Compliance Monitoring Orientation

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ComplianceMonitoringOrientation

• DSE General Supervision
• Individual District Level Compliance
• Fiscal Compliance
• Tennessee Division of Special Education
• September 9, 15, 16, 2009

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(No Transcript)
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COMPREHENSIVE MONITORINGPrograms Funded through
IDEA

• Annual District Profiles
• Annual Determinations
• Cyclical On-Site Monitoring
• Cyclical Fiscal Monitoring
• Review and follow-up to resolutions from
  Administrative Complaints, Mediation and Due
  Process Issues
• Grant Monitoring
• Focused Monitoring, when necessary

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Annual District Profiles

• ANNUAL
• DISTRICT
• DATA
• 08-09 SY
• STATE
• TARGETS

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District Profile Data Sources
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Annual DeterminationsDistrict Data/State Target

• Determination Indicators
• Indicator 4 Suspension/Expulsion
• Indicator 9 Disproportionate Representation
  (All Disabilities)
• Indicator 10 Disproportionate Representation
• (Specific Disabilities)
• Indicator 11 Child Find
• Indicator 12 Part C to Part B Transition
• Indicator 13 Secondary Transition
• Indicator 15 Timely Correction of Noncompliance
  Includes Annual District Profile, On-Site
  Compliance Monitoring, Complaints, Mediations,
  and Due Processes
• 15a Noncompliance Audit Findings (A133
  Audits)

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Annual Determinations Enforcement Actions

• Meets Requirements
• Needs Assistance
• Needs Intervention
• Needs Substantial Intervention

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Cyclical Monitoring On-Site Visits
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Part 1

• IDEA Part B Compliance Monitoring

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Focus Data IMPROVED SERVICES STUDENT RESULTS
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Improved Student Results

• Achievement

• Behavior

• Increased Participation
• in General Education

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PREPARATIONIDEA Part B Compliance Monitoring

• No later than 30 days prior to
• On-Site Monitoring Visit

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PREPARATIONIDEA Part B Compliance Monitoring

• List of 504 contacts for each school and the
  central office, including each persons
  title/position (e.g. Principal, Guidance
  Counselor, etc.)
• List of schools which includes the principals
  name and school hours, and the school contact for
  the on-site monitoring team, if different from
  the principal

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PREPARATIONIDEA Part B Compliance Monitoring

• List of special education personnel which
  includes but is not limited to district-wide
  special education personnel serving each school
  (e.g., special education supervisor or
  coordinators), special education teachers,
  related service providers, paraprofessionals and
  interpreters.
• The list must include personnel names, positions,
  funding source and full-time equivalent (FTE).

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PREPARATIONIDEA Part B Compliance Monitoring

• Inventory of all equipment purchased in whole or
  part with IDEA funds
• Completed Personnel Chart from IDEA Fiscal
  Monitoring Instrument

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DSE Request for Student Records

• One Week Prior to
• On-Site Visit

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Student Record Reviews

• DSE Compliance Consultant provides the district
  with the list of files to be reviewed
• Files are selected on a random basis through the
  States EasyIEP database to ensure the sample is
  representative of the school district
• Note Print the most recent IEP Progress Report
  AND include it with each Student File to be
  reviewed

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Process for File ReviewHow Data Drive IDEA
Corrections
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Part B Compliance Letter Report of Findings

• Provided to
• Special Education Supervisor
• Director of School District
• Close of monitoring Sample Report
• 45 Calendar Days
• Details All IDEA Corrective Actions (ICAs)
• Individual Student Corrections
• District Level Corrections
• This is your DATE OF NOTIFICATION

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Date of Notification

• Date of Notification
• Date the Part B Compliance Letter
• and
• Report of Findings
• is sent to
• School District

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Report of Findings Requirements

• Process for the tracking of the corrections which
  includes
• Area of noncompliance, correction, correction
  date and district person responsible for
  correction.
• IDEA Corrective Actions (ICAs) frequently require
  systemic program and policy revisions and staff
  development or training for implementation of
  required corrections.

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IDEA Corrective Actions (ICAs)

• All corrections of individual and district
  findings of noncompliance are to be completed and
  tracked by the district through the Report of
  Findings.
• Once corrections are made, the TDOE/DSE
  Compliance Consultant is notified. Included in
  the districts corrections report is the Notice
  of Certification which states
• The completion of this page by the school
  district representative certifies that all data
  submitted are true, correct, complete and done in
  full compliance with all applicable state and
  federal rules and regulations.

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Individual StudentFindings of Noncompliance

• All (100) of individual student noncompliance
  must be corrected and verified by the DSE as soon
  as possible
• Corrective actions for Individual Student Level
  Findings are stated in the report
• GenerallyCorrections to individual findings of
  noncompliance require actions such as
• Reconvening IEP Teams to complete unfinished or
  inaccurate work
• Completing missing components required in the IEP
  or Eligibility Report.

