Compliance Monitoring Orientation 2011 2010 � 2011 by UUU5Mu

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									Compliance
Monitoring
Orientation 2011
      2010 – 2011
    WELCOME !
  Tennessee Division of Special Education
            August 22, 25 & 30

  http://www.tn.gov/education/speced/monitor_compl.shtml
 Monitoring Staff
 http://www.tn.gov/education/speced/monitor_compl.shtml




                Ann Sanders-Eakes…Executive Director
                             Calvin Burden….Director
                 WBMS Help-Desk (Nina.Shaw@tn.gov)

Ann Shipley
Davis Hines
Deryl Gentry
Devin McClain
Frank Gosnell
Hiram Tate
Nancy Turnbo
Mark Reep
Steve Boggan
CYCLICAL COMPREHENSIVE
  ON-SITE MONITORING

   PART 1: ON-SITE FILES REVIEW
   PART 2: SCHOOL VISITS




   PART 3: ON-SITE FISCAL
       Part 1
IDEA Part B Compliance
      Monitoring
PREPARATION
            Prior to
            On-Site
         Monitoring Visit
       SECURE WEB-BASED
ON-LINE COMPLIANCE MONITORING
Web Based Monitoring System (WBMS)




Accessing a Username and Password
 http://www.tn.gov/education/speced/monitor_compl.shtml
          GETTING STARTED
 ADDITIONAL LOGIN REQUEST IN DOCUMENT LIBRARY


Web-Based Monitoring System (WBMS)
1. USER LOGIN REQUEST FORM
2. HOW TO USE THE WBMS: Instructions for making
  corrections of individual and district
  noncompliance.
Pre-Visit Documentation List
   504 CONTACTS: Provide a list of all school and central office 504 Contacts.
    Include each person's title/position (e.g. Principal, School Counselor, etc.)
   LIST OF SCHOOLS: Provide a list of all district schools. Include with each
    the principal's name, school hours, and the school contact for the onsite
    monitoring team, if different from the principal.
   LIST OF SPECIAL EDUCATION PERSONNEL FUNDED THROUGH PART B:
    Provide a list of all district special education personnel (e.g., teachers,
    related service providers, paraprofessionals, assessment personnel &
    interpreters, system-wide personnel, etc.)
   LIST OF SPECIAL EDUCATION PERSONNEL FUNDED THROUGH SPECIAL
    EDUCATION GENERAL PURPOSE FUNDS: Provide a list of all district special
    education personnel (e.g., teachers, related service providers,
    paraprofessionals, assessment personnel & interpreters, system-wide
    personnel, etc.)
   EQUIPMENT INVENTORY: (Comprehensive inventory of equipment
    purchased in whole or part with IDEA funds.)
   COMPLETED PERSONNEL CHART (FTEs): (Page 1 of Fiscal Monitoring
    Instrument)
 STUDENT RECORDS REVIEW
2 Weeks BEFORE Scheduled Monitoring:

  District is Notified through the WBMS of
   Uploaded Student Files to be Pulled for
                           Onsite Monitoring

   (Note) Files are selected on a random basis through the
 State’s EasyIEP database to ensure the sample is
 representative of the school district.
THE ENTRANCE MEETING
After the On-Site Monitoring Visit has been
scheduled with the Special Education
Supervisor the District’s Monitor will email to
the Special Education Supervisor and to the
Director of Schools an Invitation to an
Entrance Meeting.

The purpose of this meeting is two-fold:
 • Explanation is provided for the process
   followed in the course of files review,
   school visits and fiscal monitoring.
 • Any questions regarding this process are
   answered.
        MONITOR’S FILE REVIEW
                                      AN ORGANIZED FILE IS
                                      THE MONITOR’S WISH
Documents to include in the              COME TRUE!!
student’s file (at a minimum):

1. Most recent Eligibility Report
2. Most recent Evaluation
   (Initial or Reevaluation)
3. Most recent IEP
4. Required procedural documents
   (e.g., Invitation to a Meeting, Prior
   Written Notice)
5. Most recent Progress Report
           OVERVIEW
 Student Record Review Protocol
1.   Will be posted on Monitoring & Compliance Page

2. Located in Document Library of the WBMS


3. Changes to the Review Protocol
     Previous Review Items removed
     New Review Items
     Monitors’ Observations of Noncompliance
     Protocol Clarifications (for Monitors & School Districts)
          Previous Items Removed

2010-2011 Review Protocol
 IEP Process 3 (Rule out lack of R, M, LEP)
 IEP Process 4 (ER Assessment Team Signing)
 IEP Process 8 (Initial Evaluation 40 School Days)
 IEP Process 15 (Reevaluation in 3 years)
 IEP Process 17 (Reeval Classroom-Based Assess)
 IEP Process 27 (PLOPs align with Annual Goal)
 IEP Process 28 (Special Factors align with PLOPs)
 TCAP-Alt 39 (Cognitive/Adaptive skills documented)
 TCAP-MAAS 42, 43, 44
              (Kept the primary Requirement)
           New Review Items

2011-2012 Review Protocol
 IEP Process 1a (IEP File Content)
     IEP Revised Annually
 IEP Process 2a (Eligibility)
     Current Eligibility
 CM Initial 13a (Eligibility)
     PWN for Initial Placement
NOTIFICATION of FINDINGS
                  EXIT MEETING IS SCHEDULED WITH:
                                   Director of Schools
                         Special Education Supervisor


