooney and Lee N. Vanden Heuvel,
July 2004
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Special Education Self -re view option is included in the SESR to help locate and eliminate the noncompliant practice prior to an additional record review.
Noncompliance at the Student Level
Additional steps are required to finalize corrective actions, including completing an additional record review of a number of records as specified in the software, in order to demonstrate that corrective action was accomplished at the 100 percent level. After completion of the student level corrective actions, a new group of student records must be reviewed for each noncompliant student item. That is, if item 2-1-1, related to delivery of an assessment plan to the parent, was found noncompliant during the record review, the LEA must review a new group of up to 20 records and test those records to determine if assessment plans were delivered to families within the 15 day timeline. The
20 records can be new students applying for eligibility for special education services or triennial reviews conducted every three years. As discussed above, the district may use a RCA to discover the reasons for the noncompliance and the remedy can be stated in the “evidence” statement in the software. The same is true for each noncompliant finding in the record review portion of the SESR. If the noncompliant finding was related to completing the IEP within 60 days, the LEA must test an additional specified number of records to determine if any of those records were noncompliant with the 60 day timeline requirement. The same applies for all noncompliant items identified during the record review portion of the SESR. Print the original review protocol for the second test of student records or LEA level items from the SESR software and record findings on the protocol or use Worksheet 4 to develop a protocol that contains the items identified as noncompliant from the initial record review. ftp://ftp.cde.ca.gov/sp/se/ds/2012-13
SESR/SELPA and LEA Assurances Form 2.doc
.
The LEA may, if possible, test one set of records for all the student findings of noncompliance found in the initial record review. One group of records can be used to test two or more noncompliant findings, e.g., the 15 and 60 day timelines, mentioned above. The same records can be used to test all the noncompliance identified in the original group of records, however; the characteristics of the student records reviewed must be pertinent to the particular item for review. For example, LEA staff must ensure that the records of transition age students are included in the second group of records reviewed in order to test for 100 percent compliance after a noncompliance finding in the transition area. Another example would be that only records of students identified as
English learners (EL) can be used to test for 100 percent compliance after a finding of noncompliance in the EL area. It may be difficult to find a set of records that include initial eligibility elements, secondary transition elements, and other identified noncompliant areas. This may mean that in order to test all items, a total greater than number of records specified by the District level corrective actions must be pulled for subsequent record reviews.
Some records selected by the LEA may be found noncompliant during the second record review. The district must then continue to retest records for elements that are found noncompliant until a 100 percent compliant sample can be found. Items that are repeatedly found noncompliant may be good candidates for completion of the Root
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Special Education Self -re view
Cause Analysis. Analysis of the root cause of noncompliance may enable District staff to implement staff training or more careful review of practices between additional record selections.
Noncompliance at the District Level
District level findings of noncompliance will likely require development of policies and procedures. In addition, training will be necessary to resolve policy and procedural issues at the district level. District level findings rarely require additional record reviews.
However, in some cases, additional record reviews may be necessary and will be specified in the report.
Evidence of Completion of all Required Corrective Actions (Step 26)
The SESR software must be used to record all corrective actions at the student and district level. The second review, again, will test only the student items found noncompliant during the initial record reviews. If further findings of noncompliance are made by the LEA during the second review, the district will correct the further findings of noncompliance for each student, but will not enter the findings or evidence of correction into the SESR software. The LEA will track any findings and correction from the subsequent record reviews separately. If the second review of records demonstrates
100 percent compliance with regulation, the LEA will enter documentation of all corrective actions into the software and electronically submit to CDE. The FMTA consultant will review the submission for approval. If additional information is needed,
CDE will contact LEA staff for the necessary revision and, once the LEA completes the revisions, submission may again be made electronically to CDE. The LEA will maintain documentation of the records used to establish 100 percent compliance. Worksheet 4. ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SELPA and LEA Assurances Form 2.doc
.
Special Education Self-review Assurances Form (Step 27)
The SESR Assurance Form (SESR Form 2) must be signed by the SELPA director and an authorized agent of the LEA. The signed form can be sent to the CDE once the final submission of corrective action has been approved by the CDE consultant. The SESR
Assurance Form confirms that all noncompliance findings were identified and corrected.
