1. CALIFORNIA DEPARTMENT OF EDUCATION Tom Torlakson, State Superintendent of Public Instruction Special Education Self Review (SESR) Activity Three: Corrective Actions and Completing the SESR

2. Tom Torlakson State Superintendent of Public Instruction Electronic and Hard Copy Data Due Dates Student level corrective actions due to CDE based on successful submission of student and LEA level findings LEA level corrective actions due to CDE based on successful submission of student and LEA level findings One year timeline expires for correction of noncompliance based on successful submission of student and LEA level findings

3. Tom Torlakson State Superintendent of Public Instruction

4. Activity Three: Step 22 Activity Three: Step 22

5. Tom Torlakson State Superintendent of Public Instruction Activity Three: Step 23 Activity Three: Step 23 Page 33-34  (Detailed Software Manual)

6. Tom Torlakson State Superintendent of Public Instruction When the software is started, the "LOG ON" screen will appear. It requires four items: USERNAME PASSWORD DISTRICT name and DISTRICT PASSWORD

7. Tom Torlakson State Superintendent of Public Instruction The USERNAME is "sesr" The PASSWORD is “1213" Enter the DISTRICT name from the drop down list. There is an individual password for each district to protect student confidentiality. Your CDE Consultant will provide the DISTRICT PASSWORD. Once the required information has been entered in the four fields, select the "OK" button.

8. Tom Torlakson State Superintendent of Public Instruction If all of the log-on information is correct, a "LOG SUCCESSFUL-VALID ENTRY" message box will be displayed indicating that the software has accepted the log on data input and is ready to proceed. Select the "OK" button.

9. Tom Torlakson State Superintendent of Public Instruction Select the Corrective Actions-Reports Functions button. Adding Due Dates to Corrective Action Reports

10. Tom Torlakson State Superintendent of Public Instruction Select the Student or District Finding Corrective Action Report. Select Due Date. Select the Year, Month, and date using the drop down list on the calendar. The due date for student corrective actions is 45 business days from the date of the successful submission letter. The due date for district corrective actions is 90 calendar days from the date of the successful submission letter.

11. Tom Torlakson State Superintendent of Public Instruction Select Yes to accept the due date. You must select the Preview button so the due date will update.

12. Tom Torlakson State Superintendent of Public Instruction Select the Student or District Finding Corrective Action Report. Select Print. Print Corrective Action Reports

13. Tom Torlakson State Superintendent of Public Instruction Once entered, due dates will appear here.

14. Tom Torlakson State Superintendent of Public Instruction Student Prong Two Corrective Action Report

15. Tom Torlakson State Superintendent of Public Instruction Corrective Action Report for District level finding. The LEA does not have documentation of policies and procedures for child find activities.

16. Tom Torlakson State Superintendent of Public Instruction Corrective Action Report for District level and student level prong two.

17. Tom Torlakson State Superintendent of Public Instruction Activity Three: Step 24 and 25 Activity Three: Step 24 and 25

18. Tom Torlakson State Superintendent of Public Instruction Corrective Actions Each finding of noncompliance must be corrected. Student level findings and some LEA level findings must be tested with a follow-up review of records to ensure compliance at 100 percent. Due dates for corrective action are calculated differently for student level and district level noncompliance.

19. Tom Torlakson State Superintendent of Public Instruction Due Dates for Corrective Action Student corrective actions are due within 45 business days. District level corrective actions, including additional record reviews to test 100 percent compliance, are due within 90 calendar days. Noncompliant findings during the subsequent record review start new 45 and 90 day cycles for the repeated noncompliant items. Documentation for subsequent record reviews is retained in the district. All corrective actions must be complete within one year of the successful submission letter.

20. Tom Torlakson State Superintendent of Public Instruction Root Cause Analysis (RCA) Some noncompliant findings are anomalies, some occur frequently. Frequently noncompliant findings may be resolved through RCA. RCA is a SESR option designed to isolate issues, organize the solution, and accomplish the desired result. Districts may engage the RCA process to resolve recurring problems before subsequent record reviews after identifying initial noncompliance.

21. ROOT CAUSE ANALYSIS (Optional Activity) Root Cause Analysis (RCA) seeks to identify the origin of a problem. Frequently, the noncompliance identified is not really the problem, but a symptom of the problem. Root Cause Analysis (RCA) seeks to identify the origin of a problem. Frequently, the noncompliance identified is not really the problem, but a symptom of the problem. RCA uses a set of steps, and associated tools, to find the primary cause of the problem so you can: –Determine what happened –Determine why it happened –Figure out what to do to reduce the likelihood that it will happen again. RCA uses a set of steps, and associated tools, to find the primary cause of the problem so you can: –Determine what happened –Determine why it happened –Figure out what to do to reduce the likelihood that it will happen again.

