1. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20041 General Supervision

2. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20042 Concepts of General Supervision Accountability for Implementation & Improved Results

3. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20043 The BIG 8 of General Supervision (and Continuous Improvement) 1.What are the minimum components for General Supervision ? 2.How do the components form a state system ? 3.What are the annual processes operating within the system ?

4. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20044 Difference between Concepts & a Model Each state develops Its Own Model of General Supervision based on what’s required and desired

5. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20045 State Performance Plan Policies, Procedures, and Effective Implementation Data on Processes and Results Targeted Technical Assistance & Professional Development Effective Dispute Resolution Integrated Monitoring Activities Improvement, Correction, Incentives & Sanctions Components of General Supervision Ask Yourself How Each Piece Operate s and Fits Into the Whole Fiscal Management

6. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20046 Requirements: State Performance Plan (SPP)  34 CFR §§76.720 and 80.40 Annual performance reports (APRs)  34 CFR §300.157 Performance goals and indicators  34 CFR §300.601 SPP  34 CFR §300.600 (c) and (d) Monitoring and enforcement  34 CFR §300.602 Targets and reporting State Performance Plan

7. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20047 State Performance Plan  Stakeholders should be actively involved in all aspects of the SPP.  The development and implementation of the SPP leads to improved results.  Reporting is critical to ensuring accountability to the public.  The SPP is the blueprint for systems change. State Performance Plan

8. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20048 Requirements: Policies, Procedures & Effective Implementation  20 U.S.C. § 1232d(b)(1) Program administered in accordance with rules  20 U.S.C. § 1232e(b)(1) local educational agency (LEA) administers program in accordance with rules  34 CFR § 76.700 Compliance with statutes  34 CFR § 300.100 State policies and procedures (state plan)  34 CFR § 300.154 Methods of ensuring services  34 CFR §§ 300.200-300.201 LEA policies and procedures Policies, Procedures & Effective Implementation

9. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 20049 Policies, Procedures & Effective Implementation  Aligned with IDEA  Implemented by local programs  Methods to detect noncompliance and ensure correction of noncompliance  Program improvement through improvement planning and incentives  Current interagency agreements and memoranda of understanding (MOU) when required to ensure IDEA implementation  Mechanisms to determine effectiveness of agreements and MOU Policies, Procedures & Effective Implementation

10. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200410 Requirements: Effective Dispute Resolution  34 CFR § 300.150 Procedural safeguards  34 CFR §§ 300.151-300.153 Complaint procedures  34 CFR § 300.500 Procedural safeguards  34 CFR § 300.504 Procedural safeguards notice Effective Dispute Resolution

11. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200411 Effective Dispute Resolutions  Are timely  Track issues  Inform onsite and offsite monitoring activities  Periodically evaluate effectiveness of resolutions  Determine that parents and families and students understand their rights, especially in cases where there are few or no complaints, hearings, or other resolutions Effective Dispute Resolution

12. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200412 Requirements: Data on Processes & Results  20 U.S.C. § 1232d(b)(4) Evaluate effectiveness  20 U.S.C. § 1232e(b) LEAs report to the state educational agency (SEA), board, Secretary  34 CFR § 300.601(b) Data collection  34 CFR § 300.602 Targets and reporting  34 CFR § 300.640 Annual report of children served Data on Processes & Results

13. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200413 Data on Processes & Results  Collection and verification 618 Dispute resolution Previous monitoring reports other  Examination and analyses Areas of state concern Clusters of related indicators  Reporting APR (state) LEA Performance compare to state targets  Status determination  Improvement Data are used to plan and revise activities Data on Processes & Results

14. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200414 Requirements: Integrated Monitoring Activities  20 U.S.C. §1232d(b)(3)(A) Proper methods of monitoring  34 CFR §300.120 Monitoring least restrictive environment (LRE)  34 CFR §300.149 SEA responsibility for general supervision  34 CFR §300.600 State monitoring Integrated Monitoring Activities

15. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200415 Integrated Monitoring Activities  Stakeholders involved  Focus on specific hypotheses for area  Teams include family members  Investigation related to noncompliance and program improvement  Multiple methods and data sources to monitor every program, every year  Activities include continuous examination of performance for compliance and results  Written reports specify evidence of correction and of improvement  Internal and external technical assistance and professional development support improvement and correction Integrated Monitoring Activities

16. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200416 Requirements: Targeted TA and Professional Development  20 U.S.C. §1232d(b)(3)(B), (C), (D) Provide TA, promising practices and disseminate information  20 U.S.C. §1232e(b)(8) LEA has effective dissemination to teachers and administrators  34 CFR §300.119 TA on LRE  34 CFR §300.156 Personnel qualifications Targeted T/A & Prof Dev

17. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200417 Targeted Technical Assistance & Professional Development  Directly connected to the SPP and improvement activities  Provided to correct noncompliance and improve results  Principles of adult learning  Measure effectiveness of implementation  Incorporate various agencies in development and dissemination  Distribute promising practices and evidence based practices to local programs Targeted T/A & Prof Dev

18. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200418 Requirements: Improvement, Correction, Incentives, & Sanctions  20 U.S.C. §1232d(b)(3(A) and (E) Proper methods – correction and enforcement  34 CFR §80.12 Special conditions  34 CFR §80.43 Enforcement  34 CFR §300.222 LEA compliance  34 CFR §300.600 State monitoring and enforcement  34 CFR §§300.603-300.604 Determinations and enforcement actions  34 CFR §300.608 Enforcement Improvement & Correction, Incentives & Sanctions

19. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200419 Improvement, Correction, Incentives & Sanctions  Explicit state authority to enforce regulations, policies, and procedures  TA to ensure correction of noncompliance  Improvement planning to meet targets  Corrective action planning and follow- up tracking of correction and improvement  Range of formalized strategies and/or sanctions for enforcement with written timelines  Determines the status of local programs annually Improvement & Correction, Incentives & Sanctions

20. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200420 Requirements: Fiscal Management  34 CFR §§300.704 and 300.705 Distribution of funds  34 CFR §300.209 Treatment of charter schools  34 CFR §300.133 Private schools proportionate share  34 CFR §§300.163 and 300.203-300.205 Maintenance of effort  34 CFR §§300.162 and 300.202 Excess cost/supplement not supplant  34 CFR §300.226 Early intervening services 15%  OMB Circular A-133 – Single Audits Fiscal Management

21. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200421 Fiscal Management  States distribute funds in accordance with federal requirements.  Funds are used in accordance with federal and state requirements.  States provide oversight on the use of funds.  Funds are aligned to problem areas in the SPP/APR Fiscal Management

22. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200422 Describing a ‘System’ of General Supervision Problems in Description (beginning list) Equating general supervision as only onsite monitoring Viewing administration as a collection of separate and isolated functions Defining accountability as an event rather than a ‘state’ and process Others?

23. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200423 State Performance Plan Policies, Procedures, and Effective Implementation Data on Processes and Results Targeted T/A & Professional Development Effective Dispute Resolution Integrated Monitoring Activities Improvement, Correction, Incentives & Sanctions Fiscal Manage- ment What is ‘System ?’

24. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200424 It’s about Better Results

25. U.S. Department of Education Office of Special Education Programs Building the Legacy: IDEA 200425 State Performance Plan Policies, Procedures, and Effective Implementation Data on Processes and Results Targeted Technical Assistance & Professional Development Effective Dispute Resolution Integrated Monitoring Activities Improvement, Correction, Incentives & Sanctions Fiscal Management General Supervision Big 8

26. Building the Legacy 200426U.S. Department of Education Office of Special Education Programs Introduction Federal and State Responsibilities for Monitoring, Technical Assistance and Enforcement Key requirements set forth at: – Section 616 of IDEA 2004 – 34 CFR §§ 300.600 – 300.609

27. Building the Legacy 200427U.S. Department of Education Office of Special Education Programs Monitoring and Enforcement Primary focus of federal and state monitoring activities must be on: –Improving education results and functional outcomes –Ensuring that public agencies meet program requirements, particularly those most closely related to improving educational results

28. 28 State Monitoring and Enforcement (TB 1-1) 34 CFR 300.600(a) requires that a state: –Monitor the implementation of Part B –Enforce, and –Report annually on performance

29. 29 Performance Measurement (TB 1-1) Each state must use quantifiable indicators and such qualitative indicators as are needed to adequately measure performance in the priority areas, and the indicators established by the Secretary for the state performance plans

30. 30 State must Monitor LEAs The state must monitor its LEAs, using quantifiable indicators in each of the following priority areas, and using such qualitative indicators as are needed to adequately measure performance in those areas:

31. 31 Monitoring Priority Areas  Provision of FAPE in the LRE  State exercise of general supervision, including child find, effective monitoring, the use of resolution meetings, mediation, and a system of transition services as defined in 34 CFR 300.43 and in 20 U.S.C. 1437(a)(9) and

32. 32 Monitoring Priority Areas  Disproportionate representation of racial and ethnic groups in special education and related services, to the extent the representation is the result of inappropriate identification

33. Building the Legacy 200433U.S. Department of Education Office of Special Education Programs Federal and State Responsibilities –Monitoring – (State Performance Plan (SPP)/Annual Performance Report (APR) –Reporting –Determinations –Monitoring - On-going oversight