The SELPA certifies that a complete Special Education Self-review has been conducted. The SELPA assures and ensures compliance in the implementation of the
Individuals with Disabilities Education Improvement Act, accompanying regulations and with required state special education laws and regulations. ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SELPA and LEA Assurances Form 2.doc
.
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Special Education Self -re view
Electronic and Hard Copy Data Due Dates
November 20, 2013: Hard copy Monitoring Plan submission to the CDE
February 28, 2014: Student and LEA level findings report to the CDE
Student level corrective actions are due to CDE within 45 school days after successful submission of student and LEA level findings
District level corrective actions are due to the CDE in 90 calendar days after CDE notification of successful submission of student and LEA level findings
The one year timeline for the CDE to ensure correction of noncompliance begins with notification from the CDE of the successful submission of student and LEA level findings
Local Educational Agency Completion Notification (Steps 28b.-29)
Once the review of Student level and District level items reveals no instances of noncompliance, the LEA has submitted the findings electronically, and the findings have been accepted by the CDE, the LEA has successfully completed the SESR.
Upon successful completion of all aspects of the SESR, the CDE will notify the LEA by letter, i.e., a Special Education Self-review Notice of Closure that the LEA has successfully met and completed the requirements of the SESR.
Approximately 10 percent of all LEAs in the SESR process each year will be selected for a CDE follow-up review.
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Special Education Self -re view
Appendix I: Documents and Forms Requirements
The following documents can be accessed by clicking on the document name.
Documents can be printed after viewing.
Special Education Self-review Forms –Required to be submitted to the CDE
Monitoring Plan and Directions (SESR Form 1): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/12-13 Monitoring Plan Form 1.doc
LEA Special Education Self-review Assurances (SESR Form 2): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SELPA and LEA Assurances Form
2.doc
Special Education Self-review Worksheets –Retained by SELPA and LEA
Summary of Student Level Noncompliant Findings (Worksheet 1a and 1b): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Summary of Noncompliant Findings
1a and 1b.doc
Summary of LEA Level Noncompliant Findings (Worksheet 1c): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/Summary of Noncompliant Findings
1c.doc
Educational Benefit Findings Worksheet (Worksheet 2a): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/MH Ed Ben Protocol V2.doc
Educational Benefit Analysis Page 1: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13
SESR/Ed Ben Chart Page 1 w Calculation Questions.doc
Educational Benefit Analysis Page 2: ftp://ftp.cde.ca.gov/sp/se/ds/2012-13
SESR/Ed Ben Chart Page 2 w Calculation Questions.doc
Student IEP Summary Worksheet (Worksheet 3): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/IEP Implementation Summary
Worksheet 3a.doc
Record Review Protocol for Follow-up (Worksheet 4): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/SELPA and LEA Assurances Form
2.doc
Student List for 100 Percent Compliance Review (SESR Form 4): ftp://ftp.cde.ca.gov/sp/se/ds/2012-13 SESR/List of Students for 100 Percent
Review SESR Form 4.doc
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Special Education Self -re view
Parent Input Forms and Resources
Parent Invitation:
Parent Survey: https://www4.scoe.net/seeds/cde_sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_sesr_survey/index.cfm
Mailing Address
Mail completed SESR Forms 1 and 2 to the following address:
Attention: [Administrator], Focused Monitoring and Technical Assistance Region
[I, II, III, IV, or V]
Special Education Division
California Department of Education
1430 N Street, Suite 2401
Sacramento, CA 95814
Focused Monitoring and Technical Assistance (FMTA) Units:
County/region assignments are displayed on a map of California: http://www.cde.ca.gov/sp/se/qa/documents/fmtacntct.pdf
. Go to http://www.cde.ca.gov/sp/se/qa/fmtacncnt.asp
for consultant contact information.