22. Tom Torlakson State Superintendent of Public Instruction ROOT CAUSE ANALYSIS (RCA) FIVE IDENTIFIABLE STEPS

23. Tom Torlakson State Superintendent of Public Instruction RCA - STEP TWO: RCA - STEP TWO: Collect Data  What proof do you have that the problem exists?  How long has the problem existed?  What is the impact of the problem?

24. Tom Torlakson State Superintendent of Public Instruction RCA – STEP THREE:  Identify Possible Causal Factors  What sequence of events leads to the problem?  What conditions allow the problem to occur?  What other problems surround the occurrence of the central problem?

25. Tom Torlakson State Superintendent of Public Instruction RCA – STEP FOUR: Identify the Root Cause(s)  Why does the causal factor exist?  What is the real reason the problem occurred?

26. Tom Torlakson State Superintendent of Public Instruction RCA – STEP FIVE: Recommend and Implement Solutions  What can you do to prevent the problem from happening again?  How will the solution be implemented?  Who will be responsible for it?  What are the risks of implementing the solution?

27. Tom Torlakson State Superintendent of Public Instruction Step 25b. Additional record reviews must be completed to test items until 100% compliance is achieved. Upon achieving 100% compliance, the data is reported in the SESR software

28. Tom Torlakson State Superintendent of Public Instruction The How-To for Review Number Two….and Any Subsequent Review District staff may use the SESR Record Review Follow-Up Protocol For every noncompliant finding, another record review must be completed until 100% compliance is achieved.

29. Tom Torlakson State Superintendent of Public Instruction Worksheets provided in the SESR Manual: Form 4: Record review documentation of 100% compliance SESR Follow-up Review Protocol This worksheet is available in the SESR Manual to use for record reviews. Districts may use the Item Table to copy and paste the Compliance Test into the Form. Name of worksheet: SESR Follow-up Review Protocol located in the SESR Manual

30. Tom Torlakson State Superintendent of Public Instruction

31. Worksheets provided in the SESR Manual: Form 4: Record review documentation of 100% compliance SESR Follow-up Review Protocol Does the IEP to be in effect when the student turns 16, or younger if determined appropriate by the IEP team, and each IEP thereafter, include courses of study that focus on improving the academic and functional achievement of the student to facilitate their movement from school to post school? 3-6-1 An example of an item that was copied and pasted from the Item Table An example of an item that was copied and pasted from the Item Table

32. Tom Torlakson State Superintendent of Public Instruction This worksheet should be completed and kept at the District 20

33. Tom Torlakson State Superintendent of Public Instruction 33 List the item number(s) reviewed for the student listed with evidence source. STUDENT NAME Form 4 cont.

34. Tom Torlakson State Superintendent of Public Instruction Activity Three: Step 26 Activity Three: Step 26

35. Tom Torlakson State Superintendent of Public Instruction Tracking Student Level Corrective Actions To track Student and District Level Corrective Action evidence, select the "Edit Corrective Actions“ button.

36. Tom Torlakson State Superintendent of Public Instruction Select Track Student Corrective Actions to document corrective actions for student findings.

37. Tom Torlakson State Superintendent of Public Instruction On the field titled "Select a Student", use the drop down menu to select the student whose data is to be entered.

38. Tom Torlakson State Superintendent of Public Instruction

39. Select the Item Number (the second column labeled item).

40. Tom Torlakson State Superintendent of Public Instruction The Corrective Action Description field displays the Corrective Action that was automatically generated by the SESR software. The Findings field displays the narrative finding statement that was previously entered by the LEA.

41. Tom Torlakson State Superintendent of Public Instruction To enter corrective action data for the selected Item Number (in this example 1-1-3), select the "Document CA" button. This will display the " Corrected CA Form" screen.

42. Tom Torlakson State Superintendent of Public Instruction The " Corrected CA Form" screen displays three fields: Date Corrected, Evidence, and Location.

43. Tom Torlakson State Superintendent of Public Instruction In the Date Corrected field, enter the date that this Item’s corrective actions were completed. In the Evidence field, describe the action/ activity that addressed and completed the corrective action. In the Location field, enter information about where the evidence of corrective action is located or stored.

