Final Determinations

Secretary’s Determinations Secretary annually reviews the APR and, based on the information provided in the report, information obtained through monitoring visits, and any other public information available, the Secretary determines if the state: Meets requirements Meets requirements Needs assistance Needs assistance Needs intervention Needs intervention Needs substantial intervention Needs substantial intervention

What did OSEP consider in making the “Determinations?” OSEP considered all information available at the time of the determinations including: OSEP considered all information available at the time of the determinations including: History, nature and length of time of any reported noncompliance History, nature and length of time of any reported noncompliance Evidence of correction, including progress toward full compliance Evidence of correction, including progress toward full compliance Information regarding valid and reliable data Information regarding valid and reliable data Other information: Other information: Special conditions Special conditions Compliance agreements Compliance agreements Audit findings Audit findings OSEP’s verification or focused monitoring findings OSEP’s verification or focused monitoring findings

Are States required to make “Determinations?” States are required to make “Determinations” under 616(d) States are required to make “Determinations” under 616(d) ODE will make the “Determinations” August 2007 based on district/program performance on the targets in the SPP ODE will make the “Determinations” August 2007 based on district/program performance on the targets in the SPP

What do states consider in making their “Determinations?” MUST consider MUST consider Performance on compliance indicators Performance on compliance indicators Valid, reliable, and timely data Valid, reliable, and timely data Audit findings Audit findings Uncorrected noncompliance from other sources Uncorrected noncompliance from other sources COULD consider COULD consider Performance on outcomes indicators Performance on outcomes indicators Others? Others?

General Supervision Timeline February 2007: ODE submitted APR (based on PCR and KPI data) to OSEP February 2007: ODE submitted APR (based on PCR and KPI data) to OSEP March 2007: ODE publicly reported district/program performance on SPP through special education report card March 2007: ODE publicly reported district/program performance on SPP through special education report card April 2007: Districts/programs submitted PCR data on new files selected by ODE April 2007: Districts/programs submitted PCR data on new files selected by ODE Targeted file review consisted of 11 standards of general supervision, and areas of previously identified noncompliance from comprehensive file review Targeted file review consisted of 11 standards of general supervision, and areas of previously identified noncompliance from comprehensive file review Districts also submitted analysis worksheets on KPI that were not met Districts also submitted analysis worksheets on KPI that were not met

General Supervision Timeline cont’d May – June 2007: ODE SPR&I team and county contacts worked with districts May – June 2007: ODE SPR&I team and county contacts worked with districts to verify corrections of previously identified noncompliance, and any corrections of newly identified noncompliance that could be addressed to verify corrections of previously identified noncompliance, and any corrections of newly identified noncompliance that could be addressed Findings were then summarized using the district/program determinations summary sheet (see handout) Findings were then summarized using the district/program determinations summary sheet (see handout) July – August 2007: ODE SPR&I team and county contacts developed and applied district/program final determination status July – August 2007: ODE SPR&I team and county contacts developed and applied district/program final determination status Letter serves as official notice of previous noncompliance ( ) that was corrected or is now second year noncompliance and identifies any new compliance identified through files reviews ( ) or other means Letter serves as official notice of previous noncompliance ( ) that was corrected or is now second year noncompliance and identifies any new compliance identified through files reviews ( ) or other means

Determination Packets ODE Guidance ODE Guidance Determinations Rubric Determinations Rubric Notifications and Standards Identification Notifications and Standards Identification District Summary Sheet District Summary Sheet Standards Citations Key Standards Citations Key

Factors ODE considered for “meets requirements” SPR&I Procedural Compliance: No previously identified procedural noncompliance; or, No previously identified procedural noncompliance; or, 95% or greater of previous year identified noncompliance was corrected within the one year timeline. 95% or greater of previous year identified noncompliance was corrected within the one year timeline. Data timely and accurate: Data timely and accurate: District/program data submissions were both completed within the designated windows for reporting and identified as accurate: No edits and/or error reports were generated for the district/program for the collections informing this process after the designated windows for correction. District/program data submissions were both completed within the designated windows for reporting and identified as accurate: No edits and/or error reports were generated for the district/program for the collections informing this process after the designated windows for correction. District/program data was either submitted after the designated window for reporting but was accurate, or was submitted within the designated windows for reporting, but identified as inaccurate and required correction by districts/programs. District/program data was either submitted after the designated window for reporting but was accurate, or was submitted within the designated windows for reporting, but identified as inaccurate and required correction by districts/programs.