Region I Lisa Stie, Administrator
Region II Renzo Bernales, Interim Administrator
Region III James T. Johnson III, Administrator
Region IV Donna DeMartini, Interim Administrator
Region V Robert Morgan, Administrator
916-324-8898
916-445-5632
916-327-6966
916-445-1056
916-445-4632
Page 41 of 49
Special Education Self -re view
Appendix II: Document and Form Descriptions
Where Resource Is Available http://www.cde.ca.gov/sp/se/qa/do cuments/aprffy2010.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/SELPA and LEA
Assurances Form 2.doc
Document /
Form
APR Report
Description
State of California Annual
Performance Report for FFY
2009 (2009 –10) due 2/1/2011
Assurance Form Assurance form for completing and sending to the CDE with final submission of SESR corrective actions
Educational
Benefit
Ed Benefit: A method for reviewing to determine Ed
Benefit, on two pages
A. ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Ed Ben Chart Pg 1 with instructions.doc
B. ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Ed Ben Chart Pg 2 with instructions.doc ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Ed Benefit Legal
Basis.doc ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/MH Ed Ben Protocol
V2.doc
Educational
Benefit
Educational
Benefit ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Ed Ben Chart Page 1 w
Calculation Questions.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Ed Ben Chart Page 2 w
Calculation Questions.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Visio-Final All Flowchart
2012-13 SESR Process.pdf
Educational
Benefit
Educational
Benefit
Flowchart
Extraction from Supreme Court decision re: Board of Education v Rowley
Worksheet 2a for all files for students receiving community mental health services during
2010-11
Worksheet to record information while conducting the Educational Benefit review.
Use these blank forms one and two to record information from the record
Worksheet to record information while conducting the Ed Benefit review. Use blank forms one and two to record information from the record
Flow chart process for three activity levels associated with the 2011 –12 SESR
Page 42 of 49
Special Education Self -re view
Where Resource Is Available ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/List of Students for 100
Percent Review SESR Form 4.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/SELPA and LEA
Assurances Form 2.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/IEP Implementation
Summary Worksheet 3a.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/IEP Implementation
Interview Worksheet 3b.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/2012-13 SESR
Instruction Manual.doc
Form 1.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Item Table 12-13.xls
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/12-13 Monitoring Plan ftp://ftp.cde.ca.gov/sp/se/ds/Develo ping%20the%20Monitoring%20Pla n%20Directions.doc
Document /
IEP
Form
Follow up
Follow up
Implementation
IEP
Implementation
Instruction
Manual
IEP implementation interview worksheet for documenting interview responses
Manual provides guidance to districts for completing the
SESR and addresses all elements of the review in narrative form
Item Table Item table for use by districts for adding questions to various protocols that are specifically related to areas of interest to the district
Monitoring Plan Form for use when completing the Monitoring Plan
Monitoring Plan
Description
Form should be used to list students whose records were sampled to verify correction of an entire group of records at the 100 percent compliant level
Form allows the recording of findings for individual students and is used when districts retest items when testing for
100 percent compliance
Data sheet for recording IEP implementation findings and service information
Step-by-step instructions for developing the Monitoring Plan ftp://ftp.cde.ca.gov/sp/se/ds/Parent
%20Input%20Manual.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Parent Input Meeting
Sign-in Sheet_English.doc
Parent Input
Parent Input
Document provides specific directions and general guidance for completing the parent input portion of the
SESR
Form (English) may be used to record information about parents who attend the parent meetings
Page 43 of 49
Where Resource Is Available ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Parent Input Sign-in
Sheet Spanish.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Parent Input Meeting
Guidelines.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/SESR Parent Input-
Questions Matched to Item Table
Nos.doc
Special Education Self -re view
Document /
Form
Parent Input
Description
Parent Input
Parent Input
Form (Spanish) may be used to record information about parents who attend the parent meetings
Document provides instructions and guidelines for conducting parent meetings to help ensure meaningful participation
Document provides a cross walk between the parent survey document and items in the
SESR Item Table for inclusion in the Monitoring Plan
Parent Invitation Parent Invitation (Arabic) to
Parent Meeting for Input https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
Parent Invitation Parent Invitation (Chinese) to
Parent Meeting for Input
Parent Invitation Parent Invitation (English) to
Parent Meeting for Input
Parent Invitation Parent Invitation (Hmong) to
Parent Meeting for Input
Parent Invitation Parent Invitation (Russian) to
Parent Meeting for Input
Parent Invitation Parent Invitation (Spanish) to
Parent Meeting for Input
Parent Invitation Parent Invitation (Tagalog) to
Parent Meeting for Input
Parent Invitation Parent Invitation (Vietnamese) to Parent Meeting for Input
Parent Survey Parent Survey (Arabic) for
Parent Input Purposes
Parent Survey Parent Survey (Chinese) for
Parent Input Purposes
Parent Survey Parent Survey (English) for
Parent Input Purposes
Parent Survey Parent Survey (Hmong) for
Parent Input Purposes
Parent Survey Parent Survey (Russian) for
Parent Input Purposes
Parent Survey Parent Survey (Spanish) for
Parent Input Purposes
Parent Survey Parent Survey (Tagalog) for
Parent Input Purposes
Page 44 of 49
Special Education Self -re view
Where Resource Is Available https://www4.scoe.net/seeds/cde_ sesr_survey/index.cfm
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Final Activity One 12-13
SESR.pptx
Document /
Form
Description
Parent Survey Parent Survey (Vietnamese) for
Parent Input Purposes
PowerPoint
Slides
PowerPoint presentations related to the Monitoring Plan.