34. Building the Legacy 200434U.S. Department of Education Office of Special Education Programs Monitoring Priority Areas  Provision of a free appropriate public education (FAPE) in the least restrictive environment (LRE)  State exercise of general supervision, including child find, effective monitoring, the use of resolution meetings, mediation, and a system of transition services as defined in §300.43 and in 20 U.S.C. 1437(a)(9) and

35. Building the Legacy 200435U.S. Department of Education Office of Special Education Programs Analyzing LEA Performance Each state must use the targets in its SPP to analyze the performance of each LEA

36. Building the Legacy 200436U.S. Department of Education Office of Special Education Programs When must states begin reporting on LEA Performance? Spring 2007 – State must report to public on status of LEAs against 2005-06 SPP targets

37. Building the Legacy 200437U.S. Department of Education Office of Special Education Programs 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:

38. Building the Legacy 200438U.S. Department of Education Office of Special Education Programs Secretary’s Determinations Meets requirements Needs assistance Needs intervention Needs substantial intervention

39. 39 Additional Requirements (TB 5/6-7) –That the SEA must not make further payments under Part B of the act to specified state agencies or LEAs that caused or were involved in the Secretary’s determination

40. 40 When LEA has Not Met Requirements If an SEA determines that an LEA is not meeting the requirements of Part B of the act, including the targets in the state's performance plan, the SEA must prohibit the LEA from reducing the LEA’s maintenance of effort under 34 CFR 300.203 for any fiscal year

41. Building the Legacy 200441U.S. Department of Education Office of Special Education Programs State Enforcement Needs assistance  Advises LEA of available sources of TA, including Provision of advice by experts Professional development, instructional strategies and methods Designating distinguished educators Collaboration with Institutions of Higher Education (IHEs), national technical assistance (TA) centers, and private TA providers

42. Building the Legacy 200442U.S. Department of Education Office of Special Education Programs State Enforcement Needs intervention  Corrective action or improvement plan  Withholds any further payments under Part B

43. Building the Legacy 200443U.S. Department of Education Office of Special Education Programs Compliance Agreements? Does the SEA have option to use a compliance agreement for an LEA which cannot correct in one year? –No. Compliance agreements apply only to states –If LEA cannot timely correct, state is out of compliance with it general supervisory responsibility –SEA can request to enter in compliance agreement with Secretary

44. Building the Legacy 200444U.S. Department of Education Office of Special Education Programs State Enforcement Needs substantial intervention  Withholds any further payments under Part B

45. Building the Legacy 200445U.S. Department of Education Office of Special Education Programs Other Enforcement Mechanisms A state is not restricted from utilizing any other authority available to it to monitor and enforce the requirements of Part B

46. Building the Legacy 200446U.S. Department of Education Office of Special Education Programs OSEP On-going Oversight Will focus on performance and compliance Will primarily identify states for focused monitoring by looking at their performance against the targets Other data sources such as rank orders and audits will also be used

47. Building the Legacy 200447U.S. Department of Education Office of Special Education Programs Is CIFMS going away? Verification -General supervision -Data -Financial systems Focused Monitoring Related to Specific Indicators SPP/APR Nope!

48. IV. State Monitoring and Enforcement (§300.600) Section 300.600(a) has been amended to require States to: (1) monitor implementation of Part B of the Act; (2) make determinations annually about the performance of each LEA using categories in Section 300.603(b)(1); (3) enforce Part B of the Act in accordance with the statutory enforcement mechanisms that are appropriate for States to apply to LEAs; and (4) annually report on the performance of the State and of each LEA under Part B of the Act. These amendments also clarify, in §300.600(e), that a State, in exercising its monitoring responsibilities under §300.600(d), must ensure that when it identifies noncompliance with the requirements of Part B of the Act by its LEAs, the noncompliance will be corrected as soon as possible, and in no case, later than one year after the State’s identification of the noncompliance. (Authority: 20 U.S.C. 1416(a))

49. Implementation considerations: States have some discretion in developing a process for making annual determinations on the performance of LEAs. However, States’ annual determination processes must include consideration of: o an LEA’s performance on all State Performance Plan (SPP) compliance indicators; o whether an LEA submitted valid and reliable data for each indicator; o LEA-specific audit findings; and o any uncorrected noncompliance from any source. States are also advised to consider performance on results indicators, such as an LEA’s graduation and dropout rates, or the participation rate of students with disabilities in State assessments when making annual determinations. States must use enforcement mechanisms to enforce this part consistent with §300.604. If States are unable to correct noncompliance within one year of identification, States may enter into a compliance agreement with the Department under section 457 of GEPA, if the Department deems a Compliance Agreement is appropriate.

50. For More Information http://idea.ed.gov http://www.ed.gov http://www.monitoringcenter.lsuhsc.edu http://www.rrfcnetwork.org