DISTRICT IS NOTIFIED TO BEGIN ON-LINE CORRECTION
    WITH EMAIL ELECTRONICALLY GENERATED FROM
                                           WBMS TO:
                        Special Education Supervisor

            DISTRICT BEGINS ON-LINE CORRECTIONS

DISTRICT INSTRUCTIONS FOR MAKING CORRECTIONS
 ARE IN THE WBMS DOCUMENT LIBRARY
       DATE OF NOTIFICATION
 Date the email announcing the completion of on-
 site monitoring is sent to the LEA.

                       and

 Date the LEA can begin individual student
 corrections and conduct District Level Training.
  DISTRICT FINDINGS and
  CORRECTIONS




On-line Report Details to the District
  1. Required Individual Student Corrections
  2. Required District Level Corrections
   Individual Student
   Findings 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
 Generally—Corrections to individual
  findings of noncompliance require
  actions such as:
   o Reconvening IEP Teams to complete
     unfinished or inaccurate work
   o Completing missing components
     required in the IEP or Eligibility
     Report.
IDEA Corrective Actions (ICAs)
                    All corrections of individual and
                     district findings of noncompliance are
                     to be completed and tracked by the
                     district via the Web-Based Monitoring
                     System (WBMS).

                    Once corrections are submitted
                     through the WBMS, the DSE
                     Compliance Consultant is notified
                     electronically. Included in the
                     district’s 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.
District Level
Findings of Noncompliance
             < 100% compliance for any
              IDEA requirement monitored
              must be corrected
             Corrective actions for District
              Level Findings are stated in
              the report
             Beginning in the 2011-2012
              School Year, LEAs have the
              option of an on-line District
              Training and Assessment
              specific to the LEA’s
              Noncompliant Findings.
Individual and District Level
Corrections of Noncompliant Findings
should be made by June 30, 2012
  MONITOR’S VERIFICATION OF
        CORRECTIONS
 Individual Student Findings of Noncompliance
 District Level Findings of Noncompliance
1st PRONG of FILE REVIEW

                  • After corrections have been made
                    by the school district, the DSE
                    Compliance Consultant verifies
                    the following:


1. Corrective actions addressing individual (ICAs) and
   district (DCAs) noncompliance

2. The district provides evidence of corrective actions
   for findings of noncompliance.
   2nd PRONG of FILE REVIEW
               When your monitor returns to the District to
                verify noncompliance corrections, he/she
               will request review files updated in areas of
               noncompliance since the District’s Training.

•Prong 2 file verifications continue until the district is
100% Compliant—after which the cyclical on-site
records monitoring is officially closed.
•All corrections will be verified by the Office of
Special Education as soon as possible but, by law,
must be made no later than 365 days from the
district’s Date of Notification.
     IDEA Part B Monitoring
        Letter of Closure
• The Office of Special Education will send
  the IDEA Part B Monitoring Closure Letter
  to the district within thirty (30) days after
  verification of all corrections.
       A SPECIAL NOTE
• Until all corrections (fiscal and
  compliance) are corrected, some
  of the District’s IDEA funds may
  not be released.
PREVIEW OF THE WBMS


https://70.167.21.16/wbms
   Part 2

SCHOOL VISITS
   Purpose for School Visits
 Validation of Equipment Inventory


 Focus on Inclusion


 Suspensions/Expulsions


 Comparability, etc.
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
On-Site Equipment and Inventory
Verification
                 Compliance Consultant:
                  Visits sampling of
                   district’s schools to
                   conduct inventory
                   checks and verify
                   information obtained
                   from the IDEA Fiscal
                   Monitoring Instrument

                  Validates sampling of
                  equipment at the
                  district’s Central Office
                  and at schools visited
        Part 3

IDEA Fiscal Monitoring
Preparation for Fiscal Monitoring
             30 days prior to Cyclical
              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
               provide TA to assist in this preparation
               for fiscal monitoring.
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
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 copied to
                  the District’s DSE
                  Management Consultant so
                  they may provide the district
                  with TA (if requested) when
                  corrections are required
      IDEA
Fiscal Monitoring
   Instrument
IDEA Fiscal Monitoring Instrument-pg2
IDEA Fiscal Monitoring Instrument-pg3
IDEA Fiscal Monitoring Instrument-pg4
IDEA Fiscal Monitoring Instrument-pg5
COME SEE US ON THE WEB:

--Compliance and Monitoring
--Management Services

http://state.tn.us/education/speced/
               STATE-WIDE SUPPORT
     Ann Sanders-Eakes (Ann.Sanders-Eakes@tn.gov)
       Executive Director of Compliance Monitoring

            Calvin Burden (Calvin.Burden@tn.gov)
Director of Non-LEA Monitoring and On-Line District Training

             Kathi Rowe (Kathi.Rowe@tn.gov)
             Director of Management Services

   REGIONAL COMPLIANCE CONSULTANTS
                    Middle Tennessee
             Hiram Tate (Hiram.Tate@tn.gov)
          Devin McClain (Devin.McClain@tn.gov)
          Deryl Gentry (Deryl.K.Gentry@tn.gov)
             Mark Reep (Mark.Reep@tn.gov)

                      West Tennessee
           Nancy Turnbo (Nancy.Turnbo@tn.gov)
           Steve Boggan (Steve.Boggan@tn.gov)
             Davis Hines (Davis.Hines@tn.gov)

                     East Tennessee
             Ann Shipley (Ann.Shipley@tn.gov)
           Frank Gosnell (Frank.Gosnell@tn.gov)

								
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