1. Special Education Student Record Review Protocol
Exceptional Children Division
School Year

2. General Supervision SPP/APR Data Collection Dispute Resolution System
Policies, Practices and Procedures
Monitoring Activities
Improvement, Correction, Incentives, & Sanctions
Targeted Technical Assistance
Fiscal Management

3. Academics
Transition
Behavior
SSIP:
Root Cause

4. Academics Behavior Transition
This Professional Learning Supports Improved Graduation Rate for Students with Disabilities by:
Academics
Active implementation of evidence-based instruction
Local capacity building
Technical and adaptive leadership
Comprehensive and efficient assessment system
Behavior
Active implementation of evidence-based behavioral programming
Local capacity building
Culturally responsive instruction
Positive school/class climate
Comprehensive and efficient assessment system
Transition
Active implementation of evidence-based transition practices
Local capacity building
Systemic and coordinated supports (including wraparound)
Consistent attendance
Extracurricular and/or employment opportunities
Add notes of clarification on how to customize for individual PD

5. North Carolina’s Monitoring Mechanisms
Continuous Improvement Performance Plan (CIPP)
Program Compliance On-site Review
Targeted On-site Visit
Focused Monitoring
LEA Program Assessment
Data Based Review
Continuous Improvement Performance is developed annually by each LEA based on the data collected for the previous year.
PCR is conducted on a five year cycle to include a review of a sample of records using the Monitoring Protocol. (Indicators 13, and 15)
Targeted Visit focuses on one particular area when the LEA data suggest possible noncompliance related to the implementation of IDEA.
Focused Monitoring is a process that purposefully selects priority areas to examine for compliance and results. (Indicators 1, 2, 13, and 14)
LEA Program Assessment is a comprehensive monitoring activity where data are collected in multiple areas to determine program effectiveness.
(Charter schools in the second year of operation. And LEAs that failed to meet the targets set for student outcomes indicatiors over multiple years.)
Data based Review is a collection of data used to calculate discrepancies in suspensions by race/ethnicity and disproportionate representation by race/ethnicity for a subgroup of 40 or more. (Indicators 4b, 9 and 10)

6. Findings of Noncompliance through Program Compliance Reviews 2014-2015
Prior Written Notice
Eligibility
Evaluation
IEP Composition
Service Delivery
Add similar charts from APR data.

7. Areas on the Protocol Informed Consent(CNSNT)
Prior Written Notice (PWN)
Initial Evaluation/Reevaluation (EVAL)
Eligibility (EL)
IEP Development and Implementation (IEP)
Secondary Transition (TRAN)

8. I Informed Consent for the Provision of Services

9. CNSNT1
The Informed Consent for the initial provision of services for special education and related services was obtained from parent NC
CFR
DEC 6

10. Status Check
Does your record contain a signed and dated Consent For Services? What do you do if it’s not there?

11. Areas on the Protocol
II. Prior Written Notice

12. PWN 2a
The most current Prior Written Notice (PWN) contains a description of actions NC CFR DEC 5

13. PWN 2b
Most current Prior Written Notice (PWN) explains why actions are proposed/refused NC CFR DEC 5 (Sections I, II, and IV)

14. PWN 2c Most current Prior Written Notice
(PWN) contains descriptions of
evaluation(s)/report(s) used to propose or refuse each action(s) NC
CFR
DEC 5 (Section III)

15. Status Check
Does the most recent Prior Written Notice explain clearly what the team decided to do? Does the most recent Prior Written Notice explain clearly what the team decided not to do?

16. Status Check
Does the most recent Prior Written Notice explain clearly why the team made the decisions they did? Is it clear that the decisions were based on available data? Can it be easily understood by a parent

17. PWN 2d
Most current Prior Written Notice contains procedural safeguards NC CFR DEC 5

18. PWN 2e
Most current Prior Written Notice (PWN) contains parental sources for regulation information NC CFR DEC 5

19. PWN 3
Parent was provided copy of Prior Written Notice (PWN) prior to implementation NC CFR DEC 5

20. Status Check
Is the Date of Implementation after the PWN Delivery date?

21. But What If . . . The parent didn’t show
The parent participated by phone
I sent the form home in their child’s bookbag

22. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Prior Written Notice (PWN 2a,b,c,d,e, 3)
Critical Questions for a compliant Prior Written Notice . . .
Does the PWN clearly and accurately describe the actions that the team took in language that the parent can understand?
Does the PWN clearly and accurately describe why the team made the decisions the way they did in language that the parent can understand?
Does the PWN describe the evaluations and reports used to make the decisions? Are the reports references easily accessible and provided to the parent? Do you have data to support the decisions that were made?
Are procedural safeguards and parental sources for regulation information included in the PWN?
Was the PWN provided to the parent at least one day prior to the implementation date?
Court cases – verbal substitutes does not fulfill the requirement for IDEA
2013 case failure to provide prior written notice within a reasonable time before it implements a change constitutes a procedural violation that may result in a denial of FAPE
2015 3rd circuit case – LEA violated LRE by failing to consider whether the child could be effectively educated within the general education setting. Procedural issue with the PWN – no narrative description explaining why they were rejecting the parents request.

23. III Initial Evaluation/Reevaluation

24. EVAL 4 There is documentation of required members’ participation in
the review of existing data NC NC
CFR
CFR
DEC 1 or DEC 7

25. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Evaluation (EVAL 4)
There is documentation of required members’ participation in the review of existing data.
(LEA Rep, General Education Teacher, Special Education teacher, parent, student (if appropriate) and person who can interpret results)
Yes =
Complete the reevaluation process with the required members in attendance. No
Yes
What if the parent refuses to come or will not confirm the date?
CFR – It is not enough for the district to give notice and simply accept a parent’s response that he will not be able to attend; these actions are not enough to “convince” the parent to attend.
What does “Convince mean”
-detailed records of calls made or attempted and the results of those calls
-copies of correspondence sent to the parents and responses received
-detailed records of visits made to the parents’ home or place of employment and the results of those visits.

26. EVAL 5
There is documentation that, as part of the initial evaluation or most current reevaluation, the IEP team completed a review of existing data, and based on that review identified what additional data were needed, if any NC
CFR
DEC 1 or 7

27. EVAL 6
There is documentation that Informed Consent to Evaluate/Reevaluate was obtained from parent NC CRF DEC 2 and DEC 3

28. EVAL 7 There is documentation that data
requested, consented to, and collected, match NC
CFR
DEC 1 (or 7) 2 and 3

29. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Evaluation (EVAL 7)
Dec 1 or 7
DEC 2
DEC 3
There is documentation that data requested, consented to and collected match.
Complete the reevaluation process to collect the data that was requested. Collection of data not requested or consented to prior to collection is not correctable. No
Yes
Federal Register establishes requirement for informed consent. Defined as the parent being fully informed of all information relevant to the activity for which consent is sought. Further specifies that it must be in native language or other mode of communication.

30. EVAL 8
There is documentation that at time of reevaluation, the current IEP was reviewed, revised as appropriate, or a new IEP is developed NC (6)(ii)(B) CFR DEC 4

31. Past DEC 5 that addressed reevaluation
The reevaluation was completed within
the past 3 years NC
CFR
Past DEC 5 that addressed reevaluation
to current DEC 5

32. Areas on the Protocol
IV. Eligibility Determination

33. EL 10
There is documentation that evaluation is consistent with required eligibility
criteria for primary and secondary
(if applicable) disability category
NC CFR
NC CFR
NC CFR
CFR 300.8
DEC 3 and Reports

34. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Eligibility (EL 10)
There is documentation that evaluation is consistent with required eligibility criteria for primary and secondary (if applicable) disability category.
(All required screenings and evaluations for eligibility and written reports are included in the file)
Complete the reevaluation process to obtain the required components and documentation. No
Yes

35. eligibility determination
There is documentation of
eligibility determination NC NC
CFR
CFR
DEC 3

36. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Eligibility (EL 11)
There is documentation of eligibility determination. The student meets the criteria for one of the 14 disability categories, there is adverse effects on educational performance; and the disability requires specially designed instruction. The determinant factor is not due to a lack of appropriate instruction in reading, math or limited English proficiency.
Complete the reevaluation process. No
Yes

37. EL 12 There is documentation of required members’ participation when
eligibility is determined NC NC
CFR
CFR
DEC 3

38. V IEP DEVELOPMENT AND IMPLEMENTATION-CURRENT

39. DEC 4 or 5 and Invitation to Conference
IEP 13
There is documentation the IEP Team
included parent participation in
the development of the current IEP
for the most recent action NC
CFR
DEC 4 or 5 and Invitation to Conference