Includes screen shots and detailed notes ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Final Activity Two 12-13
SESR.pptx
PowerPoint
Slides ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Final Activity Three 12-
13 SESR.pptx
http://www.cde.ca.gov/sp/se/qa/do cuments/fmtacntct.pdf
PowerPoint
Slides
Regional
Consultant Map
PowerPoint presentations related to the Monitoring Plan.
Includes screen shots and detailed notes
PowerPoint presentations related to the Monitoring Plan.
Includes screen shots and detailed notes
Map of the Focused Monitoring and Technical Assistance
Regions one to five
Listing of names and contact information for regional consultants http://www.cde.ca.gov/sp/se/qa/fmt acncnt.asp ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/SESR Detailed Software
Manual 12-13.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/SESR Software
Installation Instructions.doc
ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Summary of
Noncompliant Findings 1a and
1b.doc
Consultant
Names and
Contact
Information
Software
Manual
Software
Installation
Manual
Summary of
Noncompliant
Items
Detailed Software Manual. Step by step instructions for navigating SESR software
Information about how to install the software ftp://ftp.cde.ca.gov/sp/se/ds/2012-
13 SESR/Summary of
Noncompliant Findings 1c.doc http://www.cde.ca.gov/sp/se/ds/lea datarpts.asp
.
Summary of
Noncompliant
Items
Link to SPPI
Reports by
District
Form is used to summarize and consolidate all individual student level findings for all types of students including infants, toddlers and school age
Form is used to summarize and consolidate all district level findings
Link is the location for the most recent State Performance
Reports for the District to use during Monitoring Plan
Development
Page 45 of 49
Special Education Self -re view
Appendix III: Self-review Schedule by Year by County
2013-14
Amador
Calaveras
Fresno
Kings
Lassen
Los Angeles
Antelope
Valley SELPA
East San
Gabriel Valley
SELPA
Santa Clarita
Valley SELPA
Marin
Merced
Riverside
Sacramento
Siskiyou
Sonoma
Tuolumne
2014-15
Alameda
Butte
California
Department of
Corrections and
Rehabilitation –
Division of
Juvenile Justice
California
Department of
Developmental
Services
Del Norte
Humboldt
Imperial
Los Angeles
Mid Cities
SELPA
Norwalk/
La Mirada/
ABC SELPA
Puente Hills
Area SELPA
Tri-City
SELPA
Modoc
Monterey
Napa
Orange
San Benito
San Diego
Santa Cruz
Shasta
Trinity
2015-16
Inyo
Kern
Los Angeles
Foothill SELPA
West San Gabriel
SELPA
Whittier Area Coop SELPA
Madera
Mariposa
Mono
Nevada
Placer
Plumas
San Bernardino
San Luis Obispo
Santa Clara
Sierra
Stanislaus
Sutter
Tehama
Yolo
Yuba
2016-17
Alpine
Colusa
Contra Costa
El Dorado
Glenn
Lake
Los Angeles
Downey/
Montebello
SELPA
Long Beach
USD SELPA
Pasadena USD
SELPA
LA Court and
Community
Schools
Mendocino
San Francisco
San Joaquin
San Mateo
Santa Barbara
Solano
Tulare
Ventura
Page 46 of 49
Special Education Self -re view
Appendix IV: Required Actions by CDE Consultants
Required Actions by CDE Consultants: Activity One
Establish contact with SELPA. Set training date for Activity One and tentative dates for Activities Two and Three.