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District LevelFindings of Noncompliance

• lt 95 compliance for any IDEA requirement
  monitored must be corrected
• Corrective actions for District Level Findings
  are stated in the report

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Corrections of Findings of Noncompliance

• No Later Than June 30, 2010
• All Individual Student Corrections of
  Noncompliance
• All District Level Corrections of Noncompliance
• Notice of Certification

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Verification of ICAs

• After corrections have been made by the school
  district, the TDOE/DSE Compliance Consultant will
  verify the following

• Correction of noncompliance (including secondary
  transition) for individual students (TOPS)
• Corrective actions (ICAs) addressing district
  noncompliance
• The district provides evidence of corrective
  actions for findings of noncompliance. All
  corrections will be verified by the TDOE/DSE as
  soon as possible but no later than 365 days from
  the Date of Notification.

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IDEA Part B MonitoringLetter of Closure

• The TDOE/DSE will send the IDEA Part B Monitoring
  Closure Letter to the district within thirty (30)
  days after verification of all corrections.

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Table 1 District and State On-Site Compliance
Monitoring Activities Table
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Table 2 District and State On-Site Compliance
Monitoring Activities
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Part 2

• IDEA Fiscal Monitoring

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Preparation for Fiscal Monitoring

• 30 days prior to fiscal monitoring the District
• Completes the Personnel Chart in Section 1 of the
  IDEA Fiscal Monitoring Instrument
• Collects and Organizes the remaining evidence for
  Sections 1 and 2 of the IDEA Fiscal Monitoring
  Instrument
• NOTE The DSE Management Consultant assigned to
  the district will assist in this preparation for
  fiscal monitoring.

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Table 1 District and State On-Site Fiscal
Monitoring Activities Table
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Table 2 District and State On-Site Fiscal
Monitoring Activities Table
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IDEA On-Site Fiscal Monitoring

• Compliance Consultant
• Verifies evidence required in the IDEA Fiscal
  Monitoring Instrument
• Reports deficit areas
• Identifies all required corrective actions
  (Fiscal Corrective Actions FCAs) which the
  district must complete
• NOTE IDEA ARRA Fiscal Monitoring questions 3753
  are included in the IDEA Fiscal Monitoring
  Instrument to serve as a source of information
  for school districts. The fiscal monitoring of
  IDEA ARRA funds will be conducted by TDOE/DSE
  Management Consultants.

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Equipment and Inventory Preparation

• Prior to On-site Visit
• District provides Compliance Consultant with
  inventory and location of all equipment purchased
  in whole or in part with IDEA funds
• NOTE District may use the IDEA Equipment
  Inventory in Manual to list inventory. The
  equipment inventory must include all items listed
  in the States equipment inventory at a minimum.

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On-Site Equipment and Inventory Verification

• Compliance Consultant
• Visits sampling of districts schools to conduct
  inventory checks and verify information obtained
  from the IDEA Fiscal Monitoring Instrument
• Validates sampling of equipment at the districts
  Central Office and at schools visited

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On-Site Visit Interviews

• Substantiate compliance with policies, procedures
  and/or practices required under the IDEA and
  include
• Special Education Supervisor
• Principals
• Special education teachers
• General education teachers who work with students
  with IEPs
• Also when indicated through pre-site review,
  additional school personnel such as related
  services providers, in-school suspension
  teachers, paraprofessionals and bus drivers
• Findings of fiscal noncompliance or cause for a
  Focused Monitoring may be identified during the
  interview process

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IDEA Fiscal Monitoring Timelines

• Required Fiscal Corrective Actions (FCAs) must be
  completed as directed in the Part B Fiscal Letter
  and Report of Findings
• Timelines for FCAs are included in the fiscal
  report
• Fiscal findings are provided to the TDOE/DSE
  Management Consultant so they may provide the
  district with technical assistance when
  corrections are required

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IDEA Fiscal Monitoring Instrument- pg1
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IDEA Fiscal Monitoring Instrument-pg2
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IDEA Fiscal Monitoring Instrument-pg3
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IDEA Fiscal Monitoring Instrument-pg4
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IDEA Fiscal Monitoring Instrument-pg5
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IDEA Fiscal Monitoring Instrument-pg6
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IDEA Fiscal Monitoring Instrument-pg7
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Link for Compliance Monitoring Manual Other
Resources

• http//state.tn.us/education/speced/
• Compliance and Monitoring
• Management Services

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STATE-WIDE SUPPORTAnn Sanders-Eakes
(Ann.Sanders_at_tn.gov)Director of Compliance
MonitoringNina Shaw (Nina.Shaw_at_tn.gov)Administr
ative Support Compliance Monitoring Kathi
Rowe (Kathi.Rowe_at_tn.gov)Director of Management
ServicesREGIONAL COMPLIANCE CONSULTANTSHiram
Tate (Hiram.Tate_at_tn.gov)Devin McClain
(Devin.McClain_at_tn.gov) MTRRCNancy Turnbo
(Nancy.Turnbo_at_tn.gov)Steve Boggan
(Steve.Boggan_at_tn.gov)WTRRCMarti Sparks
(Marti.Sparks_at_tn.gov)Frank Gosnell
(Frank.Gosnell_at_tn.gov) ETRRC