Meets Requirements-Enforcement Actions (Each year ODE determines that a district/program Meets Requirements it will consider taking one or more of the following actions) ODE determines district/program has met all requirements and no further action is required; ODE determines district/program has met all requirements and no further action is required; ODE offers technical assistance at the request of the district/program; or ODE offers technical assistance at the request of the district/program; or ODE identifies district/program as in need of support in implementing the requirements within the timelines, which may include, but is not limited to, focused monitoring activities. ODE identifies district/program as in need of support in implementing the requirements within the timelines, which may include, but is not limited to, focused monitoring activities. ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B

Factors ODE considered for “needs assistance” SPR&I Procedural Compliance: Between 50% and 94% of previous noncompliance was corrected within the one year. Between 50% and 94% of previous noncompliance was corrected within the one year. Data timely and accurate: Data timely and accurate: District/program data submissions were not completed within the designated windows for reporting and; District/program data submissions were not completed within the designated windows for reporting and; District/program data has been identified as inaccurate: Edits and/or error reports were generated for the district/program for the collections informing this process after the designated windows for correction. District/program data has been identified as inaccurate: Edits and/or error reports were generated for the district/program for the collections informing this process after the designated windows for correction.

Needs Assistance-Enforcement Actions (After 2 consecutive years the ODE may take one or more of the following enforcement actions) Advises the district/program of available technical assistance to address the areas in which it needs assistance Advises the district/program of available technical assistance to address the areas in which it needs assistance Direct the use of district/program - level funds under section 611(e) of the Act on the area or areas in which the State needs assistance. Direct the use of district/program - level funds under section 611(e) of the Act on the area or areas in which the State needs assistance. Prohibit the district/program from reducing the district’s/program’s maintenance of effort under 34 CFR § for any fiscal year Prohibit the district/program from reducing the district’s/program’s maintenance of effort under 34 CFR § for any fiscal year Identify the district/program as a high-risk grantee and impose special conditions on the district’s/program’s grant under Part B of the Act. [34 CFR (a)] [20 U.S.C. 1416(e)(1)] Identify the district/program as a high-risk grantee and impose special conditions on the district’s/program’s grant under Part B of the Act. [34 CFR (a)] [20 U.S.C. 1416(e)(1)] ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B

Factors ODE considered for “needs intervention” SPR&I Procedural Compliance: Less than 50% of previous identified noncompliance not corrected within the one year Less than 50% of previous identified noncompliance not corrected within the one year Data verification by ODE indicates need for comprehensive review Data verification by ODE indicates need for comprehensive review Data timely and accurate: Data timely and accurate: District/program data submissions were not completed within the designated windows for reporting and; District/program data submissions were not completed within the designated windows for reporting and; District/program data has been identified as inaccurate: Frequent edits and/or error reports were generated for the district for the collections informing this process after the designated windows for correction. District/program data has been identified as inaccurate: Frequent edits and/or error reports were generated for the district for the collections informing this process after the designated windows for correction.

Needs Intervention-Enforcement Actions (After 3 consecutive years the ODE may take one or more of the following enforcement actions) The ODE may take any of the actions described in 34 CFR (a) (Needs Assistance). The ODE may take any of the actions described in 34 CFR (a) (Needs Assistance). Requires the district/program to prepare a corrective action plan or improvement plan. Requires the district/program to prepare a corrective action plan or improvement plan. For each year of the determination, withhold not less than 20 percent and not more than 50 percent of the district’s/program’s funds under section 611(e) of the Act, until the ODE determines the district/program has sufficiently addressed the areas in which the district/program needs intervention. For each year of the determination, withhold not less than 20 percent and not more than 50 percent of the district’s/program’s funds under section 611(e) of the Act, until the ODE determines the district/program has sufficiently addressed the areas in which the district/program needs intervention. Seek to recover funds under section 452 of GEPA. Seek to recover funds under section 452 of GEPA. Withhold, in whole or in part, any further payments to the district/program under Part B of the Act. [34 CFR (b)] [20 U.S.C. 1416(e)(2)] Withhold, in whole or in part, any further payments to the district/program under Part B of the Act. [34 CFR (b)] [20 U.S.C. 1416(e)(2)] ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B

Factors ODE considered for “needs substantial intervention”  ODE reserves the right to identify a district/program as Needs Substantial Intervention if its substantial failure to comply significantly affected the core requirements of the program, such as the delivery of services to children with disabilities or the district’s/program’s exercise of general supervision, or if the district/program informed the ODE it was unwilling to comply.