Obtain current contact information for all LEAs from SELPA.
Obtain SESR folders per LEA for ongoing documentation.
Ensure notice of SESR is sent from CDE to districts.
Ensure all training resources are provided to districts via SELPA including
Spedinfoshare release of manuals and software.
Attend CDE training for current SESR year.
Prepare Power Point of current SESR year for local training.
Distribute passwords and SELPA pin to SELPA and LEAs.
Procure Monitoring Plan documentation: e.g. due process and compliance complaint history and SPPI Reports for each LEA.
Review any additional pertinent information on LEAs.
Train LEAs on software installation, overall SESR process, parent input, SPPI data, compliance complaint history, other data and Monitoring Plan completion.
Analyze Monitoring Plan. Ensure Monitoring Plan documentation (i.e., SPPI Reports, compliance history and parent input) are documented.
Analyze parent meeting entries and verify minimum parent participation.
Verify numbers of school age, infant-toddler, and preschool records specified for review accurately reflects general education and special education enrollment.
Review all sections of Monitoring Plan including data about settings (e.g., charter, community day schools, and court schools) and special populations.
Submit Monitoring Plan to Unit Administrator for review.
Notify LEA of Monitoring Plan status.
Document and track all submissions.
Maintain ongoing communication with SELPA and LEAs. Retain e-mails, document contacts, and ongoing communication with SELPA and LEAs.
Required Actions by CDE Consultants: Activity Two
Conduct Activity Two training related to file selection, IEP Implementation, and
Educational Benefit Review, fiscal, SELPA Governance, Data validation and Policy and Procedures review.
Ensure LEA understanding about; writing findings and corrective actions, use of automated SESR software reports, and use of the CDE portal.
Verify submission of findings.
Page 47 of 49
Special Education Self -re view
Prepare Successful Submission of Findings letters.
Procure approval of district findings and Successful Submission of Findings letter to
LEA and SELPA.
Mail Successful Submission of Findings letter to LEA and SELPA.
Maintain final version of Findings/Corrective Actions Report in SESR folder.
Report submission of findings through SESR tracking log.
Calculate due date of student level corrective actions and communicate dates to
LEA, SESR tracking log, and record due dates in SESR folder.
Insert Successful Submission letter and Report of Findings with Student and District
Level Corrective Actions into SESR folder.
Ensure LEA conducted fiscal, P & P, data validation, and SELPA Governance review by printing out Review Forms List Report from Phase 2 in software. Insert report into
SESR folder.
Maintain ongoing communication with LEA personnel and SELPA. Record in SESR folder using phone log or inserting printouts of e-mails .
Required Actions by CDE Consultants: Activity Three
Conduct training for student and district level corrective actions and final stages of
Activity Three of SESR process including root cause analysis and sampling additional records to ensure 100% correction.
Train using examples of text for writing student and district level corrective actions in evidence and location text boxes.
Verify Student Corrective Actions Report and notify district of approval status.
Inform LEA to begin district level corrective actions.
Review district level corrective actions.
Inform LEAs of status related to CDE review of district level corrective actions.
Ensure completion of Assurances Form 2.
Prepare closure letter for LEAs.
Submit closure letter with final student level and district level CA Reports and
Assurances Form 2 for administrative review.
Mail official closure letter to LEA administrators and SELPA.
Update SESR tracking log and checklist in SESR folder.
Review SESR folder contents .
For LEAs selected for 10% Follow up
Select 10% of the LEAs in each County for follow-up review after SESRs are closed.
Send notification letter of follow-up review to selected LEAs and SELPA.
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Review SESR to determine documentation required.
1. IEP implementation forms and worksheets
2. Educational Benefit forms and worksheets
3. Survey results forms
4. Worksheets and forms completed during record reviews
5. Documentation and evidence of corrective actions
6. Documentation of fiscal review
Prepare record review protocols to sample records selected using stratified sampling for LEAs reporting no findings of noncompliance.
Complete on-site review of SESR records and materials retained on site.
Record findings and corrective actions in SESR folders.
Approve corrective actions.
Prepare and send closure letter of follow-up activities.
Maintain documentation in SESR folder and complete checklist.
Page 49 of 49
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