44. Tom Torlakson State Superintendent of Public Instruction 44 Student Level Evidence Statement Corrective Action The district must provide evidence that there is a notification of an IEP meeting to discuss transition services at age 16.... Evidence The meeting notice, sent 10/11/12, indicates that transition is a purpose of the meeting. California Department of Education

45. Tom Torlakson State Superintendent of Public Instruction When completed, select the "Save" button.

46. Tom Torlakson State Superintendent of Public Instruction If the "Document CA" button has green lettering, it indicates that data for the selected item has already been entered, corrected, and is complete.

47. Tom Torlakson State Superintendent of Public Instruction In the "Save-Save Successful !" message box, select the "OK“ button and proceed to the next Item to be entered or exit and select another student for entry. Student Corrective Action

48. Tom Torlakson State Superintendent of Public Instruction District Corrective Action Select the District Finding Corrective Action Report to document district level and Prong Two corrective actions.

49. Tom Torlakson State Superintendent of Public Instruction District Corrective Action Select the Item number for which correction will be documented.

50. Tom Torlakson State Superintendent of Public Instruction The Corrective Action window is visible. Select the item number on the right side of the screen.

51. Tom Torlakson State Superintendent of Public Instruction Click on the “red” Document CA button.

52. Tom Torlakson State Superintendent of Public Instruction In the Date Corrected field, enter the date that this Item’s corrective actions were completed. In the Evidence field, describe the action/activity that addressed and completed the corrective action. In the Location field, enter information about where the evidence of corrective action is located or stored.

53. Tom Torlakson State Superintendent of Public Instruction EVIDENCE STATEMENT – Additional Student Record Review Item 3-3-6 Corrective Action District staff will sample half of the student IEPs for the most recent six months, up to twenty students, to ensure that the IEP team reviews the student’s IEP at least annually. Evidence Statement The district sampled 20 IEPs completed during the last six months. All included documented evidence that the student’s IEP was reviewed at least annually.

54. Tom Torlakson State Superintendent of Public Instruction 54 Example of District Level Evidence Statements – Policy Finding Corrective Actions The district must provide evidence that it has policies and procedures that are compliant with state and federal law related to provision of SE and related services according to the IEP and to the extent practicable, based on peer- reviewed research. The district must provide evidence that it has notified administrators and staff of the district’s policies and procedures…. The district must provide evidence that it has conducted in-service training for staff and administrators…. Evidence Statements Policy language added pertaining to peer- reviewed research. Updated, approved manual on file at district office. Staff development meeting held to review and distribute revised policies and procedures. Agenda and sign-in sheet collected and filed. District-wide training on this item number occurred on 5/3/12. Agenda and sign- in sheet filed.

55. Tom Torlakson State Superintendent of Public Instruction When completed, select the "Save" button.

56. Tom Torlakson State Superintendent of Public Instruction In the "Save-Save Successful !" message box, select the "OK“ button and proceed to the next Item to be entered or exit and select another student for entry.

57. Tom Torlakson State Superintendent of Public Instruction Select Exit to return to the previous menu.

58. Tom Torlakson State Superintendent of Public Instruction To ensure completion of all required corrective actions prior to electronic submission, LEA staff should print or view the: Corrected Student Corrective Actions, or Corrected District Finding Corrective Actions. The Reports can be printed and viewed in three ways: Corrected CAs only Uncorrected CAs only Both Corrected and Uncorrected CAs.

59. Tom Torlakson State Superintendent of Public Instruction Activity Three: Step 27 Activity Three: Step 27

60. Tom Torlakson State Superintendent of Public Instruction Electronic Submission Follow the previous instructions contained in Activity One for electronic submission of corrective action evidence. Pages 39-43  (Detailed Software Manual)

61. 61 Submit Form 2 after you receive e-mail notification that your final CA upload has been accepted.

62. Tom Torlakson State Superintendent of Public Instruction Activity Three: Step 28 Activity Three: Step 28

63. Tom Torlakson State Superintendent of Public Instruction Activity Three: Step 29

64. Tom Torlakson State Superintendent of Public Instruction Contact Information Questions or technical assistance should be directed to the SELPA. If SELPA staff is unable to answer the questions, contact the CDE consultant assigned to your county. Questions or technical assistance should be directed to the SELPA. If SELPA staff is unable to answer the questions, contact the CDE consultant assigned to your county. To access the list of consultants assigned by county go to: To access the list of consultants assigned by county go to: http://www.cde.ca.gov/sp/se/qa/fmtacncnt.asp http://www.cde.ca.gov/sp/se/qa/fmtacncnt.asphttp://www.cde.ca.gov/sp/se/qa/fmtacncnt.asp