Needs Substantial Intervention- Enforcement Actions (Any time that the ODE determines that a district/program needs substantial intervention or that there is a substantial failure to comply with any condition of an district’s/program’s eligibility under Part B, the Secretary takes one or more of the following actions) Recover funds under section 452 of GEPA. Recover funds under section 452 of GEPA. Withholds, in whole or in part, any further payments to the district/program under Part B of the Act. Withholds, in whole or in part, any further payments to the district/program under Part B of the Act. Refers the case to the Office of the Inspector General at the Department of Education. Refers the case to the Office of the Inspector General at the Department of Education. Refers the matter for appropriate enforcement action, which may include referral to the Department of Justice. 34 CFR (c)] [20 U.S.C. 1416(e)(3)] Refers the matter for appropriate enforcement action, which may include referral to the Department of Justice. 34 CFR (c)] [20 U.S.C. 1416(e)(3)] ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B ODE is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B

Timing of enforcements actions Are enforcement actions sequential? Are enforcement actions sequential? No, the enforcement actions are not sequential. No, the enforcement actions are not sequential. Must ODE wait two (needs assistance) or three (needs intervention) years before taking enforcement action? Must ODE wait two (needs assistance) or three (needs intervention) years before taking enforcement action? Under section 616(g) of the Act, the ODE may at any time utilize any authority under the General Education Provisions Act (GEPA) to monitor and enforce the requirements of IDEA, regardless of the determinations made of the district’s/program’s status under section 616(d) of the Act. Under section 616(g) of the Act, the ODE may at any time utilize any authority under the General Education Provisions Act (GEPA) to monitor and enforce the requirements of IDEA, regardless of the determinations made of the district’s/program’s status under section 616(d) of the Act.

Maintenance of Effort (MOE) If an SEA determines that an LEA is not meeting the requirements of Part B of the Act, including the targets in the SPP, the SEA must prohibit the LEA from reducing the LEA’s maintenance of effort under 34 CFR § for any fiscal year

Determination Distribution 10 districts 10 districts 5% 5% 71 districts 71 districts 35% 35% 119 districts 119 districts 60% 60%

What are ODE’s expectations for districts? Develop and sustain a system that allows you to: Develop and sustain a system that allows you to: Identify noncompliance Identify noncompliance Correct noncompliance at individual and systemic levels Correct noncompliance at individual and systemic levels Improve the process and system to ensure desired outcomes Improve the process and system to ensure desired outcomes

Expectations of districts (cont.) Identification Identification Components to identify noncompliance may include Components to identify noncompliance may include Self-assessments (file reviews) Self-assessments (file reviews) Database with unique identifiers (SPR&I) Database with unique identifiers (SPR&I) Focus on priorities (Set by OSEP and ODE) Focus on priorities (Set by OSEP and ODE) Dispute resolution Dispute resolution

Expectations of districts (cont.) Correction Correction When is it corrected? When is it corrected? When a CAP is submitted? NO When a CAP is submitted? NO When a CAP is approved? NO When a CAP is approved? NO When the CAP activities are completed? Maybe When the CAP activities are completed? Maybe When new policies and/or procedures are approved? Maybe When new policies and/or procedures are approved? Maybe When the district/program has documentation that practice has changed and has notified the State? YES!! When the district/program has documentation that practice has changed and has notified the State? YES!! Improvement Improvement Attend annual SPR&I trainings Attend annual SPR&I trainings Utilize SPR&I system and improvement plan Utilize SPR&I system and improvement plan Conduct individual file corrections and professional development for local staff Conduct individual file corrections and professional development for local staff

How do we “measure” the one year timeline for correction? From timely identification of noncompliance; i.e., when the ODE notifies the district/program in writing of the noncompliance From timely identification of noncompliance; i.e., when the ODE notifies the district/program in writing of the noncompliance To state closure of the noncompliance; i.e., when the ODE notifies the district/program and documents in writing that the noncompliance is corrected To state closure of the noncompliance; i.e., when the ODE notifies the district/program and documents in writing that the noncompliance is corrected

ODE On-going Oversight Will continue to focus on performance and compliance Will continue to focus on performance and compliance Will primarily identify districts/programs for focused monitoring by looking at continued noncompliance and performance against the targets Will primarily identify districts/programs for focused monitoring by looking at continued noncompliance and performance against the targets Other data sources such as rank orders and audits may also be used Other data sources such as rank orders and audits may also be used

Take aways Identification of noncompliance through SPR&I is not what determines your status Identification of noncompliance through SPR&I is not what determines your status Lack of documented and verified evidence of correction of noncompliance is what contributes to determination status Lack of documented and verified evidence of correction of noncompliance is what contributes to determination status Future determinations may include a comprehensive review of compliance and performance indicators as well as timely and accurate submission of data Future determinations may include a comprehensive review of compliance and performance indicators as well as timely and accurate submission of data

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