40. IEP 14
The current IEP was reviewed within one year NC CFR DEC 4

41. IEP 15a
The Special Factor: Behavior is considered and if yes, addressed in the IEP NC CFR DEC 4

42. IEP 15b
The Special Factor: Limited English Proficiency is considered and if yes, addressed in the IEP NC CFR DEC 4

43. IEP 15c
The Special Factor: Braille is considered and if yes, addressed in the IEP NC CFR DEC 4

44. IEP 15d
The Special Factor: Communication Needs is considered and if yes, addressed in the IEP NC CFR DEC 4

45. IEP 15e
The Special Factor: Assistive Technology devices and/or services is considered and if yes, addressed in the IEP NC CFR DEC 4

46. IEP 16
The IEP contains statement(s) of the student’s present levels of academic achievement and functional performance (PLAAFP) NC CFR DEC 4

47. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
PLAAFP (IEP16)
Critical Questions for a compliant Present Level of Performance. . .
Does the PLAAFP clearly and accurately describe the academic and functional strengths of the child?
Does the PLAAFP clearly and accurately describe the academic and functional needs (weaknesses) of the child?
Does the PLAAFP clearly and accurately describe how the disability interferes with the child’s involvement and progress in the general curriculum?
Is the PLAAFP based upon data?
Is the PLAAFP easily understood by parents?
Helpful Hint: Avoid statements that address the need for services – that will come later! Bonus points if you can incorporate post-secondary skill needs if appropriate.

48. IEP 17
The IEP contains statement of measurable annual goals that address the needs identified in the PLAAFP NC CFR DEC 4

49. Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Annual Goals (IEP17)
Critical Questions for a compliant Measurable Annual Goals. . .
Is the goal measurable?
Does the goal state a level to be considered mastery?
Does the goal state under what conditions the skill will be performed?
Can the goal stand on its own?
Helpful Hint: Avoid “improve”; “increase” or non-action verbs. Tie goals back to the PLAAFP.

50. IEP 18
The IEP contains description of how student’s progress toward meeting goals will be measured NC CFR DEC 4

51. The IEP indicates how the student
will participate in statewide assessment program(s) with or without accommodations NC
CFR
DEC 4

52. IEP 20
The IEP indicates how the student will participate in district-wide assessment program(s) with or without accommodations NC
CFR
DEC 4

53. IEP 21
The IEP explains why the regular testing program (with or without accommodations) is not appropriate and why the selected assessment is appropriate NC CFR DEC 4

54. IEP 22
A continuum of alternative educational placements selected on current IEP NC CFR DEC 4

55. IEP 23
The least restrictive environment (LRE) justification (WHY) is addressed on current IEP (ages 3-21) NC CFR DEC 4

56. Helpful Hint: Avoid administrative or scheduling reasons.
Special Education Student Record Review Protocol
North Carolina Department of Public Instruction: Exceptional Children Division
Least Restrictive Environment (IEP 23)
Critical Questions for a compliant LRE Statement. . .
Does the statement clearly state why the services cannot be provided with nondisabled peers?
Is the statement clearly based upon the needs of the student?
Helpful Hint: Avoid administrative or scheduling reasons.

57. IEP 24
Extended school year (ESY) services are considered annually (including students enrolled in year round programs) NC CFR DEC 4

58. VI SECONDARY TRANSITION (Not applicable if the student is not at least 16 years of age during the duration of the IEP)

59. TRAN 25
There are appropriate measurable postsecondary goals addressing education or training, employment, and as needed, independent living NC
CFR
DEC 4a

60. TRAN 26
The postsecondary goals are updated annually NC CFR DEC 4a

61. TRAN 27
There is evidence that the measurable postsecondary goals were based on age appropriate transition assessment NC CFR DEC 4a

62. TRAN 28
There are transition services/activities in the IEP that will reasonably enable the student to meet his or her postsecondary goals NC
CFR
DEC 4a

63. TRAN 29
Transition services include courses of study that will reasonably enable the student to meet his or her postsecondary goals NC
CFR
DEC 4a

64. TRAN 30
There is/are annual IEP goal(s) related to the transition services needs NC
CFR
DEC 4a

65. TRAN 31
There is evidence that the student was invited to the IEP team meeting where transition services were discussed NC
CFR
Forms: Invitation to Conference Prior to age 18 or Invitation to Conference Age 18 and older

66. Form: Invitation to Conference Consent to Invite Outside Agency
TRAN 32
There is evidence that a representative of an applicable participating agency was invited to the IEP team meeting with the prior consent of the parent or student who has reached the age of majority, if appropriate
C=NC
CFR
Form: Invitation to Conference Consent to Invite Outside Agency